Title 83 Ill. Adm. Code — Public Utilities

Chapter I Illinois Commerce Commission

Subchapter a Administrative Regulations

Part 100 Standards of Behavior for Commissioners and Commission Employees

83 Ill. Adm. Code 100.10 Authority

This Part is adopted pursuant to the Public Utilities Act, and more specifically in addition to and furtherance of Section 4 thereof, in order to assure that the business of the Illinois Commerce Commission is conducted effectively, objectively and without improper outside influence or appearance thereof. All Commissioners and Commission employees must observe the highest standards of behavior and integrity.

83 Ill. Adm. Code 100.20 Maintenance of High Standards

a) The maintenance of unusually high standards of honesty, integrity, impartiality, and conduct by Illinois Commerce Commission members and employees is essential to assure the proper performance of the Government business and the maintenance of confidence by citizens in their Government. In a regulatory agency such as the Illinois Commerce Commission, whose actions affect the interest of every citizen of the state, it is particularly important that every employee be completely impartial, honest, and above suspicion while adhering strictly to the highest standard of ethical conduct in all their social, business, political and other off-the-job activities, relationships and interests as well as in their official actions. All Commission employees shall exercise their informed judgment to avoid situations that might result in actual or apparent misconduct or conflicts of interest.

b) A Commissioner or an employee should avoid any action that might result in, or create the appearance of:

1. Using public office for private gain;

2. Giving preferential treatment to any interested party;

3. Impeding Government efficiency or economy;

4. Losing complete independence or impartiality;

5. Discussing impending Commission decisions outside office channels;

6. Affecting adversely the confidence of the public in the integrity of the Commission.

c) Commissioners or employees of the Commission will not solicit nor accept any gift, gratuity, favor, entertainment, loan or any other thing of monetary value, either directly or indirectly from or on behalf of an interested party. A gift, gratuity, favor, entertainment, etc., includes any tangible item, intangible benefits, discounts, tickets, passes, transportation, and accommodations given or extended to or on behalf of the recipient. An "interested party" is any person, firm, corporation, or other entity that:

1. Is engaged in or is endeavoring to engage in any activity or transaction of any sort with the Commission;

2. Conducts operations or activities that are regulated by the Commission;

3. Has interests that may be substantially affected by the performance or nonperformance of the official duties of the Commissioners or employees of the Commission;

4. Is a party to any proceeding before the Commission;

5. Are Attorneys for and representatives of any of the foregoing.

d) Gifts, gratuities, favors, entertainment, etc., bestowed upon members of the immediate families of Commissioners or Commission personnel are viewed in the same light as those bestowed on Commissioners or Commission employees.

History

• Source: Amended at 29 Ill. Reg. 14535, effective October 1, 2005

83 Ill. Adm. Code 100.30 Instances Where Restrictions Do Not Apply

The restrictions do not apply to the following:

a) Instances in which the interests of the Commission and the people of Illinois are served by participation of Commissioners or Commission personnel in widely attended luncheon meetings, dinner meetings and similar gatherings sponsored by industrial, technical, and professional associations for the discussion of matters of mutual interest of the Commission and in the performance of its duties;

b) Specialty advertising items of nominal intrinsic value;

c) Customary exchange of social amenities between personal friends and relatives when motivated by such relationship and extended on a personal basis;

d) Things available impersonally to the general public, such as a free exhibition by an interested party at a national or regional meeting open to the public;

e) Trophies, entertainment, rewards, prizes given to competitors in contests which are open to the public;

f) Transportation provided by an interested party in connection with the performance of the Commission's official business and when alternate arrangements are clearly impracticable;

g) Participation in civic and community activities by Commissioners and Commission employees when the relationship with the interested party can reasonably be characterized as a normal public or civic relationship;

h) The acceptance of accommodations, subsistence or services furnished in kind in connection with official travel, when authorized by the Chairman as in the overall interest of the Commission and the Government of Illinois. Commissioners and Commission personnel may not accept personal reimbursement from a private source for expenses incident to official travel, unless authorized by the Chairman. In no case shall Commissioners or Commission employees accept, in kind or on a reimbursable basis benefits which, under prudent standards, are extravagant or excessive in nature.

i) Situations not specifically covered herein, but where in the judgment of the individual concerned, participation by Commissioners or Commission personnel will serve the interests of the Commission and the people of Illinois, and for which the Chairman has granted prior approval.

83 Ill. Adm. Code 100.40 Disciplinary Action

Failure to adhere to the requirements of the Public Utilities Act and this Part will constitute cause for disciplinary action.

Part 105 Waiver of Filing and Approval of Certain Sales, Leases and Mortgages

83 Ill. Adm. Code 105.10 Routine Bank Transactions

The opening of bank accounts, deposit of monies in such accounts, the withdrawal of monies from such accounts by checks, drafts, bills of exchange or otherwise, the making of time deposits with banks, the purchase from banks, at not to exceed prevailing market prices, of obligations of the United States maturing not more than five years thereafter, the sale to banks of such obligations of the United States at not less than prevailing market prices, and the making use of routine custodial and handling services of banks with respect to securities at not to exceed standard charges, all in the ordinary course of business, are not considered to be contracts or arrangements within the purview of the provisions of Section 7-102(g) and (h) of the Illinois Public Utilities Act ("Act") [220 ILCS 5/7-102(g) and (h)].

History

• Source: Expedited correction at 20 Ill. Reg. 7557, effective January 1, 1996

83 Ill. Adm. Code 105.20 Donations, Contributions and Memberships

Donations and contributions to charitable organizations, relief funds (including funds for the relief of employees), community chests, civic enterprises and other organizations and institutions of similar character not organized or conducted for pecuniary profit, and the payment of membership fees and dues on behalf of either a utility or its employees to trade associations, chambers of commerce, service clubs and other organizations conducted for civic or business improvement, are not considered to be within the purview of Section 7-102(g) and (h) of the Act.

History

• Source: Amended at 19 Ill. Reg. 16821, effective January 1, 1996

83 Ill. Adm. Code 105.30 Investments

The investment by a utility of its funds in obligations of the United States or of any body corporate or association organized or created by Act of the Congress of the United States as may from time to time be approved by this Commission for such investment or in obligations of the State of Illinois or of any county, city, school district or other political subdivision thereof, or in its own stock or securities is not considered to be within the purview of Section 7-102(g) and (h) of the Act. In addition, any utility may, without the approval of the Commission, invest its funds in any other obligations or investments, except real estate mortgages, in which trust funds may lawfully be invested under the provisions of the Trust and Trustees Act [760 ILCS 5].

History

• Source: Amended at 19 Ill. Reg. 16821, effective January 1, 1996

83 Ill. Adm. Code 105.40 Sales and Leases and Other Transactions Which Need Not Be Filed or Approved

a) Pursuant to Section 7-102 of the Act, and subject to the other provisions of this Part, the Commission hereby waives, as to all public utilities, the filing and necessity for approval of:

1. sales of property involving a consideration of not more than $300,000 for utilities with gross revenues in excess of $50,000,000 annually and a consideration of not more than $100,000 for all other utilities;

2. leases, easements and licenses involving a consideration or rental of not more than $30,000 for utilities with gross revenues in excess of $50,000,000 annually and a consideration or rental of not more than $10,000 per year for all other utilities;

3. leases of office building space not required by the public utility in rendering service to the public;

4. the temporary leasing, lending, or interchanging of equipment in the ordinary course of business or in case of an emergency; and

5. purchase-money mortgages given by the public utility in connection with the purchase of tangible personal property where the total obligation to be secured shall be payable within a period not exceeding one year.

b) The foregoing waiver shall not apply to any sale, lease, easement, license or other transaction involving more than 10 percent of the assets of the public utility participating therein.

c) The foregoing waiver shall not apply to any such sale, lease, easement, license or other transaction by a public utility with its employees or their agents where the consideration therefor is more than $500 and not determined in the manner provided by 83 Ill. Adm. Code 310.70 or by Section 2-328 of the Uniform Commercial Code [810 ILCS 5/2-328] and Section 1 of the Auction Sales Sign Act [720 ILCS 225/1].

History

• Source: Amended at 19 Ill. Reg. 16821, effective January 1, 1996

83 Ill. Adm. Code 105.50 Application to All Utilities (repealed)

History

• Source: Repealed at 19 Ill. Reg. 16821, effective January 1, 1996

Subchapter b Provisions Applicable to More Than One Kind of Utility

Part 200 Rules of Practice

83 Ill. Adm. Code 200.10 Procedure Governed

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

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

83 Ill. Adm. Code 200.20 Construction of This Part

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

83 Ill. Adm. Code 200.25 Standards for Discretion

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

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

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

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

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

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

History

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

83 Ill. Adm. Code 200.30 Deviation from This Part

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

83 Ill. Adm. Code 200.40 Definitions

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

"Commission" means the Illinois Commerce Commission.

"Commissioner" means a member of the Commission.

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

History

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

83 Ill. Adm. Code 200.50 Office

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

83 Ill. Adm. Code 200.60 Open Meetings

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

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

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

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

History

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

83 Ill. Adm. Code 200.70 Submission of Paper Documents

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

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

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

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

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

History

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

83 Ill. Adm. Code 200.80 Computation of Time

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

History

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

83 Ill. Adm. Code 200.90 Appearances

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

b) A natural person may appear in his or her own behalf.

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

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

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

History

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

Chapter I Illinois Commerce Commission

Subchapter b Provisions Applicable to More Than One Kind of Utility

Part 200 Rules of Practice

83 Ill. Adm. Code 200.95 Class Actions Prohibited

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

83 Ill. Adm. Code 200.100 Contents of Pleadings and Documents

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

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

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

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

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

History

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

83 Ill. Adm. Code 200.110 Forms of Pleadings and Documents

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

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

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

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

History

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

83 Ill. Adm. Code 200.120 Copies of Pleadings

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

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

History

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

83 Ill. Adm. Code 200.130 Signature and Verification

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

History

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

83 Ill. Adm. Code 200.140 Amendments

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

83 Ill. Adm. Code 200.150 Service

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

History

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

83 Ill. Adm. Code 200.160 Informal Complaints

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

History

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

83 Ill. Adm. Code 200.170 Formal Complaints

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

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

b) The name and address of each respondent.

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

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

e) The particular relief desired.

History

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

83 Ill. Adm. Code 200.180 Answers

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

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

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

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

History

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

83 Ill. Adm. Code 200.185 Satisfaction of Complaint

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

History

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

83 Ill. Adm. Code 200.190 Motions

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

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

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

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

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

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

History

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

83 Ill. Adm. Code 200.200 Intervention

a) Petitions to intervene shall contain:

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

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

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

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

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

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

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

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

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

History

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

Chapter I Illinois Commerce Commission

Subchapter b Provisions Applicable to More Than One Kind of Utility

Part 200 Rules of Practice

83 Ill. Adm. Code 200.210 Petition for Rulemaking

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

83 Ill. Adm. Code 200.220 Declaratory Rulings

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

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

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

b) A request for a declaratory ruling:

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

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

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

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

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

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

2. be served upon the requester.

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

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

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

i) Declaratory rulings shall not be appealable.

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

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

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

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

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

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

History

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

83 Ill. Adm. Code 200.300 Prehearing Conferences

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

1. Simplification of issues;

2. Amendments to the pleadings;

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

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

5. Limitations on the number of witnesses;

6. The procedure at the hearing; and

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

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

History

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

83 Ill. Adm. Code 200.310 Other Prehearing Submissions

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

a) prehearing briefs on specified issues;

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

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

History

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

83 Ill. Adm. Code 200.320 Facts Disclosed Privileged

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

83 Ill. Adm. Code 200.330 Recordation and Order

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

83 Ill. Adm. Code 200.335 Application of Discovery Rules Contained in Sections 200.340 Through 200.430

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

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

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

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

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

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

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

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

History

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

83 Ill. Adm. Code 200.340 Policy on Discovery

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

History

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

83 Ill. Adm. Code 200.345 Discovery by Staff Witnesses

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

83 Ill. Adm. Code 200.350 Reasonable Attempts to Resolve Differences Required

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

83 Ill. Adm. Code 200.360 Depositions and Other Discovery Procedures

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

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

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

History

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

83 Ill. Adm. Code 200.370 Supervision of Discovery

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

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

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

History

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

83 Ill. Adm. Code 200.380 Subpoenas

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

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

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

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

83 Ill. Adm. Code 200.390 Motion to Quash Subpoena

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

83 Ill. Adm. Code 200.400 Service and Fees Payable

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

History

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

83 Ill. Adm. Code 200.410 Time Limits on Discovery

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

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

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

History

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

83 Ill. Adm. Code 200.420 Failure to Comply with a Discovery Order or a Subpoena

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

83 Ill. Adm. Code 200.430 Protective Orders

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

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

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

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

History

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

83 Ill. Adm. Code 200.500 Authority of Hearing Examiner

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

a) To administer oaths and affirmations.

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

c) To conduct hearings and prehearing conferences.

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

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

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

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

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

History

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

83 Ill. Adm. Code 200.505 Recessing Hearing for Conference or Discussion

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

83 Ill. Adm. Code 200.510 Disqualification of Hearing Examiner

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

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

History

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

83 Ill. Adm. Code 200.520 Interlocutory Review of Hearing Examiner's Ruling

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

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

History

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

83 Ill. Adm. Code 200.525 Paper Hearings

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

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

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

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

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

History

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

83 Ill. Adm. Code 200.530 Notice, Time and Place of Hearings

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

History

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

83 Ill. Adm. Code 200.540 Recording Appearances at Hearings

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

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

History

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

83 Ill. Adm. Code 200.550 Failure to Appear or to Exercise Diligence in Proceeding

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

83 Ill. Adm. Code 200.560 Continuances

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

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

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

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

History

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

83 Ill. Adm. Code 200.570 Order of Procedure and Receiving Evidence

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

83 Ill. Adm. Code 200.580 Transcripts

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

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

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

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

History

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

83 Ill. Adm. Code 200.590 Conduct at Hearings

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

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

83 Ill. Adm. Code 200.600 Consolidation and Severance

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

83 Ill. Adm. Code 200.605 Procedure for the Identification and Treatment in Hearings of Confidential or Proprietary Information or a Trade Secret

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

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

History

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

83 Ill. Adm. Code 200.610 Evidence

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

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

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

History

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

83 Ill. Adm. Code 200.615 Waiver of Cross-Examination

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

a) cross-examination of witnesses may be waived;

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

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

History

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

83 Ill. Adm. Code 200.620 Testimony to Be Under Oath or Affirmation

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

History

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

83 Ill. Adm. Code 200.625 Examination of Adverse Party or Agent

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

History

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

83 Ill. Adm. Code 200.630 Stipulation of Facts

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

83 Ill. Adm. Code 200.640 Administrative Notice

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

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

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

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

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

5. The decisions of State and Federal courts.

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

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

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

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

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

History

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

83 Ill. Adm. Code 200.650 Records of Other Proceedings

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

83 Ill. Adm. Code 200.660 Prepared Testimony

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

83 Ill. Adm. Code 200.670 Exhibits

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

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

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

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

History

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

83 Ill. Adm. Code 200.680 Objections

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

83 Ill. Adm. Code 200.690 Offer of Proof

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

83 Ill. Adm. Code 200.700 Record in Commission Proceedings

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

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

2. Evidence received;

3. A statement of matters officially noticed;

4. Offers of proof, objections and rulings thereon;

5. Proposed findings and exceptions;

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

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

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

9. Orders and opinions of the Commission; and

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

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

History

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

83 Ill. Adm. Code 200.710 Ex Parte Communications

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

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

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

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

without notice and opportunity for all parties to participate.

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

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

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

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

1. All such written communications;

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

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

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

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

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

History

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

83 Ill. Adm. Code 200.800 Briefs

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

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

1. A table of contents;

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

3. Argument.

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

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

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

History

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

83 Ill. Adm. Code 200.810 Draft Orders

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

83 Ill. Adm. Code 200.820 Hearing Examiner's Recommended or Proposed Order

a) Proceedings under the Public Utilities Act.

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

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

b) Other proceedings.

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

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

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

History

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

83 Ill. Adm. Code 200.830 Exceptions; Reply

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

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

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

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

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

1. A table of contents; and

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

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

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

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

History

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

83 Ill. Adm. Code 200.840 Filing of Briefs

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

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

History

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

83 Ill. Adm. Code 200.850 Oral Argument

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

1. Its own motion;

2. The motion of a party; or

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

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

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

History

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

83 Ill. Adm. Code 200.860 Commission Order

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

History

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

83 Ill. Adm. Code 200.870 Additional Hearings

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

History

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

83 Ill. Adm. Code 200.875 Post-Record Data

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

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

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

History

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

83 Ill. Adm. Code 200.880 Rehearing

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

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

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

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

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

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

History

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

83 Ill. Adm. Code 200.890 Appeals

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

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

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

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

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

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

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

History

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

83 Ill. Adm. Code 200.900 Reopening on Motion of the Commission

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

83 Ill. Adm. Code 200.1000 Overview of Electronic Filing

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

History

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

83 Ill. Adm. Code 200.1010 Acceptable Formats

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

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

History

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

83 Ill. Adm. Code 200.1020 E-Docket Accounts

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

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

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

1. First name and last name;

2. Primary mailing address and phone number;

3. Preferred user name;

4. Password;

5. Challenge question and answer; and

6. Notarized signature.

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

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

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

History

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

83 Ill. Adm. Code 200.1030 Control Processes

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

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

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

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

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

History

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

83 Ill. Adm. Code 200.1040 Submission of Electronic Documents

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

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

History

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

83 Ill. Adm. Code 200.1045 Electronic Documents Accepted by the Commission

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

History

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

83 Ill. Adm. Code 200.1050 Service by Electronic Means

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

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

History

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

83 Ill. Adm. Code 200.1060 Electronic Documents and the Hearing Process

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

History

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

Part 201 Voluntary Mediation Practice

83 Ill. Adm. Code 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].

83 Ill. Adm. Code 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.

83 Ill. Adm. Code 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.

83 Ill. Adm. Code 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.

83 Ill. Adm. Code 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.

83 Ill. Adm. Code 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.

83 Ill. Adm. Code 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.

History

• Source: Amended at 29 Ill. Reg. 7212, effective June 1, 2005

83 Ill. Adm. Code 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.

83 Ill. Adm. Code 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.

83 Ill. Adm. Code 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.

83 Ill. Adm. Code 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.

83 Ill. Adm. Code 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.

83 Ill. Adm. Code 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.

83 Ill. Adm. Code 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.

83 Ill. Adm. Code 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]

83 Ill. Adm. Code 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]

83 Ill. Adm. Code 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]

Chapter I Illinois Commerce Commission

Subchapter b Provisions Applicable to More Than One Kind of Utility

Part 201 Voluntary Mediation Practice

83 Ill. Adm. Code 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.

83 Ill. Adm. Code 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.

83 Ill. Adm. Code 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.

83 Ill. Adm. Code 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.

83 Ill. Adm. Code 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.

83 Ill. Adm. Code 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.

Part 202 Voluntary Binding Arbitration Practice

83 Ill. Adm. Code 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.

83 Ill. Adm. Code 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.

83 Ill. Adm. Code 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.

83 Ill. Adm. Code 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.

83 Ill. Adm. Code 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.

83 Ill. Adm. Code 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.

Chapter I Illinois Commerce Commission

Subchapter b Provisions Applicable to More Than One Kind of Utility

Part 202 Voluntary Binding Arbitration Practice

83 Ill. Adm. Code 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.

83 Ill. Adm. Code 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.

Chapter I Illinois Commerce Commission

Subchapter b Provisions Applicable to More Than One Kind of Utility

Part 202 Voluntary Binding Arbitration Practice

83 Ill. Adm. Code 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.

83 Ill. Adm. Code 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.

83 Ill. Adm. Code 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.

83 Ill. Adm. Code 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.

83 Ill. Adm. Code 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.

83 Ill. Adm. Code 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.

83 Ill. Adm. Code 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).

83 Ill. Adm. Code 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.

83 Ill. Adm. Code 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.

83 Ill. Adm. Code 202.320 Motion to Quash Subpoena

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

83 Ill. Adm. Code 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.

83 Ill. Adm. Code 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.

Chapter I Illinois Commerce Commission

Subchapter b Provisions Applicable to More Than One Kind of Utility

Part 202 Voluntary Binding Arbitration Practice

83 Ill. Adm. Code 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.

83 Ill. Adm. Code 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.

83 Ill. Adm. Code 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.

83 Ill. Adm. Code 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.

83 Ill. Adm. Code 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).

83 Ill. Adm. Code 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.

83 Ill. Adm. Code 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.

83 Ill. Adm. Code 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.

83 Ill. Adm. Code 202.510 Draft Proposed Arbitration Decisions

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

83 Ill. Adm. Code 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.

83 Ill. Adm. Code 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.

83 Ill. Adm. Code 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.

83 Ill. Adm. Code 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.

83 Ill. Adm. Code 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.

83 Ill. Adm. Code 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.

83 Ill. Adm. Code 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.

83 Ill. Adm. Code 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."

Chapter I Illinois Commerce Commission

Subchapter b Provisions Applicable to More Than One Kind of Utility

Part 210 Annual Reports

83 Ill. Adm. Code 210.10 Fiscal Year for Annual Reports

All public utilities, as that term is defined in Section 3-105 of the Public Utilities Act (Act) [220 ILCS 5/3-105], and all telecommunications carriers, as that term is defined in Section 13-202 of the Act [220 ILCS 5/13-202] shall report on a calendar year basis, ending on December 31 of each year, for purposes of the annual reports required by Section 5-109 of the Act [220 ILCS 5/5-109], except that this requirement shall apply to the services of an electing provider and to competitive telecommunications rates and services only to the extent that the Commission requires annual reports authorized by Section 5-109, provided the telecommunications provider may use the most recent version of generally accepted accounting practices or accounting systems it uses for financial reporting purposes in the annual report [220 ILCS 5/13-101].

History

• Source: Amended at 38 Ill. Reg. 15900, effective July 11, 2014

83 Ill. Adm. Code 210.20 Annual Report Forms

a) The Illinois Commerce Commission (Commission) shall notify each public utility or telecommunications carrier by United States mail in December of each calendar year that an annual report shall be submitted to the Commission with instructions on how to obtain the form. Such form can be provided electronically to public utilities or telecommunication carriers.

b) Any public utility or telecommunications carrier that requires a printed copy of the annual report form to be filed by that entity shall request the printed copy by contacting the Chief Clerk of the Commission in accordance with instructions provided by the Commission in the annual mailing required by subsection (a).

History

• Source: Added at 28 Ill. Reg. 15469, effective December 1, 2004

83 Ill. Adm. Code 210.30 Filing Instructions

a) Pursuant to Section 5-109 of the Act, a completed annual report form shall be filed with the Commission at its Springfield office within three months after the end of the year for which the report is made. [220 ILCS 5/5-109]

b) The annual report form shall be filed in accordance with the instructions on the form.

Source: Added at 28 Ill. Reg. 15469, effective December 1, 2004)

Part 215 Designation of Agent

83 Ill. Adm. Code 215.10 Designation of Agent

a) Every public utility, telecommunications carrier, alternative retail electric supplier (ARES) and meter service provider (MSP) subject to the provisions of the Public Utilities Act (Act) [220 ILCS 5] and the Illinois Commerce Commission's (Commission) rules shall annually designate in writing, on a form prescribed by the Commission, an agent within the State of Illinois upon whom service of all process, notices and demands may be had for and on behalf of the public utility, telecommunications carrier, ARES and MSP, in any proceeding before the Commission. Each public utility shall file the designation in the office of the Chief Clerk of the Commission at Springfield, Illinois, after January 1 and prior to January 31 of each year.

b) For purposes of this Part:

"Alternative retail electric supplier" has the same meaning as in Section 16-102 of the Act [220 ILCS 5/16-102].

"Meter service provider" has the same meaning as in Section 460.10 of the Commission's rules "Certification Requirements and Standards of Service for Meter Service Providers" (83 Ill. Adm. Code 460.10).

"Public utility" has the same meaning as in Section 3-105 of the Act [220 ILCS 5/3-105].

"Telecommunications carrier" has the same meaning as in Section 13-202 of the Act [220 ILCS 5/13-202].

c) The required information for each designated agent shall include the name, address, telephone number, any facsimile number and any e-mail address.

History

• Source: Amended at 25 Ill. Reg. 14840, effective November 1, 2001

83 Ill. Adm. Code 215.20 Out-of-State Agent for Foreign Corporations

Each foreign corporation may designate one out-of-state agent to be sent a copy of each and every process, notice or demand but failure to send a copy of any such process, notice or demand to the out-of-state agent will have no effect whatever upon the jurisdiction of the Commission.

83 Ill. Adm. Code 215.30 Service of Process, Notices or Demands

Service of all process, notices or demands may be made upon a public utility, telecommunications carrier, ARES or MSP by mailing in the United States mail, or by transmitting by electronic means, as provided by 83 Ill. Adm. Code 200.150, a copy to the designated agent within the State of Illinois at the address designated.

History

• Source: Amended at 25 Ill. Reg. 14840, effective November 1, 2001

83 Ill. Adm. Code 215.40 Filing of Name and Address of Chief Executive Officer

At the time of filing the information specified in Section 215.10(c) of this Part, each public utility, telecommunications carrier, ARES and MSP shall also file the name, address, telephone number, any facsimile number and any e-mail address of its chief executive officer.

History

• Source: Amended at 25 Ill. Reg. 14840, effective November 1, 2001

83 Ill. Adm. Code 215.50 Report of Change of Chief Executive Officer or Agent

Within 15 days after any change regarding the chief executive officer or designated agent, a report of such action, and the information relative to the new chief executive officer or designated agent required to be filed under this Part, shall be filed with the Commission at its Springfield office.

History

• Source: Amended at 25 Ill. Reg. 14840, effective November 1, 2001

Part 220 Reports of Accidents by Fixed Public Utilities Other Than Pipelines Transporting Liquids

83 Ill. Adm. Code 220.5 Introduction

a) This Part governs all fixed public utilities, other than pipelines transporting liquids and telecommunications carriers subject to public utilities regulation under Section 13-101 of the Public Utilities Act [220 ILCS 5], in reporting accidents to the Illinois Commerce Commission (Commission).

b) As used in this Part, "fixed public utilities" shall not include telecommunications carriers subject to public utilities regulation under Section 13-101 of the Public Utilities Act.

History

• Source: Amended at 38 Ill. Reg. 15903, effective July 11, 2014

83 Ill. Adm. Code 220.10 Reporting Accidents

Except as otherwise specified in this Part, a report shall be made to this Commission of every accident occurring on the property of a public utility, or resulting from the construction, operation and maintenance of its property whenever it may be located in the State of Illinois.

History

• Source: Amended at 15 Ill. Reg. 5056, effective April 1, 1991

83 Ill. Adm. Code 220.20 Class of Utilities

a) For the purpose of reporting accidents, fixed public utilities other than pipelines transporting liquids and telecommunications carriers have been classified according to their last annual report to the Commission, as follows:

1. Class "A" – public utilities having an annual gross operating revenue exceeding $250,000 will report each month, within 30 days after the end of the month for which report is made. No report is required for a month in which there are no accidents.

2. Class "B" – public utilities having an annual gross operating revenue exceeding $50,000, but not more than $250,000, shall report each quarter, within 30 days after the end of the quarter for which report is made. No report is required for a quarter in which there are no accidents.

3. Classes "C" and "D" – public utilities Class "C", having an annual gross operating revenue exceeding $10,000 but not more than $50,000, and public utilities Class "D", having an annual gross operating revenue of $10,000 or less, shall report each year, within 30 days after the end of the year for which report is made.

b) From annual reports, the Commission will determine for each public utility the class to which it belongs and give notification accordingly.

c) Monthly, quarterly and yearly reports shall date from the beginning of each calendar year.

d) All classes having periods with no accident to report during a year shall file a summary statement (Form U-3) indicating periods of non-reporting within 30 days after the end of the year for which the report is made.

History

• Source: Amended at 38 Ill. Reg. 15903, effective July 11, 2014

83 Ill. Adm. Code 220.30 Immediate Report

a) Section 8-507 of The Public Utilities Act (Ill. Rev. Stat. 1989, ch. 111⅔, par. 8-507) requires that whenever any accident occasions the loss of life or limb to any person, such public utility shall immediately give notice to the Commission of the fact by the speediest means of communication, whether telephone, telegraph or post.

b) Initial reports by post, telephone, or telegraph shall in every instance show the date, time and place of accident, nature of accident and number of persons killed or injured. All such reports shall be confirmed with Form U-1, as provided for in Section 220.50.

History

• Source: Amended at 15 Ill. Reg. 5056, effective April 1, 1991

83 Ill. Adm. Code 220.40 Periodical Reports

Reports of all accidents (including those previously reported by telephone, telegraph or post), shall be submitted in accordance with the instruction for that public utility's assigned class. When there are no accidents to report pursuant to Section 220.20, Form U-3 should be used for the annual report.

History

• Source: Amended at 15 Ill. Reg. 5056, effective April 1, 1991

83 Ill. Adm. Code 220.50 Report Blanks

a) Form U-1 Blank form to be used for reporting each accident.

b) Form U-2 Statement of officer reporting accidents monthly, quarterly or yearly as the case may be, including summary.

c) Form U-3 Statement of officer reporting no accident, yearly indicating all months containing no accidents to report.

History

• Source: Amended at 15 Ill. Reg. 5056, effective April 1, 1991

83 Ill. Adm. Code 220.60 Instructions for Reporting

a) An accident that causes no death or personal injury to any persons and that causes not over $20,000 damage to the property of the utility should not be reported. Any traffic accident that causes no death to any persons on public thoroughfares involving a utility operated motor vehicle should not be reported.

b) In reporting damages to property, the amount may be stated in the nearest even dollars. Give an estimate if the actual amount is not known. Do not include sums paid or payable for death or personal injury.

c) Accidents to persons resulting in immediate death, or in death within 24 hours from the time the accident occurred, should be reported as "killed." All other accidents to persons, including those resulting in death of the person injured, after an interval of more than 24 hours from the time the accident occurred, should be reported as "injured".

d) Accidents to employees resulting in slight injury, which do not prevent the employee injured from performing his or her accustomed service for more than three days, in the aggregate, should not be reported. Accidents to "other persons", resulting in slight injury when the person injured is not incapacitated for more than one day, should not be reported. "Incapacitated" means an injury that prevents the person injured from following his or her accustomed vocation.

e) In case of persons killed or injured, other than employees, give names and state whether killed or injured.

f) Whenever an employee not on duty is killed or injured, the report should explain the occasion of the employee's presence at the place of the accident.

History

• Source: Amended at 43 Ill. Reg. 7107, effective June 4, 2019

Part 240 Reports of Issuance and Sale or Disposal of Securities and the Application of Proceeds (general Order 129)

83 Ill. Adm. Code 240.10 Reports to Be Filed

Every public utility, which shall hereafter obtain from the Commission an order granting authority for the issuance and sale or disposal of securities embracing stocks, bonds, notes or other evidences of indebtedness, shall file reports, as hereinafter provided, concerning the issuance, sale or disposal thereof and the application of the proceeds of securities authorized by such order.

83 Ill. Adm. Code 240.20 Filing Requirements and Procedures

The first report in each case shall be filed within sixty (60) days after the end of the calendar quarter (i.e., the three-month period ending March 31, June 30, September 30 or December 31, as the case may be) in which the order authorizing the issuance of such securities is entered. Thereafter, reports shall be filed covering the transactions during each successive three-month period, each of said reports to be filed within sixty (60) days after the end of each such period. All reports shall be filed with the Commission in duplicate and shall be signed and verified under oath by an executive officer of such public utility having knowledge of the facts; each such report to show the following particulars:

a) In respect to the issuance and sale of:

1. Capital stock

A) The number of shares (and par amount of stock having a par value) issued and sold or disposed of;

B) The price per share at which such stock was sold or disposed of;

2. Bonds and other securities

A) The principal amount of bonds, notes or other evidences of indebtedness issued and sold or disposed of, stated separately for each kind of security;

B) The price per one hundred dollars face amount at which such bonds, notes or other evidences of indebtedness were sold or disposed of, stated separately for each kind of security;

3. All classes of securities

A) the names of all persons, firms or corporations acquiring such securities, giving a description of the securities acquired by each such person and the consideration furnished by each, from the issuer, insofar as known to the issuer:

i) who either were or thereby became an "affiliated interest" of the issuer within the meaning of Section 8a of the Public Utilities Act of Illinois (including individuals acting as nominees or trustees for such affiliated interest), or

ii) for the purpose of resale;

B) the amount of proceeds realized from the sale of stock, bonds, notes, or other evidences of indebtedness; or in case such stock, bonds, notes or other evidences of indebtedness are not sold for cash, the nature and value of the consideration received therefor; and

C) a detailed statement of all expenses incurred in connection with the issuance and sale of said stock, bonds, notes or other evidences of indebtedness.

b) In respect to application of proceeds:

The purpose or the purposes to which the proceeds of the sale of stock, bonds, notes or other evidences of indebtedness have been applied.

c) In respect to unapplied proceeds:

Amount or amounts of proceeds remaining unapplied to the purpose or purposes specified in the order of the Commission.

83 Ill. Adm. Code 240.30 Filing Dates

Every public utility reporting to the Commission, pursuant to the provisions of this Part, shall file with the Commission the required report or reports (in duplicate) at regular intervals, as herein provided, except in any case in which the order authorizing the issue of securities or any amendment or modification thereof shall provide otherwise. If, at any time at which the filing of a report is due, it shall appear that no change in the status of any item has occurred since the filing of the last preceding report, such public utility shall nevertheless file a report certifying that such is the fact. When all of the transactions relating to the issuance and sale of securities authorized by the order, and application of the proceeds thereof, have been completed (or, if all of said securities shall not have been disposed of within the time limit fixed by the Commission's order therefor, or any extension thereof granted by the Commission, then at the expiration of such time), a final report shall be filed in lieu of the report at the end of the then current three months' period.

Part 250 Public Utility Books and Accounts (general Order 140)

83 Ill. Adm. Code 250.10 Maintenance of Office and Keeping of Records

All public utilities made subject to the jurisdiction and supervision of the Illinois Commerce Commission by "An Act concerning public utilities," as amended, be, and they are hereby, ordered to maintain an office within the State and in such office keep all books, accounts, papers, records and memoranda as are employed in their uniform classification of accounts and/or used in connection with their utility business conducted within the State.

83 Ill. Adm. Code 250.20 Authority to Maintain Out-of-State Location

The aforestated requirements shall not apply against those public utilities that have received authority from the Commission to keep all or any of their books, accounts, papers, records and memoranda at some location outside of the State (to the extent of the special authority received), providing that such public utilities shall file proof with the Chief Clerk of the Commission of such grant of authority, within a reasonable time after the effective date of this Part.

83 Ill. Adm. Code 250.30 Address of Office(s)

All public utilities shall file with the Chief Clerk of the Commission the address of the office, or offices, in which the said books, accounts, papers, records and memoranda are kept.

83 Ill. Adm. Code 250.40 Special Circumstances

When special circumstances affecting any particular public utility necessitate keeping its said books, accounts, papers, records and memoranda, or any of them, outside the State, then upon proper application and hearing, the Commission may authorize such books, accounts, papers, records and memoranda to be kept outside of the State if the facts and circumstances warrant, and then only upon such conditions as may be imposed to facilitate the proper administration of the Act.

83 Ill. Adm. Code 250.50 Distribution

This Part shall be mailed to the public utilities of this State. It shall be in force and effect thirty (30) days from the date of its passage, provided that any public utility, prior to the effective date of this Part, may, upon the filing of a proper application, have the Chief Clerk of the Commission set the matter for immediate hearing to determine the reasonableness of the requirements of this Part as to that particular utility.

Part 255 Notice Requirements for Change in Rates for Cooling, Electric, Gas, Heating, Telecommunications, Sewer or Water Services

83 Ill. Adm. Code 255.10 Definitions

"Act" means The Public Utilities Act (Ill. Rev. Stat. 1985, ch. 111⅔, par. 1-101, et seq.).

"Change," used in reference to a schedule, does not mean or include a change resulting from the operation of a provision which by its terms proposes no increase or decrease in the charges for service to any customer unless and until the happening of some future event which may or may not happen, as, for example, the filing or applying of a change represented by fuel clause. The provisions of Section 255.20(h) of this Part shall, nevertheless, apply to such a "change".

"General rate increase" means a change in any public utility rate or schedule which, if applied to the total number of customers then currently being served under the particular rate classification involved (such as a residential classification or a commercial classification), would result either in an increase in the charges to 10% or more of the said number of customers or would result in a net increase in the revenues of the public utility from that particular classification for the same amount of service.

"Office of the public utility" means and includes only those offices maintained by the public utility for the purpose of the public transacting business with the public utility. It does not mean or include places of business maintained primarily for another purpose, such as stores, banks or offices or organizations other than the public utility, where arrangements may have been made for the receipt of payments of bills due the public utility or for the receipt of requests for service or for the transaction of other incidental business relating to the public utility, and it does not include a public utility office maintained primarily for operation purposes or rendering utility services to the public, such as telephone central offices or telephone public pay stations or telegraph branch offices maintained in hotels, railroad stations or office buildings.

"Public utility" as used in this Part, means any public utility as defined in Section 3-105 of the Act (Ill. Rev. Stat. 1985, ch. 111⅔, par. 3-105) except those entities engaged in the conveyance of oil by pipeline. "Public utility" shall also include any telecommunications carrier, as defined in Section 13-202 of the Act (Ill. Rev. Stat. 1985, ch. 111⅔, par. 13-202) to which the provisions of Section 9-201 of the Act (Ill. Rev. Stat. 1985, ch. 111⅔, par. 9-201) are made applicable by Section 13-101 of the Act (Ill. Rev. Stat. 1985, ch. 111⅔, par. 13-101).

"Schedule" means and includes the sheets filed with the Commission by the public utility on which are set forth the rates or other charges or classifications for service furnished by the public utility and the rules, regulations and practices of the utility relating to or affecting any such rates, charges or classifications.

History

• Source: Amended at 11 Ill. Reg. 16119, effective October 1, 1987

83 Ill. Adm. Code 255.20 Notice to the Public

Notice to the public, and to persons affected, of any change proposed by a public utility in its schedule or schedules shall be given in accordance with the following:

a) Public Utility's Schedule.

1. The public utility shall maintain and keep open to public inspection in each office of the public utility a copy of the public utility's schedule applicable to each of the services furnished by the public utility in the territory served by such office. The public utility shall also maintain and keep open to public inspection in each of its said offices a folder in which shall be filed a copy of every proposed change in said schedule or schedules, together with copy of the applicable supplemental statement referred to in Section 255.30(l)(1), concurrently with the filing by the public utility with the Commission of such proposed change. The public utility shall keep on file in said folder a copy of said proposed change and a copy of said supplemental statement throughout and during the period such proposed change is pending before the Commission.

2. The public utility shall also post in two public and conspicuous places in each office of the public utility a notice not less than 7½ inches by 10 inches in size printed in black on a white background, reading substantially as follows:

PUBLIC NOTICE

The schedules of this Company showing all of its rates and other charges, classifications, rules and regulations relating thereto now filed with the Illinois Commerce Commission and in force and applicable to service rendered through this office in this territory, are on file in this office and open to public inspection.

An employee of this Company will assist any person to determine from the schedules any rate, charge, classification, rule or regulation.

b) Whenever any proposed change, other than a general rate increase, in a schedule shall be filed with the Commission, the public utility shall either:

1. make newspaper publication in accordance with the provisions of subsection (f)(1) below; or

2. concurrently post in a public and conspicuous place in each of the offices of the public utility in the territory affected by the change, and shall keep so posted during the period such proposed change is pending before the Commission, a notice not less than 7½ inches by 10 inches in size printed in black on a white background, reading substantially as follows:

PUBLIC NOTICE

Proposed Changes in Rates, Charges, Classifications,

Rules and Regulations For Service

The Company has filed with and there is now pending before the Illinois Commerce Commission a proposed change in the Company's schedule. A copy of such proposed change is on file in this office and open to public inspection.

An employee of this Company will assist any person to determine the effect of the proposed change.

Customers should be advised that the Commission may alter or amend the rates or conditions of service after hearings held pursuant 83 Ill. Adm. Code 200 and may increase or decrease individual rates in amounts other than those requested by the Company.

(Note: Insert in the blank space the type of service involved, that is, electric, gas, heat, etc.)

c) The titles of the foregoing notices shall be in letters of size not less than 48 point type and the bodies of the notices in letters of size not less than 24 point type.

d) The permanent notices required by subsection (a)(2) above shall be kept posted at all hours when the offices are open for the transaction of business by the public. When a temporary notice is posted pursuant to the provisions of subsection (b)(2) above it shall, during the period involved, be kept posted at all hours when the offices are open for the transaction of business by the public.

e) In each such office of the utility there shall be in regular attendance a representative or employee of the utility available to assist any person to determine from such schedule any rate, charge, classification, rule or regulation, and also to assist any person to determine the provisions of any proposed change then pending before the Commission.

f) General rate increases

1. Whenever any proposed change in a schedule which would effect a general rate increase shall be filed with the Commission, the public utility shall, beginning not later than 10 days following such filing, cause to be published once each week for two consecutive weeks in some secular newspaper (that has been regularly published for at least six months prior to the first publication of such notice) in general circulation in the territory affected by such change a notice in substantially the form found in Exhibit A (occupying space not less than one column in width and three inches in length).

2. With respect to a proposed change constituting a general rate increase, in addition to giving notice by publication as provided in subsection (f)(1), the public utility shall give notice by posting as provided in subsection (b)(2) above.

g) Any fixed utility with $300,000 of annual operating revenues or less may request a staff review, examination and evaluation of its books, records and operations prior to filing a tariff, pursuant to Section 9-201 of the Act, which proposes a general rate increase. The Commission staff will direct the utility to mail to each of its customers a notice when the staff has established that the utility is in compliance with applicable requirements of the Act and that adequate information in support of the request for a staff review has been received. The notice shall include the amounts of the proposed rates and the manner in which a customer may obtain information or express views thereon. This notice will be in lieu of all notices required by subsections (f)(1) and (2) above.

h) In any instance where the Commission deems it appropriate that there be newspaper publication with respect to any proposed change in a schedule even though such publication is not otherwise required under this Part, or in any instance where the Commission deems it appropriate that there be other notice than is herein provided of any proposed change in a schedule, the Commission by its order or by a letter over the signature of its Chief Clerk will direct that such publication, or other notice, shall be made or given. In the event the Commission does so direct that notice by newspaper publication be made or given, the public utility shall make publication as provided for in subsection (f)(1) above.

History

• Source: Amended at 17 Ill. Reg. 798, effective January 15, 1993

83 Ill. Adm. Code 255.30 Concerning Composition and Filing

a) Schedules not to be in handwriting.

All schedules must be clearly printed, mimeographed or typewritten on paper of good quality. Alterations in writing or erasures must not be made in schedules before filing.

b) Form and size of schedules.

All schedules must be in book, sheet or pamphlet form, and of size 8½ x 11 inches. Loose-leaf plan may be used so that changes can be made by reprinting and inserting a single leaf. If the public utility has but a few rates, the schedule may consist of a single page.

c) Numbering of schedules.

The first schedule filed by each public utility for any class of service shall be designated with the prefix, "Ill. C. C. No. 1", and thereafter as other schedules are filed to replace such schedules they shall be designated with the next higher number in consecutive numerical order. Pages within a schedule shall be numbered in consecutive order. Subsequent additional pages inserted between existing pages of the schedule shall be numbered in accordance with decimal place notations.

d) The title sheet of every schedule shall show:

1. Name of Issuing Company.

2. Ill. C. C. number of the schedule in upper right-hand corner and, immediately thereunder, the schedule number or numbers cancelled thereby.

3. Class of service, whether cooling, electric, gas, heating, sewer, telephone, telegraph or water.

e) Other sheets of schedule shall show:

1. Name of Issuing Company.

2. Ill. C. C. number in the right-hand corner of the sheet and, immediately thereunder, the original sheet number in case it is an original sheet. In cases where changes are made by filing revised sheets to schedules on file, the schedule number, revised sheet number and original or revised sheet number cancelled shall be shown.

3. Class of service, whether cooling, electric, gas, heating, sewer, telephone, telegraph or water.

4. The city or territory to which the sheet applies unless this information is set forth elsewhere in the schedule.

5. The rates and other charges explicitly stated in cents, including fractions thereof where applicable, or dollars and cents for each class of service rendered.

6. Date on which the sheet is formally filed with the Commission and the date on which it is proposed that the sheet will become effective.

7. Name, title and address of officer by whom sheet is issued.

f) Rules and regulations of public utilities.

Each schedule shall contain, or incorporate by reference if they already are on file, the rules which govern the schedule with the title of each rule shown in bold type.

g) Schedules for each class of service.

Separate schedules shall be filed for cooling, electric, gas, heating, sewer, telephone, telegraph or water services.

h) Changes in schedules.

Changes in a schedule may be made by filing an entire new schedule or by filing additional original sheets or revised sheets which shall refer in the manner provided in Section 255.30(e)(2), to the corresponding sheets of the schedule on file and state whether the new filing is an additional original sheet or a revised sheet. The proposed change shall be indicated on the additional original sheet or on the revised sheet, as the case may be, by an asterisk immediately preceding the item, or by underscoring the item or by some other method of symbols, with an explanation in the schedule of the symbols used. Where the new filing eliminates a rate, rule or regulation, it shall so show.

i) Schedules or sheets to be filed on 45 days' notice.

Except as hereinafter provided, no schedule or sheets to effect a change in any schedule will be accepted for filing unless it is delivered to the Commission on a date at least 45 days before the change or changes are to become effective. If a schedule or sheet reaches the office of the Commission on a Sunday or a holiday it will be considered as having been received on the following business day.

j) Permission for less than 45 days' notice.

On every schedule and on every additional original sheet or revised sheet permitted by order of the Commission to become effective on less than 45 days notice, there shall appear a notation to the effect that such schedule or such sheet is permitted to become effective on less than 45 days notice under order of or by authority of the Commission, and making reference to said order or authorization by its specific order number and date of issue. The request by a public utility for special permission should be in the form of a petition, in triplicate, addressed to the Commission and should contain information substantially as outlined in Exhibit B.

k) Address for schedules.

Schedules and changes therein sent for filing should be addressed:

Illinois Commerce Commission

Chief Clerk

527 East Capitol Avenue

Springfield, Illinois 62706

l) Letter of transmittal.

1. All schedules and all additional original or revised sheets of schedules filed with the Commission shall be accompanied by a letter of transmittal on paper 8½ x 11 inches in size, and shall include information as called for in Exhibit C and such other information as is considered appropriate to explain the nature, effect and purpose of the schedule, or additional original or revised sheets submitted for filing.

2. A statement shall either be incorporated in the letter of transmittal or attached as a separate sheet, explaining the nature, purpose and reasons for proposing the schedule, and insofar as the following matters may be applicable and feasible in each instance, showing in detail the changes in rates, tolls or other charges or rules and regulations contained in the new schedule as compared with the rates, tolls or other charges or rules and regulations in effect at the time of filing such schedules, the approximate number of customers affected, and the estimated increase or decrease in revenue resulting from each such change in rates, rules or regulations.

3. A separate letter may accompany each schedule or additional original or revised sheet, or Exhibit C may be modified to provide for filing under one letter as many schedules or sheets as convenient.

4. If receipted copies of any of the filed documents are desired, include an additional copy of the documents to be receipted, along with a receipt seeking such receipt. Said documents will be date stamped and returned.

History

• Source: Amended at 9 Ill. Reg. 11807, effective July 25, 1985

83 Ill. Adm. Code 255.EXHIBIT A Notice of Proposed Change in Schedule

PUBLIC NOTICE

Notice of Proposed Change in Schedule

To patrons of

(Name of Utility)

The

hereby

(Name of Utility)

gives notice to the public that it has filed with the Illinois Commerce Commission a proposed change in its

(State whether the change is in rate, charge,

classification, rule or regulation)

for

(State whether electric, gas, heat, telephone,

service

telegraph or water)

in

(area affected)

and that said change involves

(Describe nature of change)

(For each electric and gas utility, the description of the nature of change shall indicate the proposed change in rates (in percentage) for each rate classification. In describing the nature of the proposed changes, the utility may combine rate classifications which provide for similar services and for which similar charges are proposed. In addition, for small, medium and large residential customer (as approximated by the utility) the minimum description shall indicate the estimated average monthly consumption and the effect of the proposed change in percentage and dollar amounts based on such consumption).

A copy of the proposed change in schedule may be inspected by any interested party at any business office in this company.

Customers should be advised that the Commission may alter or amend the rates or conditions of service after hearings held pursuant to 83 Ill. Adm. Code 200 and may increase or decrease individual rates in amounts other than those requested by the company.

All parties interested in this matter may obtain information with respect thereto either directly from this Company or by addressing the Chief Clerk of the Illinois Commerce Commission, 527 East Capitol Avenue, Springfield, Illinois 62706.

(Name of Utility)

By

(Official Title)

History

• Source: Amended at 11 Ill. Reg. 16119, effective October 1, 1987

83 Ill. Adm. Code 255.EXHIBIT B Petition for Less Than Forty-Five Days Notice

To the Illinois Commerce Commission

Springfield, Illinois 62706

The

(Corporate Name of Public Utility)

by

(Name of Office)

its

(Title of Officer)

does hereby respectfully petition the Illinois Commerce Commission that it be permitted, pursuant to the provisions of Section 9-201 of The Public Utilities Act, to put in force, to become effective

days after the filing hereof with the Illinois Commerce Commission, the attached

(Describe specifically by Ill. C. C. No.

and by sheet number, and by title, the

rate, rule or regulation)

Your petitioner further represents that said attached proposed filing will supersede

(Describe specifically as above, the rate, rule or

regulation presently effective which it is

proposed to have superseded)

State fully all circumstances and conditions

which are relied upon as justifying the application

for special permission. This shall include

a statement as to why the filing is sought to be

made effective on less than 45 days notice

(Corporate Name of Public Utility)

By

(Name and Title of Officer)

Subscribed and sworn to before me this

day of

, 19

.

(Only original need be executed and verified)

(Notary Public)

History

• Source: Amended at 11 Ill. Reg. 16119, effective October 1, 1987

83 Ill. Adm. Code 255.EXHIBIT C Letter of Transmittal

(Name of Company in full)

(Date)

Advice No.

To:

Illinois Commerce Commission

527 East Capitol Avenue

Springfield, Illinois 62706

The accompany schedule (or revised sheet or additional original sheet), issued by the

company, is transmitted to you for filing.

Ill. C. C. No.

(Original or Revised)

Sheet No.

Cancelling

(Original or Revised)

Sheet No.

Effective

, 19

.

(See statement in 83 Ill. Adm. Code 255.30(l) as to additional information required.)

(Signature)

History

• Source: Amended at 11 Ill. Reg. 16119, effective October 1, 1987

Part 265 Protection of Underground Utility Facilities

83 Ill. Adm. Code 265.10 Definitions

In this Part, the following words shall have the definitions shown:

"Act" means the Illinois Underground Utility Facilities Damage Prevention Act [220 ILCS 50].

"Approximate location" means the same as in Section 2.8 of the Act [220 ILCS 50/2.8].

"Clear evidence" includes, but is not limited to, the visual evidence of an unmarked utility facility, such as the presence of an overhead-underground transition or downfeed, knowledge of the presence of a utility facility, or faded marks from previous marking of a utility facility.

"Commission" means the Illinois Commerce Commission.

"Damage" means the same as in Section 2.5 of the Act [220 ILCS 50/2.5].

"Demolition" means the same as in Section 2.4 of the Act [220 ILCS 50/2.4].

"Emergency" means any condition constituting an imminent danger to life, health, property, or a utility service outage that requires immediate repair or action. An emergency also includes the reinstallation of traffic control devices.

"Excavation" means the same as in Section 2.3 of the Act [220 ILCS 50/2.3].

"Excavator" means any person who performs excavation.

"Hand digging" means the use of hand-operated tools such as shovels, spades, picks, bars, etc., or automatically-powered hand devices designed to be held in the hand of the operator when in use.

"Immediate safety hazard" means any condition constituting an imminent danger to life or health.

"Interfere" means the performance of excavation or demolition activities at a location or in a manner that may result in damage to underground utility facilities.

"Notice area" means the locations where excavation or demolition activities are to occur.

"Operator" means any person who owns, furnishes or transports materials or services by means of a utility facility.

"Person" means the same as in Section 2.1 of the Act [220 ILCS 50/2.1].

"Support" means the installation of shoring, braces, props, or other equipment or material to prevent the displacement of existing underground facilities both during and after the construction or excavation activities of the person doing the work.

"Tolerance zone" means the approximate location of underground utility facilities defined as a strip of land at least 3 feet wide, but not wider than the width of the underground facility plus 1-1/2 feet on either side of such facility based upon the markings made by the owner or operator of the facility.

"Underground utility facilities" or "facilities" means the same as in Section 2.2 of the Act [220 ILCS 50/2.2].

"Vacuum excavation" means excavation through the use of high pressure air or water where the excavated material is removed with a vacuum.

83 Ill. Adm. Code 265.20 Application of Rules

This Part shall apply to any person and any owner or operator of underground utility facilities. Except for the provisions in Section 265.100, this Part is not applicable to any person or any owner or operator of underground utility facilities with respect to any excavation or demolition within the boundaries of a municipality of at least one million persons that operates its own underground facility notice system.

83 Ill. Adm. Code 265.30 Location Records

a) Every underground utility facilities operator shall maintain records showing the location of all of its underground utility facilities, installed after January 16, 1962, except relatively minor facilities that connect a particular premises or building to a facility serving more than one premises or building.

b) Every underground utility facilities operator shall be able to locate all of its underground utility facilities installed after January 16, 1962:

1. by maintaining accurate records showing the location of its underground utility facilities, or

2. by maintaining equipment that can locate its underground utility facilities in the field.

c) Nothing in this Part shall be construed to require a utility to maintain records showing the depth of underground utility facilities or to indicate the depth of underground utility facilities in the field.

83 Ill. Adm. Code 265.40 Non-Emergency Excavation and Demolition

Every person in connection with any non-emergency excavation or demolition or any operation that might interfere with existing underground utility facilities shall:

a) Provide notice not more than 14 days nor less than 48 hours (exclusive of Saturdays, Sundays and holidays) in advance of the start of any excavation or demolition to the State-Wide One-Call Notice System to request that any underground facilities in the notice area be marked in accordance with the Act;

b) Before commencing excavation or demolition, each person shall take reasonable action to identify the location of underground utility facilities in and near the construction area. Reasonable actions include the performance of a site inspection prior to excavation to verify the person is at the correct location of excavation or demolition activities and to check for any indication of unmarked utility facilities. If clear evidence of unmarked utility facilities exists, each person shall comply with the requirements of Section 11(i) of the Act [220 ILCS 50/11(i)];

c) Identify on appropriate construction plans, with such warnings as may be reasonable, the existence of underground utility facilities determined to be in and near the construction area;

d) Plan the excavation or demolition to avoid or minimize the possibility of damage to underground utility facilities within the tolerance zone by utilizing precautions that include, but are not limited to, hand excavation, vacuum excavation, and visually inspecting the excavation while in progress until clear of the existing marked facilities;

e) Provide support for existing underground utility facilities in and near the construction area as may be reasonably necessary for the protection of those facilities, unless otherwise agreed to by the owner or operator of the underground utility facility; and

f) Backfill all excavations in such manner and with such materials as to provide reliable support for existing underground utility facilities in and near the construction area.

Chapter I Illinois Commerce Commission

Subchapter b Provisions Applicable to More Than One Kind of Utility

Part 265 Protection of Underground Utility Facilities

83 Ill. Adm. Code 265.50 Emergency Excavation and Demolition

Every person in connection with emergency excavation or demolition, or when any other emergency operation might interfere with existing underground facilities, shall:

a) Notify, through the State-Wide One-Call Notice System, as promptly as possible the underground utility facilities operators known to have underground utility facilities in and near the excavation or demolition area;

b) Unless an immediate safety hazard exists, wait two hours after providing notice to the State-Wide One-Call Notice System before beginning excavation or demolition;

c) If an immediate safety hazard exists such that a two-hour wait is not possible:

1. Assume the responsibility for demonstrating that site conditions warranted the earlier start time;

2. Conduct a thorough site assessment to determine the location of underground utility facilities;

3. Locate the underground utility facilities with acceptable equipment, if possible;

4. Use hand or vacuum excavation around any known or suspected underground utility facilities;

5. Immediately and directly notify the utility line operators, if necessary;

d) Take all reasonable precautions to avoid or minimize interference between the emergency work and existing underground utility facilities in and near the excavation or demolition area.

83 Ill. Adm. Code 265.60 State-Wide One-Call Notice System

The utilities, in a joint endeavor, shall continue the operation and maintenance of the previously established State-Wide One-Call Notice System (System) for the exchanging of information between excavators and utilities so that the utilities will know where and when excavation is to take place and the excavators will know where the underground facilities are located, all in accordance with the following criteria:

a) The System shall continue to be designed, organized, financed, operated, maintained and controlled by the underground utility facility owners and others subject to the jurisdiction of this Part as a joint endeavor;

b) The System shall provide for a minimum notice period not to exceed 48 hours (excluding Saturdays, Sundays and holidays) in order to assure that the marking of the location of underground utility facilities will occur prior to excavation;

c) The System shall provide a readily accessible, free of charge, One-Call Notice System whereby any person desiring to excavate shall give notice to owners of all underground utility facilities located in the area of the proposed excavation;

d) The System shall provide procedures for verifying that notice was received from the excavator and acknowledged by any owners of the underground utility facilities located in the area of excavation;

e) The System shall provide publicity of the One-Call Notice System to assure substantially all excavators are informed of the notice procedure;

f) The System shall provide for participation by utilities not subject to the jurisdiction of the Commission;

g) The System shall provide for participation by small utilities at an economically feasible unit cost per call;

h) The System shall provide for "notice areas" no larger than one section of land;

i) The System shall provide:

1. for the gathering of information from excavators as to:

A) the location and description of the excavation;

B) the date and time the excavation is to begin;

C) the name of person or company doing the excavation; and

D) the name and phone number of persons to be contacted about the excavation;

2. for distribution of the information to utilities with underground facilities in the area of the excavation;

j) The System shall provide an informational system to indicate to excavators that no underground facilities exist in the area of excavation, if marking of the location of underground utilities does not exist on the site at the expiration of the notice period;

k) The System shall require that information needed to operate the system within each utility's domain be identified and provided by the utilities to the notice system operator;

l) The System shall provide for the financing and sharing of cost of construction, operation and maintenance of the system among the utilities;

m) The System shall provide for the resolution of liability problems resulting from operation of the system.

83 Ill. Adm. Code 265.100 Reporting of Suspected Violations

a) Any person may report to the Commission a suspected violation of the Act. A report may be made whether or not the suspected violation resulted in any personal injury or property damage.

b) Except for suspected violations that occur within the boundaries of a municipality of at least one million persons that operates its own underground facility notice system, facilities operators shall report suspected violations of the Act in the following circumstances:

1. An underground natural gas utility facilities operator shall report suspected violations when any gas main is damaged causing a gas leak;

2. An underground telecommunications utility facilities operator shall report suspected violations if the damage causes an outage to a provider of an emergency telephone system (i.e., a 9-1-1 system);

3. An underground utility facilities operator shall report a suspected violation if the occurrence results in a fatality or in personal injuries requiring hospitalization.

c) Except for allegations of a violation of Section 11(h) of the Act [220 ILCS 50/11(h)], the Commission Staff will not investigate, and the Commission will not formally proceed with respect to, any alleged violation of Section 11 involving an excavation within the boundaries of a municipality of at least one million persons that operates its own underground facility notice system.

d) Reports made pursuant to this Section may be submitted in writing, by telephone, electronically, or in person. Reports shall be submitted within 45 days after the discovery of the violation. The Commission shall make available forms necessary for this purpose. When reports made pursuant to this Section are submitted orally, the party receiving the oral report shall record the information on the above-mentioned form.

83 Ill. Adm. Code 265.200 Initial Consideration by Staff

a) Upon the receipt of a report of a suspected violation, the Staff of the Commission shall consider the matter and determine whether a violation has occurred. Staff's consideration may include, among other things, one or more of the following:

1. Verification of records;

2. Informal meetings;

3. Teleconferences;

4. Photo-documentation; and

5. Comments or correspondence obtained from the parties involved.

b) If Staff determines that a violation has occurred, Staff shall also consider the appropriate amount, if any, of a penalty to assess. In determining the amount of the penalty, Staff shall consider the alleged violator's:

1. Gravity of noncompliance with the law;

2. Culpability;

3. History of noncompliance;

4. Ability to pay the penalty;

5. Good faith in attempting to comply with the law;

6. Ability to continue in business; and

7. Any other special circumstances relevant to the matter. [220 ILCS 50/11(j)]

c) Any penalties assessed shall not exceed the maximum penalties provided by Section 11 of the Act [220 ILCS 50/11].

83 Ill. Adm. Code 265.210 Issuance of Notice of Violation

If Staff determines that a violation has occurred, Staff shall issue to the alleged violator either a notice of violation or a warning letter. Copies of these documents shall also be provided to the person who reported the suspected violation and, if different, to the owner of the facilities involved. The gravity and circumstances of the violation and the alleged violator's history of compliance or noncompliance shall guide Staff's decision whether to issue a notice of violation or a warning letter. If Staff determines that a violation has not occurred, Staff shall so inform, in writing, the alleged violator, the reporting party, and, if different, the owner of the facilities involved.

83 Ill. Adm. Code 265.220 Contents of Notice of Violation

A notice of violation shall set forth the date, time, and location of the violation, briefly describe the circumstances surrounding the violation, cite the provision or provisions of the Illinois Underground Utility Facilities Damage Prevention Act allegedly violated, and specify the amount of the penalty being assessed. The notice shall also advise the alleged violator of his or her options in resolving or contesting the matter.

83 Ill. Adm. Code 265.230 Alleged Violator's Options After Receiving Notice of Violation

The alleged violator shall, within 30 days after the date of the mailing of the notice of violation, either pay the amount of the penalty specified in the notice or request that the matter be considered by the Advisory Committee. Timely payment of the proposed penalty shall constitute a final, nonreviewable resolution of the notice of violation issued under this Part, and all activity with respect to the penalty assessed as a result of the notice of violation shall then terminate. If the alleged violator either fails to pay the proposed penalty within the time allotted or requests that the case be considered by the Advisory Committee, the matter shall then be referred to the Advisory Committee for its consideration.

83 Ill. Adm. Code 265.300 Advisory Committee: Formation and Duties

a) The Commission shall appoint an Advisory Committee as directed in Section 11(l) of the Act [220 ILCS 50/11(l)]. As a public body, the Advisory Committee shall be subject to the Open Meetings Act [5 ILCS 120]. The Advisory Committee shall meet from time to time as necessary to consider administrative matters and/or contested penalties. In evaluating the merits of a case, the Advisory Committee shall consider the report of the suspected violation, the results of Staff's consideration of the matter, correspondence from the parties, and any other pertinent information. The Advisory Committee shall allow an alleged violator to speak at any regularly scheduled meeting where the alleged violator's case is being considered, provided that the alleged violator provides notice to Commission Staff of its intent to speak at least five business days prior to the scheduled meeting. If the proper notice is not provided, the alleged violator must ask the Advisory Committee for permission to speak at the meeting. The Advisory Committee shall adopt bylaws regarding its procedures.

b) A decision shall be rendered by the Advisory Committee within 90 days after the date on which the alleged violator requests that the case be considred by the Advisory Committee or the case is referred by Staff to the Advisory Committe, as described in Section 265.230. If the Advisory Committee fails to act within the 90 days, the notice of violation mailed by Staff shall be considered the findings of the Advisory Committee.

c) If the Advisory Committee concludes that a violation has not occurred, it shall direct Staff to so inform the alleged violator, the reporting party, and, if different, the owner of the facilities involved.

d) If the Advisory Committee concludes that a violation has occurred, the Advisory Committee shall also determine the appropriate amount, if any, to assess as a penalty. In determining the amount of the penalty, the Advisory Committee shall consider the alleged violator's gravity of noncompliance with the law, culpability, history of noncompliance, ability to pay the penalty, good faith in attempting to comply with the law, and ability to continue in business, together with any other special circumstances relevant to the matter. If the Advisory Committee concludes that a penalty should be asessed for the violation, the Committee shall direct Staff to issue a letter so informing the alleged violator. If the Advisory Committee concludes that no penalty should be assessed for the violation, the Committee shall direct Staff to issue a warning letter to the alleged violator on the Committee's behalf.

83 Ill. Adm. Code 265.310 Alleged Violator's Options After Advisory Committee's Decision

If the Advisory Committee decides that a penalty should be assessed, the alleged violator may pay the amount of that penalty within 30 days after the date of the mailing of the letter informing the alleged violator of the Advisory Committee's decision. Such payment shall constitute a final, nonreviewable resolution of the matter, and all activity with respect to the violation shall then terminate. If, within 30 days after the date of the mailing of the letter informing the offender of the Advisory Committee's decision, the offender either refuses to pay or fails to pay the amount of the penalty assessed by the Advisory Committee, Staff shall then prepare and submit to the Commission an order initiating a proceeding to determine whether a violation has occurred and a penalty should be assessed.

83 Ill. Adm. Code 265.400 Formal Adjudicatory Proceedings

After the Commission issues an order initiating the proceeding, the matter shall be assigned to an Administrative Law Judge for de novo consideration. Such proceedings shall be conducted in conformity with Article X of the Public Utilities Act, 83 Ill. Adm. Code 200, and the provisions of this Subpart.

83 Ill. Adm. Code 265.410 Scheduling and Time Limits

a) Any answer or responsive pleading to the order initiating the case shall be filed with the Commission within 7 days after the respondent receives notice of the order.

b) Reasonable discovery specific to the issues of the matter may commence upon the initiation of the case. Requests for discovery must be served in hand, and responses to discovery must be received by the requesting party within 14 days after the request is made, unless otherwise specified by the Administrative Law Judge.

c) A pre-hearing conference shall be held within 14 days after the date on which the case is initiated.

d) Hearings shall begin within 60 days after the date on which the case is initiated. Staff, the respondent, and any intervening parties shall be entitled to present evidence and argument in oral or written form as deemed appropriate by the Administrative Law Judge. The Commission shall issue a written decision resolving the case within 180 days after the date on which the case is initiated.

Part 270 Annual Gross Revenue Return Tax

83 Ill. Adm. Code 270.5 Annual Gross Revenue Tax Rate

a) The rate for the annual gross revenue tax for each public utility or telecommunications carrier subject to the provisions of The Public Utilities Act (Ill. Rev. Stat. 1985, ch. 111⅔, pars. 1-101 et seq.) shall be .09% of its gross revenue for the period from January 1, 1988 through June 30, 1988, inclusive, and 0.1% of its gross revenue from July 1, 1988 through December 31, 1988, and for each subsequent calendar year.

b) On or before July 10, 1988, each such public utility or telecommunications carrier shall file with the Commission an updated gross revenue return for the period from July 1, 1988, through December 31, 1988, inclusive, containing an estimate of the tax due under subsection (a) for that period. One half of the amount of tax due for that period shall be paid to the Commission on or before the tenth day of July and October of 1988.

History

• Source: Added at 12 Ill. Reg. 7580, effective April 27, 1988

83 Ill. Adm. Code 270.10 Annual Gross Revenue Return Form (repealed)

History

• Source: Repealed at 12 Ill. Reg. 7580, effective April 27, 1988

83 Ill. Adm. Code 270.20 Instructions (repealed)

History

• Source: Repealed at 12 Ill. Reg. 7580, effective April 27, 1988

83 Ill. Adm. Code 270.30 Transfer of Credit Memoranda

a) Any public utility or telecommunications carrier to which credit memoranda were originally issued and which has transferred credit memoranda shall notify the Commission within 15 days after the transaction.

b) Such notification shall include:

1. the name and address of the utility or telecommunications carrier to which the credit was originally issued;

2. the name and address of the utility or telecommunications carrier to which the credit is transferred;

3. the date of the transfer;

4. the amount of credit transferred; and

5. the signature of an appropriate officer of the utility of telecommunications carrier.

c) Transferred credits must be applied to the annual gross revenue returns within 2 years from the date of issuance.

History

• Source: Amended at 12 Ill. Reg. 7580, effective April 27, 1988

83 Ill. Adm. Code 270.40 Filing Requirements (repealed)

History

• Source: Repealed at 9 Ill. Reg. 1043, effective January 16, 1985

Part 275 Promotional Practices of Electric and Gas Public Utilities

83 Ill. Adm. Code 275.10 Scope and Application

This Part shall apply to all electric and gas public utilities engaged in the production, storage, distribution, sale, delivery or furnishing of electricity and gas, or both, subject to the jurisdiction of this Commission. Such electric and gas utilities, or any one of them, are hereafter referred to as "public utilities" or "public utility," as the case may be.

83 Ill. Adm. Code 275.20 Definitions

As used herein, the term:

a) "Affiliate of a Public Utility" shall include any individual or corporation which directly or indirectly controls, or is controlled by, or is under common control with, a public utility;

b) "Electric and Gas Public Utility" shall have the meaning assigned to it in Section 3-105 of the Public Utilities Act (Ill. Rev. Stat. 1991, ch. 111⅔, par. 3-105) [220 ILCS 5/3-105];

c) "Promotional Practices or Allowances" shall mean:

1. Any payment, donation, gift, subsidy, conveyance, transfer or other consideration (whether in cash, property, merchandise, labor or as a guarantee) granted to any group, corporation or individual for the purpose or evident design of inducing the recipient to:

A) Purchase, select or use the service or additional service of the public utility;

B) Purchase or install equipment, facilities or appliances designed to use such utility service;

C) Specify the purchase or installation of equipment, facilities or appliances designed to use such utility service.

2. Subsections (c)(1)(A) through (c)(1)(C) above shall include, without limitation:

A) Free, or less than cost, installation, operation, repair, modification or maintenance of equipment, facilities or appliances of any other person;

B) Free, or less than cost, public utility service;

C) Free, or less than cost, non-utility professional service except payments to architects or engineers for feasibility studies made on behalf of the utilities;

D) Payment of cash or other considerations to architects, builders, subdividers, developers or others in the same category for work done on property not owned by the utility;

E) Less than cost financing of the purchase price of equipment, facilities or appliances;

F) Guarantees as to the maximum amount of bills for utility service;

G) Financing assistance – the extension of credit, making of a loan or investment, directly or indirectly, to any group, corporation or individual by any means whatsoever including, without limitation, loans, advances, guarantees, investments, leases, sale and repurchase or sale and lease-back agreements, sales on open account and conditional or installment sales contracts;

H) Discounts or allowances (including trade-in allowances, cash, merchandise or labor) for the purchase or service of air conditioning or heating equipment, stoves, refrigerators, washing machines, dryers or other appliances;

I) Installation of free, or less than cost, wiring, piping or other facilities on the customer's side of a service entrance;

J) Advertising or contributing to advertising on account of a customer or potential user of the utility's service.

3. Exceptions: Notwithstanding the foregoing definitions, the following shall not be considered as a promotional practice or allowance:

A) Making emergency repairs to equipment, facilities or appliances of customers;

B) Offering allowances or financing assistance to employees of the utility to encourage employees' use of the utility's service;

C) Ownership by the utility of equipment for the utilization of its service when such ownership is incidental to demonstrations of sixty days or less in duration;

D) Providing light bulbs, street or outdoor lighting service, service pipe or other service equipment or facilities, in accordance with rate schedules filed with and approved by the Commission;

E) Providing appliances to an educational institution for the purpose of instructing students in the use of such appliances;

F) Selling household appliances at retail and, in connection therewith, the holding of inventories, making and fulfillment of reasonable warranties against defects in material and workmanship existing at the time of delivery and the extension of credit, provided that the effective rate of interest on any deferred payments and the terms with respect thereto shall not be more favorable than those generally applicable to sales by non-utility dealers in such appliances, and provided that no such sale be made by the utility below its invoice cost and that no trade-in allowance in excess of market value may be made;

G) Any action consistent with such rules as the Commission may, from time to time, adopt with respect to standards of service, local ordinances, franchises and contributions;

H) As of January 1, 1994, practices or allowances which are part of a program designed to utilize economical means of conservation, non-conventional technologies relying on renewable energy resources, cogeneration, and improvement in energy efficiency as approved by the Commission as part of a utility's least-cost plan.

History

• Source: Expedited Correction at 17 Ill. Reg. 8902, effective January 1, 1993

83 Ill. Adm. Code 275.30 Promotional Practices or Allowances Prohibited

No electric or gas utility and/or its affiliates shall, without first obtaining specific authorization from this Commission, engage in or make any of the following promotional practices or allowances:

a) Make any loans, guarantee of loans or grants to any group, corporation or individual for building construction; or engage, in any way, in the investment in or financing of any non-utility property for the purpose or evident design of inducing the use of utility service;

b) Make any payment to any group, corporation or individual for any promotional, advertising or publicity purpose of any of said group, corporation or individual except for payments not exceeding one-half the cost for joint advertising with dealers of electric or gas appliances for the sale of said appliances;

c) Make any payment or extend any other consideration to architects, engineers, builders, subdividers or others for work done on property not owned by said electric or gas utility and/or its affiliated companies except for feasibility studies to determine the cost of using electricity or gas;

d) Purchase or acquire for the purpose of leasing or renting to others, or make loans to others for the purchase of any electric or gas equipment, appliance or facilities, the cost of which exceeds $2,500.00 for each specific location, without first having obtained the approval of this Commission;

e) Guarantee the maximum dollar amount of electric or gas bills.

83 Ill. Adm. Code 275.40 Standards Governing Promotional Practices and Allowances

All promotional practices and allowances must be:

a) Not unlawfully or unreasonably discriminatory and uniformly applied (No public electric or gas utility or its affiliates shall, directly or indirectly, in any manner or by any device whatsoever, offer or grant to any group, corporation or individual any form of promotional practice or allowance except such as is uniformly extended to all groups, corporations or individuals in a reasonably defined class. No public electric or gas utility or its affiliates shall, in the granting of a promotional practice or allowance, make, offer or grant any preference or advantage to any group, corporation or individual or subject any group, corporation or individual to any prejudice or disadvantage. No public electric or gas utility or its affiliates shall establish or maintain any unreasonable difference in the offering or granting of promotional practices or allowances either as between localities or as between classes to whom promotional practices are offered or granted. No public electric or gas utility or its affiliates shall classify the groups, corporations or individuals to whom its promotional practices or allowances are offered or granted except to the extent permitted by the Public Utilities Act of the State of Illinois);

b) Reasonable as a business practice, economically feasible and compensatory;

c) Reasonably calculated to benefit both the utility and its customers;

d) Just and reasonable.

83 Ill. Adm. Code 275.50 Filing of Present Promotional Practices and Allowances with and Approved by the Commission

a) Each public electric or gas utility shall file with the Commission on or before May 1, 1969, a schedule setting forth all promotional practices being engaged in or promotional allowances being offered by said utility or an affiliate thereof as of May 1, 1969, which are not in violation of this Part or of the Commission's Interim Orders of July 12, 1967 and March 13, 1968 in Docket No. 52538, as amended by this Part, and said practices and allowances shall be approved by the Commission and shall become effective immediately upon filing. Said schedule shall set forth an accurate description of each promotional practice and allowance, the class of groups, corporations or individuals to which each promotional practice or allowance is being granted, and the conditions under which each promotional practice or allowance is being granted. Each public utility shall send a copy of such schedule to each other public utility providing electric or gas utility service in all or any portion of the service area of the filing utility.

b) No public electric or gas utility or affiliate thereof shall continue to engage in any promotional practice or allowance, as hereinabove set forth after May 1, 1969, unless a schedule, as hereinabove prescribed, shall have been filed with the Commission.

83 Ill. Adm. Code 275.60 Filing of Proposed Promotional Practices and Allowances

a) No public electric or gas utility, after the effective date of this Part, shall be required to file with the Commission a schedule of any variation in any promotional practice or allowance filed pursuant to Section 275.50 (a) hereof, unless as a result of such variation:

1. Any promotional practice or allowance provided for in cash, property or its equivalent in said variation, with respect to any residential dwelling unit for space heating, air conditioning, or any combination of space heating, air conditioning, wiring or piping, range, dryer or any other household appliance, is increased to more than 15¢ per square foot.

2. Any promotional practice or allowance in cash, property or its equivalent, with respect to the purchase or installation of a range in any dwelling unit, is increased to more than $35 or to more than $20 for a dryer or any other household appliance; provided, however, that no such variation in practice or allowance shall be deemed a qualified promotional practice or allowance unless the cost of such practice or allowance can be recovered from the additional revenue obtained, less the incremental cost of supplying the additional electricity or gas, in a period of time not in excess of 50% of the estimated life of the space heating, air conditioning or appliance being promoted.

b) Each utility shall notify the Commission, for its information, by letter, of any variation of its promotional practices or allowances whenever any such variation is put into effect.

c) No public electric or gas utility, or affiliate thereof, shall grant or offer any promotional practice or allowance other than those set forth in Section 275.50 (a) and Section 275.60 hereof, directly or indirectly, or in concert with other groups, corporations or individuals, or by any means whatsoever, unless or until a schedule showing such promotional practice shall have been filed with the Commission and concurrently therewith a copy thereof shall have been given to each other electric and gas public utility providing utility service in all or any portion of the service area of the filing utility, and said variation shall have been approved by the Commission.

83 Ill. Adm. Code 275.70 Filing of Annual Report

Each public electric or gas utility shall file with the Commission, concurrently with the annual reports required by 83 Ill. Adm. Code 260 (General Orders 181 and 182), a report of the promotional practices granted or promotional allowances made by such public utility and/or by an affiliate of said public utility during the period covered by said annual report, which report shall show in reasonable detail the amounts expended with respect to each promotional practice granted and allowance made.

83 Ill. Adm. Code 275.80 Retroactive Effect

Notwithstanding any provisions of this Part, any public electric or gas utility, or affiliate thereof, may perform commitments entered into prior to January 1, 1969, unless such commitments were made in violation of the Commission's Interim Orders of July 12, 1967, and March 13, 1968, in Docket No. 52538, if a written list of such commitments is filed with the Commission, within 30 days after the effective date of this Part, describing the nature of the commitment and the premises for which the commitment has been incurred; provided, however, that no such commitment shall be performed by a public utility unless prior to a date two years after said effective date the pouring of concrete caissons, footings or foundations or the driving of pilings has commenced on said premises, or unless the approval of the Commission for an extension of time has been obtained.

83 Ill. Adm. Code 275.90 Right to Amend

The adoption of this Part shall in no way preclude the Commission from altering or amending it, in whole or in part, or from requiring or authorizing rules or regulations containing other provisions whenever the Commission shall deem it in the public interest to do so.

83 Ill. Adm. Code 275.100 Powers of Suspension

All schedules of promotional practices and allowances filed with the Commission by any public electric or gas utility shall be subject to the suspension and other powers of this Commission with respect to rates, charges and classifications of public utilities, and all rules, regulations and practices relating thereto, as set forth in the Public Utilities Act of the State of Illinois.

Part 280 Procedures for Gas, Electric, Water and Sanitary Sewer Utilities Governing Eligibility for Service, Deposits, Billing, Payments, Refunds and Disconnection of Service

83 Ill. Adm. Code 280.5 Policy

The purpose of this Part is to ensure that essential utility services are provided to and maintained for the People of the State of Illinois under reasonable terms and conditions, and to establish fair and equitable procedures governing eligibility for service, deposits, billing, payments, refunds and disconnection for gas, electric, water and sanitary sewer utilities that take into account the duty of the utility, customer, applicant and occupant to demonstrate good faith and fair dealing. The policies and procedures outlined in this Part shall take precedence over any inconsistent utility tariff, unless the conflicting tariff provision has been specifically approved by the Commission as a waiver or exemption from this Part, and shall be viewed as the minimum standards applicable to gas, electric, water and sanitary sewer utilities. Utilities that are subject to this Part shall have the ability to expand or supplement the customer rights guaranteed by these provisions as long as those policies are applied in a nondiscriminatory manner. The "nondiscriminatory manner" requirement shall not be construed or interpreted to require a utility making an accommodation to a customer in a hardship situation to make that same accommodation for all customers facing a similar hardship.

83 Ill. Adm. Code 280.10 Exemptions

Any entity may file a petition requesting modification of or exemption from any Section of this Part that applies to the entity. Upon a showing that the modification or exemption is economically and technically sound, will not compromise the service obligations of the entity and will not result in a net harm to consumers overall, the Illinois Commerce Commission (Commission) may grant the modification or exemption. A petition for exemption or modification shall be filed pursuant to 83 Ill. Adm. Code 200 and shall include specific reasons and facts in support of the requested exemption or modification.

83 Ill. Adm. Code 280.15 Compliance

The Commission shall require implementation of each requirement as quickly as reasonably practicable, but in no event later than May 1, 2016, unless the Commission grants an extension of time for cause. By January 1, 2015, each utility shall submit for Commission approval an Implementation Plan that outlines the dates by which the utility expects to be in compliance with each new requirement. Implementation Plans will be deemed approved unless the Commission notifies a utility within 30 days after filing of specific deficiencies in the Plan. Deficiencies in the Implementation Plan will not extend the May 1, 2016, compliance deadline. The utility shall submit updates to the Plan every 120 days after initial approval until full compliance is achieved. The updates must include a report on progress in implementing each requirement and shall be submitted to the Commission's Consumer Services Division for approval. The utility shall post and update an implementation checklist conspicuously on its website so that the public can be informed when the utility has brought itself into compliance with each requirement of this Part as adopted on November 1, 2014. The checklist shall be updated no less frequently than every 30 days until each requirement has been fully implemented. Each utility shall schedule implementation of the requirements of this Part in a balanced manner so that requirements that benefit utilities are not given priority over those that benefit consumers.

83 Ill. Adm. Code 280.20 Definitions

"Actual Reading" means a direct meter reading taken by utility personnel or a meter service provider at the customer's location or by use of a remote reading device.

"Applicant" means a person seeking to establish new residential or non-residential utility service under the accepted application process and who is not a customer. Applicants agree to provide payment for utility services that will be rendered to them. Successful applicants immediately become customers.

"Budget Payment Plan" means a plan seeking to reduce fluctuations in the amount a customer must pay in each billing cycle. The customer agrees to pay an amount for each billing cycle that is based upon the amount the utility expects the customer to be billed for an entire year, divided by the number of billing cycles in the year. The amount may be adjusted to accommodate changes in the usage pattern by the customer.

"Class of Service" means either residential service or non-residential service.

"Credit Scoring System" has the same meaning set forth in 12 CFR 202.2 (January 1, 2002). A utility that elects to use a credit scoring system shall file a tariff describing its practice of using the credit scoring system.

"Current" means the status of a customer's utility account when there are no past due amounts owing on the account for utility services, including amounts owing for deposits, deferred payment arrangements or medical payment arrangements.

"Customer" means a person receiving utility service after a successful application and a person transferring utility service from one location to another within the conditions described under the definition of "Transfer of Service".

"Customer Provided Reading" means a meter reading submitted by a customer to a utility instead of an actual or an estimated reading for the purpose of generating a bill.

"Deferred Payment Arrangement" or "DPA" means a payment plan under which a customer may retire a past due amount owed to a utility by paying installments towards the arrearage, in addition to paying future bills.

"Deposit" means money provided by a customer and held by a utility as a guarantee towards payment for utility service.

"Illegal Tap" means a diversion of utility service in which a party or parties other than the customer of record receives a portion of the customer's metered utility service without the customer's consent.

"Implementation Checklist" means a list of each new requirement imposed by this Part on November 1, 2014, including but not limited to: a reference to the Subpart that imposes the new requirement, a general description of the new requirement, the date by which the utility must be in compliance, a description of the old requirement currently in place (if applicable), and a utility phone number the customer can call with questions.

"Implementation Plan" means a plan each utility creates to detail when it expects to be in full compliance with each new requirement included in the implementation checklist. The Plan includes the following: the date the new requirement will be fully implemented, the rationale for a delay in meeting the requirement, a description of the work that must be completed for implementation, including a timetable, steps that have or will be taken to achieve maximum reasonable compliance prior to the date full compliance is required, and the expected cost of the implementation.

"Low Income Customer" means a residential customer who has qualified under the income criteria of Section 6 of the Energy Assistance Act of 1989 [305 ILCS 20/6]. Qualification is effective for purposes of this definition when the Low Income Home Energy Assistance Program (LIHEAP) administrator notifies the customer's utility of the customer's low income status. Unless water and sewer utilities begin participation in a low income assistance program with the LIHEAP agencies, it shall be the individual customer's responsibility to notify and provide proof to the water and/or sewer utility of the customer's low income status under the income criteria of Section 6 of the Energy Assistance Act of 1989. Qualifications established on or after September 1 shall remain effective for purposes of this definition until December 31 of the following year. Qualifications established before September 1 shall remain effective until December 31 of that same year. The utility shall notify the customer 30 through 90 days prior to the expiration of a customer's qualification.

"Medical Certificate" means written certification (though initial certification may be by phone) of medical necessity provided to the utility company by a doctor or the local department of public health. If a customer or occupant in the home is very sick, a medical certificate will provide the following documentation to the utility company:

Name and contact information for the certifying party;

Service address and name of patient;

A statement that the patient resides at the premises in question; and

A statement that the disconnection of utility service will aggravate an existing medical emergency or create a medical emergency for the patient.

"Master-Metered Customer" means a non-residential customer for a building where a single meter measures the utility service provided to three or more dwelling units in the building instead of separate meters for each residential unit in the building.

"Medical Payment Arrangement" or "MPA" means a payment plan established after the use of a medical certificate under which a customer may retire a past due amount owing to a utility by paying installments towards the arrearage in addition to paying future bills.

"Meter Service Provider" means every provider of metering service certified by the Illinois Commerce Commission under 83 Ill. Adm. Code 460.

"Non-residential Customer" means any customer not on a residential rate.

"Occupant" means a person who is not a utility customer and who receives the benefit of utility services at a residential or non-residential service location.

"Past Due" means any amount unpaid for more than two days beyond the due date on a customer's utility account bill statement.

"Payment Avoidance by Location" or "PAL" means a pattern of action taken to avoid payment for utility service used by customers or occupants at a specific premises. Evidence proving a PAL allegation shall be the burden of the utility.

"Person" means any legal entity with the ability to become a utility customer, including but not limited to: individual persons, units of government, corporations, trusts, partnerships, associations, not-for profits, boards, organizations and institutions.

"Residential Customer" means a customer receiving service for household purposes, including service provided through a single meter to one or two dwelling units.

"Returned Payment" means any payment submitted for utility service for which the utility is unable to receive the funds submitted for payment, when the parties have not mutually agreed to void or otherwise disregard the submitted payment.

"Small Business" means an Illinois business with 50 or less full time employees in Illinois [220 ILCS 35/2(b)].

"Staff" means the Staff of the Illinois Commerce Commission.

"Tampering" means any unauthorized alteration of utility equipment or facilities by which a benefit is achieved for which the utility is not compensated. Tampering includes customer self-restoration of utility service. Proof of tampering shall be the burden of the utility.

"Transfer of Service" means terminating service at one location and activating service at another location by the same customer of record served by the same utility within 14 calendar days, as long as there is no change in the rate class of the customer. A transfer of service shall not be deemed an application for service unless the utility has reason to believe that the person requesting the transfer of service is not the original customer. Outside any winter, temperature or other period defined by statute or rule restricting disconnection of service, a customer requesting a transfer of service but who has past due utility charges or deposit amounts that have not previously been disputed by the customer owing for more than 2 days past the due date may be denied the transfer unless the customer pays the past due utility charges or deposit or enters into a payment agreement on the amounts owing. It shall be the responsibility of the utility to advise the customer of any such outstanding amounts at the time the transfer of service is sought. This definition shall not be construed to entitle the customer to rights to an additional deferred payment arrangement beyond those conferred by Section 280.120.

"Type of Service" means gas, electric, water or sewer service.

"Written" or "Writing" means either a hard copy or electronic copy, unless it is specifically stated a hard copy must be placed in the U.S. Mail or delivered by other means. Where this Part requires information to be "written" or in "writing", an electronic record satisfies that requirement, so long as both utility and customer have agreed to electronic communications.

83 Ill. Adm. Code 280.30 Application

a) Intent: A utility may use reasonable means to verify the identity of its customers. Applicants shall have the right to a reasonable application process designed to provide for persons to obtain utility services without delay, while also safeguarding utilities and other customers from potential harm associated with fraud or the uncollected debts of applicants.

b) Information Requirements: The utility shall make available on its website a full description of the utility's application process, including all forms of acceptable identification, for review in the utility's tariff with the Commission. The utility shall also mail a printed version to applicants or customers who request a copy.

c) Methods:

1. The applicant shall have the option to choose from the available application methods offered by the utility.

2. Third party applications may be made only by persons who have been authorized to act on behalf of the applicant, and the utility must verify this authorization either by documentation or by direct contact with the applicant. If a utility fails to verify authorization, it shall not be entitled to collect for service if the customer disclaims any responsibility for requesting the service; provided, however, that named customers who reside and receive mail at the service/billing address will be rebuttably presumed to have authorized the application if they do not contact the utility to contest billing within six months after service activation.

d) Application Content:

1. Positive identification (ID) of applicants may be required by up to two forms of ID. One form shall be a government issued photo ID, including a state issued ID, U.S. or foreign government issued passport, and consular identification documents, as defined by the Consular Identification Document Act [5 ILCS 230]. Applicants may be asked to provide one other form of identification, including but not limited to any of the following:

A) A second government issued photo ID;

B) Social Security number;

C) Driver's license number;

D) Birth certificate;

E) Immigration and/or naturalization documents;

F) Student identification;

G) Banking information;

H) Employment records;

I) Government benefits/compensation records;

J) Tax ID number;

K) Articles of incorporation; or

L) Business license.

2. The applicant shall have the opportunity to choose the second form of identification to provide from the list in subsection (d)(1). The utility may not oblige an applicant to provide one form of identification in favor of another, so long as one form is a government issued photo ID and the identification provided is valid and accurate.

3. If the applicant is non-residential, the utility shall request information to determine if the applicant is a small business.

4. Service location and contact information required of applicants:

A) Service address for the premises;

B) Mailing address if different from the service address;

C) The applicant's preferred method of contact from the utility;

D) Telephone number if available;

E) E-mail address (optional); and

F) Contact information for property owner/manager if premises are rental (optional).

e) Requirements for Successful Application:

1. Information submitted must be accurate and verifiable; and

2. Any past due debts for utility services still owing to the utility by the applicant shall be identified and governed by this subsection (e)(2). The applicant must:

A) Pay past due debt in full and, if otherwise required, enter into a payment plan for the deposit amount; or

B) At the utility's discretion, enter into a payment agreement to retire the debt; or

C) Make a down payment and agreement to retire the debt under the requirements of Section 280.180 (Reconnection of Former Residential Customers for the Heating Season).

f) Applicable Past Due Debts:

1. Past due debts may only include debts for which the utility has retained summary data to support the validity of the debt. The utility shall make these records available to the applicant upon request. In addition, the utility shall provide, on request, a detailed description and the source of any other information supporting the debt. At a minimum, summary data supporting the debt shall include:

A) The service address or addresses where the debt accrued;

B) Meter readings and dates;

C) Usage and dates; and

D) Bill amounts and dates.

2. For purposes of determining whether an applicant may become a customer, past due debts shall not include charges owing for non-utility services and merchandise.

3. Past due debts shall not include utility charges owing for a different class (residential or non-residential) or type (gas, electric, water or sewer) of service.

4. Past due debts shall not include debts owing by persons other than the applicant, with the exception of debts owing as family expenses of married persons. Family expenses shall not include debts incurred at a location separate from the family by a spouse who abandons the family (see Section 15 of the Rights of Married Persons Act [750 ILCS 65/15]).

5. This subsection (f) shall not prevent a utility from considering past due debts when evaluating applications or pursuing collections if those past due debts accumulated before November 1, 2014, and if the utility kept records to document the past due debts as were allowed at the time the debts were accumulated.

6. In instances in which the utility decides not to offer a payment plan for past due debts, it must provide a written statement to the applicant that contains the rationale for its refusal.

g) Disputed Past Due Debts: If the applicant disputes the validity of the past due debt and the utility sustains the charges, the utility shall provide the applicant with the contact information for the Commission's Consumer Services Division for an informal complaint.

h) Deposit Payment Requirement: The utility may require a deposit of an applicant for service under the criteria listed in Sections 280.40 (Deposits) and 280.45 (Deposits for Low Income Customers). The utility may require that the initial down payment of any applicable deposit be paid within a minimum of 12 days.

i) Timeline for Application Processing:

1. Approval or rejection of the application, including notification to the applicant, shall be accomplished within two business days after the date all the required information is received from the applicant.

2. Notification shall include the specific reasons for the rejection so that the applicant may have the opportunity to remedy the reasons for the rejection. If the utility is unable to contact the applicant for notification purposes by a method other than mailing, written notification of the problems shall be sent to the mailing address provided by the applicant.

3. If the application meets the requirements of this Part or the applicant remedies any deficiencies, the utility shall approve the application for service.

j) Timeline for Service Activation:

1. Electric, water or sewer utilities: Absent any delays caused by construction or other equipment work required for service activation, an electric, water or sewer utility shall activate service for a successful applicant at the earliest possible date, but no more than four calendar days after the approval of the application, unless the applicant requests a later date of activation.

2. Gas utilities: Absent any delays caused by construction or other equipment work required for service activation, a gas utility shall activate service for a successful applicant at the earliest possible date, but no more than seven calendar days after the approval of the application, unless the applicant requests a later date of activation.

3. If a successful applicant for utility service seeks activation of service on a date beyond the timelines described in subsections (j)(1) and (2), the utility shall activate the service either on the date specified by the applicant or within two business days after the requested date if the utility is unable to accommodate the requested date.

4. If, through no fault of the applicant, the utility delays activation of service for two or more calendar days beyond the number of days required by this subsection (j), it shall issue a credit to the new customer's account equal to the monthly customer charge for that customer pro-rated by the number of days of the delay beyond the requirements of this subsection (j).

5. Exception for lack of access: A utility shall not be obliged to conform to the time limits in this subsection (j) if it is not allowed access to activate the service; provided, however, that the utility must record the date, time of day, utility personnel involved and reason access was not gained. It shall retain the record for two years. In addition, the utility's field representative making the visit to activate service shall leave a door tag at the premises. The door tag shall indicate when the utility representative was there and provide the contact information for the customer to reschedule.

6. Exception for damage or unsafe condition: A utility shall not be obliged to conform to the time limits of this subsection (j) if repair, construction or correction of an unsafe condition is required prior to activation of service.

7. Temporary exception for unforeseen circumstances: A utility that experiences a temporary, unanticipated and not reasonably foreseeable overload of its ability to provide for the timely activation of service may, upon notice explaining the circumstances to the Commission's Consumer Services Division, temporarily forego the requirements of this Section so long as the utility can demonstrate that it is taking diligent action to remedy the overload.

8. The utility shall report to the Commission's Consumer Services Division those instances in which the timelines are not met. The utility shall report quarterly on the frequency of the temporary exceptions exercised.

k) Data Collection and Maintenance Requirements: A utility shall collect the following data on a monthly basis and maintain the data for two years following its collection, making the data available to Commission Staff within 30 days after a request from Staff:

1. The total number of residential applications taken by the utility;

2. The total number of non-residential applications taken by the utility;

3. The number of residential applications rejected by the utility. For purposes of this subsection (k), applications for service that are not accepted by the utility because the applications are incomplete shall be considered rejected applications;

4. The number of non-residential applications rejected by the utility; and

5. The reason, by category under subsection (e), for the rejection of each application listed in subsections (k)(3) and (4).

83 Ill. Adm. Code 280.35 Revert to Landlord/Property Manager Agreements

a) Intent: This Section describes the rights and duties of a utility and landlord/property manager with respect to discontinuance of service or assumption of billing responsibility and continuance of service when a tenant vacates a premises and the utility has no customer of record. It also describes the process by which a utility may, by prearrangement with a landlord/property manager, place the service for a premises, on a going forward basis, into the name of the landlord/property manager and continue service to the premises when a tenant who had utility service in the tenant's name leaves the premises.

b) Prearrangement to be in Writing: The utility and landlord/property manager shall agree in writing to the prearranged procedures entered into under this Section. The utility shall provide an example of its prearrangement form in the utility's tariff and maintain a copy of the form on its website. Absent written prearrangement with a landlord/property manager, the utility shall not place service in the name of the landlord/property manager unless the landlord/property manager contacts the utility to apply for service.

c) Notice: Every time a utility places service into the responsibility of a landlord/property manager under prearrangement, the utility must, within two business days, notify the landlord/property manager that the service has been placed in the landlord/property manager's responsibility and that the landlord/property manager will be billed on a forward basis for service provided to the premises until a new tenant successfully applies for service. Notice shall be provided separately from the bill statement and shall be made prior to the first bill to the landlord/property manager. By agreement with the landlord/property manager, the utility may disregard the above notification provisions.

d) Tenant Bills: The utility shall not hold the landlord/property manager responsible for an amount owing to the utility by any tenant.

e) Accuracy of Billing: Prior to making the landlord/property manager responsible for service, if the meter has not been read by the utility within the past 60 days, the utility shall obtain an actual meter reading to ensure correct billing, so long as the utility is provided access to the meter. If the utility is unable to obtain an actual meter reading, the utility must allow the landlord/property manager to provide the utility with a customer reading.

f) Itemization of Transfer Balances: When a landlord/property manager maintains multiple premises within a utility's service territory, the utility shall not transfer balances owing from one premises account to another until the landlord/property manager has failed to pay the final bill rendered for that premises or the landlord/property manager requests that the balance be transferred. When transferring final balances from one premises account to another, the utility shall indicate on the bill the location where the amount due originated.

83 Ill. Adm. Code 280.40 Deposits

a) Intent: Customer deposits are used to secure against potential unpaid debts. Utility collection activities, when not otherwise restricted by regulations or laws, will limit the accumulation of unpaid debt so that deposits will continue to serve this protective purpose.

b) Notification of Demand for Deposit:

1. A utility shall make an initial notice of a deposit to an applicant or customer no later than 45 days after the applicant's application for service is approved or after the event that justifies the deposit. A deposit shall not be assessed until the initial notice is given.

2. The initial deposit notice shall be made in writing and shall disclose:

A) The reason for the deposit;

B) The amount of the deposit and how it is calculated;

C) The payment requirements and schedule of payments for the deposit;

D) The date by which the entire deposit must be paid;

E) That the amount of the deposit may be adjusted if the annual charges for the customer substantially change;

F) The refund policy for the deposit;

G) The interest policy for the deposit;

H) The deposit policy applicable to qualified low income customers and how qualification can be demonstrated; and

I) The availability and contact information for the Commission's Consumer Services Division in the event of a dispute that the utility has not resolved to the satisfaction of the applicant or customer.

c) Calculation of Deposit Amounts:

1. Residential and small business customer deposits shall not exceed ⅙ of the estimated annual charges for the service to that customer.

2. Non-residential, other than small business, customer deposits shall not exceed ⅓ of the estimated annual charges for service to that customer.

d) Applicant Deposits: The utility shall have the right to require a deposit of an applicant under the following conditions:

1. The applicant was previously disconnected for non-payment of bill amounts owing to the utility for the same class and type of service;

2. The applicant failed to pay a final bill owing to the utility for the same class and type of service;

3. The residential applicant's credit score fails to meet the minimum standard of the credit scoring system described in the utility's tariff;

4. The non-residential applicant fails to provide satisfactory credit references, including past utility service records or favorable history with other creditors. The utility shall file a tariff with the Commission describing its criteria by which non-residential applicants can establish satisfactory credit for this purpose;

5. The utility has proof that the applicant previously benefitted from tampering as described in Section 280.200;

6. The utility has proof that the conditions described in Section 280.210 (Payment Avoidance by Location) exist for the applicant.

e) Present Customer Deposits:

1. A present customer may be required to pay a deposit if both of the following conditions occur:

A) The customer has paid late four times in the past 12 months; and

B) The customer's account has an undisputed past due balance that has remained unpaid for over 30 days beyond the due date.

2. A present residential customer may avoid the requirement to pay a deposit under subsection (e)(1) by entering into and keeping current with a DPA for the unpaid balance, so long as the customer enters the DPA prior to the assessment of the deposit.

3. A present customer may be required to pay a deposit if the utility has proof that the customer benefitted from tampering.

4. A present large commercial or industrial customer may be required to pay a deposit for indications of financial insecurity in accordance with, and as allowed by the terms and conditions of, a utility's effective tariffs.

f) Deposit Payment: A utility may require payment of ⅓ of an applicable deposit by including that amount on the first bill statement sent to the customer after the issuance of the deposit. The remaining ⅔ of the deposit shall be paid in equal installment amounts included on the next two bill statements. However, a deposit assessed under Section 280.210 may be collected in a single amount due prior to service activation.

g) Deposit Interest:

1. Interest shall be paid to the customer on all deposit amounts, including installments, held by the utility. The rate of interest will be the same as the rate existing for the average one year yield on U.S. Treasury Securities for the last full week in November. The interest rate will be rounded to the nearest 0.5%. In December each year, the Commission shall announce the rate of interest that shall be paid on all deposit amounts held during all or part of the subsequent year.

2. After 12 consecutive months of accumulated interest, when a customer is not entitled to a refund of the deposit, the utility shall automatically credit the customer's account with the interest only. The credit shall be itemized on the customer's next regular bill statement as "deposit interest".

h) Refund Conditions for Deposits:

1. The utility shall automatically refund the deposit plus accumulated interest once the customer completes 12 consecutive months of service with fewer than four late payments, no disconnections for nonpayment and no tampering with the service, if the customer has no past due balance owing at the time of the deposit refund.

2. The utility shall automatically refund the deposit plus accumulated interest, less any unpaid utility service bill amount, when the customer voluntarily ends service and is not transferring service to another location. The refund shall be made at the time the final bill for service is issued.

3. The utility shall refund the deposit plus accumulated interest automatically, less any unpaid utility service bill amount, 30 days after disconnection of service for non-payment when the former customer has not paid the full balance owing or otherwise made arrangements with the utility to have the service restored.

4. Nothing shall prevent the utility from refunding a deposit earlier than required by this subsection (h).

i) Issuance of Deposit Refund:

1. For a current small business customer, the refund, less past due unpaid utility service amounts, shall be by separate payment issued to the customer. The refund or credit shall be issued within 30 days after the event that triggers it.

2. For all other current customers, the refund, less past due unpaid utility service amounts, shall be by separate payment issued to the customer, except when the customer requests a credit to the account instead of a refund payment. The refund or credit shall be issued within 30 days after the event that triggers it. The utility shall not be obliged to issue the refund by separate payment instead of a credit if the amount to be refunded does not exceed 125% of the customer's average monthly bill amount.

3. For any former customer, the refund, less unpaid utility service bill amounts, shall be by separate payment issued to the former customer. The refund shall be issued within 30 days after the event that triggers it.

j) Records of Deposits:

1. The utility shall maintain records of deposits, together with interest, that collectively will show all transactions pertaining to each deposit.

2. The utility shall indicate the amount of each deposit held on each customer bill.

3. When refunds are not deliverable, the utility shall maintain records showing the utility's efforts towards locating the former customer and delivering the deposit refund.

k) Data Collection and Maintenance Requirements: A utility that elects to utilize a credit scoring program for applicants for residential service shall collect and maintain the following data for a period of five years following its collection, making the data available to Commission Staff within 30 days after a request from Staff:

1. The number of credit scores requested for applicants;

2. The number of applicants who received passing credit scores;

3. The number of applicants who received failing credit scores;

4. The number and total dollar amount of deposits obtained from applicants subject to the credit scoring program;

5. The number of times a security deposit was waived for a low income applicant and for all other applicants, with stated reasons for the waiver;

6. The number of disconnections of service because customers failed to pay the required deposit; and

7. The number of formal complaints and the number of informal complaints from applicants regarding the use of credit scoring or the requirement to pay a deposit based on the credit scoring program.

83 Ill. Adm. Code 280.45 Deposits for Low Income Customers

a) A low income customer or applicant may be required to pay a deposit if the following conditions exist:

1. The utility has proof that the applicant or customer benefitted from tampering.

2. The applicant was previously disconnected for non-payment of bill amounts owing to the utility for the same class and type of service.

b) With the following exceptions, all provisions of Section 280.40 shall apply equally to low income customers.

1. Credit scoring: A utility shall not assess a low income customer a deposit based upon credit scoring. Credit scoring deposits shall be returned to the customer upon certification as a low income customer.

2. Late payments and past due over 30 days: A utility shall not assess a low income customer a deposit under Section 280.40(e)(1).

3. Unpaid final bill: A utility may assess a deposit for a low income applicant if the applicant failed to pay a final bill owing to the utility for the same class and type of service, and that final bill was greater than 20% of the average annual billing for the residential customers of the utility for the calendar year preceding the time of the application.

4. Payment: A utility may require payment of ⅕ of an applicable deposit within a minimum of 12 days after the issue date of a deposit notice to a low income applicant or customer, with the remaining ⅘ to be paid in equal installments over the next four billing cycles.

c) Deposits collected for any reason other than credit scoring prior to a customer's certification as a low income customer shall remain validly held by the utility until the customer meets the refund conditions found in Section 280.40.

83 Ill. Adm. Code 280.50 Billing

a) Intent: This Section establishes minimum billing content and billing disclosure requirements.

b) Billing Cycle:

1. Without prior authorization from the customer, a utility shall not bill a customer account for utility usage in advance.

2. The utility shall bill the customer monthly unless both the customer and the utility have agreed to bi-monthly or quarterly billing.

3. Bills to large, non-residential customers may be rendered more frequently than monthly when agreed to by the utility and customer. More frequent billing may be offered if the large, non-residential customer is subject to disconnection or payment of a deposit. The more frequent billing shall not extend more than six months, at which time monthly billing shall resume.

c) Bill Content: Bills rendered to a retail customer for service, regardless of bill delivery method, shall be itemized to clearly show at least the following:

1. Customer billing information:

A) Customer name;

B) Service address;

C) Mailing address if different from service address;

D) Account number;

E) The date the bill was generated and sent to the customer;

F) For accounts on a budget billing plan, the accrued debit or credit balance for the plan;

G) The total amount owing on a payment arrangement, including the installment amounts due and the number of installments remaining to satisfy the arrangement, and that a late payment may result in the termination of the payment arrangement.

H) The amount of any deposit either held or owing and the accumulated interest on the deposit; and

I) Electric and gas utilities shall provide a graphic comparison, such as a bar chart or pie chart, of the current usage and the customer's previous 12 months of historical usage;

2. Contact information:

A) The utility's toll free phone number and/or local phone number for customer inquiries and complaints;

B) The toll free telephone number for the Commission's Consumer Services Division and a statement indicating that the customer must contact the utility first before seeking assistance from the Commission's Consumer Services Division; and

C) The name and contact information for any supplier or other third parties authorized by the Commission to appear on the bill and with which the customer has contracted;

3. Meter and rate classification information:

A) The meter identification number;

B) The previous and current meter readings and the corresponding dates of those readings;

C) The number of days in the billing period;

D) The energy, natural gas or water used;

E) The meter constant if applicable;

F) The type of services rendered;

G) A complete description of the service or rate classification under which the customer receives service;

H) The type of reading that was used in the bill calculation (actual, estimate or customer reading); and

I) For meters for which beginning and ending meter readings are used as billing determinants, the reading of the meter at the beginning and the reading of the meter at the end of the period for which the bill is rendered;

4. Bills not based on metered usage: In the event that a bill is not based on usage derived from meter readings, the bill must indicate the period of time for which the bill is rendered, the type of service rendered, and a complete description of the service or rate classification under which the customer receives service;

5. Itemization of billing amounts: The following components of the bill and the total amount shall be itemized and listed vertically for ease of reading:

A) The monthly customer charge or any portion of the charge;

B) Any applicable demand charges;

C) Depending upon the type of utility service:

i) Electricity: The cost of energy detailed by the energy used and price per unit of each change in the unit price;

ii) Natural gas: The cost of gas determined by the number of therms used and the price per therm for each change in the unit price;

iii) Water: The volume of water used and the price per gallon or cubic foot and the price for each change in the unit price;

D) Depending upon the type of utility service:

i) Electricity: Any applicable cost of fuel adjustment;

ii) Natural gas: Any applicable cost of gas adjustment;

iii) Water: Any applicable cost of purchased water;

E) Any other applicable adjustments, including other charges not under categories of changes but relating to services, energy, gas, water, sewerage or other programs provided to customers;

F) State tax;

G) Municipal tax;

H) Infrastructure maintenance fee;

I) Optional services listed separately;

6. The bill due date;

7. Definitions or explanations of any abbreviations and technical words used on the bill; and

8. For electric and gas utilities, the average use per day for the period over which the bill is rendered and for the comparable period one year earlier, and an indication of the difference in temperatures between the two periods.

d) Bill Delivery:

1. Bills for utility service sent through the U.S. Mail shall be in envelopes to ensure privacy. Bills that are too large for enclosure in envelopes may be packaged and sent in boxes.

2. If mailed bill envelopes are not postmarked, the utility shall maintain an alternative method of third party verification of the date of mailing. Records to verify each bill issuance or delivery shall be retained for two years.

3. Customers may choose to have bills delivered by electronic means. The utility must have written confirmation, which may include written electronic acceptance, from the customer regarding this choice. Customers choosing this service must retain the right to have all notices, including disconnection notices as provided for in Subpart I, by U.S. Mail at any time.

4. If bills are delivered or made available to customers by means other than U.S. Mail, the utility shall maintain a record to verify each bill delivery or issuance for two years.

e) Due Dates:

1. Bills for residential customers shall be due a minimum of 21 days after the date they are sent to the customer, and bills for non-residential customers shall be due a minimum of 14 days after the date they are sent to the customer.

2. If a bill is mailed from a state or location that does not border Illinois or if payment is received at a state or location that does not border Illinois, the due date shall be:

A) Residential customer: a minimum of 23 days after the date the bill is sent to the customer; or

B) Non-residential customer: a minimum of 16 days after the date the bill is sent to the customer.

3. If a bill is mailed from a state or location that does not border Illinois and is also received at a state or location that does not border Illinois, the due date shall be:

A) Residential customer: a minimum of 25 days after the date the bill is sent to the customer; or

B) Non-residential customer: a minimum of 18 days after the date the bill is sent to the customer.

f) Bill Transfers: When a customer has the same class and type of utility service at more than one location with the same utility, the utility shall not transfer a balance owing from one premises account to another until the customer has failed to pay the final bill rendered for that premises or the customer requests that the final balance be transferred directly to the other premises account. When transferring final balances from one premises account to another, the utility shall indicate on the bill the location where the amount due originated.

g) Each utility shall have an example of its bill form in its tariffs on file with the Commission and on its website.

83 Ill. Adm. Code 280.60 Payment

a) Intent: This Section describes the methods of payment for utility service; recording of payment receipt; determining lateness of payment; allocation of payment amounts to the customer's account; and limitations on payment methods for accounts on which returned payments have been made.

b) Method of Payment:

1. At a minimum, the utility shall provide detailed information about all methods of payments on the utility's website and in the customer information packet required in this Section.

2. The utility's bill to the customer shall advise the customer how to obtain information on the available payment methods. When contacted by a customer inquiring about making a payment, the utility's customer service personnel shall advise the customer of the available methods of payment, including the most expedient and least cost methods of available payment.

3. When a utility determines that it will no longer accept a specific alternative method of payment, it shall provide advance notice to the affected customers.

c) Late Payment:

1. Payment is late when it has not been received by the utility within two days after the due date on the bill.

2. The date a payment or payment instrument is presented to or arrives at the utility or its agent/vendor is the date of payment receipt.

3. A utility shall not wait until funds are transferred or posted to the utility bank account for purposes of determining payment receipt.

d) Late Fees:

1. If a utility elects to assess late fees, it shall file a tariff describing the late fees.

2. Late fees shall not exceed 1.5% per month assessed towards any undisputed amounts remaining unpaid for more than two days after the due date on a bill.

3. Late fees may be assessed on undisputed overdue budget installment amounts (not the accumulated uncollected budget plan payment balance) owing on a budget payment plan when there is an overall deficit credit balance in an account, as an alternative to termination of participation in the plan for late payment.

4. A utility shall not continue to assess late fees on any final bill that has been outstanding for more than six months.

5. Late fees shall not be assessed on any amount billed that is not for utility service unless otherwise authorized by statute.

6. Late fees for units of State government shall be assessed according to the State Prompt Payment Act [30 ILCS 540]. No late payment charges shall be assessed on the amounts owing on units of county and local government (including, but not limited to, townships, municipalities and school districts) until 45 days after the date of the issuance of the bill for utility service.

e) Returned Payments:

1. Limiting: A utility shall not limit a customer from paying by any of the available methods acceptable to the utility unless the customer has provided one or more returned payments in the past 12 months, without an explanation from the customer's financial institution that the returned payment was not the customer's fault.

2. Notice: A utility shall notify a customer when it will no longer accept a form of payment from the customer as a result of returned payment.

83 Ill. Adm. Code 280.65 Late Payment Fee Waiver for Low Income Customers

a) Waiver: A low income customer shall not be assessed late payment fees while he or she is qualified as a low income customer.

b) New Qualification: When a customer is qualified as a low income customer, the utility shall not be obliged to waive late fees that were assessed prior to qualification.

c) Expiration of Qualification: If a customer is not re-qualified as a low income customer, then the utility may begin assessing late fees on past due amounts. However, late fees shall not be assessed retroactively on bills issued during the time period when the customer was qualified as a low income customer.

83 Ill. Adm. Code 280.70 Preferred Payment Date

a) Intent: An eligible residential customer who is billed monthly and who can demonstrate that his or her primary source of income is derived from a benefit that is received during the 10 day period after the customer's regular due date shall be entitled to a preferred payment date to enable the customer to submit timely payments.

b) Notification: When a customer pays late two times in a 12 month period, the utility shall notify the customer of the availability of a preferred payment date. The utility shall make a record on the customer's account of the notification, and notification shall be made by any of the following methods:

1. Message included in the customer's bill;

2. Separate written communication; or

3. Verbal communication.

c) Eligibility: Residential customers shall be eligible for a preferred payment date if they are included in any one of the following:

1. Customers receiving Temporary Assistance for Needy Families (TANF) or Aid to the Aged, Blind and Disabled (AABD);

2. Customers receiving benefits from General Assistance or Supplemental Security Income;

3. Customers receiving income from Social Security benefits or Veterans benefits; or

4. Customers receiving unemployment compensation benefits.

d) Options: The utility shall inform an eligible customer of the following options from which the customer may choose:

1. Enter into a budget payment plan with a preferred payment date that is not more than 10 days after the customer's regular billing date and is agreed upon by the customer and the company; or

2. Establish a preferred payment date that shall not be more than 10 days after the customer's regular billing date.

e) Removal: If the customer fails to pay on or before the preferred payment date more than four times in a 12 month period, the utility may remove the customer's account from the preferred payment date and return the customer to the regular bill due date. After the removal of a customer, the utility shall not be obliged to offer the preferred payment date to that same customer for a period of 12 months.

83 Ill. Adm. Code 280.80 Budget Payment Plan

a) Intent: This Section provides a process to equalize payments for utility service, based upon the customer's average bill instead of the actual fluctuating amount for each separate billing period.

b) Applicability: The requirements of this Section shall apply to residential customers and small business customers. Nothing shall prevent a utility from offering a budget payment plan to non-residential customers that are not small businesses.

c) Eligibility:

1. No past due amount owing: A customer whose account balance is current may enroll in a budget payment plan at any time of the year.

2. Past due: In order to establish eligibility for a budget payment plan, a customer owing a past due amount must either pay the entire past due amount or enter into a DPA with the utility to retire the past due debt.

d) Offering: The utility shall inform its customers of the availability of its budget payment plan and encourage its use.

e) Enrollment: Upon inquiry from the customer, the utility shall calculate and advise the customer what the projected budget payment plan amount will be for the customer's account. If the customer accepts the offer to enroll in budget billing, the utility shall begin the plan for that account.

f) Bill Itemization: In addition to the regular billing requirements of Section 280.50, the bill statement for an account enrolled in the budget payment plan shall contain separate line items for:

1. The budget payment amount; and

2. The amount of the accrued credit or shortfall.

g) Periodic Adjustments:

1. If the customer's usage and regular billing changes so that the budget payment plan will not be successful if left at its current level, the utility shall review and adjust the budget payment plan amount.

2. If the budget payment plan amount must be altered, the utility shall notify the customer of the change in writing. Notification may be included with the bill statement or by separate delivery.

h) Reconciliation: Unless another time frame is requested by the customer in writing, utilities shall review each budget plan at least once between the 4th and the 7th month of the term of the plan to ensure that significant shortfalls or credits do not accrue. If a customer's budget payment plan shortfall or credit becomes so large as to necessitate a reconciliation, the utility shall:

1. In the case of a shortfall, offer the customer the option to pay off the shortfall or have the budget amount adjusted to accommodate the shortfall; or

2. In the case of a credit, offer the customer the option of a refund or have the budget amount adjusted to accommodate the credit balance.

i) Late Payments: No late payments charge shall be assessed on a budget payment plan unless there is an overall budget deficit balance in an account when the late payment occurs. The late payment charge shall be computed on the late installment only, not on the accumulated budget deficit in the account.

j) Transfer of Service: When a customer on a budget payment plan informs the utility that the customer will be transferring service with that utility from the current location to a new location served by the same utility, the utility shall advise the customer what the projected budget payment plan amount will be at the new location and that the customer may choose to either remain on the budget payment plan at the new location or cancel the plan.

k) Cancellation:

1. A customer may cancel a budget payment plan at any time.

2. A utility may cancel a customer's budget payment plan when the customer either submits a payment that is less than the full budget payment plan amount or the customer's payment is 21 days in arrears. Late fees may be assessed on undisputed budget installment amounts owing on a budget payment plan as an alternative to termination of participation in the plan.

3. Any shortfall amount owing to the utility at the time of cancellation shall be included and payable as current charges on the next bill statement.

4. Any credit amount owing to the customer at the time of cancellation shall appear as a credit on the next bill statement. After the issuance of that bill statement, Section 280.110 shall apply to the credit balance.

83 Ill. Adm. Code 280.90 Estimated Bills

a) Intent: This Section describes the utility's responsibilities to obtain actual readings of the customer's meter and the process by which a utility may issue an estimated bill to a customer when the utility is unable to obtain an actual reading or a customer reading.

b) Utility Meter Reading:

1. A utility shall perform an actual reading of a customer's meter at least every second billing period unless the utility's attempt to do so is prevented.

2. A utility shall perform an actual reading of a customer's meter every billing period if that meter is equipped with a remote reading device, unless the utility effort to do so is prevented.

3. When the utility's attempt to read the meter fails, it shall record the date, time of day, utility personnel involved, and reason for the failure. The record shall be retained for a period of two years. In addition, its field representative making the visit to read the meter shall leave a door tag at the premises. The door tag shall indicate when the utility representative was there and provide the utility's contact information for the customer to set up an appointment with the utility to gain access to the meter. If the customer's meter is equipped with a remote reading device to obtain a reading without the presence of field personnel on the customer's property, then the utility may mail or use other means to deliver written notification (may include electronic written notification to customers who have elected electronic billing methods) of the failed reading to the customer in lieu of leaving a door hanger. The utility may contact a customer by telephone to provide notice of a failed reading, provided that written notification must be sent if the utility fails to reach the customer directly or successfully leave a voice message.

4. A reading provided by a remote reading system or device shall be considered an actual reading.

5. A reading provided by a Commission certified meter service provider in compliance with the utility's tariff shall be considered an actual reading.

6. If a utility issues two consecutive estimated bills to a customer, the utility shall contact the customer to resolve the reason for the consecutive estimated bills, so that the utility may obtain an actual reading of the meter or a customer reading. If the utility is unable to contact the customer, it shall send a letter advising the customer of the utility's need for contact on the matter. The utility shall make a record of each effort to contact the customer.

c) Customer Meter Reading:

1. A customer reading of the meter provided to the utility shall satisfy the actual reading requirement in subsection (b)(1). However, a utility shall not require a customer to provide customer readings when the customer can provide access to the meter for utility personnel.

2. After six consecutive months of customer provided readings, a utility shall take an actual reading of the meter in accordance with subsections (b)(1) and (2).

d) Meter Readings for Beginning and Ending Service: Unless a utility has taken an actual reading of the meter within the past 60 days, it shall take an actual reading of the meter as prescribed in this subsection (d). The utility may satisfy the requirements of this subsection (d) on the day before or the day after the beginning or ending date if that date falls upon a non-business day of the utility.

1. On the beginning date of service for a new customer, so long as the new customer has provided the utility with at least five days advance notice of the start date, and so long as the customer provides the utility with access to the meter;

2. On the ending date of service for a customer who is stopping service, so long as the customer has provided the utility with at least five days advance notice of the end date, and so long as the customer provides the utility with access to the meter.

e) Estimated Bill Formula: A utility's formula for estimating customer meter readings shall be filed in the utility's tariff.

f) Bill Labeling:

1. A bill based upon an estimated reading shall indicate that it is an estimated bill and that the meter reading figure is an estimated reading.

2. A bill based upon an actual reading shall indicate that the meter reading figure is an actual reading.

3. A bill based upon a customer reading shall indicate that the meter reading figure is a customer reading.

g) Unless the utility's attempt to access the meter has been prevented, as described in subsection (b)(3), the utility shall not disconnect a customer for non-payment of two or more consecutively estimated bills until the utility takes an actual reading of the meter to verify the accuracy of the billing.

83 Ill. Adm. Code 280.100 Previously Unbilled Service

a) Intent: This Section provides for the billing and payment of previously unbilled service caused by errors in measuring or calculating a customer's bills.

b) Time Limits:

1. Bills for any utility service, including previously unbilled service, supplied to a residential customer shall be issued to the customer within 12 months after the provision of that service to the customer.

2. Bills for any utility service, including previously unbilled service, supplied to a non-residential customer shall be issued to the customer within 24 months after the provision of that service to the customer.

3. The time limits of subsections (b)(1) and (2) shall not apply to previously unbilled service attributed to tampering, theft of service, fraud or the customer preventing the utility's recorded efforts to obtain an accurate reading of the meter.

4. No utility shall intentionally delay billing beyond the normal bill cycle.

c) Itemization: Any amount attributed to previously unbilled service shall be labeled as such on the customer's bill and include the beginning and ending dates for the period during which the previously unbilled amount accrued.

d) Calculation: For previously unbilled service accrued over a period of time when the rates for service have varied, the utility shall issue the makeup billing amount calculated on a prorated basis to reflect the varying rates.

e) Payment:

1. If a utility issues a makeup bill for previously unbilled service, it shall offer the customer a special payment arrangement to retire the amount by periodic payments, without interest or late fees, over a time equal to the amount of time for the delay in billing.

2. The special payment arrangement does not exhaust a customer's right to a DPA or medical payment arrangement (MPA), provided however, that neither the special payment arrangement nor the DPA nor the MPA may be used simultaneously unless it is agreed to by both the utility and the customer.

3. Late fees may be assessed on any installment amount on the special payment arrangement that is unpaid after two days beyond the due date on the bill containing that installment.

83 Ill. Adm. Code 280.110 Refunds and Credits

a) Intent: This Section describes the procedures for customers to receive credits and refunds for overpayments and overcharges for utility service.

b) Billing Time Period for Refunds and Credits Due to Overcharges Resulting from Utility Error:

1. A utility shall issue a refund or credit to a customer's account for the full period of time during which an overcharge occurred, so long as either the utility or the customer has retained billing records that would allow determining a refund or credit.

2. A utility shall retain billing records and ledgers that would allow determining a refund or credit for a minimum of two years from the current date.

3. A utility shall not be obliged to issue to a customer a refund or credit that extends into a time period during which that customer was not the customer of record. Exceptions may be made when the utility issues a refund or credit as a result of a Commission order.

c) Overpayment without Utility Error:

1. If the overpayment is the result of the customer paying more than the amount due on the bill, then the overpayment shall be noted on the customer's next bill statement, itemized to indicate the credit balance.

2. If the customer requests that the money overpaid be refunded to him/her, then the utility shall be obliged to do so as long as the overpayment credit amount exceeds 25% of the customer's average monthly bill. The refund shall be made within 10 business days after the utility confirms that it has received the money involved with the overpayment.

3. This subsection (c) shall not apply to any overpayment that results from payment on the customer's account by a State or federal assistance agency. Any such overpayment or credit on the customer's account shall be handled in the manner specified by the State or federal agency.

d) Interest on Refunds and Credits: All refunds and credits due to utility billing error shall be accompanied with interest calculated at the rates set by the Commission for customer deposits (see Section 280.40(g)). Interest shall accumulate starting 30 days after the date the actual money comprising the overpayment is received by the utility until the date the utility issues a refund or credit to the customer's account. Credit balances accumulated on active budget payment plans shall not be subject to interest under this subsection unless the budget payment plan is cancelled while a credit balance remains. Interest shall accumulate from the date of the budget payment plan cancellation until the credit is refunded or consumed by future billing.

e) Itemization of Overcharges: All credits and refunds resulting from overcharges shall be accompanied by an itemization describing the reason for the credit or refund to the customer.

f) Credit to Bill Statement or Direct Refund to Customer:

1. Regular billing: For active service or transfer of service accounts, the utility shall either issue a credit to the account or, if the customer requests it at any time, make a direct refund to the customer so long as the credit balance exceeds 25% of the customer's average monthly bill.

2. Final bills: When the credit amount exceeds the total amount due on a customer's final bill, the utility shall issue a direct refund to the customer.

3. Exemptions from refunds: A utility shall not be obliged to issue a refund to a customer for a credit balance accrued as the result of Commission approved billing programs or rates that specifically disallow the issuance of refunds, or when the customer owes the utility a past due amount for the same class and type of service at another location.

g) Time Limit to File Complaint:

1. Excessive or unjust charges: All complaints for the recovery of damages shall be filed with the Commission within 2 years from the time the produce, commodity or service as to which complaint is made was furnished or performed. [220 ILCS 5/9-252]

2. Refunds for overcharges: When a customer pays a bill as submitted by a public utility and the billing is later found to be incorrect due to an error either in charging more than the published rate or in measuring the quantity or volume of service provided, the utility shall refund the overcharge with interest from the date of overpayment at the legal rate or at a rate prescribed by the Commission (see Section 280.40(g)). Refunds and interest for such overcharges may be paid by the utility without the need for a hearing and order of the Commission. Any complaint relating to an incorrect billing must be filed with the Commission no more than 2 years after the date the customer first has knowledge of the incorrect billing. [220 ILCS 5/9-252.1]

83 Ill. Adm. Code 280.120 Deferred Payment Arrangements

a) Intent: Payment arrangements shall be structured and administered to maximize the successful retirement of past due utility service amounts owing to the utility while allowing the customer to retain active utility service.

b) Eligibility:

1. Mandatory offering by the utility: A residential customer owing a past due amount for utility service shall be eligible for a deferred payment arrangement so long as the customer has not failed to complete a previous DPA in the past 12 months.

A) At any time a customer's account balance owing is brought to current status, the utility shall consider all previous DPAs completed.

B) A customer who is eligible for a DPA under this subsection (b) shall remain fully eligible until utility service is disconnected.

2. Optional offering by the utility:

A) At the utility's discretion, an applicant owing a past due amount for utility service may enter a DPA to retire the debt.

B) At the utility's discretion, a non-residential customer owing a past due amount for utility service may enter a DPA to retire the debt.

C) At the utility's discretion, a residential customer owing a past due amount for service, but who is not automatically eligible for a DPA under subsection (b)(1), may enter into a DPA to retire the debt.

c) Amounts Included in DPA: The DPA shall only include amounts owing for utility service for which the utility would otherwise be entitled to disconnect the customer's service after proper notice if the customer was not on the DPA. DPA default shall not occur as a result of failure to pay non-utility service charges.

d) Transfer: When a customer transfers service, an existing DPA established at the old premises shall transfer with the customer to the new premises. A utility may be allowed to start an entirely new DPA at the new premises to accommodate its billing systems programming so long as the "new" DPA is identical to the previous DPA.

e) Bill Itemization:

1. Each bill rendered to a customer who has established a DPA with the utility and has not defaulted shall include the following information:

A) The total balance remaining on the DPA;

B) The amount of the installment;

C) The number of remaining installments on the DPA; and

D) A statement explaining that:

i) a late or partial payment may result in the cancellation of the DPA, causing the total deferred amount and current charges to become immediately due in full; and

ii) non-payment of the full amount due may result in disconnection.

2. If a DPA defaults and is not reinstated prior to the next bill statement, the utility shall notify the customer of the default by at least one of the following methods:

A) A message on the next bill statement stating the amount required to reinstate the DPA if paid in full by a specific date and that a later payment may result in additional charges or the cancellation of the DPA; or

B) A separate written notice stating the amount required to reinstate the DPA if paid in full by a certain date and that a later payment may result in additional charges or the cancellation of the DPA; or

C) A live phone call to the customer. The utility shall make a record of the date, time of day and utility personnel involved in the phone call, and retain the record for two years. If the utility is unable to speak with the customer directly, it shall provide either a message on the next bill statement or separate written notice of default in accordance with subsection (e)(2)(A) or (B).

f) Down Payment:

1. In order to initiate a DPA, the customer must pay a minimum of 25% of the past due amount for utility service.

2. By agreement with the customer, the utility may include current billing amounts with the past due amount as the total balance from which the 25% down payment may be calculated.

3. At the utility's discretion, the down payment amount may be decreased.

g) Length of DPA:

1. The amount of time negotiated with the customer for the completion of the DPA shall be set between 4 to 12 billing cycles, with the utility having the discretion to agree to more than 12 billing cycles for completion of the DPA.

2. In determining the length of time to offer, the utility shall take into account the ability of the customer to successfully complete the DPA.

3. If a residential customer's household income will not allow the customer to successfully complete a DPA of any length, the utility shall advise the customer of the availability of local assisting agencies.

h) Installments:

1. The installments shall be equal amounts, unless unequal amounts are established by agreement with the customer.

2. The installments shall be due at the same time as the regular bill due dates.

i) Default:

1. A utility may consider a DPA in default when a customer fails to pay the full amount of the installment and the current bill by the second day after the bill due date.

2. The utility may resume collection activity after a DPA defaults, including delivery of a disconnection notice and subsequent disconnection of the service unless the customer pays the full amount past due or pays the reinstatement amount and any applicable reinstatement fee in order to resume the DPA.

j) Reinstatement:

1. A utility is not obliged to reinstate a defaulted DPA once it has disconnected service to the customer for nonpayment.

2. A customer may reinstate a previously defaulted DPA by paying the required amount of the DPA installments owing up to that date, including all past due bills that were not included in the original DPA amount. The default notice shall state that DPA reinstatement is possible for a stated amount if paid in full by a certain date and that reinstatement subsequent to that date may include additional charges.

3. The utility shall not assess a reinstatement fee for the first reinstatement of a defaulted DPA.

4. For each subsequent default after the first, in addition to paying the amounts required under subsection (j)(2), the customer shall pay a reinstatement fee if the utility has filed a tariff establishing a reinstatement fee.

k) Renegotiation:

1. A customer whose financial conditions change during the course of a DPA shall be allowed to renegotiate the length of the DPA with the utility to ensure its successful completion.

2. One renegotiation is allowed during the course of a DPA, so long as:

A) The customer is willing to discuss the customer's financial circumstances;

B) The customer has at least made the down payment on the original DPA; and

C) The DPA is not currently in default status.

3. Through renegotiation, the utility shall not be obliged to extend the term of the DPA any longer than 4 to 12 additional billing cycles beyond the original term of the DPA; provided, however, that the utility and customer may renegotiate the DPA for a longer term if both parties agree.

4. Renegotiation does not preclude a customer's right to reinstate a defaulted DPA prior to disconnection.

l) Overlapping Arrangements: Multiple arrangements of any type under this Section shall not be employed simultaneously without the consent of both the utility and the customer. However, the utility shall not maintain an otherwise defaulted arrangement to prevent a customer from using another type of payment arrangement for which the customer is eligible.

m) Eligibility for Winter DPA: A customer's right to establish a winter DPA under Section 280.135 shall be unaffected by any default on a DPA under this Section.

83 Ill. Adm. Code 280.125 Deferred Payment Arrangements for Low Income Customers

a) Intent: To enable low income customers to better retain essential utility services, a low income customer shall be eligible for all the provisions described in Section 280.120 from April 1 through November 30. In addition, a low income customer shall be entitled to the altered provisions described in this Section.

b) Down Payment:

1. In order to initiate a DPA, a utility may require a maximum down payment of 20% towards the past due amounts for utility service.

2. By agreement with the customer, the utility may include current billing amounts with the past due amount as the total balance from which the 20% down payment may be calculated.

c) Length of DPA Term:

1. The amount of time offered to a low income customer for the completion of a DPA shall be set by the utility at 6 to 12 billing cycles.

2. At its discretion, the utility may set the term for a period longer than 12 months.

d) Reinstatement Fee Waiver: A utility shall not assess a reinstatement fee for any reinstatement of a DPA by a low income customer.

e) Amended DPA:

1. A utility shall offer an amended DPA to a low income customer who is in default on a first DPA if the customer has made at least two consecutive full payments under the first DPA and the customer has not been in default on the first DPA for more than 90 days.

2. The amended DPA shall be for the same term or longer than the term of the first DPA.

3. As a condition of entering the amended DPA, the utility may require the customer to participate in the payment option described in Section 280.80.

83 Ill. Adm. Code 280.130 Disconnection of Service

a) Intent: The purpose of this Section is to provide adequate notice and reason for disconnection; allow for the customer to remedy the problem and avoid disconnection; create an expectation to act upon notice by a utility when a customer does not remedy the problem; and set prohibitions and limits on disconnection under certain circumstances.

b) Allowable Reasons for Disconnection:

1. Non-payment of past due bill for the same class and type of utility service;

2. Non-payment of valid utility service deposit owing on account;

3. Non-payment of a deposit owing as result of utility evidence of a problem described in Section 280.210;

4. Failure to provide access in multi-meter premises to utility facilities after attempts by the utility to gain access as described in Section 280.140;

5. Failure to provide access to utility facilities after four attempts (two attempts if in order to meet regulatory requirements) by the utility to gain access to a single customer premises, provided that the utility must comply with the same notification and record keeping requirements as in Section 280.140(c)(1), (2) and (3);

6. Occupant usage without a valid customer of record;

7. Theft of service and/or tampering;

8. Non-compliance with any rules of the utility on file with the Commission for which the utility is authorized by tariff to disconnect service in the event of non-compliance;

9. Non-compliance with an order of the Commission;

10. Unsafe conditions; or

11. Cooperation with civil authorities.

c) Non-deniable Charges: The following shall not constitute valid reasons for disconnection of regulated utility services:

1. Charges for non-utility services, unless otherwise authorized by Illinois statute;

2. Charges for another class (residential or non-residential) of utility service;

3. Charges for another type (gas, electric, water or sewer, unless water and sewer utility service are provided by the same utility) of utility service;

4. Charges for equipment or merchandise unless otherwise authorized by statute; or

5. Charges currently in dispute under Section 280.220 or Section 280.230.

d) Disconnection Notice Content: Utility disconnection notices shall conform with Appendices A, B and D and shall include at least:

1. Date issued;

2. Effective date;

3. Reason for disconnection;

4. Options for the customer to prevent disconnection;

5. Contact information for the utility;

6. Contact information for the Commission's Consumer Services Division; and

7. Medical certification process and customer bill of rights in Appendix B.

e) Method of Disconnection Notice Delivery:

1. All utility disconnection notices shall be sent separately from any other mailing to the customer.

2. The notice shall be sent by U.S. Mail or hand delivered.

3. The utility shall record the date the notice is sent or delivered and retain that record for two years.

4. If the utility and customer have agreed to electronic communications, a utility shall submit a duplicate notice to the customer electronically as long as it has also mailed or hand delivered a paper version of the notice to the customer.

f) Third Party Notice: A customer may designate, by written request to the utility, that a third party will be sent or delivered a duplicate notice whenever a disconnection notice is sent or delivered to the customer. The utility will send or deliver any third party notice at the same time as the notice is sent or delivered to the customer.

g) Timing of Notice:

1. When notice shall be sent: A utility shall not send or deliver a disconnection notice until after one of the reasons described in subsection (b) occurs.

2. Effective date: The utility shall not disconnect service until at least 10 days after the sending or delivery of the notice to the customer.

3. Duration of notice: The notice shall remain effective for 45 days after it is sent or delivered.

4. Overlapping notices: A utility may send or deliver a new notice prior to the expiration of a previous notice. The customer shall be entitled to the remedies offered in the previous notice until the effective date of the new notice.

5. The customer's regular monthly bill shall not be considered a new disconnection notice or operate to extend the due date of a previously issued disconnection notice.

h) Exemptions to Notice Requirements: Disconnection notices substantially in the form of Appendix A shall be required prior to all disconnections of service, except in cases of:

1. Occupant usage without a customer of record, provided that the utility shall refer to subsection (i) for special provisions related to occupant usage;

2. Theft of service and/or tampering;

3. Unsafe conditions;

4. Cooperation with civil authorities;

5. Outages and maintenance work; or

6. The current customer has requested the service be disconnected.

i) Warning Letter Required Instead of Appendix A (Disconnection Notice for Occupant Usage without Valid Customer):

1. When the utility has left the service on at a premises and there is usage without a customer of record, it shall send or deliver a warning letter to the premises address, containing the utility's toll free contact information, advising that an applicant must contact the utility to become a new customer or the service will have to be disconnected after 10 days.

2. If the utility has contact information for the landlord or property manager of the premises, a duplicate warning letter shall be sent or delivered to that person at the same time as the warning letter to the premises.

3. If there is no response within 10 days after the sending of the warning letter, the utility shall have the right to disconnect the service.

4. The utility shall not be obliged to send a warning letter to a premises when it disconnects service within 10 days after the date that the current customer requests as the date the utility will shut off and end that customer's service.

j) Warning Call to Residential and Master-Metered Customers:

1. Unless the customer has no phone number on record, the utility shall provide a warning call to the customer a minimum of 48 hours prior to the scheduled disconnection.

2. The warning call may be live or automated, and it shall advise the customer of the utility's intent to disconnect the service. A second call shall be required 24 hours prior to the schedule disconnection if the first call does not reach a person or an answering machine.

3. The warning call shall provide the customer with the toll free or local phone numbers that the customer may use to contact the utility to discuss the situation.

4. The utility shall make a record of the date and time of day of, and its success or failure in reaching the customer through, the warning call. It shall retain the record for two years.

k) Obligation to Act:

1. When a utility has sent or hand delivered four consecutive disconnection notices to the same customer for the same unremedied reason for disconnection under subsection (b), it shall not send a fifth notice of disconnection for the same unremedied reason unless its effort to disconnect the service has failed. Such failure shall include any temporary moratoriums that would prevent the utility from attempting to disconnect service during the effective period of the disconnection notice.

2. If the utility's effort to disconnect the service fails, the utility shall record the date, time of day, utility personnel involved and a description of the reason for the failure. It shall retain this record for two years.

l) Time of Day and Day of the Week Prohibitions and Limits: Except for matters of safety, emergency maintenance and cooperation with civil authorities, a utility shall comply with the following prohibitions and limits upon disconnection:

1. Non-business hours prohibition: A utility shall not disconnect a customer within one hour before or at any time during which it does not have its customer service personnel available to handle the customer's contact.

2. Weekday afternoon limits: A utility shall not disconnect a customer after 4:00 PM on Monday through Thursday unless the utility is prepared to take the customer's payment and reconnect the customer that same day if the customer remedies the reason for the disconnection.

3. Friday limits: A utility shall not disconnect a residential customer after noon on Friday or a non-residential customer after 4:00 PM on Friday, unless it is prepared to take the customer's payment and reconnect the customer that same day if the customer remedies the reason for the disconnection.

4. Weekend limits: A utility shall not disconnect a customer on Saturday or Sunday unless it is prepared to take the customer's payment and reconnect the customer that same day if the customer remedies the reason for the disconnection.

5. Holiday limits: A utility shall not disconnect a customer on a State of Illinois or utility holiday, or after noon on any day preceding a State of Illinois or utility holiday, unless the utility is prepared to take the customer's payment and reconnect the customer that same day if the customer remedies the reason for the disconnection.

m) Medical Certification: A utility shall not disconnect service to a residence for 60 days upon receipt of a valid medical certificate for a resident of the household, so long as the account is eligible for medical certification under Section 280.160.

n) Temperature Prohibitions:

1. Cold weather: Termination of gas and electric utility service to all residential users, including all tenants of apartment buildings where gas or electricity is used as the only source of space heating or to control or operate the only space heating equipment, is prohibited:

A) On any day when the National Weather Service forecast for the following 24 hours covering the area of the utility in which the residence or master-metered apartment building is located includes a forecast that the temperature will be 32 degrees Fahrenheit or below; or

B) On any day preceding a holiday or weekend when the National Weather Service forecast covering the area of the utility in which the residence or master-metered apartment building is located includes a forecast that the temperature will be 32 degrees Fahrenheit or below at any time during the holiday or weekend. [220 ILCS 5/8-205(a)]

2. Hot weather: If gas or electricity is used as the only source of space cooling or to control or operate the only space cooling equipment at a residence or master-metered apartment building, then a utility with over 100,000 residential customers may not terminate gas or electric utility service to the residential user, including all tenants of master-metered apartment buildings:

A) On any day when the National Weather Service forecast for the following 24 hours covering the area of the utility in which the residence or master-metered apartment building is located includes a forecast that the temperature will be 95 degrees Fahrenheit or above; or

B) On any day preceding a holiday or weekend when the National Weather Service forecast covering the area of the utility in which the residence or master-metered apartment building is located includes a forecast that the temperature will be 95 degrees Fahrenheit or above at any time during the holiday or weekend. [220 ILCS 5/8-205(b)]

o) Energy Act of 1989 Participants (Low Income Customers) Winter Disconnection Prohibition: Notwithstanding any other provision of this Part, no electric or gas public utility shall disconnect service to any residential customer who is a participant under Section 6 of the Energy Assistance Act of 1989 [305 ILCS 20/6] for nonpayment of a bill or deposit where gas or electricity is used to control or operate the primary source of space heating equipment at the premises during the period of time from December 1 and including March 31 of the immediately succeeding calendar year. [220 ILCS 5/8-206(k)]

p) Electric Space-Heating Customer Winter Disconnection Prohibition: A utility that served more than 100,000 electric customers in Illinois as of December 31, 2005 shall not terminate electric service to a residential space heating customer for non-payment from December 1 through March 31. [220 ILCS 5/16-111.6]

q) Military Personnel on Active Duty Disconnection Prohibition: No utility shall for nonpayment stop gas or electricity from entering the residential premises that was the primary residence of a service member immediately before the service member was assigned to military service. [220 ILCS 5/8-201.5(b)]

r) Service Member or Veteran Disconnection Prohibition: No electric or gas public utility shall disconnect service to any residential customer who has notified the utility that he or she is a service member or veteran for nonpayment of a bill or deposit where gas or electricity is used as the primary source of space heating or is used to control or operate the primary source of space heating equipment at the premises during the period of time from December 1 through and including March 31 of the immediately succeeding calendar year. [220 ILCS 5/8-206(l)]

83 Ill. Adm. Code 280.135 Winter Disconnection of Residential Heating Services, December 1 Through March 31

a) Notwithstanding any other provision of this Part, no electric or gas public utility shall disconnect service to any residential customer or master-metered apartment building for nonpayment of a bill or deposit where gas or electricity is used as the primary source of space heating equipment at the premises during the period of time from December 1 through and including March 31 of the immediately succeeding calendar year, unless:

1. The utility:

A) Has offered the customer a winter deferred payment arrangement (winter DPA) allowing for payment of past due amounts over a period of not less than four months not to extend beyond the following November and the option to enter into a budget payment plan for the payment of future bills. The maximum down payment requirements shall not exceed 10 percent of the amount past due and owing at the time of entering into the agreement; and

B) provides the customer with the names, addresses and telephone numbers of governmental and private agencies which may provide assistance to customers of public utilities in paying their utility bills; the utility must obtain the approval of an agency before placing the name of that agency on any list used to provide the information to customers;

2. The customer has refused or failed to enter into a winter DPA as described in subsection (a)(1)(A); and

3. All disconnection notice requirements as provided by law and this Part have been met by the utility.

b) Prior to termination of service for any residential customer or master-metered apartment building during the period from December 1 through and including March 31 of the immediately succeeding calendar year, all electric and gas public utilities shall, in addition to all other notices:

1. Notify the customer or an adult (a person over the age of 18) residing at the customer's premises either by telephone, a personal visit to the customer's premises or by first class mail, informing the customer that:

A) The customer's account is in arrears and the customer's service is subject to disconnection for nonpayment of a bill;

B) The customer can avoid disconnection of service by entering into a deferred payment agreement to pay past due amounts over a period not to extend beyond the following November and the customer has the option to enter into a budget payment plan for the payment of future bills; and

C) The customer may apply for any available assistance to aid in the payment of utility bills from any governmental or private agencies from the list of the agencies provided to the customer by the utility.

2. A public utility shall be required to make only one contact required in subsection (b)(1) with the customer during any period from December 1 through and including March 31 of the immediately succeeding calendar year.

3. Each public utility shall maintain records which shall include, but not necessarily be limited to, the manner by which the customer was notified and the time, date and manner by which any prior unsuccessful efforts to contact the customer were made. These records shall also describe the terms of the DPA offered to the customer and those entered into by the utility and the customer. These records shall indicate the total amount past due, the down payment, the amount remaining to be paid and the number of months allowed to pay the outstanding balance. No public utility shall be required to retain records pertaining to unsuccessful efforts to contact or DPAs rejected by the customer after the customer has entered into a DPA with the utility.

c) No public utility shall disconnect service for nonpayment of a bill until the lapse of six business days after making the notification required in subsection (b)(1) so as to allow the customer an opportunity to:

1. Enter into a DPA and the option to enter into a budget payment plan for the payment of future bills; and

2. Contact a governmental or private agency that may provide assistance to customers for the payment of public utility bills.

d) Any residential customer who enters into a DPA pursuant to this Section and subsequently, during that period of time set forth in subsection (a), becomes subject to disconnection, shall be given notice as required by law and this Part prior to disconnection of service.

e) During that time period set forth in subsection (a), a utility shall not require a down payment for a deposit from a residential customer, pursuant to Section 280.40, in excess of 20% of the total deposit requested. An additional four months shall be allowed to pay the remainder of the deposit. This provision shall not apply to master-metered apartment buildings or other non-residential customers.

f) During that period of time set forth in subsection (a), the provisions of Section 280.120 that allow a utility to refuse to offer a DPA to a residential customer who has defaulted on an agreement within the past 12 months are suspended. However, no utility shall be required to enter into more than one DPA under this Part with any residential customer or master-metered apartment building during the period from December 1 through and including March 31 of the immediately succeeding calendar year.

g) In order to enable customers to take advantage of energy assistance programs, customers who can demonstrate that their applications for a local, State or federal energy assistance program have been approved may request that the amount they will be entitled to receive as a regular energy assistance payment be deducted and set aside from the amount past due on which they make DPAs. Payment on the set-aside amount will be credited when the energy assistance voucher or check is received, according to the utility's common business practice.

h) In no event shall any utility send a disconnection notice to any customer who has entered into a current DPA and has not defaulted on that DPA, unless the disconnection notice pertains to a deposit request.

i) Each utility will include with each disconnection notice sent during the period from December 1 through and including March 31 of the immediately succeeding calendar year to a residential customer an insert explaining the provisions of this Section and providing a telephone number of the utility company the customer may call to receive further information.

j) Filing with the Commission:

1. Each utility shall file with the Commission prior to December 1 of each year a plan detailing the implementation of this Section. This plan shall contain, but not be limited to:

A) A description of the methods to be used to notify residential customers as defined in this Part, including the forms of written and oral notices which shall be required to include all the information contained in subsection (b);

B) A listing of the names, addresses and telephone numbers of governmental and private agencies which may provide assistance to residential customers in paying their utility bills;

C) The program of employee education and information which shall be used by the company in the implementation of this Section; and

D) A description of methods to be utilized to inform residential customers of those governmental and private agencies and current and planned methods of cooperation with those agencies to identify the customers who qualify for assistance in paying their utility bills.

2. A utility that has a plan on file with the Commission need not resubmit a new plan each year. However, any alteration of the plan on file must be submitted prior to December 1 of any year.

3. All plans are subject to review and approval by the Commission, which may direct a utility to alter its plan to comply with this Part. [220 ILCS 5/8-206]

83 Ill. Adm. Code 280.140 Disconnection for Lack of Access to Multi-Meter Premises

a) Intent: This Section provides adequate notice and reason for disconnection of an entire multi-meter premises when a utility is unable to gain access to its facilities; allows for the property owner/manager and customers of the premises to remedy the problem and thereby avoid disconnection; and sets prohibitions and limits on this form of disconnection.

b) Allowable Reasons for Disconnection of an Entire Multi-Meter Premises:

1. The customers and property owner/manager have failed two consecutive times to provide access to utility facilities in order to meet regulatory requirements, including, but not limited to, inside safety inspections and meter exchanges;

2. The customers and property owner/manager have failed three consecutive times to provide access to utility facilities for non-payment disconnections; or

3. The customers and property owner/manager have failed four consecutive times to provide access to utility facilities for meter readings.

c) Utility Actions Required prior to Disconnection of an Entire Multi-Meter Premises:

1. The utility must attempt to obtain contact information for the property owner/manager, independently or with the assistance of the affected customers

2. The utility must seek access by physical visit. For each failure to gain access, the utility must record the date, time of day, utility personnel involved, a detailed description of utility's efforts to gain access and the reason for each failure to gain access. The utility shall retain the records for two years;

3. For each effort to gain access, the utility must send or deliver warning letters to each affected customer and property owner/manager with at least 10 days advance notice of the utility's intent to gain access and the need for the customer to contact the utility to set up an appointment to provide access;

4. After the final consecutive failure to provide access, according to the number of consecutive failures required in subsection (b), the utility must send or deliver a disconnection notice to each affected customer and the property owner/manager as required by Section 280.130;

5. At the same time the utility sends or delivers the notices required in subsection (c)(3), it must also post the building with a written notice of disconnection; and

6. If the utility seeks access to disconnect non-paying customers, the utility must send or deliver a disconnection notice for non-payment to the customers in the premises that it intends to disconnect for non-payment.

d) Inconvenience Compensation Credit:

1. An inconvenience compensation credit shall be issued by the utility to the accounts of customers who are not otherwise eligible for non-payment disconnection when those customers are disconnected as a result of the utility's disconnection of non-paying customers in the same premises.

2. The inconvenience compensation credit shall be four times the monthly "customer charge" or $60, whichever is greater.

e) Limitations on Non-payment Disconnections for Multi-Meter Premises: All of the limits, prohibitions and protections to customers offered in Sections 280.130 and 280.135 shall apply equally to lack of access disconnections of multi-meter premises for non-payment.

f) Reconnection: The utility shall not disconnect a building unless it has the resources in place and is prepared to reconnect service on the same day as the disconnection or the day access is provided for any customers of a multi-meter premises who were otherwise not eligible for non-payment disconnection.

g) Data Collection and Maintenance: The utility shall collect the following data on a monthly basis and maintain the data for two years following its collection. The utility shall make the data available to Commission Staff within 30 days after a request from Staff:

1. In addition to the record keeping required under subsection (c)(2), the utility shall record the total number of "at-risk" buildings (i.e., any buildings the utility believes are currently eligible for disconnection or would be eligible for disconnection in 30 days);

2. The utility shall retain a record of the following information regarding a disconnection event:

A) Address of building or facility disconnected;

B) Number of units affected by the disconnection;

C) Duration of the building disconnection from the date of the disconnection to the date that the building was reconnected;

D) Cause for multi-unit disconnection;

E) Compensation credit issued; and

F) Customer contacts received prior to and as a result of disconnection and their given reason for failure to provide access.

83 Ill. Adm. Code 280.150 Disconnection of Master-Metered Apartment Buildings

Reference to Governing Statute: The Rental Property Utility Service Act [765 ILCS 735] governs procedures for disconnection of service to accounts affecting master-metered apartment buildings when a landlord or property manager has not paid the utility bill for the master-metered account. These procedures include requirements for a utility to:

a) Inform tenants of the pending disconnection of their utility service; and

b) Set out their remedies, including the right to petition a court for appointment of a receiver to collect rents and remit a portion of the rents to the utility for payment of utility bills.

83 Ill. Adm. Code 280.160 Medical Certification

a) Intent: The purpose of this Section is to temporarily prohibit disconnection of utility service to a residential customer for at least 60 days in cases of certified medical necessity; and to provide an opportunity for the customer to retire past due amounts by periodic installments under an automatic medical payment arrangement commencing after 30 days.

b) Certifying Parties: Certification may be made by either a licensed physician or a local board of health.

c) Method of Certification:

1. Initial certification by phone call is allowed.

2. Written (may be mailed, faxed or delivered electronically) certification must be provided within 7 days after an initial certification by phone call.

d) Certificate Content:

1. Name and contact information for the certifying party;

2. Service address and name of patient;

3. A statement that the patient resides at the premises in question; and

4. A statement that the disconnection of utility service will aggravate an existing medical emergency or create a medical emergency for the patient.

e) Certificate Timing:

1. Certificate presentation prior to disconnection entitles a customer to receive a medical payment arrangement term, as described under subsection (i)(1).

2. The certificate may be presented up to 14 days after disconnection, with utility discretion as to whether it shall accept a certificate more than 14 days after disconnection have passed. Certification presented after disconnection entitles a customer to receive a medical payment arrangement term, as described under subsection (i)(2).

f) Restoration:

1. When a valid medical certification is provided to the utility up to 14 days after disconnection, service shall be restored within one day after the provision of certification.

2. The utility shall not treat the disconnected customer as an applicant for service for purposes of restoration under a medical certificate.

g) Duration of Certificate: The certificate shall protect the account from disconnection for 60 days after the date of certification. If the customer was disconnected prior to certification, the 60 day period shall not begin until the utility restores the customer's service.

h) Data Collection and Maintenance: The utility shall collect the following data on a monthly basis and maintain the data for two years following its collection. The utility shall make the data available to Commission Staff within 30 days after a request from Staff:

1. The total number medical certificates requested and, in instances in which a utility declines to issue a medical certificate, the reason for denial;

2. The total number of medical certificates issued by the utility;

3. The duration, including start and end dates, of the medical certification period (whether the end date is based on payment by the customer or expiration of the 60-day period).

i) Medical Payment Arrangement:

1. If valid medical certification is received prior to disconnection, the first bill statement that will be due after 30 days after the certification date shall indicate:

A) An amount to pay that is equal to 1/12th of the total amount owing for utility services by the customer;

B) The remaining balance owing for utility services;

C) That the customer is on a medical payment arrangement; and

D) 11 remaining installments of equal amounts to be paid on future bills.

2. If valid medical certification is received after disconnection, the first bill statement that will be due after 30 days after the certification date shall indicate:

A) An amount to pay that is equal to ¼th of the total amount owing for utility services by the customer;

B) The remaining balance owing for utility services;

C) That the customer is on a medical payment arrangement; and

D) Nine remaining installments of equal amounts to be paid on future bills.

3. Valid medical certification shall entitle a customer to an MPA, regardless of the success or failure of previous payment plans of any sort.

j) New Certification of Previously Certified Accounts: Accounts that received a prior valid medical certificate shall be eligible for new certification any time after either:

1. The total account balance has been brought current; or

2. 12 months from the beginning date of the prior certification has passed.

83 Ill. Adm. Code 280.170 Timely Reconnection of Service

a) Intent: This Section provides for the timely reconnection of disconnected customers after they have remedied the reasons for the disconnection or provided valid medical certification.

b) Timing: Once a disconnected customer remedies the reason for the disconnection or provides a valid medical certificate, the utility shall prioritize reconnection as indicated in this subsection (b). If the utility does not comply with the time limits in this subsection (b), it shall not bill the customer a reconnection charge. If, through no fault of the customer, the utility delays reconnection for two or more calendar days beyond the number of days required in this subsection (b), it shall issue a credit to the customer's account equal to two non-prorated monthly customer charges for that customer. If a disconnection is made in error, the penalty shall be an amount equal to three non-prorated monthly customer charges, in addition to any reconnection fees made for non-timely reconnection.

1. A customer account for which a valid medical certificate has been provided shall receive first priority and be reconnected within one business day after the certification.

2. A customer disconnected in error shall be reconnected within one business day.

3. A disconnected electric, water or sewer customer who remedies the reason for the disconnection, and is not required by the utility to provide information as a new applicant for service, shall be reconnected within four calendar days.

4. A disconnected natural gas customer who remedies the reason for the disconnection, and is not required by the utility to provide information as a new applicant for service, shall be reconnected within seven calendar days.

c) Exception for Lack of Access: A utility shall not be obliged to conform to the time limits in subsection (b) if it is not allowed access to reconnect the service; provided, however, that the utility must record the date, time of day, utility personnel involved and reason access was not gained. It shall retain the record for two years.

d) Exception for Disconnection not at the Meter or not at the Normal Place of Disconnection: A utility shall not be obliged to conform to the time limits in subsection (b) if it was forced, by lack of access, to disconnect the service at a location other than the meter or at a place other than the normal place of disconnection if the utility does not normally disconnect service at the meter.

e) Exception for Damage or Unsafe Condition: A utility shall not be obliged to conform to the time limits of subsection (b) if repair, construction or correction of an unsafe condition is required prior to reconnection of service.

f) Temporary Exception for Unforeseen Circumstances: A utility that experiences a temporary, unanticipated and not reasonably foreseeable overload of its ability to provide for the timely reconnection of disconnected customers may, upon notice explaining the circumstances to the Commission's Consumer Services Division, temporarily forego the requirements of this Section so long as the utility can demonstrate that it is taking diligent action to remedy the overload.

g) If service was shut off in error, the utility shall not bill the customer a reconnection charge.

83 Ill. Adm. Code 280.180 Reconnection of Former Residential Customers for the Heating Season

a) Any former residential customer whose gas or electric service was used to provide or control the primary source of space heating in the dwelling and whose service is disconnected for non-payment of a bill or a deposit from December 1 of the prior winter's heating season through April 1 of the current heating season shall be eligible for reconnection and a deferred payment arrangement under the provisions of this Section. Under this Section, a former residential customer shall also include a former customer who has moved to a new location after the service at the customer's former premises was disconnected. However, it shall be the responsibility of the former customer to notify the utility of his or her need for service at the new premises, and a utility shall not be obliged to search for former customers who have moved for the purpose of subsection (g).

b) Limitations: A utility shall not be required to reconnect service to and enter into a deferred payment arrangement with a former customer under the provisions of this Section:

1. Except between November 1 and April 1 of the current heating season for former customers who do not have applications pending for the program described in Section 6 of the Energy Assistance Act [305 ILCS 20/6], and except between October 1 and April 1 of the current heating season for all former customers who do have applications pending for the program described in Section 6 of the Energy Assistance Act and who provide proof of application with the utility.

2. In two consecutive years;

3. Unless that former customer has paid at least 33⅓ percent of the amount billed for utility service rendered by that utility subsequent to December 1 of the prior year. A former customer who did not pay the required amount prior to disconnection may establish eligibility by paying the required amount when seeking reconnection under this Section. In addition to calculating the 33⅓ percent the former customer must pay to establish eligibility, the utility shall calculate the amount the customer must pay to enter into a payment agreement. For purpose of simplification, the utility shall inform the customer of the total amount needed for reconnection, including amounts required under subsections (b)(3), (b)(4), (d) and (e). The utility shall accept multiple sources of payment, including but not limited to energy assistance program payments, for purposes of satisfying this requirement.

4. Until the customer pays the charges associated with the tampering, in any instance where the utility can show that there has been tampering with the utility's wires, pipes, meters (including locking devices), or other service equipment and further shows that the former customer enjoyed the benefit of utility service in the aforesaid manner.

c) DPA: The terms and conditions of any deferred payment arrangements established by the utility and a former customer shall take into consideration the following factors, based upon information available from current utility records or provided by the former customer:

1. The amount past due;

2. The former customer's ability to pay;

3. The former customer's payment history;

4. The reasons for the accumulation of the past due amounts; and

5. Any other relevant factors relating to the former customer's circumstances.

d) After the former customer's eligibility has been established in accordance with subsections (a) and (b), and, upon the establishment of a deferred payment agreement, the former customer shall pay ⅓ of the amount past due (including reconnection charge, if any) and ⅓ of any deposit required by the utility.

e) Reconnection:

1. Upon payment of the ⅓ of the amount past due and ⅓ of any deposit required by the utility, the former customer's service shall be reconnected as soon as possible. The company and the former customer shall agree to a payment schedule for the remaining balances which will reasonably allow the former customer to make the payments on the remainder of the deposit and the past due balance while paying current bills during the winter heating season.

2. Notwithstanding the requirements of subsection (e)(1), a former customer who demonstrates to the utility, or to the Commission through formal or informal complaint under Sections 280.220 or 280.230, a financial inability to meet the requirement of the ⅓ of the amount past due and ⅓ of any deposit requested by the utility shall be reconnected upon paying a reasonable amount and upon entering into a deferred payment agreement

A) In determining financial inability under this subsection (e)(2), the following factors, among others, shall be considered:

i) The combined income and financial resources of all persons residing in the former customer's household;

ii) The combined living expense of the former customer's household;

iii) The former customer's payment history; and

iv) The reasons for the accumulation of past due amounts.

B) A low income customer as defined by this Part shall automatically qualify for financial inability under this subsection (e)(2).

C) For purposes of this subsection (e)(2), a "reasonable amount" shall be 20 percent of the amount past due and 20 percent of any deposit required by the utility.

3. However, the utility is not obliged to make payment arrangements extending beyond the following November. The utility shall allow the former customer a minimum of four months in which to retire the past due balance and a minimum of three months in which to pay the remainder of the deposit. The former customer shall also be informed that payment on the amounts past due and the deposit, if any, plus the current bills must be paid by the due date or the customer may be subject to disconnection of service.

f) Any payment agreement made shall be in writing, with a copy provided to the former customer. The renegotiation and reinstatement provisions contained in Sections 280.120 and 280.125 and the budget payment plan provisions of Section 280.80 shall also apply to payment agreements made pursuant to this Section.

g) Survey and Notice to Affected Customers:

1. Not later than September 15 of each year, every gas and electric utility shall conduct a survey of all former residential customers whose gas and/or electric service was used to provide or control the primary source of space heating in the dwelling and whose gas and/or electric services was terminated for non-payment of a bill or deposit from December 1 of the previous year to September 15 of that year and where service at that premises has not been restored.

2. Not later than October 1 of each year, the utility shall notify each of these former customers that the gas and/or electric service will be restored by the company for the coming heating season if the former customer contacts the utility and makes arrangements to pay the past due balance and any deposit to the utility under the conditions set forth in this Section.

3. A utility shall notify the former customer or an adult member of the household by personal visit, telephone contact or mailing of a letter by first class mail to the last known address of that former customer. The utility shall keep records which would indicate the date, form and results of the contact.

4. Any former customer who meets the eligibility requirements under subsections (a) and (b) shall be eligible for reconnection under this Section, regardless of whether the utility identified the former customer in the survey requirements of this subsection (g) and regardless of whether that former customer received notification under this subsection (g).

h) Not later than November 20 and May 20 of each year, each gas and electric utility that has former customers affected by this Section shall file a report with the Commission providing statistical data concerning numbers of disconnections and reconnections involving utility service and deposits, and data concerning the dollar amounts involved in these transactions. The Commission shall notify each gas and electric utility prior to August 1 of each year concerning the information which is to be included in the report for the following heating season.

i) In no event shall any actions taken by a utility in compliance with this Section be deemed to abrogate or in any way interfere with the utility's rights to pursue the normal collection processes otherwise available to it. [220 ILCS 5/8-207]

83 Ill. Adm. Code 280.190 Treatment of Illegal Taps

a) Intent: The purpose of this Section is to require the utility to investigate high bills resulting from an abnormal or unexplained increase in consumption alleged by a customer. The utility shall investigate the allegation, to the extent customer-owned facilities are readily visible or accessible, to determine the reason and whether the consumption is caused by an illegal tap or diversion of service.

b) Utility Investigation: When, within 30 days after receipt of a utility's bill, a customer alleges that the level of consumption is unreasonably high, the public utility furnishing natural gas, electricity or water to that customer shall investigate the allegation.

c) Notice of Investigation Results: If, as a result of the investigation, the public utility determines that a tap has been constructed on the pipes and/or wires of the customer, the utility shall attempt to notify the landlord, property owner or his or her agent and instruct that the tap be removed immediately. The customer shall also be provided with notice of the investigation results.

d) Disconnection of Service: This Section shall in no way prohibit a utility from disconnecting service if the utility determines that an unsafe condition exists.

e) Utility Determination of Benefitting Party: The utility shall also attempt to determine the identity of the party benefitting from the tapped service. The following procedures shall apply once the tap has been removed:

1. The customer whose pipes and/or wires had been tapped by a third party shall be billed by the utility according to the newly established usage pattern and/or degree day analysis, whichever is appropriate.

2. If the utility identifies the third party and finds that the third party is currently a customer of the utility on another account, the utility is authorized to bill that third party's account for the excess usage that is not attributable to the customer whose line had been tapped plus all related expenses incurred by the utility.

3. If the utility identifies the third party and finds that the third party is not a customer of the utility, the utility is authorized to bill that third party for the excess usage that is not attributable to the customer whose line had been tapped plus all related expenses incurred by the utility using the procedures established for the billing of unauthorized use of utility service.

4. In cases when the utility cannot determine the identity of the party benefitting from the tap, the utility may assign the dollar amount representing the excess usage and expenses to its bad debt account.

f) Construction Error: When the diversion of gas, electricity or water is the result of a construction error in the pipes and/or wires that is not the responsibility of the public utility, the accounts of the customers involved may be adjusted according to the newly established usage pattern and/or degree day analysis, whichever is appropriate.

g) When the customer of record benefitted from, cooperated in or acquiesced to the tap, the utility may collect all related expenses from the customer of record for the services associated with the tap.

83 Ill. Adm. Code 280.200 Tampering

a) Intent: Tampering with utility wires, pipes, meters or other service equipment is prohibited. The intent of this Section is to describe the process by which the utility shall bill the customer for the unauthorized usage when the utility has proof that the customer benefitted from tampering.

b) Proof: The utility has the burden of proving by a preponderance of the evidence that tampering has occurred with the utility's wires, pipes, meters or other service equipment, that the customer has benefitted from the tampering, and that the utility's billing is reasonable.

c) Investigation: When the utility has reason to suspect that tampering has occurred, it shall investigate without delay.

d) Notice to Customer: Once the utility has full proof of the tampering, it shall report to the customer the details of the investigation.

e) Remedy: As soon as the condition becomes known to the utility, it shall take steps to correct the condition and issue a corrected bill without delay. Pursuant to any tariffed meter tampering charge, before assessing the charge, the utility shall review the situation to determine if the person benefitting from the tampering was responsible either directly or indirectly for the tampering.

f) Timing: If tampering evidence extends to previous customers of record, the current customer shall not have to pay for the portions of the unauthorized usage that are attributable to the previous customers.

g) Record Keeping: The utility shall document and record the evidence that proves the tampering, and it shall save the full evidence proving the tampering for a minimum of three years from the date that the customer is issued a corrected bill for the tampering.

83 Ill. Adm. Code 280.205 Non-Residential Tampering

a) Intent: The provisions of Section 280.200 shall apply in cases of non-residential tampering. In addition, this Section shall provide the utility with immediate relief from further unauthorized usage of service by a non-residential customer.

b) Disconnection: When the utility has evidence proving the unauthorized use of non-residential service, it may disconnect service to the tampering customer until:

1. The utility or the customer removes the facilities that allow the customer to use service without paying for it. If the utility must remove the facilities, the customer shall pay the costs associated with the work; and

2. The customer pays for the unauthorized usage. The utility shall determine the amount of unauthorized usage and provide a bill to the customer without delay.

83 Ill. Adm. Code 280.210 Payment Avoidance by Location

a) Intent: With the understanding that a utility and its customers must deal in good faith with each other, this Section defines the process by which a utility may protect itself and its ratepayers from persons seeking to use a pattern of action to avoid payment for service used at a specific service location.

b) Conditions: Payment avoidance by location (PAL) applies only when all the following conditions occur:

1. a utility receives a new application for service at a service location;

2. a former customer who was disconnected for non-payment at the same service location still resides at the service location; and

3. the utility has proof that the new applicant for service also occupied the service location during the time the previous customer's debt accrued.

c) Exemption: Payment avoidance by location shall not include new owners and/or new tenants at a service location.

d) Notification of PAL: When a utility can demonstrate with evidence that a pattern of payment avoidance is occurring by a person or persons at a location, in order to invoke the protections of this Section, it shall provide the following notice:

1. The utility shall notify the person of the PAL allegation using the same method of contact by which that person contacted the utility.

2. The utility shall notify the person of the PAL allegation in writing. The written notification may be sent electronically if agreed upon by the utility and the person receiving the notification.

3. The notice shall be sent no later than two business days after the utility's decision to invoke the protections available to it under this Section.

4. The notice shall contain a detailed description of the problem and the facts and evidence that the utility has to support the PAL allegation.

5. The notice shall contain an explanation of the steps that the person must take in order to dispute or remedy the problem.

6. The notice shall contain the toll free number and contact information for the utility and the toll free number and contact information for the Commission's Consumer Services Division.

7. A duplicate copy of the notice shall be sent to the Commission's Consumer Services Division at the same time it is sent to the person.

e) Deposit: When a utility has proof that PAL is occurring, it may require the applicant to provide a deposit under the following conditions:

1. A deposit required under this Section shall be equal to ⅓ of the estimated annual charges for the premises.

2. The utility may require payment of the deposit in full prior to service.

3. The deposit shall earn interest as described in Section 280.40.

4. The deposit plus interest shall be refunded as described in Section 280.40.

f) Burden of Proof: It shall be the sole responsibility of the utility to prove with evidence that PAL has occurred. The person accused of PAL shall have the right to the full evidence possessed by the utility and the opportunity to present information to refute the allegations.

g) Data Collection and Maintenance: A utility that includes this Section as part of its practices shall collect the following data on a monthly basis and maintain the data for two years following its collection. The utility shall make the data available to Commission Staff within 30 days after a request from Staff:

1. The total number of instances in which the utility alleged that PAL occurred;

2. The total number of PAL instances in which the utility denied service;

3. The total number of PAL instances in which the utility required a deposit to begin service;

4. The total number of PAL instances in which the person successfully refuted the utility's evidence of PAL;

5. The total number of PAL instances in which the utility discovered that its evidence was inaccurate; and

6. The total number of PAL instances in which the person remedied the problem by payment of the arrearage accrued for disconnection of the previous customer.

83 Ill. Adm. Code 280.220 Utility Complaint Process

a) Intent: To provide utilities and customers with the ability to resolve complaints or appeal complaints that cannot be resolved directly between the parties.

b) Customer Contact: The customer must contact the utility and attempt to resolve the complaint directly with the utility before proceeding to the Commission's informal complaint process. The customer and the utility shall cooperate to resolve the complaint.

c) Methods of Contact: The utility shall maintain local and/or toll free telephone numbers; a mailing address to receive customer complaints and correspondence; and, when the utility has the capability, a means of receiving electronically submitted complaints.

d) Availability: The utility shall maintain regular business hours and staffing to answer all customer inquiries and complaints.

e) Complaint Response Timeline: The utility shall respond to complaints within 14 days after their receipt, with exceptions in which both the customer and the utility agree to an extension or in which the utility can demonstrate to the customer that more time is required by circumstances beyond its control.

f) Customer Payment During Complaint: If the complaint involves a dispute over the amount billed:

1. The customer shall pay the undisputed portion of the bill or an amount equal to last year's bill at the location for the same period normalized for weather;

2. The utility shall confirm the disputed portion and the amount to be paid by the customer; and

3. The utility shall note and set aside the disputed amount in its records for the account.

g) Late Fees:

1. No late fees may be assessed on any amount in dispute while the complaint remains unresolved.

2. No late fees may be assessed on a previously disputed amount so long as the customer pays the previously disputed amount within 14 days after the resolution of the complaint and so long as the complaint was made to the utility before the disputed amount became past due.

h) Third Party Services and Billing: If the customer's complaint involves a service or good provided by a party other than the utility and the third party uses the utility for billing purposes, then the utility shall make a record in its files of the complaint and advise the customer how to contact the third party. The utility shall refrain from applying a customer's payment towards any amount in dispute with a third party on the bill until the complaint involving that portion of the bill has been resolved.

i) Appeal to Supervisor:

1. If the customer requests a referral to a supervisor, the utility personnel shall note the account and make the referral the same day.

2. The supervisory personnel must respond to the customer without delay, and priority shall be given:

A) First to customer accounts that are disconnected or when a health or safety concern has been raised by the customer;

B) Second to customer accounts in jeopardy of disconnection; and

C) Third to all other supervisory referrals.

j) All customer complaints must be assigned a complaint number that shall be retained by the utility for two years.

k) Prohibition Against Disconnection: The utility shall not disconnect a customer's utility service during the pendency of a complaint for any amount or reason that is the subject of the complaint. However, nothing shall prevent the utility from disconnecting service for reasons of safety or cooperation with civil authorities.

l) Appeal to Commission Complaint Process: Once a final answer is provided to the customer, and, if the customer indicates non-acceptance of the response:

1. The utility shall advise the customer of the right to appeal the utility's answer to the Commission's Consumer Services Division for an informal complaint;

2. The utility shall provide the customer with the contact information for the Commission's Consumer Services Division; and

3. In the case of a pending disconnection, the utility shall refrain from disconnection for at least three business days to allow the customer to contact the Commission's Consumer Services Division.

83 Ill. Adm. Code 280.230 Commission Complaint Process

a) Intent: This Section provides utilities and customers with a process through the Commission's Consumer Services Division that allows the parties to settle a dispute without litigation; or to appeal an ongoing conflict that cannot be resolved informally to the Commission's formal complaint process.

b) Intake of Complaints by the Commission's Consumer Services Division:

1. Telephone or in person: The Consumer Services Division shall perform a customer interview and draft an informal complaint, including a description of the dispute and the relief sought. Telephone or in person informal complaints may also be taken from the customer's designated representative.

2. Writing: The customer or the customer's designated representative may submit informal complaints in writing, either electronically or through traditional mail or fax (if available), to the Consumer Services Division.

c) Presentation of the Complaint to the Utility:

1. Except as noted in subsection (c)(2), the complaint shall be submitted by the Consumer Services Division to the utility in writing and shall contain as much of the following information as is available: the customer's name, service address, mailing address if different from service address, phone number, account number, any alternative contact information; a description of the complaint; and the relief being sought by the customer.

2. If all the parties agree, the written informal complaint process may be waived, and the Consumer Services Division may work to resolve the complaint by immediate direct contact between the parties at the time the customer initiates the informal complaint.

d) Timeline to Answer:

1. The utility shall answer the informal complaint within 14 days.

2. The Consumer Services Division shall mark as "urgent" those informal complaints that should be handled by the responding party on a priority basis.

e) Extensions: By contact with the Consumer Services Division prior to the lapse of the 14 day response period, the utility may seek to extend the timeline for a response. Consumer Services Division Staff shall decide whether to grant the extension.

f) Utility Answer to the Informal Complaint:

1. Except when the parties agree to a non-written response, the utility's answer to the Consumer Services Division shall be made in writing and shall contain:

A) A detailed description of the utility's position on the complaint, including the reasons for taking the position;

B) If applicable, a reference to the section of the tariff, rule or law that supports the utility's position;

C) A description of any interaction between the utility and the customer in answering the informal complaint.

D) The amount of any adjustments to the customer's bill;

E) The results of any tests performed on the equipment serving the customer; and

F) Any additional information requested by the Commission Staff.

2. Review of answer with customer: After receipt of the utility response, the Consumer Services Division shall have 14 days to contact the customer to review the results of the informal complaint.

3. Ongoing dialogue/negotiations: Upon agreement of the customer and the utility, further discussion may occur between the parties after the response to the informal complaint.

g) Prohibition on Disconnection: The utility shall refrain from disconnecting a customer during an informal or formal complaint for any amount or reason that is the subject of the informal or formal complaint. However, nothing shall prevent the utility from disconnecting service for reasons of safety or cooperation with civil authorities.

h) Right to Appeal:

1. Except in situations in which to do so would cause the statute of limitations for filing a formal complaint to expire, any customer with a dispute arising under the jurisdiction of this Part shall first use the informal complaint process before proceeding with a formal complaint.

2. If the customer expresses non-acceptance of the response to the informal complaint, and further dialogue cannot secure an agreement, the Consumer Services Division shall advise the complainant of the right to escalate the informal complaint to the Commission's formal complaint process.

3. If the utility fails to respond to the informal complaint within 14 days, the customer may file a formal complaint in accordance with the Commission's Rules of Practice (83 Ill. Adm. Code 200).

4. Upon a customer's request for escalation to a formal complaint, the Consumer Services Division shall provide notice to the utility of the customer's intent to escalate the complaint.

5. Upon notice from Consumer Services Division of the customer's intent to file a formal complaint, the utility shall provide a minimum of 10 business days for the customer to file the formal complaint without disconnection of service. Nothing, however, shall prevent the utility from disconnecting service for reasons of safety or compliance with civil authorities.

i) Timeline to File a Formal Complaint to Seek Refund:

1. Excessive or unjust charges: All complaints for the recovery of damages shall be filed with the Commission within 2 years from the time the produce, commodity or service as to which complaint is made was furnished or performed. [220 ILCS 5/9-252]

2. Refunds for overcharges: When a customer pays a bill as submitted by a public utility and the billing is later found to be incorrect due to an error either in charging more than the published rate or in measuring the quantity or volume of service provided, the utility shall refund the overcharge with interest from the date of overpayment at the legal rate or at a rate prescribed by the Commission. Refunds and interest for such overcharges may be paid by the utility without the need for a hearing and order of the Commission. Any complaint relating to an incorrect billing must be filed with the Commission no more than 2 years after the date the customer first has knowledge of the incorrect billing. [220 ILCS 5/9-252.1]

83 Ill. Adm. Code 280.240 Public Notice of Commission Rules

Each utility shall provide notice to customers of the availability of Commission rules. Notice substantially in the form shown in Appendix C shall be posted on any utility web site and written notice shall be provided to customers annually. The notice to customers may be in the form of a bill message in which customers will be provided the opportunity to obtain copies of the Commission's rules upon request or by accessing the utility's website.

83 Ill. Adm. Code 280.250 Second Language Requirements

When there is a demonstrated need for second language notices in the service area of any utility, notices as set out in Appendices A and B sent to customers located within the area should contain the following warning in the appropriate second language: "Important – This notice affects your rights and obligations and should be translated immediately."

83 Ill. Adm. Code 280.260 Customer Information Packet

a) Intent: The utility shall develop customer information material and provide the material to customers without additional charge.

b) Content:

1. Description of the services provided; and

2. Customer rights and responsibilities under this Part, including, at a minimum:

A) A brief description of billing information such as frequency of billing, due dates, and electronic billing and other billing options;

B) A description of the estimated bill process;

C) Payment options, including budget payment plan and deferred payment arrangements;

D) Payment methods and locations;

E) Late fees;

F) Deposit requirements;

G) Disconnection and reconnection procedures;

H) Utility dispute procedures and escalation procedures if a dispute is not resolved;

I) Contact information for the utility;

J) Commission's Consumer Services Division's informal complaint procedures;

K) Contact information for the Commission's Consumer Services Division;

L) A statement that the Commission's rules apply to service standards and reliability;

M) Notice of the availability of the Commission's rules; and

N) That special rights are available to low income customers, and how to qualify for low income customer status.

c) Distribution:

1. Written copy sent or delivered to all new customers;

2. Written copy sent or delivered to customers upon request;

3. Material available on any utility web site; and

4. Notice that the material is available free of charge and instructions on obtaining material sent to all customers annually.

d) Filing with Commission: The material shall be kept current and a current copy shall be filed with the Manager of the Consumer Services Division. Any changes in the material shall be presented to the Manager of the Consumer Services Division at least 45 days prior to being made available to customers.

83 Ill. Adm. Code 280.APPENDIX A Disconnection Notice

Disconnection notices sent to customers shall be in red and substantially in the following form:

Issuance date: Effective date:

Utility name Customer name and address

Utility contact information Customer account number

URGENT!

This is a DISCONNECTION NOTICE!

Your utility service is in danger of disconnection because (reason for notice here, including past due amounts for which the service may be disconnected).

In order to stop disconnection, you must (detailed description of what customer must do in order to avoid disconnection; in lieu of detailed steps, utility may offer contact info where customer can immediately access complaint handling utility personnel). If you have recently paid, please contact us to confirm that the service will not be disconnected.

You can be shut off on or after (effective date), and you can still be shut off until (date notice expires) or we send you a new notice to replace this one.

Residential customers have certain rights regarding this notice, including the right to a deferred payment arrangement and the potential to stop disconnection for 60 days and start a medical payment arrangement if a doctor of local board of health contacts us directly on behalf of a patient living in your household. Please see the reverse side of this notice for further details of your rights.

You will lose many of your rights if you wait to do something until after disconnection.

If you have questions or concerns about this notice, please contact us immediately at: (utility contact information).

If we are unable to assist you, you have a right to contact and review your rights with the government agency that regulates us:

The Illinois Commerce Commission's Consumer Services Division can be reached at

1-800-524-0795 (TTY 1-800-858-9277).

83 Ill. Adm. Code 280.APPENDIX B Customer Rights

(Appearing on the reverse side of disconnection notices sent to residential customers)

Your rights and responsibilities regarding this notice:

Payment methods: (utility shall list available means or provide way to obtain available options).

Deferred Payment Arrangement (DPA): You may be eligible for a payment plan known as a DPA in order to prevent disconnection unless you failed to complete a previous DPA in the past 12 months. Please contact us at (contact info) to ask about payment options to avoid disconnection.

Reinstatement: You can reinstate a previous DPA that defaulted by catching up with all the payments that were due up to now. We may charge you a reinstatement fee unless this is your first time reinstating the DPA.

Renegotiation: If lose or change income, you may be able to renegotiate your DPA.

Financial Aid: Help with utility bills may be found in the Low Income Home Energy Assistance Program (LIHEAP). Along with the aid, LIHEAP qualification gives you extra rights. Contact LIHEAP at (current LIHEAP contact info). We may know of other aid available. To find out, contact us at (utility contact info).

Medical Certification: If you haven't used a medical certificate in the past 12 months or you paid off a previous medical certificate, a medical certificate from a doctor or local board of health can stop disconnection for 60 days or have service restored as long as they contact us within 14 days after shut off. The medical certificate must contain:

1. Name and contact information for the doctor or board of health;

2. Your service address and the name of the patient;

3. A statement that the patient lives at the address; and

4. A statement that disconnection of utility service will aggravate an existing medical emergency or create a medical emergency for the patient.

The doctor or local board of health can call us to certify, but they must provide a written medical certificate with the above information within 5 days after calling. The medical certificate also puts you on a medical payment arrangement to pay off the bill over time. The term of the payment plan will be better if we receive the certificate before your service is disconnected.

Active Duty Military: If someone living with you is on active U.S. military duty, State law offers certain protections for your electricity and natural gas service. Please contact us if someone in your household is on active duty.

Deposits: We can demand a deposit from you if we shut you off or if you pay late 4 times and carry a past due balance older than 30 days at any time in a 12 month period. The deposit will be about twice the size of your average bill, and you can pay it in 3 installments. You can be disconnected for not paying a deposit.

Reconnection: If we shut you off, your service will be restored when you pay in full or take care of the problem if we shut you off for something other than a bill or deposit. You may be required to pay a reconnection fee.

Complaints: If you have a complaint or problem with us, do not wait until after we shut you off to try to take care of it! If you contact us to try to take care of a problem, we must try to work with you to resolve or explain the problem. If we can't help you, you can contact the Illinois Commerce Commission's Consumer Services Division at: 1-800-524-0795 (TTY 1-800-858-9277). Before calling the ICC, you must try to work things out with us first. Please call us at (utility contact info).

Regulations: You can review the main set of rules that affect you at http://www.ilga.gov/commission/jcar/admincode/083/08300280sections.html.

83 Ill. Adm. Code 280.APPENDIX C Public Notice

RULES PERTAINING TO ELIGIBILITY FOR SERVICE, DEPOSITS, BILLING, PAYMENT, REFUNDS AND DISCONNECTION OF SERVICE

ILLINOIS COMMERCE COMMISSION

83 Ill. Adm. Code 280

Part 280, the rules and regulations of the Illinois Commerce Commission prescribing procedures governing eligibility for service, deposits, billing, payment, refunds and disconnection of service, is on file in the Commission offices and open to public inspection.

Copies of Part 280 in the Spanish language are available for inspection at the offices and online.

Any employee will direct you to the place where you may inspect a copy of Part 280 and will direct you to personnel assigned the duty of providing information about Part 280.

Copies of Part 280 may also be reviewed and/or obtained at the Commission's offices at 160 North LaSalle Street, Suite C-800, Chicago, Illinois 60601 or 527 East Capitol Avenue, Springfield, Illinois 62701 or at http://www.ilga.gov/commission/jcar/admincode/083/08300280sections.html.

83 Ill. Adm. Code 280.APPENDIX D Disconnection Notice Insert for Residential Gas and Electric Customers

Disconnection notices sent to residential gas and electric customers shall include an insert in substantially the following form:

IF YOU CANNOT PAY YOUR ENTIRE BILL NOW

READ THIS NOTICE ABOUT MAKING

ARRANGEMENTS TO PAY OVER TIME

What can I do if I cannot pay my entire bill now?

If you are a residential customer of a public utility and owe for past due service, you may have the chance to make an arrangement with the company to pay over time and avoid disconnection of your utility service.

These arrangements to pay over time are called "deferred payment arrangements" or "DPAs." A DPA will allow you to make a down payment towards the amount you owe and then make monthly payments at the same time as your regular bill payments in order to pay off the past due balance. You must contact the utility in order to see if you can make a DPA and protect your account from disconnection.

How much will my down payment be?

From April 1 through November 30, the utility may require 25% of the amount past due, unless you have qualified for Low Income Home Energy Assistance (LIHEAP).

LIHEAP qualified customers may be required to pay 20% of the amount past due.

From December 1 through March 31, the utility may require 10% of the amount past due to put you on a special Winter DPA.

How will the utility and I figure out how much I will pay each month on the DPA?

The total number of installments that you will pay will dictate how much each equal installment will be. The utility will consider the following in choosing how many installments to allow you:

1. how much you owe,

2. your ability to pay,

3. your payment history with the utility,

4. the reasons the amount became past due,

5. if you are LIHEAP qualified, and

6. any other factors that relate to the situation.

From April 1 through November 30, the utility will allow from 4 to 12 months of installments, unless you are LIHEAP qualified.

From April 1 through November 30, LIHEAP qualified customers are allowed 6 to 12 months of installments.

From December 1 through March 31, the utility must allow between a minimum of 4 monthly installments and a maximum number of installments that should not last past the coming November on its Winter DPA program.

Do I have to pay my regular bills in addition to the installments?

Yes. The DPA will default if you don't pay on time or if you don't pay both the full amount of the installment and the full amount of the current bill. Your bill will tell you the total amount to pay each month in order to keep the DPA going.

Can I be on a Budget Payment Plan at the same time as the DPA?

Yes. In fact, by averaging the yearly cost of your bills, this may be a good way to help you plan how much you will likely have to pay each month. Ask us about our Budget Payment Plan.

What happens if my DPA defaults?

If you default either by paying late or failing to pay the full installment and current charges, then your account can be subject to disconnection again after we send you notice.

Can I get back on the DPA after default?

Yes. As long as you have not been disconnected, by paying the total amount of the installments and current charges that are due up to the current date, you can reinstate the DPA. Reinstatement puts you back on the arrangements you originally made. We may charge you a reinstatement fee if you have to reinstate the DPA more than once.

What if my economic situation changes and I cannot afford the original DPA?

Renegotiation allows you to extend your original DPA for a longer term. In order to renegotiate your DPA, you must:

1. not currently be in default on the DPA,

2. have made at least the down payment to get on the DPA, and

3. be willing to discuss the change in your economic situation with us.

How many DPAs can one account have?

As long as your service is still on, you qualify for a DPA any time after you either:

1. complete the last DPA you had, or

2. 12 months have passed since you failed to complete the last DPA you had.

From December 1 through March 31, if your service is used to heat or control the source of heat in your home, then you can get on a Winter DPA for a 10% down payment as long as your service is still on. Heating customers qualify for a Winter DPA whether or not they successfully completed their last DPA.

How soon should I call about a DPA?

Call right away. Do not wait. If your service is shut off, you may not be able to get back on without paying everything you owe us past due. Even if you think you may not qualify for a DPA, please call to see if something can be worked out.

Chapter I Illinois Commerce Commission

Subchapter b Provisions Applicable to More Than One Kind of Utility

Part 281 Utility Service of Military Personnel in Military Service

83 Ill. Adm. Code 281.10 Scope and Application

This Part shall apply to electric and natural gas utilities and establishes procedures governing eligibility for protection of the households of military service members.

83 Ill. Adm. Code 281.20 Definitions

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

"Commission" means the Illinois Commerce Commission.

"Hardship to the consumer" means an installment payment amount that a gas or electric utility customer will be unable to pay due to a lack of available funds, provided that the amount in arrears to be placed on installment payments is owed by a residential customer at a premises where a service member had his/her primary residence immediately prior to being ordered into military service.

"Military service" means any full-time training or duty, no matter how described under federal or State law, for which a service member is ordered to report by the President, Governor of a state, commonwealth, or territory of the United States, or other appropriate military authority. [220 ILCS 5/8-201.5(a)]

"Service member" means a resident of Illinois who is a member of any component of the U.S. Armed Forces or the National Guard of any state, the District of Columbia, a commonwealth, or a territory of the United States. [220 ILCS 5/8-201.5(a)]

83 Ill. Adm. Code 281.30 Prohibition on Service Shut-Offs

No gas or electric utility shall for nonpayment stop gas or electricity from entering the residential premises that was the primary residence of a service member immediately before the service member was assigned to military service. [220 ILCS 5/8-201.5(b)]

83 Ill. Adm. Code 281.40 Eligibility

In order to be eligible for the benefits granted to service members under this Part, a service member must provide the utility with a copy of the orders calling the service member to military service in excess of 29 consecutive days and of any orders further extending the service member's period of service. [220 ILCS 5/8-201.5(c)]

83 Ill. Adm. Code 281.50 Proof of Primary Residence

a) If a service member is not the customer of record for the premises and the service member's copy of orders calling him or her into military service do not contain the primary residence of the service member, then a utility may require documentation to prove the primary residence of the service member immediately prior to the service member's order into military service. If the utility requires documentation, it may require no more than two proofs of address.

b) This documentation may include, but is not limited to, the following:

1. Leases;

2. Government issued identification;

3. Student identification;

4. Bank statements;

5. Mortgage statements;

6. Credit card statements;

7. Student loan statements;

8. Credit reports;

9. Pay stub or electronic deposit receipt;

10. Affidavit certifying residency;

11. Vehicle registration;

12. Phone book listing;

13. Other utility bill statements;

14. Voter registration;

15. Report cards; or

16. Official mail from a school or any unit of government.

83 Ill. Adm. Code 281.60 Installment Payment Arrangements

Upon return from military service of a service member, if the gas or electric utility account at the service member's primary residence has gone into arrears during the service member's service, the utility shall offer a period equal to at least the period of military service to pay the arrearage. The utility shall inform the residential consumer that, if the period the utility offers presents a hardship to the consumer, the consumer may request a longer period to pay the arrearages and may request the assistance of the Illinois Commerce Commission to obtain a longer period. [220 ILCS 5/8-201.5(d)]

83 Ill. Adm. Code 281.70 Prohibition of Late Fees and Interest

No late payment fees or interest shall be charged to the residential consumer during the period of military service or the repayment period. [220 ILCS 5/8-201.5(d)]

83 Ill. Adm. Code 281.80 Recovery of Uncollectible Costs

a) A gas or electric utility that does not have in effect an automatic adjustment clause tariff under either Section 16-111.8 or Section 19-145 of the Act may elect to recover its uncollectible costs incurred as a result of compliance with Section 8-201.5 of the Act in either of two ways:

1. file a tariff in conformance with Section 16-111.8 or Section 19-145 of the Act to recover the uncollectible costs incurred in compliance with Section 8-201.5 of the Act; or

2. defer its uncollectible costs incurred in compliance with Section 8-201.5 of the Act for cost recovery in its next general rate case.

b) A utility may only change its election under subsection (a) after petitioning the Commission pursuant to the Commission's Rules of Practice (83 Ill. Adm. Code 200).

c) The automatic adjustment clause tariff filed pursuant to subsection (a)(1) must include the provision that the utility will file an annual reconciliation petition as described further in Section 16-111.8(c) or Section 19-145(c) of the Act.

d) The automatic adjustment clause tariff filed pursuant to subsection (a)(1) must include the provision that the utility will submit an annual internal audit report to the Manager of the Commission's Accounting Department on or before August 31 of each year. The audit shall include, but not be limited to, the following tests:

1. test that costs recovered through the rider are not recovered through other approved tariffs;

2. test customer bills to determine that all uncollectible adjustment factors are being properly billed to customers in the correct time periods;

3. test that rider uncollectibles revenues are properly stated; and

4. test that costs classified as uncollectible expenses as reported in Form 21, Annual Report to the Illinois Commerce Commission, are being identified, recorded and properly reflected in the calculation of rates and reconciliations.

83 Ill. Adm. Code 285.110 Purpose

a) These standard information requirements are designed to assist the Staff of the Illinois Commerce Commission (Commission, ICC, or ILCC) to review filings for tariffed rate increases under Sections 9-201, 16-108 and 16-108.5 of the Public Utilities Act (Act) [220 ILCS 5/9-201, 16-108 and 16-108.5].

b) These standard information requirements do not bind the Commission to a decision based solely on data provided pursuant to this Part, and parties and Commission Staff may seek additional information through discovery.

c) Information required by this Part does not become part of the record unless admitted into evidence under applicable Commission Rules of Practice (83 Ill. Adm. Code 200).

History

• Source: Amended at 38 Ill. Reg. 7598, effective March 20, 2014

83 Ill. Adm. Code 285.111 Information to be Provided to the Chief Clerk

a) Notwithstanding any other provisions of this Part, a utility providing information to Commission Staff pursuant to this Part, except for information provided under subsection (b), shall also provide one copy of that information to the Chief Clerk in a format that complies with 83 Ill. Adm. Code 200.

b) A utility providing information to the Chief Clerk under this Section may designate portions of that information as information for which it intends to seek a protective order. This designated information shall be separated from the remainder of the information provided to the Chief Clerk.

c) Subject to subsections (c)(3) and (4), the Chief Clerk shall not provide any information designated for a protective order to parties in the rate case without utility permission, provided the utility requests a protective order for that information under 83 Ill. Adm. Code 200.430 by no later than the first status hearing in the rate case.

1. Any party shall have 21 days after the date of the request for a protective order to respond to the request, and the utility shall have ten days after the deadline date for filing responses to file its reply.

2. If the utility's tariffs are not suspended, the designated information shall not be released to any individual or entity by the Chief Clerk without the utility's permission.

3. The Staff of the Commission is entitled to review the designated information at any time.

4. Pursuant to 15 ILCS 205/6.5(d), the Illinois Attorney General has a statutory right to review the designated information.

d) Information provided to the Chief Clerk under this Section for which the utility has requested a protective order shall be treated by the Chief Clerk as directed in the protective order or other order or decision issued in response to the utility's request for a protective order.

e) The utility need not provide information to the Chief Clerk pursuant to this Section that is protected from disclosure by Illinois Supreme Court Rule 201(b)(2). However, in any case where a utility withholds information otherwise required to be provided by this Section, it shall provide the Chief Clerk a description of the information and a description of the basis for the assertion of the privilege claim.

f) Information provided to the Chief Clerk under this Section, for which a utility has indicated it will request a protective order, but for which no protective order is in fact requested by the utility, shall be released by the Chief Clerk to the parties to the rate case as if the utility had not indicated it would seek a protective order. However, any individual or entity other than a party to the rate case may gain access to that information only through a petition to the Commission in which the utility shall be named as the respondent.

g) Nothing in this Section shall be construed to prevent utilities and parties from entering into non-disclosure agreements in lieu of, or in addition to, the protective order process described in subsections (b) through (d).

History

• Source: Amended at 38 Ill. Reg. 7598, effective March 20, 2014

83 Ill. Adm. Code 285.112 Disclosure and Non-disclosure of Information

a) A utility providing information to the Director of the Financial Analysis Division or his/her designee under this Part may, when the information is filed, designate portions of that information as information for which it intends to seek a protective order.

b) Information that has been designated by a utility as that for which it intends to seek a protective order shall not be disclosed by Staff to any person outside the Commission other than representatives of the Illinois Attorney General pursuant to 15 ILCS 205/6.5(d) without utility permission, provided the utility requests a protective order for that information under 83 Ill. Adm. Code 200.430 by no later than the first status hearing in the rate case.

c) Information provided to Staff under this Part for which the utility has requested a protective order shall be treated by Staff as directed in the protective order or other order or decision issued in response to the utility's request for a protective order. Information provided to Staff under this Part, for which the utility has indicated it will request a protective order, but for which information no protective order is in fact requested by the first status hearing in the rate case, shall be treated by Staff as if the utility had not indicated it would seek a protective order.

d) The utility need not provide information to Commission Staff pursuant to this Part that is protected from disclosure by Illinois Supreme Court Rule 201(b)(2). However, in any case in which a utility withholds information otherwise required to be provided by this Part, by reason of assertion of a privilege, it shall provide a description of the information and a description of the basis for the assertion of the privilege claim.

e) Subject to the above limitations, Commission Staff is hereby authorized to prepare, from information provided under this Part, material for introduction into the record of any rate case and to disclose that information in connection with discharge of its responsibilities under the Act.

History

• Source: Amended at 38 Ill. Reg. 7598, effective March 20, 2014

83 Ill. Adm. Code 285.115 Definitions

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

“Affiliate” or “affiliated interests” means the entities defined in Section 7-101 of the Act [220 ILCS 5/7-101].

"Annual interest expense" equals annualized coupon interest plus annualized debt expense amortization plus (less) annualized discount (premium) amortization.

“Applicable service” means the service to which the requested rate changes apply and over which the Commission has authority to grant the request.

"Average data" means the arithmetic mean of beginning and end-of-year balances.

“Capital structure measurement period” refers to the period or point in time at which all long-term components of the capital structure are measured. This may differ from the “test year”.

"Carrying value" equals face amount of debt outstanding less (plus) unamortized discount (premium) less unamortized expense.

"Compensating balance" refers to the amount required by a bank for extending a loan. For purposes of this Subpart, the amount of Rural Telephone Finance Corporation (RTFC) stock purchased pursuant to an RTFC loan agreement shall be considered a compensating balance.

"Current proceeds" equals the sum of net proceeds at issue date less all interest or dividend payments, less all remarketing fees, less the cost of all principal retirements plus all interest or dividend income to date.

“Day” means calendar day unless otherwise specified.

"Direct payroll" means the amount of payroll costs initially charged to a given expense, capital or other account, exclusive of amounts charged in error and subsequently corrected, rather than amounts for payroll costs that were initially charged to a clearing or sundry account and subsequently charged into a given expense or capital account through a reallocation.

"Discount rate" refers to the internal rate of return.

"Gross proceeds" refers to the total price paid by stockholders.

"Interest requirement" equals the annualized interest payable on short-term debt.

"Internal rate of return method" refers to the calculation of the embedded cost of debt and preferred stock by equating the present value of cash flows associated with an issue to its current proceeds.

"Jurisdictional" means each portion of a utility's certificated service for which the Commission has regulatory authority.

"Long-term debt" refers to debt that matures more than one year after the issue date.

"Maturity date" refers to the date on which the principal amount of a debt security becomes payable or the termination date on which an installment loan must be paid in full.

"Monthly average data" means the arithmetic mean of the 12 monthly averages for the test year or prior years; each monthly average is the arithmetic mean of the beginning and end-of-month balances.

"Monthly balance" means the end-of-month balance.

"Net proceeds" equals principal, par or stated amount outstanding less (plus) discount (premium) less issuance expense.

"Net proceeds method" refers to the calculation of the embedded cost of debt by dividing annual interest by carrying value and to the calculation of the embedded cost of preferred stock by dividing annual dividend requirements by net proceeds.

"Non-utility" means any business, enterprise or activity not essentially and directly connected with the provision of utility service.

"Parent company" means any corporation holding the power to vote either a majority of the voting capital stock of a public utility, or a majority of the voting capital stock of a company that is a parent company by virtue of this definition.

"Preferred stock" includes both preferred and preference stock.

"Reacquired issue" refers to a security retired before its maturity date.

"Refunded issue" refers to a security retired before its maturity date with proceeds from another issue.

"Refunding issue" refers to a security issued to retire another security before the maturity date of the retired security.

“Service” means the specific product or support provided to customers, such as electric, gas, water, or wastewater.

"Short-term debt" refers to debt maturing within one year after the issue date.

"Sinking fund" refers to an account established for the redemption of debt or preferred stock securities at a prescribed date and amount.

"Tariffed rates" means those rates or other charges on file with and approved by the Commission that generate the utility's gross operating revenues for any of the utility’s authorized services, including, but not limited to, energy, delivery, transmission, metering, and bundled services. Tariffed rates, however, do not include rates and charges that can be changed pursuant to conditions set forth in the utility's tariffs. Examples of rates or other charges that can be changed pursuant to conditions set forth in the utility's tariff include, but are not limited to, rates pursuant to the purchased gas adjustment clause, the fuel adjustment clause, purchased water and purchased sewage treatment clauses.

"Total company" refers to a utility and its ownership interest in all subsidiary companies.

"Utility" means a public utility as defined by Section 3-105 of the Act [220 ILCS 5/3-105]. "Utility", unless the context indicates differently, includes "telecommunications carriers" as defined in Section 13-202 of the Act [220 ILCS 5/13-202].

83 Ill. Adm. Code 285.120 Applicability

a) Unless otherwise specified, the standard information requirements are applicable to all utilities under the jurisdiction of the Commission filing for a change in tariffed rates that increases annual revenue 1.0% or more when comparing revenue as first calculated using current authorized rates against the revenue that is calculated using the requested rates. The standard information requirements are also applicable to increases of less than 1% if cumulative filings, including the current filing, over the previous 12 month period would increase revenues by 1% or more. If certain rates are not to be changed by the utility’s request, revenues resulting from the application of those rates are to be included in the comparison, provided that the rates that are not changing are a component of the applicable service for which the utility is seeking a rate change.

b) The standard information requirements are not applicable to filings for competitive service, for other services over which the Commission lacks jurisdiction for rate setting, or for reclassifying a previously noncompetitive service to competitive service. Such filings are to be made, where applicable, in accordance with the applicable provisions of the Act.

c) The standard information requirements are not applicable to telecommunications carriers that have no more than 35,000 subscriber access lines. Such carrier's filing requirements are subject to the provisions of Section 13-504 of the Act [220 ILCS 5/13-504].

d) The standard information requirements are not applicable to electric, gas, water, or sewer utilities that provide utility service to no more than 35,000 customers. When determining if a utility serves no more than 35,000 customers, all customers of that utility shall be counted, regardless of the type of service provided or the jurisdiction under which a customer is provided service, except that no customer shall be counted more than once.

e) The standard information requirements are not applicable to utilities requesting a staff review, examination, and evaluation of its books, records and operations prior to the filing of a general rate case pursuant to the notice requirements of 83 Ill. Adm. Code 255.20(g). (See Section 9-201(a) of the Act [220 ILCS 5/9-201(a)].)

f) Unless the context of Article XIII of the Act [220 ILCS 5/Art. XIII] clearly renders such provisions inapplicable, the ratemaking provisions of Article IX of the Act [220 ILCS 5/Art. IX] relating to public utilities and the standard information requirements are fully applicable to telecommunications carriers.

83 Ill. Adm. Code 285.130 Minimum Requirements

a) Utilities shall submit the standard information requirements at the time of making any filing that meets the criteria of Section 285.120(a). The standard information requirements provide minimum information normally required to support a utility's filing. If the utility believes that further information, in addition to pre-filed testimony and exhibits, is necessary to support its case or is proposing a position that requires a departure from the basic schedules (e.g., a special revenue adjustment proposal), it is the utility’s responsibility to supplement the standard information requirements as necessary to support its position.

b) Rather than submitting each schedule with a separate notation that the schedule is not required or is not applicable, a utility shall identify all such exceptions on Schedule A-1.

83 Ill. Adm. Code 285.140 Waiver of Standard Information Requirements

a) A petition for waiver of any provisions of the standard information requirements shall be filed with the Commission. The Commission shall list all waivers requested on the Report of Daily Filing. If an order on the waiver request is not entered within 60 days after the date it was filed, the waiver request shall be deemed to have been granted. The granting of any waiver of provisions of the standard information requirements shall not be a bar to parties and Commission Staff seeking that information through discovery.

b) A request for waiver of any of the provisions of the standard information requirements shall be verified and must set forth the specific reasons in support of the request. A request for waiver shall be granted upon good cause being shown by the utility. While other factors may be considered, and shall be mentioned if considered, the following factors shall be considered:

1. Whether other information available in the rate filing permits a review of the rate filing in a complete and timely manner;

2. Whether other information, that the utility would provide if the waiver is granted, permits a review of the rate filing in a complete and timely manner;

3. The degree to which the information that is the subject of the waiver request is maintained by the utility in the ordinary course of business or is available to it from the information that it maintains; and

4. The expense to the utility in providing the information that is the subject of the waiver request.

83 Ill. Adm. Code 285.145 Compliance

a) Within 35 days after the date of filing the tariffs, the Director of the Administrative Law Judges Division of the Commission or the assigned Administrative Law Judge shall provide a written list of any deficiencies in the materials submitted pursuant to this Part to the utility with two copies to the Director of the Financial Analysis Division. The utility shall have 28 days after receipt of the list of deficiencies to submit the additional information to the assigned Administrative Law Judge and the Director of the Financial Analysis Divi­sion. If a utility does not intend to supply the information requested in the list of deficiencies, it shall notify the Director of the Administrative Law Judges Division of the Commission or the assigned Administrative Law Judge of its intention within 10 days after its receipt of the list of deficiencies.

b) If the utility fails to comply with this Part, after having been notified in writing, and fails to provide to the Director of the Administrative Law Judges Division of the Commission or the assigned Administrative Law Judge the requested information, the failure could result in a citation or other enforcement pursuant to law for failure to comply with this Part. In determining whether to take enforcement action, the Commission shall consider, among other things:

1. Any explanation that may be provided by the utility;

2. The Commission's need for the information;

3. The difficulty to the utility of providing the information, including the cost of compliance to the utility; and

4. The utility’s previous record of compliance with the requirements of this Part and the utility’s efforts at cooperation with the Commission and its Staff.

83 Ill. Adm. Code 285.150 General Information Requirements to Be Available

The utility shall make the following information available to the Commission Staff at the utility's office:

a) The work papers of the independent auditor related to the utility's most recent fiscal year for which an audit has been completed and the test year used in the current filing. If no independent auditor’s opinion is expressed on the utility alone, then the audit workpapers for the utility’s parent shall be made available. The work papers shall include engagement letters, representation letters, and additional correspondence between the utility and the independent auditor regarding the engagement;

b) Information directly or indirectly supporting the utility's testimony, exhibits, and standard information requirements submitted in conjunction with the utility's filing for a tariff rate increase, such as workpapers, invoices, the general ledger, schedules, other supporting data, etc.;

c) All minutes of board of directors meetings for the utility and all minutes of board of director meetings for its parent and all other affiliated interests to the extent those minutes relate to transactions listed in Section 285.3150 between the utility and such affiliated interests and a list of all other affiliated interests defined by Section 7-101 of the Act [220 ILCS 5/7-101];

d) List of all internal audits and all audits by outside entities performed during the past three years. The list will include the title of the audit, the scope of the audit, and the date of the audit report;

e) Any written communications from the independent auditor received by the utility since the last rate case that indicates the existence of any material weakness in the utility's internal controls;

f) Information pertaining to legal matters, defined as any case or lawsuit whose potential liability is greater than $100,000, included within any reserve or test year operating expense as follows:

1. Filing date of case or lawsuit;

2. Description of case or lawsuit;

3. Amount of any damages sought;

4. Amount of any damages awarded, if any;

5. Estimated liability and amount included in any reserve or expense account in the test year; and

6. Status of case or lawsuit.

g) The most recently filed federal income tax return (If the utility is part of an affiliated group of companies and its federal income tax information is filed as part of a consolidated federal income tax return, the utility shall provide for review both the consolidated federal income tax return and the utility's information return prepared to support the consolidated federal income tax return.);

h) The most recently filed State income tax return (If the utility files its Illinois state income tax as part of a unitary business group; the utility shall provide for review the unitary business group's Illinois State income tax return and the utility's information return prepared to support the unitary busi­ness group's Illinois State income tax return.);

i) Existing accounting procedures manual or guidelines that describe the utility's policy, rules, and accounting treatment, including, but not limited to, the following subjects: construction work in progress, accumulated depreciation, advances, contributions in aid of construction, customer deposits, capital and operating leases, and materials and supplies related to construction;

j) Current contracts with outside collection agencies;

k) Current organizational chart of the utility that includes the names of all employees primarily concerned with regulatory affairs and the names of all supervisors in those departments primarily concerned with accounting, rates, finance, or budgeting;

l) All minutes of board of directors audit committee meetings for the utility and all minutes of the board of directors audit committee meetings for its parent to the extent those minutes relate to transactions listed in Section 285.3150 between the utility and any affiliated interest;

m) Executive compensation for each of the three consecutive years immediately preceding the test year and the test year. Information provided for each of the highest-paid five officers and the total of all officers other than the five listed shall include:

1. Annual base salary including deferred amounts;

2. Bonus, performance shares, or other variable amounts;

3. Value of stock options awarded;

4. Benefits (cash value of special life insurance or medical benefits not provided to other employees);

5. Other, such as use of company car, company airplane, purchase discounts, club memberships, etc.; and

6. Value of agreements to executives resigning during the year;

n) A listing of all incentive compensation and year-end bonus plans provided to employees. The number of years of information provided shall be according to the test year proposed as directed in Section 285.3000(e). Information provided shall include:

1. A description of the incentive compensation plans and year-end bonus plans, including goals and achievement levels for each plan;

2. For each plan, the employee classification (e.g., all, executives, all union, pipe-fitters local, salaried, etc.) included in the plan;

3. Costs associated with each plan;

4. Total cost of all plans;

5. Amount expensed for all plans;

6. Percentage of total cost of all plans expensed;

7. Amount capitalized for all plans;

8. Percentage of total cost of all plans capitalized;

9. Amount capitalized;

10. Percentage capitalized;

11. Amount expensed; and

12. Percentage expensed.

83 Ill. Adm. Code 285.160 Instructions for the Provision of Standard Information Requirements to Commission Staff

a) Unless otherwise indicated, the utility shall deliver in electronic format to the Director of the Financial Analysis Division or his/her designee the standard information requirements listed in this Part, but not including the general information requirements to be made available pursuant to Section 285.150, on or before the day of filing proposed tariffs resulting in an increase in tariffed rates as defined in Section 285.120(a). If a standard information requirement was provided to the Commission Staff prior to the day of filing the proposed tariffs or in a prior case before the Commission, the utility shall indicate the submittal date and to whom the information requirement was submitted on Schedule A-1, Tariff Filing Summary. Future reports required by Section 285.305(k) through (p) shall also be delivered in electronic format to the Case Manager as the documents become available during the proceeding. The delivery may be, in whole or in part, by one or more of the following: by personal delivery; by mail including overnight courier; by electronic mail; and by making the material available by file transfer protocol (ftp) (the material delivered by ftp may, in whole or in part, be on a disc, including CD or DVD).

b) The standard information requirements provided to the Staff of the Commission as described in subsection (a) shall be provided in an electronic format that adheres to the Office Open XML specification as defined by ISO/IEC 29500, which can be created in Microsoft Office 2007 or newer. Tariffs provided to Staff in Microsoft Word may contain draft watermarks or other non-substantive alterations from the official versions filed as Schedule E-1 and Schedule E-2. Information not able to be provided in Microsoft Word, PowerPoint or Excel electronic format with working formulae shall be provided in Adobe PDF version 1.7 or newer as defined by ISO 32000-1:2008, which can be created in Acrobat 8.0 or newer. The types of standard information requirements that may not be able to be provided in Microsoft Word, PowerPoint or Excel include the following:

1. Contracts;

2. Reports or documents submitted to a regulatory agency or a taxing authority;

3. Reports or documents provided to an outside entity or to the investment community;

4. Reports, documents or invoices received from an outside entity;

5. Organizational charts;

6. Maps;

7. Managerial reports, including financial statements;

8. Presentations;

9. Company policies, guidelines or manuals;

10. Advertising campaigns and scripts; and

11. Budgets or forecasts and subsequent amendments.

c) If requested, the utility shall also deliver to the Staff of the Commission up to three paper copies of the standard information requirements within seven days after the request.

History

• Source: Added at 38 Ill. Reg. 7598, effective March 20, 2014

Chapter I Illinois Commerce Commission

Subchapter b Provisions Applicable to More Than One Kind of Utility

Part 285 Standard Information Requirements for Public Utilities and Telecommunications Carriers in Filing for an Increase in Rates

83 Ill. Adm. Code 285.165 Instructions for the Provision of Standard Information Requirements to the Administrative Law Judge

Deliver one paper copy of the standard information requirements, but not including the general information requirements to be made available pursuant to Section 285.150, to the Bureau Chief of the Administrative Law Judges or his/her designee on or before the day of filing proposed tariffs resulting in an increase in tariffed rates as defined in Section 285.120(a).

History

• Source: Added at 38 Ill. Reg. 7598, effective March 20, 2014

83 Ill. Adm. Code 285.300 Instructions

Documents shall be labeled with the applicable Section and subsection designation. For example, the chart of accounts shall be labeled "285.305(d)".

History

• Source: Amended at 38 Ill. Reg. 7598, effective March 20, 2014

83 Ill. Adm. Code 285.305 General Information Requirements Applicable for All Utilities Subject to this Part

The information listed in this Section is required from all utilities subject to this Part.

a) Company description, including:

1. A corporate history including dates of incorporation and subsequent acquisitions and mergers;

2. An organizational chart depicting inter-company relationships; and

3. A system map indicating all cities, counties, and any other government subdivision to which service is provided.

b) Docket number for the most recent rate order from each regulatory entity, other than this Commission, having jurisdiction over the utility, for each type of regulated service offered by the utility.

c) Each monthly managerial report providing financial results of operations for each of the past 12 months and each of the eight subsequent months as it becomes available.

d) Current corporate chart of accounts and subaccounts, listing Commission account numbers, utility account numbers (if different), and description.

e) Summary of the depreciation study supporting the rates used to calculate depreciation expense reflected on Schedule C-1. If no depreciation study exists, provide an explanation of the depreciation rates.

f) Each labor contract, union and non-union, to which the utility is currently a party and any labor contract that has been signed but has a future effective date.

g) Most recent actuarial report supporting post-retirement benefits, including pensions and post-retirement benefits other than pensions.

h) A list of all private letter rulings received from the Internal Revenue Service since the utility's last rate filing before the Commission.

i) A list of any reports or studies prepared for the utility by outside professional consultants or analysts during the last three years with a cost the lesser of .1% of the total utility annual revenues or $500,000. The list shall include the report/study date, consultant name, subject of the report/study, cost of the report/study, and accounts charged.

j) Most recent presentation to securities analysts by the utility and any parent company. The utility may exclude any portion of that presentation that neither directly nor indirectly relates to the utility and its subsidiaries.

k) Most recent report for investors that presents operating and financial statistics of the utility or any parent company or both and is not elsewhere described in this Section.

l) Most recent Securities and Exchange Commission (SEC) Form 10-K of the utility and any parent company in paper copy.

m) All SEC Form 8-Ks issued subsequent to the SEC Form 10-K (subsection (l)) of the utility and any parent company in paper copy.

n) All SEC Form 10-Qs issued subsequent to the SEC Form 10-K of the utility and any parent company as referenced in subsection (m) in paper copy.

o) Most recent prospectuses of common stock, preferred stock, and bond offerings of the utility and any parent company in paper copy.

p) Most recent proxy statement of the utility and any parent company in paper copy.

History

• Source: Amended at 38 Ill. Reg. 7598, effective March 20, 2014

83 Ill. Adm. Code 285.310 General Information Requirements Applicable for Electric Utilities

The information listed is required of electric utilities only.

a) For utilities with generating plants included in rate base in the test year, inventory policies on coal and oil that will be in effect during the test year.

b) For utilities with generating plants included in rate base in the test year, all studies performed by the utility or relied upon by the utility to determine its optimal fossil fuel inventory level. Include the economic justification for the fossil fuel inventory level that is being requested.

c) Each electric utility subject to this Part using a future test year shall prepare an analysis of historical and forecasted levels of peak demand and energy usage that includes:

1. System peak demand and total energy usage (actual and weather adjusted) for the previous five years;

2. Forecasted peak demand and energy usage for the future test year;

3. An historical and projected analysis of the utility's typical daily load shape by season for the previous five years and for the forecasted test year;

4. Disaggregation of historical data and forecasts by customer class and end-use where information permits;

5. An analysis of actual and expected interruptible demand, including actual interruptions occurring during the last five years;

6. An analysis of the expected impact of cogenerators and self-generators on peak demand and energy usage for the forecasted test year. The analysis shall include the number of customers with this capacity, their capacity rating, and their contracted peak and total energy demand; and

7. An assessment of the impact on actual and forecasted peak demand and energy usage from existing company-sponsored and government-sponsored or mandated conservation or load management programs. This assessment shall attempt to separate conservation and load management due to these programs from those that would have occurred in the absence of these programs.

d) Each electric utility subject to this Part using a historic test year shall prepare an analysis of historical levels of peak demand and energy usage that includes:

1. System peak demand and total energy usage (actual and weather adjusted) for the previous five years;

2. A historical analysis of the utility's typical daily load shape by season for

the previous five years;

3. Disaggregation of historical data by customer class and end-use where information permits;

4. An analysis of actual interruptible demand, including actual interruptions occurring during the last five years;

5. An analysis of the impact of cogenerators and self-generators on peak demand and energy usage. The analysis shall include the number of customers with this capacity, their capacity rating, and their contracted peak and total energy demand; and

6. An assessment of the impact on actual peak demand and energy

usage from existing company-sponsored and government-sponsored or mandated conservation or load management programs. This assessment shall attempt to separate conservation and load management due to these programs from those that would have occurred in the absence of these programs.

History

• Source: Amended at 38 Ill. Reg. 7598, effective March 20, 2014

83 Ill. Adm. Code 285.315 General Information Requirements Applicable for Gas Utilities

The information listed in this Section is required of gas utilities only. Provide forecasted peak design day, the estimated amount of available peak day supply and the reserve margin during the test year. List and explain all criteria used by the utility as a basis for each of these values and provide all associated workpapers.

History

• Source: Amended at 38 Ill. Reg. 7598, effective March 20, 2014

83 Ill. Adm. Code 285.320 General Information Requirements Applicable for Telecommunications Carriers Subject to this Part

The information listed in this Section is required of telecommunications carriers only.

a) A list of all filings with outside regulatory agencies, such as the Federal Communications Commission (FCC), during the last three years, the date, and description of the filing.

b) Most recent FCC Form M.

History

• Source: Amended at 38 Ill. Reg. 7598, effective March 20, 2014

83 Ill. Adm. Code 285.325 General Information Requirements Applicable for Water and/or Sewer Utilities

The information listed in this Section is required of water and/or sewer utilities.

a) Monthly flows received at the sewage treatment plant for the last three years.

b) Peak day and peak hour (if available) water flows for the last three years.

History

• Source: Amended at 38 Ill. Reg. 7598, effective March 20, 2014

83 Ill. Adm. Code 285.400 Schedules

a) Schedules shall convey the information required by the standard information requirements. Schedules shall not be handwritten. Additional schedules shall be submitted as necessary to support the utility's request for a general rate increase; these schedules shall be identified by the next unassigned schedule number in the appropriate Section.

b) Applicable Data

1. The schedules shall show total company data and applicable service data unless otherwise specified.

2. The description of each schedule indicates the periods for which information shall be provided. The utility may provide the data on the number of pages necessary to provide the information.

3. The prior year is defined as the 12 month period immediately preceding the test year. If a future test year is selected, the schedule shall indicate by footnote the number of months of actual and forecasted data included within the first prior year.

History

• Source: Amended at 38 Ill. Reg. 7598, effective March 20, 2014

83 Ill. Adm. Code 285.410 Work Papers

a) The requirements of each schedule establish the minimum information to be provided as work papers. If additional information supports the testimony, exhibits, or schedules, the requirements of this Part shall not limit the information submitted.

b) It is not necessary that workpapers be prepared specifically to satisfy the requirements of this Part.

c) If the required information is provided in testimony, it is appropriate to reference by footnote on the schedule the citation for the required information. Work papers reflecting duplicative information are not necessary.

d) All work papers shall:

1. Be referenced to the appropriate standard information requirement schedules in accordance with the work paper reference system described in Appendix A;

2. Contain the name of the person responsible for the work paper and the date prepared; and

3. Be cross-referenced wherever possible to minimize duplication of data.

e) When assumptions are made in determining work paper schedule amounts, narrative or other support shall be included so that the reasonableness of the work paper can be reviewed.

f) The referencing system described in Appendix A of this Part shall be used for all work papers. A maximum of six position codes shall be used; when positions 5 and 6 are not required, they shall be left blank.

History

• Source: Amended at 38 Ill. Reg. 7598, effective March 20, 2014

83 Ill. Adm. Code 285.1000 Schedule A-1: Summary of Standard Information Requirements

Schedule A-1 shall provide the following information:

a) Utility name;

b) Segment of operations and functional service (distribution, bundled, metering, etc.) requesting change in rates;

c) Tariff filing date;

d) Test year type;

e) Test year;

f) Utility representative, address, e-mail address, and telephone number to contact in regard to the tariff filing or the materials submitted pursuant to this Part;

g) Alternate utility representative, address, e-mail address, and telephone number;

h) Name, address, e-mail address, and telephone number of the utility’s attorney to contact in regard to the tariff filing or the materials submitted pur­suant to this Part;

i) Change requested for the applicable service:

1. Dollars; and

2. Percentage;

j) List of schedules, workpapers, and general information requirements not provided, indicating whether the standard information requirement was waived, including date requested and date granted, whether the requirement was previously submitted, including to whom the information was previously submitted and the date, or whether the information is not applicable, including the reason that the information is not applicable.

83 Ill. Adm. Code 285.1005 Schedule A-2: Overall Financial Summary

a) Schedule A-2 summarizes the calculation supporting the increase in revenue requirements requested by the utility for the test year. Provide the following information for each applicable service:

1. Applicable service original cost rate base;

2. Applicable service operating income at present rates;

3. Applicable service rate of return;

4. Cost of capital;

5. Applicable service operating income at proposed rates;

6. Applicable service income deficiency;

7. Applicable service gross revenue conversion factor (before add-on charges for revenue taxes);

8. Applicable service revenue increase requested; and

9. Applicable service revenue increase including add-on revenue taxes.

b) Where rates are being sought for more than one applicable service (e.g., electric bundled, gas bundled, gas delivery, electric metering, water, or sewer) or different rates for each jurisdictional service area (e.g., district, division), a separate A-2 shall be provided for each utility applicable service or service area.

83 Ill. Adm. Code 285.1010 Schedule A-2.1: Computation of Jurisdictional Gross Revenue Conversion Factor

Provide a detailed calculation of the jurisdictional gross revenue conversion factor used in Schedule A-2. Calculation shall be based on tax rates applicable to the test year.

83 Ill. Adm. Code 285.1015 Schedule A-3: Comparison of Present and Proposed Rates

a) Data required from utilities, excluding telecommunications carriers by effective rate classification, on a jurisdictional pro forma basis:

1. Average number of customers;

2. Number of units sold;

3. Revenue at present rates excluding add-on revenue taxes;

4. Revenue at proposed rates excluding add-on revenue taxes;

5. Difference in revenue, in dollars; and

6. Percentage change in revenue.

b) Data required from telecommunications carriers by accounting revenue classification, segregated between competitive and noncompetitive services (excluding non-regulated service revenues):

1. Historical revenues;

2. Revenue at present rates excluding add-on revenue taxes;

3. Revenue at proposed rates excluding add-on revenue taxes;

4. Difference in revenue, in dollars; and

5. Percentage change in revenue.

c) Where rates are being sought for more than one applicable service (e.g., electric bundled, gas bundled, gas delivery, electric metering, water, or sewer) or different rates for each jurisdictional service area (e.g., district, division), a separate A-3 shall be provided for each utility applicable ser­vice or jurisdictional service area.

83 Ill. Adm. Code 285.1020 Schedule A-4: Comparison to Prior Rate Order

a) Schedule A-4 compares jurisdictional information on Schedule A-2, Overall Financial Summary, with the findings by the Commission in the utility's prior rate order for the same utility applicable service and jurisdictional service area for which a change in rates is sought with this filing. Provide a brief explanation of changes in conditions from the prior rate order that necessitated the filing for a change in tariffed rates.

b) Where rates are being sought for more than one applicable service (e.g., electric bundled, gas bundled, gas delivery, electric metering, water, or sewer) or different rates for each jurisdictional service area (e.g., district, division), a separate A-4 shall be provided for each utility applicable service or jurisdictional service area.

83 Ill. Adm. Code 285.1025 Schedule A-5: Jurisdictional Allocation Summary

Provide a jurisdictional allocation cost summary based on costs for the test year. The jurisdictional allocation summary shall allocate the test year costs of the total company to each of the utility’s applicable services. Each applicable service and utility service for each service area where separate rates are maintained would be a separate jurisdictional service classification. In addition, utility services under each jurisdiction other than the Commission (e.g., FERC, FCC, another public utility commission) would be a separate jurisdictional service classification.

a) Information provided on Schedule A-5 shall be in accordance with the following instructions:

1. Costs shall be functionalized by account or group of similar accounts that are allocated on the same basis (Accounts shall be as defined by the Commission’s Uniform System of Accounts, 83 Ill. Adm. Code 415 for the electric utilities; 83 Ill. Adm. Code 505 for the gas utilities; 83 Ill. Adm. Code 710 for the telecommunications carriers; 83 Ill. Adm. Code 605 for the water utilities; or 83 Ill. Adm. Code 650 for the sewer utilities).

2. The total company costs allocated to each jurisdiction shall be consistent with the unadjusted total company balance at present rates reflected on Schedule C-1.

3. All allocation factors used in the allocation of total company costs shall be listed, including factors for the Illinois jurisdiction and applicable service for which a requested increase in rates is being proposed and for each of the other jurisdictions.

b) Supporting work papers shall include:

1. Work papers supporting all allocations included in subsection (a); and

2. A description of the allocation methodology that includes the following:

A) The derivation of all allocation factors; and

B) The basis for all direct assignments of costs in the study.

c) Telecommunications carriers may satisfy the requirement for Schedule A-5 by providing a separations study that would allocate expenses and investment between its intrastate and interstate jurisdictions. Supporting work papers shall include the separations study.

83 Ill. Adm. Code 285.2000 Rate Base Instructions

a) Account classifications. All utilities, as applicable, must comply with the Uniform System of Accounts approved by the Commission as 83 Ill. Adm. Code 415, 505, 605, 650, and 710.

b) Separate rate base schedules must be provided for each applicable service and for each service area for which separate tariffs exist (e.g., district, division, etc.) where a requested change in rates is being proposed.

c) All schedules shall reflect data for the 12 month periods ending on the same date as the ending date of the test year.

d) Information supporting the requested rate base shall be presented in a manner consistent with the methodology utilized to derive the rate base.

e) If a rate base component is derived from average data, the utility shall provide work papers that present all balances used to derive the rate base component.

83 Ill. Adm. Code 285.2005 Schedule B-1: Jurisdictional Rate Base Summary by ICC Account

a) Schedule B-1 shall present, by ICC Account with appropriate subtotals, data for the jurisdiction for which a rate increase is requested for the test year. Where rates are being sought for more than one applicable service or for more than one service area (e.g., district, division), a separate B-1 shall be provided for each utility service type and/or service area. Information provided shall include:

1. ICC Account number;

2. ICC Account description;

3. Amount included in the unadjusted test year jurisdictional rate base;

4. Amounts of any adjustments; and

5. Amount included in the pro forma jurisdictional balance.

b) The presentation of each rate base component shall include the unadjusted total company balance, the total of all adjustments to each rate base component, and the applicable service pro forma balance. The source for the unadjusted balance shall be the general ledger for a historical test year as defined in 83 Ill. Adm. Code 287 or the utility's forecast for a future test year as defined in 83 Ill. Adm. Code 287. The resulting jurisdictional pro forma balance shall represent that level of rate base investment attributable to the provision of services to jurisdictional customers.

c) The components of rate base shall include, but not be limited to, the following:

1. Gross utility plant in service at original cost;

2. Reserve for accumulated depreciation;

3. Net utility plant in service;

4. Other individual items comprising rate base separately listed, such as working capital, construction work in progress included in rate base, customer advances, and accumulated deferred income taxes; and

5. Total rate base.

d) All items shall be supported by schedules. If the item requires a schedule other than as described by the standard information requirements, a schedule shall be provided that includes the following:

1. Dollars involved by account; and

2. Reasons for additions or deletions to rate base.

e) If the rate base components of a future test year are not derived from average data for the test year or from monthly average data, provide work papers supporting Schedule B-1 that reflect the 13 month-end balances of all rate base items commencing with the month-end balance for the month prior to the beginning of the test year and ending with the month-end balance for the last month of the test year.

83 Ill. Adm. Code 285.2010 Schedule B-2: Summary of Utility Adjustments to Rate Base

Provide the individual adjustments to rate base included within the aggregated total adjustment amount reflected on Schedule B-1. Each adjustment shall indicate the impact upon each component of rate base. Reference each adjustment to the appropriate supporting schedule. The adjustment to remove the non-jurisdictional portion of rate base, if appropriate, shall be included within the aggregated total adjustment.

83 Ill. Adm. Code 285.2015 Schedules B-2.1, 2.2, 2.3, etc.: Detailed Adjustments to Rate Base

a) Provide for each adjustment included on Schedule B-2 a separate schedule showing:

1. Title of adjustment;

2. Description of adjustment;

3. Summary calculations supporting the adjustment;

4. Reference to supporting work paper; and

5. Adjustment amounts by ICC Account.

b) Provide the work papers supporting each adjustment.

83 Ill. Adm. Code 285.2020 Schedule B-3: Comparative Balance Sheet for Prior Three Years and the Test Year

Provide the total utility summary balance sheet for the test year, and for each of the three consecutive years immediately preceding the test year, with the ending date of all the years provided being on the same date of the same month.

83 Ill. Adm. Code 285.2025 Schedule B-4: Summary of Adjustments to Plant in Service

a) For the test year, provide the unadjusted total company balance of plant in service by individual plant account; each adjustment to plant in service by individual plant account; and the adjusted jurisdictional plant in service by individual plant account. The total plant in service balances shall agree with balances reflected on Schedule B-1.

b) For future test years, the test year plant in service and all adjustments may be provided by function, if individual plant account information is not available.

83 Ill. Adm. Code 285.2030 Schedule B-5: Gross Additions, Retirements, and Transfers

a) For the test year and each of the three consecutive years immediately preceding the test year, provide for each plant function an analysis of the unadjusted total company balance of plant in service.

b) Information provided shall include:

1. Title of plant function;

2. Beginning plant balances;

3. Gross additions during the test year;

4. Retirements during the test year;

5. Transfers during the test year;

6. Ending plant balances; and

7. Explanation for the transfer.

83 Ill. Adm. Code 285.2035 Schedule B-5.1: Gains and Losses on Sales of Property

a) Provide information on each item of real property sold since the utility's most recent filing for a change in tariff rates, where the original cost of the property sold exceeds 0.1% of total gross plant in service as shown for the test year on Schedule B-1.

b) Information provided shall include:

1. Date property was sold;

2. Description of property sold;

3. Name of purchaser;

4. Sales price;

5. Book cost of property;

6. Gain or loss on sale of property; and

7. Reason for sale.

83 Ill. Adm. Code 285.2040 Schedule B-5.2: Property Merged or Acquired from Other Utilities

a) Provide a list of all transactions over $100,000 where utility property is either merged or acquired from other utilities since the last rate case. The $100,000 floor applies to the entire transaction without regard to individual accounts or to individual units of property. Explain how the property was entered into plant property records (e.g., entered at original cost, purchase price in year of purchase, original cost less accrued book depreciation in year of purchase, etc.). Also, describe the accounting treatment of any acquisition adjustments by footnote.

b) Information provided shall include:

1. Account number, group or function;

2. Description of property;

3. Acquisition cost;

4. Cost basis;

5. Acquisition adjustment;

6. Commission approval date;

7. Docket number of order approving the transaction;

8. Date of acquisition; and

9. Explanation of accounting treatment.

83 Ill. Adm. Code 285.2045 Schedule B-5.3: Leased Property Included in Rate Base

a) Provide a list of all properties leased to the utility, with annual lease payments greater than $100,000, that are included in the rate base reflected on Schedule B-1.

b) Information provided for each leased property shall include:

1. Identification or reference number;

2. Description of type and use of property;

3. Name of lessor;

4. Frequency of payments;

5. Amount of lease payment;

6. Annual lease payment;

7. Amount included in the test year rate base; and

8. Amount included in the test year operating expense.

83 Ill. Adm. Code 285.2050 Schedule B-6: Depreciation Reserve

a) For the test year and each of the three consecutive years immediately preceding the test year, provide detail of the depreciation reserve by major account number. If detail is not available by major account number, provide the required detail by plant function. In the case of electric utilities, this reserve shall be adjusted as required to account for depreciation expense computed in accordance with 83 Ill. Adm. Code 287.130.

b) Information provided shall include:

1. Major account number;

2. Beginning balance;

3. Depreciation expense;

4. Retirements;

5. Other, such as transfers or sale of asset;

6. Ending balance; and

7. General description of other (subsection (b)(5)).

83 Ill. Adm. Code 285.2055 Schedule B-7: Construction Work in Progress

a) Provide information required by subsection (b) for each construction project included in Construction Work in Progress (CWIP) for the test year rate base that exceeds 5% of the total CWIP balance for the test year. If the CWIP project is not in rate base, the information is not required.

b) Information provided shall include:

1. Project number;

2. Description of project;

3. Direct costs of construction through the end of the test year;

4. Allowance for funds used during construction (AFUDC) or interest during construction (IDC) for telecommunications carriers capitalized through the end of the test year;

5. Other indirect costs through the end of the test year;

6. Total cost of construction project through the end of the test year; and

7. Amount included in the test year jurisdictional rate base.

83 Ill. Adm. Code 285.2060 Schedule B-7.1: Construction Work in Progress Percent Complete

a) For the projects identified in Schedule B-7, provide information to determine the estimated percent complete, or for a future test year, expected to be complete, at the end of the test year.

b) Information provided shall include:

1. Project number;

2. Description of project;

3. Date project started;

4. Most recent estimated project completion date;

5. Original budget estimate;

6. Most recent revised estimate;

7. Accumulated construction costs; and

8. Percent complete (the amount in subsection (b)(7) divided by the amount in subsection (b)(6) x 100).

83 Ill. Adm. Code 285.2065 Schedule B-7.2: Allowance for Funds Used During Construction

a) Provide information concerning AFUDC for each of the three consecutive years immediately preceding the test year and the test year.

b) Information provided shall include:

1. Amount of AFUDC generated;

2. Amount of AFUDC transferred to plant in service;

3. AFUDC rate; and

4. General narrative summary of the utility's AFUDC policy.

c) Supporting work papers shall include detail of AFUDC for the 12 months of the test year. This detail shall include:

1. Month;

2. Total CWIP balance;

3. CWIP balance accruing AFUDC;

4. CWIP balance not accruing AFUDC;

5. AFUDC accrual rate; and

6. AFUDC generated.

d) Telecommunications carriers shall provide the information required in this Section for IDC rather than AFUDC.

83 Ill. Adm. Code 285.2070 Schedule B-8: Cash Working Capital

a) Provide a summary schedule showing the calculation of cash working capital, if included in rate base by the utility, for the test year. Show each individual component and describe the methodology used to calculate each component.

b) Work papers supporting Schedule B-8 shall include the supporting documentation of the calculation. If the cash working capital request is based upon a lead-lag study, the lead-lag study shall be provided on a jurisdictional basis and included as work papers.

83 Ill. Adm. Code 285.2075 Schedule B-8.1: Materials and Supplies

a) Each utility requesting a materials and supplies allowance in rate base shall provide the monthly balances used to derive the average balance of materials and supplies for each of the three consecutive years immediately preceding the test year and the test year.

b) Information provided shall include:

1. Month;

2. Balance of materials and supplies; and

3. Balance of accounts payable associated with materials and supplies.

83 Ill. Adm. Code 285.2080 Schedule B-9: Accumulated Deferred Income Taxes

a) Provide a listing of all components of accumulated deferred income taxes for the test year. This listing shall include both the debit and credit amounts of prepaid taxes and accumulated deferred income taxes.

b) If the future test year average plant-in-service is calculated using monthly average balances, then provide the monthly average balances for each component of accumulated deferred income taxes and compute monthly average data for each component of accumulated deferred income taxes.

c) Information provided shall include:

1. Component of accumulated deferred income taxes;

2. ICC Account number of the component;

3. Utility's account number of the component;

4. Description of any specific event that initiated the recording of component;

5. Beginning State deferred tax balance (Identify as either a debit or credit amount. Credit amounts shall be displayed within parentheses.);

6. Ending State deferred tax balance;

7. Average State deferred tax balance (if a future test year is being used);

8. Beginning federal deferred tax balance (Identify as either a debit or credit amount. Credit amounts shall be displayed within parentheses.);

9. Ending federal deferred tax balance;

10. Average federal deferred tax balance (if a future test year is being used);

11. Beginning total deferred tax balance;

12. Ending total deferred tax balance; and

13. Average total deferred tax balance (if a future test year is being used).

d) Accumulated deferred income taxes attributable to the accelerated depreciation of public utility property may be summarized into one component for each major account.

83 Ill. Adm. Code 285.2085 Schedule B-9.1: Detailed Listing of Balance Sheet Assets and Liabilities

a) Provide information for the balance sheet asset and liability accounts associated with each component of accumulated deferred income taxes listed on Schedule B-9 for the test year.

b) Information provided shall include (If the future test year average plant-in-service is calculated using monthly balances, then provide the monthly balances for each component of accumulated deferred income taxes and compute the average based upon the monthly balances.):

1. The component of accumulated deferred income taxes listed on Schedule B-9;

2. ICC Account number for the balance sheet asset or liability account associated with the component of accumulated deferred income taxes;

3. Utility's account number for the balance sheet asset or liability account associated with the component of accumulated deferred income taxes;

4. Beginning balance of the asset or liability;

5. Ending balance of the asset or liability;

6. Average balance (if a future test year is being used); and

7. An indication of whether each asset or liability is included in rate base.

c) For each asset or liability listed, provide as work papers supporting this schedule:

1. A description of the rationale for including or not including the test year balance of this asset or liability in rate base;

2. The work papers supporting the computation of accumulated deferred income taxes for this asset or liability; and

3. The work papers supporting the calculation pertaining to the test year change in the amount of accumulated deferred income taxes attributable to this asset or liability.

d) The balance sheet components pertaining to the accumulated deferred income taxes attributable to the accelerated depreciation of public utility property may be summarized into a single component for each major account of accumulated deferred income taxes.

e) If a corresponding balance sheet asset or liability account does not exist for a particular component (e.g., basis difference) of accumulated deferred income taxes, provide a description of the events and circumstances that created this particular component of accumulated deferred income taxes.

83 Ill. Adm. Code 285.2095 Schedule B-10: Deferred Charges

Provide information concerning each deferred charge item included in rate base for each of the three years immediately preceding the test year and the test year:

a) Description;

b) Time period charges were recorded;

c) Amortization period;

d) ICC Docket Nos., if any, authorizing recording and/or recovery of the deferred charge;

e) Deferred charge balance at beginning of year;

f) Deferred charge balance at end of year;

g) Deferred charge balance in rate base; and

h) Amortization expense.

83 Ill. Adm. Code 285.2100 Schedule B-11: Property Held for Future Use Included in Rate Base

a) List all property held for future use included in rate base on Schedule B-1. Listed property shall not include any item included in plant in service in rate base at the pro forma balance on Schedule B-1.

b) Information provided shall include:

1. Description and location of property;

2. Date of acquisition;

3. Original cost;

4. Accumulated depreciation;

5. Net original cost;

6. Revenue included in test year:

A) Amount;

B) Account number;

C) Description;

7. Expenses included in test year:

A) Amount;

B) Account number;

C) Description;

8. Planned or expected in-service date; and

9. Planned or expected use of property.

83 Ill. Adm. Code 285.2105 Schedule B-12: Analysis of Activity in Property Held for Future Use

a) Provide an analysis of activity in the account, Property Held for Future Use, for each of the three consecutive years immediately preceding the test year and the test year.

b) Information provided shall include:

1. Year;

2. Beginning balance;

3. Additions;

4. Transfers;

5. Ending balance;

6. Revenue realized from property; and

7. Expenses incurred on property.

c) Supporting work papers shall include an explanation of all additions and transfers. This description shall include:

1. Description of property;

2. Description of transaction; and

3. Amount.

83 Ill. Adm. Code 285.2110 Schedule B-13: Customer Deposits

For each of the three consecutive years immediately preceding the test year and the test year, provide jurisdictional customer deposit monthly balances, amount of interest accrued, and the interest account that is charged.

83 Ill. Adm. Code 285.2115 Schedule B-14: Budget Payment Plan Balances

a) For each month of the three consecutive years immediately preceding the test year and the test year, provide jurisdictional budget payment plan information. A budget payment plan is any plan offered by a utility that is intended to equalize a customer's monthly payments for utility service.

b) Information provided shall include:

1. Monthly balances;

2. Amount of interest accrued; and

3. Account charged.

83 Ill. Adm. Code 285.2200 Schedule B-15: Additions to and Transfers from Customer Advances and Contributions in Aid of Construction – Water and/or Sewer Utilities

a) Provide detail of activity in the customer advances account and the contributions in aid of construction account for each of the three consecutive years immediately preceding the test year and the test year.

b) Information provided shall include:

1. Balance of each account at beginning of the period;

2. Amount of additions during the year;

3. Amount of refunds during the year;

4. Amount of transfers during the year; and

5. Balance of account at end of period.

83 Ill. Adm. Code 285.3000 Operating Income Instructions

a) Account classifications. All utilities shall comply with the applicable Uniform System of Accounts (83 Ill. Adm. Code 415, 505, 605, 650, or 710). Schedules shall not include revenues and expenses resulting from non-regulated activities.

b) Schedules shall present information on a total company basis and on an applicable service basis, unless otherwise specified. If the utility maintains separate books for each service area for which separate tariffs exist (e.g., district, division, etc.), the schedules shall present information for each service area for which a change in rates is requested. In addition, if common rates are requested for a service area for which separate tariffs currently exist, the utility shall present information for each service area requesting common rates and the combined service areas requesting common rates.

c) Separate operating income schedules must be provided for each applicable service and for each service area for which separate tariffs exist (e.g., district, division, etc.) where a requested increase in rates is being proposed for each, or separate service area.

d) All schedules shall reflect data for comparable 12 month periods ending on the same ending date as the ending date of the test year.

e) If a historical test year is proposed by the utility, the information required by the specified Sections shall be provided for the test year and each of the three consecutive years immediately preceding the test year. If a future test year is proposed by the utility, the information required by the following Sections shall be provided for the test year and each of the three consecutive years immediately preceding the test year. The Sections affected by this requirement are Sections 285.3025, 285.3135, 285.3160, 285.3220, and 285.3225.

83 Ill. Adm. Code 285.3005 Schedule C-1: Jurisdictional Operating Income Summary

a) Schedule C-1 shall present, by ICC Account with appropriate subtotals, data for the jurisdiction for which a rate increase is requested for the test year. Where rates are being sought for more than one type of utility service (e.g., electric and gas, water and sewer) or different rates are being sought for different service areas (e.g., district, division), a separate Schedule C-1 shall be provided for each utility service type and/or service area.

b) The presentation of the operating income statement shall include ICC Account number, the account description, the unadjusted total company balance at present rates, the total of all adjustments, the jurisdictional balance at present rates, the requested rate increase, and the jurisdictional pro forma at proposed rates. The source for the unadjusted balance at present rates shall be the general ledger for a historical test year or the utility's forecast for a future test year (see 83 Ill. Adm. Code 287). The jurisdictional balance for each item shall represent the amount attributable to the provision of services to jurisdictional customers.

c) Information provided by major categories shall include, but is not limited to, the following:

1. Operating revenue;

2. Operation and maintenance expenses;

3. Depreciation expense;

4. Taxes other than income;

5. Federal income taxes;

6. State income taxes;

7. Total operating expenses; and

8. Income available from jurisdictional operations.

83 Ill. Adm. Code 285.3010 Schedule C-2: Summary of Utility Proposed Adjustments to Operating Income

Provide individual adjustments to operating income included within the aggregated total adjustment amount reflected on Schedule C-1. Each adjustment shall indicate the impact upon each element of operating income. Reference each adjustment to the appropriate supporting schedule. The adjustment to remove the non-jurisdictional portion, if appropriate, shall be included within the aggregated total adjustment.

83 Ill. Adm. Code 285.3015 Schedules C-2.1, 2, 3, etc.: Detailed Adjustments to Operating Income

a) Provide for each proposed adjustment included on Schedule C-2 a separate schedule showing:

1. The title of adjustment;

2. Description of the adjustment;

3. Summary calculations supporting the adjustment;

4. Reference to supporting work paper; and

5. Adjustment amounts by ICC Account.

b) Provide work papers supporting each adjustment.

83 Ill. Adm. Code 285.3020 Schedule C-3: Sales Statistics

a) Provide information on sales statistics by customer classification for the most recent three historical years and the test year.

b) Information provided for each customer classification shall include:

1. Total company revenues;

2. Total company sales volume;

3. Revenues derived from sales subject to the jurisdiction of the Commission; and

4. Volume of sales subject to the jurisdiction of the Commission.

83 Ill. Adm. Code 285.3025 Schedule C-4: Comparative Operating Income Statements for Prior Years and the Test Year

a) Provide comparative operating income statements by ICC Account number, with operation and maintenance shown by individual operation and maintenance expense account (or by utility responsibility area, budget item, or utility account number, if utility responsibility areas, budget items, or account numbers are in similar detail or greater detail when compared to ICC Account numbers). The number of years of information provided shall be according to the test year proposed as directed in Section 285.3000(e).

b) Information provided for each year shall include:

1. Account number;

2. Account description; and

3. Account balance.

83 Ill. Adm. Code 285.3035 Schedule C-5: Income Taxes

a) Provide the calculation of federal and State income tax expense. Include an itemization of all differences between operating income shown on Schedule C-1 and taxable income as shown on this schedule. Present in detail the computations of the test year income taxes showing additions and deductions to book results, all deferred taxes, investment tax credits generated, investment tax credits amortized, and resultant current provisions for income taxes.

b) A utility whose Illinois State income taxes are filed with the Illinois Department of Revenue as a member of a unitary business group shall provide:

1. Data supporting the utility's apportionment factor in work papers supporting this schedule; and

2. An explanation of the utility's calculation of its test year State income tax rate including a description of the use of the utility's apportionment factor in the calculation of the test year State income tax rate.

83 Ill. Adm. Code 285.3040 Schedule C-5.1: Consolidated Federal Income Tax Return

If the utility is part of an affiliated group of companies and its federal income tax return is filed as part of a consolidated federal income tax return, provide statements describing:

a) The procedure used to allocate the consolidated federal income tax liability;

b) The benefits, if any, of the consolidated filing of the federal income tax return to the utility; and

c) The impact of the benefits, if any, of filing the consolidated federal income tax return on the utility's books.

83 Ill. Adm. Code 285.3045 Schedule C-5.2: Deferred Income Tax Expense

Provide a detailed schedule showing the calculation of deferred income tax expense presented on Schedule C-5.

83 Ill. Adm. Code 285.3050 Schedule C-5.3: Differences between Book and Tax Depreciation

Provide a schedule showing the calculation of the differences between book and tax depreciation for the test year and the calculation of the deferred income taxes attributable to these differences.

83 Ill. Adm. Code 285.3055 Schedule C-5.4: Interest Synchronization

a) Provide a schedule calculating synchronized interest and the components of interest expense that was used for computing test year income tax expense.

b) Information provided for the calculation of synchronized interest shall include:

1. Original cost rate base;

2. Weighted cost of debt; and

3. Synchronized interest.

c) Information provided for components of interest expense that was used for computing test year income tax expense shall include:

1. ICC Account number;

2. Utility's account number;

3. Description of interest expense item; and

4. Amount.

d) The amounts shall be aggregated. The total amount is the amount of interest expense used in calculating test year income taxes. If the amount of synchronized interest is the only interest amount used in the computation of test year income taxes, the utility needs to provide only the information required by subsection (b).

83 Ill. Adm. Code 285.3060 Schedule C-5.5: Investment Tax and Job Development Credits

For the test year, provide a schedule of additions to and amortization of unamortized investment tax credits and job development credits.

83 Ill. Adm. Code 285.3065 Schedule C-6: Social and Service Club Membership Dues

a) Provide the social and service club membership dues for each of the three consecutive years immediately preceding the test year for the total company, the test year for the total company, and the test year jurisdictional pro forma at proposed rates on Schedule C-1.

b) Information provided shall include:

1. Account number;

2. Account description;

3. Payee;

4. Amount; and

5. Purpose and nature of the organization.

c) Items under $1,000 each may be provided in total.

d) Items charged to non-operating expenses may be listed in the aggregate.

83 Ill. Adm. Code 285.3066 Schedule C-6.1: Industry Association Dues

a) Provide the industry association dues for each of the three consecutive years immediately preceding the test year for the total company, the test year for the total company, and the test year jurisdictional pro forma at proposed rates on Schedule C-1.

b) Information provided shall include:

1. Account number;

2. Account description;

3. Payee;

4. Amount; and

5. Purpose and nature of the organization.

c) For utilities with annual revenues of $25 million and less, items under $50,000 need not be reported individually and, for utilities with annual revenues of more than $25 million, items under $250,000 need not be reported individually.

d) Items charged to non-operating expenses may be listed in the aggregate.

83 Ill. Adm. Code 285.3068 Schedule C-6.2: Expenses for Outside Professional Services

a) Provide the expenses for outside professional services, except for services provided by affiliated interests, for each of the three consecutive years immediately preceding the test year for the total company, the test year for the total company, and the test year juris­dictional pro forma at proposed rates on Schedule C-1.

b) Information provided shall include:

1. Account number;

2. Account description;

3. Payee;

4. Amount; and

5. Purpose and nature of the outside service provided.

c) Items under $50,000 each may be provided in total.

d) Items charged to non-operating expenses may be listed in the aggregate.

83 Ill. Adm. Code 285.3070 Schedule C-7: Charitable Contributions

a) Provide the charitable contributions for each of the three consecutive years immediately preceding the test year for the total company, the test year for the total company, and the test year jurisdictional pro forma at proposed rates reflected on Schedule C-1.

b) Information provided shall include:

1. Account number;

2. Account description;

3. Payee;

4. Amount; and

5. Purpose and nature of the organization.

c) Items under $5,000 each may be provided in total.

d) Items charged to non-operating expenses may be listed in the aggregate.

83 Ill. Adm. Code 285.3075 Schedule C-8: Demonstration and Selling, Advertising, and Miscellaneous Sales Expenses

a) Provide information on demonstration and selling, advertising, and miscellaneous sales expenses for the test year.

b) Information provided shall include:

1. Account number;

2. Account description;

3. Test year expense;

4. Ratemaking adjustments for disallowable political, promotional, goodwill and institutional advertising; and

5. Expense included on Schedule C-1 to derive pro forma operating income at present rates.

c) Work papers for electric and gas utilities shall support the amount provided for in accordance with the requirements of 83 Ill. Adm. Code 295.40.

d) Work papers for telecommunications carriers, water, and sewer utilities shall include copies of advertising programs and scripts supporting the total amount provided.

83 Ill. Adm. Code 285.3080 Schedule C-9: Civic, Political and Related Activities

a) List the total expenditures reported under the Lobbyist Registration Act [25 ILCS 170] for each of the two consecutive years immediately preceding the test year for the total company, projected for the test year for the total company, and test year jurisdictional pro forma at proposed rates on Schedule C-1. See Section 9-224 of the Act [220 ILCS 5/9-224].

b) List the total expenditures made for political activity, monitoring of legislation and influencing legislation that are identified in subsection (a).

c) Information required by subsections (a) and (b) shall be provided for the test year jurisdictional pro forma at proposed rates on Schedule C-1 in the following format:

1. Account number;

2. Account description;

3. Payee;

4. Amount; and

5. Purpose and nature of recipient of expenditure.

d) Items under $5,000 each may be provided in total.

83 Ill. Adm. Code 285.3085 Schedule C-10: Rate Case Expense

a) Provide detail of the total projected expenses associated with the instant rate case as to those expenses that the utility is seeking to recover in its proposed rates. The detail shall include the expenses of the instant rate case and the amount included in test year jurisdictional operating expense at proposed rates on Schedule C-1 for the following categories:

1. Outside consultants or witnesses;

2. Outside legal services;

3. Paid overtime;

4. Other expenses; and

5. Total expense.

b) The information provided for each outside consultant or witness and each outside legal service shall include:

1. Name;

2. Estimated fee;

3. Basis of charge;

4. Travel expenses;

5. Other expenses;

6. Projected total expenses of instant rate case;

7. Type of service rendered;

8. Specific service rendered; and

9. Amount included in test year jurisdictional operating expense at proposed rates on Schedule C-1.

c) Provide by footnote:

1. A description of the costs associated with the category, other expenses; and

2. An explanation of the calculation of the costs associated with the category, paid overtime.

d) If amortization of previous rate case expenses are included within test year jurisdictional operating expense at proposed rates on Schedule C-1, provide the amount of amortization expense associated with each rate case by docket number.

83 Ill. Adm. Code 285.3090 Schedule C-10.1: Rate Case Expense Comparisons

a) Provide a comparison of current rate case expense with the rate case expense of the utility's last rate case filed with this Commission.

b) Information provided shall include:

1. Description of the previous rate case, specifically, the applicable service for which the change in rates was sought;

2. Outside consultants or witnesses;

3. Outside legal services;

4. Paid overtime;

5. Other expenses; and

6. Total expense.

c) If the comparison indicates a 20% or greater difference between the actual cost of the previous case and the projected cost of the current case, provide an explanation of the difference.

83 Ill. Adm. Code 285.3105 Schedule C-11.1: Direct Payroll by Function

Provide the total direct payroll charged to the following categories for the three consecutive years immediately preceding the test year and the test year ("(E)" denotes information applicable to electric utilities; "(G)" denotes information applicable to gas utilities; "(W)" denotes information applicable to water and/or sewer utilities; and "(All)" denotes information applicable to all utilities):

a) Power production (E), Gas supply (G), Source of supply (W);

b) Transmission (E), Storage (G), Water treatment (W);

c) Distribution (E & G), Transmission and Distribution (W);

d) Customer accounts (All);

e) Sales (All);

f) Administrative and General (All);

g) Total payroll charged to expense (sum of items in subsections (a) through (f));

h) Total payroll charged to construction; and

i) Total payroll (sum of items in subsections (g) and (h)).

83 Ill. Adm. Code 285.3115 Schedule C-11.2: Number of Employees

a) Schedule C-11.2 shall provide the actual number of employees, or an estimate if actual data do not exist, by department for each month of the three consecutive years immediately preceding the test year and the test year. Information shall include:

1. Number of full time employees;

2. Number of part time employees;

3. Number of full time equivalents for part time employees (i.e., if a full time employee is defined as working 40 hours per week, then part time, non-overtime hours divided by 40 would yield the number of full time equivalents); and

4. Total full time equivalents (sum of items in subsections (a)(1) and (a)(3)).

b) Schedule C-11.2 shall list the authorized number of employees by department included in each month of the three consecutive years immediately preceding the test year, for which actual data exists, and the test year. Authorized number is defined as that number of positions authorized and approved by the company's officers and/or board of directors to be hired or filled during that month. Information shall include:

1. Number of full time employees;

2. Number of part time employees;

3. Number of full time equivalents for part time employees (i.e., if a full time employee is defined as working 40 hours per week, then part time, non-overtime hours divided by 40 would yield the number of full time equivalents); and

4. Total full time equivalents (sum of items in subsections (b)(1) and (b)(3)).

83 Ill. Adm. Code 285.3135 Schedule C-11.3: Employee Benefits

a) Provide a listing of all benefits provided to employees other than wages and salaries. For purposes of this Section, employment taxes and worker's compensation insurance expense are not employee benefits. The number of years of information provided shall be according to the test year proposed as directed in Section 285.3000(e).

b) Information provided shall include:

1. A description of the employee benefit may include, but is not limited to, insurance coverage, including health, dental, life, etc., employee welfare programs, such as savings plans, education, etc., and other benefits;

2. For each benefit, identify the employee classification (e.g., all executives, all union, pipefitters local, salaried, etc.) receiving the benefit;

3. Cost associated with each benefit;

4. Total cost of all benefits;

5. Amount expensed for all benefits;

6. Percentage of total benefits expensed;

7. Amount capitalized for all benefits; and

8. Percentage of total benefits capitalized;

c) Information provided for each employee benefit listed in subsection (b) for the test year shall include:

1. Amount capitalized;

2. Percentage capitalized;

3. Amount expensed; and

4. Percentage expensed.

83 Ill. Adm. Code 285.3140 Schedule C-11.4: Reconciliation of Estimated Overhead and Clearing Costs with Actual Costs

For utilities that record estimates of overhead and clearing costs, provide a reconciliation of the estimated overhead and clearing costs with the actual overhead and clearing costs for each of the three consecutive years immediately preceding the test year for which actual data exists.

83 Ill. Adm. Code 285.3145 Schedule C-12: Depreciation Expense

a) Provide the calculation of depreciation expense by functional account grouping of plant in service for the test year and each of the three consecutive years immediately preceding the test year.

b) Information provided shall include:

1. Functional account grouping;

2. Account description;

3. Amount of plant investment to which depreciation rate is applied;

4. Composite depreciation rate; and

5. Depreciation expense.

c) Supporting work papers shall provide the assumptions used to derive the composite depreciation rate for the test year.

83 Ill. Adm. Code 285.3150 Schedule C-13: Summary of Affiliated Interest Transactions

a) Provide a list of all affiliated interest transactions for each of the three consecutive years immediately preceding the test year and the test year. Also, provide information on any contracts for future years. Items similar in nature and reoccurring may be grouped as a single line item.

b) Information provided shall include:

1. Date of transaction or transaction period and company or individual;

2. Nature of transactions;

3. Dollar amount of transactions; and

4. Docket number granting approval.

83 Ill. Adm. Code 285.3155 Schedule C-14: Operating Leases

a) List all operating leases for which the annual expense to be charged to operating expense or expected to be charged to operating expense is the greater of either $150,000 or .1% of the total operations and maintenance expense for the respective year for each of the three consecutive years immediately preceding the test year and the test year. Information provided for each listed operating lease shall include:

1. ICC Account charged with the lease expense;

2. Description of leased property;

3. Amount of annual lease expense; and

4. Period of lease agreement.

b) Provide the total annual lease expense of all operating leases for each of the three consecutive years immediately preceding the test year and the test year.

83 Ill. Adm. Code 285.3160 Schedule C-15: Major Maintenance Projects

a) By function, list all maintenance projects included in jurisdictional operating expense with a cost exceeding the lesser of $500,000 or 1% of the operations and maintenance expenses for that function. The number of years of information provided shall be according to the test year proposed as directed in Section 285.3000(e).

b) A "maintenance project" is defined as a specific undertaking or assignment related to the maintenance of the utility's system; e.g., the internal sealing of a particular segment of main, the repainting of tanks, the refurbishing of a particular area of a facility, etc., that represents a level of activity beyond normal maintenance activity.

c) Information provided shall include:

1. Description of, and reason for, the project;

2. Facility on which the maintenance is being performed;

3. Project dates;

4. Total project cost;

5. Amount expensed in test year;

6. Amount expensed in prior year;

7. ICC expense account number; and

8. Date of last similar maintenance performed on the same facility.

83 Ill. Adm. Code 285.3165 Schedule C-16: Uncollectible Expense

a) Provide information on jurisdictional uncollectible expense for each of the three consecutive years immediately preceding the test year and the test year.

b) Information provided shall include:

1. The method of determining uncollectible expense. If using the percent of revenue method, include:

A) Revenue used in calculation;

B) Uncollectible expense; and

C) Uncollectible expense as a percentage of revenue.

2. Activity in the Allowance for Bad Debts:

A) Beginning of year balance;

B) Reserve accrual;

C) Write-offs during the year;

D) Recoveries during the year;

E) Adjustments;

F) Explanation of adjustment; and

G) End of the year balance.

3. Expense in the test year and each of the three consecutive years immediately preceding the test year for all outside collection agencies.

c) Provide a summary of each current collection agency's contract and the results obtained from the efforts to collect from those contracts.

83 Ill. Adm. Code 285.3170 Schedule C-17: Insurance Expense

a) List all insurance policies to which the utility has been a party for each of the three consecutive years immediately preceding the test year or will be a party in the test year. Insurance policies shall include both group insurance and insurance on operations.

b) The information provided shall include:

1. Name of carrier;

2. Type of policy;

3. Amount of coverage;

4. Annual premium;

5. Deductible; and

6. Claims.

c) If self insured, provide a description of all self insurance.

83 Ill. Adm. Code 285.3175 Schedule C-18: Taxes Other Than Income Taxes

a) Provide a listing of all taxes other than income for each of the three consecutive years immediately preceding the test year and the test year.

b) Information provided for each type of tax shall include:

1. Type of tax;

2. Amount charged to operating expense;

3. Amount charged to clearing accounts;

4. Amount charged to construction;

5. Other; and

6. Total tax recorded.

c) Supporting work papers shall include the calculation of the average balance of accrued property taxes for each of the three consecutive years immediately preceding the test year and the test year. The calculation shall list monthly balances used to derive the average balance.

83 Ill. Adm. Code 285.3180 Schedule C-19: Property Taxes

a) Provide a schedule of property taxes for each of the three consecutive years immediately preceding the test year and the test year.

b) Information provided shall include:

1. Amount charged to operating expenses; and

2. Account number.

83 Ill. Adm. Code 285.3185 Schedule C-20: Local Taxes, Municipal Taxes, and Franchise Taxes

a) For each of the three consecutive years immediately preceding the test year and the test year, provide a schedule of all local taxes, municipal taxes, and franchise taxes embedded in tariffed rates, except for property taxes that are provided on Schedule C-19 and the add-on taxes provided on Schedule C-25. Each type of tax or fee may be aggregated; if the utility aggregates each type of tax or fee, the utility shall also provide, for each type of tax or fee, the specific details for the ten largest amounts passed on to customers.

b) Information provided shall include:

1. Description and location of tax;

2. Taxing authority;

3. Effective tax rate;

4. Basis;

5. Total tax assessed to utility;

6. Amount passed on to customers;

7. Amount charged to operating expenses;

8. ICC Account;

9. Foregone discounts, collection fees, or accounting fees; and

10. Explanation of foregone discounts, collection fees, or accounting fees.

c) Provide a reconciliation of taxes other than income at present rates for the test year reflected on Schedule C-1 with the total test year taxes reflected on Schedules C-19, C-20, and C-25.

83 Ill. Adm. Code 285.3190 Schedule C-21: Miscellaneous General Expenses

a) Provide a comparison of miscellaneous general expenses for each of the three consecutive years immediately preceding the test year for the total company, the test year for the total company, and test year jurisdictional pro forma at proposed rates on Schedule C-1. For electric and gas utilities, the comparison is required for Account 930.2. For water and/or sewer utilities, the comparison is required for Account 675. For telecommunications carriers, the comparison is required for Account 6720.

b) Expenses shall be aggregated by type with the total expense for each type shown for each year.

c) Items charged to non-operating expenses may be listed in the aggregate.

83 Ill. Adm. Code 285.3215 Schedule C-22: Cost Savings Programs

a) Provide information concerning any cost savings program that is anticipated to result in annual jurisdictional savings in excess of the lesser of $1,000,000 or .1% of operations and maintenance expenses in the year preceding the initiation of the program and whose initial costs are sought to be recovered in the test year.

b) Information provided shall include:

1. Title;

2. Description;

3. Date of implementation;

4. Initial start up costs to implement program;

5. Costs to be incurred for each year of the next three years; and

6. Annual savings expected for each of the next three years.

83 Ill. Adm. Code 285.3220 Schedule C-23: Miscellaneous Operating Revenues

a) Provide information concerning miscellaneous operating revenues by ICC Account number. The number of years of information provided shall be according to the test year proposed as directed in Section 285.3000(e).

b) Information provided shall include:

1. ICC Account number;

2. Account description; and

3. Amount.

83 Ill. Adm. Code 285.3225 Schedule C-24: Legal Expense and Reserves

a) Provide an analysis of the reserve for outstanding lawsuits, claims, etc., included in rate base. The number of years of information provided shall be according to the test year proposed as directed in Section 285.3000(e).

b) The following information should be provided:

1. Year;

2. Account number or subaccount number for each reserve;

3. Description of reserve;

4. Balance at beginning of year;

5. Additions to reserve;

6. Amounts charged to legal expense;

7. Other; and

8. Balance at end of year.

83 Ill. Adm. Code 285.3230 Schedule C-25: Add-On Taxes

a) For each applicable service, provide information for add-on taxes, defined as those taxes other than income that are not recovered in tariffed rates, for each taxing authority or group of taxing authorities listed in subsection (b) at the following rates. Explain the method by which add-on taxes have been excluded from revenues at proposed rates as reflected on Schedule C-1:

1. The unadjusted test year amounts at present rates. State whether, or not, add-on taxes are included in revenues as reflected on Schedule C-1; and

2. The pro forma test year amounts at proposed rates.

b) Information shall be provided for the following taxing authorities:

1. Municipalities (Provide aggregated amounts for all municipal add-on taxes.);

2. State (Provide amounts for each type of add-on tax.); and

3. Other (Provide amounts for each type of add-on tax levied by other taxing authorities.).

c) Information provided shall include:

1. Amount recorded as revenue that represents add-on tax receipts from ratepayers;

2. Amount recorded as expense that represents distributions of add-on taxes to taxing authority; and

3. Accounting fees collected.

83 Ill. Adm. Code 285.3235 Schedule C-26: Amortization of Deferred Charges

a) Provide information on each deferred charge item amortized against operating income for each of the three consecutive years immediately preceding the test year and the test year.

b) For each deferred charge, the information provided shall include:

1. Description;

2. Time period charges were recorded;

3. Amortization period;

4. ICC Docket Nos., if any, authorizing recording and/or recovery of the deferred charge;

5. Deferred charge balance at beginning of year;

6. Deferred charge balance at end of year; and

7. Amortization expense.

83 Ill. Adm. Code 285.3300 Schedule C-27: Fuel Adjustment Clause Revenues and Expenses – Electric Utilities

a) Provide a comparison of the revenues derived from the uniform fuel adjustment clause (UFAC) and fuel costs recoverable through the UFAC included within the applicable service operating income at proposed rates reflected on Schedule C-1.

b) Information provided shall include:

1. Test year UFAC revenues;

2. Test year base fuel cost revenues;

3. Test year UFAC recoverable expenses; and

4. Number of units sold.

83 Ill. Adm. Code 285.3305 Schedule C-28: Fuel Transportation Expense – Electric Utilities

Provide the fuel transportation expense for electric utilities by coal contract for each of the three consecutive years immediately preceding the test year and the test year.

83 Ill. Adm. Code 285.3310 Schedule C-29: Decommissioning Expense – Electric Utilities with Nuclear Facilities

Provide a comparison of revenues and decommissioning expense included within the pro forma jurisdictional operating income at proposed rates reflected on Schedule C-1. Information provided shall include:

a) Test year revenues realized from the decommissioning rider; and

b) Test year decommissioning expense.

83 Ill. Adm. Code 285.3400 Schedule C-30: Purchased Gas Adjustment Clause Revenues and Expenses – Gas Utilities

a) Provide a comparison of revenues derived from the purchased gas adjustment (PGA) clause and gas costs recoverable through the PGA included within the jurisdictional operating income at proposed rates reflected on Schedule C-1.

b) Information provided shall include:

1. Test year PGA revenues;

2. Test year PGA recoverable expenses; and

3. Number of units sold.

c) Indicate by footnote the accounting treatment of demand charges associated with storage gas.

83 Ill. Adm. Code 285.3500 Schedule C-31: Competitive Services

a) Provide information on all competitive services, as defined for the particular utility in the Act, provided for the test year.

b) Information shall be provided for each competitive service and shall include:

1. A description of the competitive service; and

2. An indication of when the utility began offering the competitive service.

83 Ill. Adm. Code 285.3600 Schedule C-32: Non-utility Operations

a) Provide information on all non-utility operations for the test year.

b) Information shall be provided for each non-utility operation and shall include:

1. A description of the non-utility operation; and

2. An indication of when the utility began engaging in the non-utility operation.

83 Ill. Adm. Code 285.3700 Schedule C-33: Billing Experiments (Applicable only to utilities requesting a change in rates for the provision of electric service)

a) Provide information on all experiments for the provision or billing of services conducted pursuant to 220 ILCS 5/16-106 for the test year.

b) Annual information shall be provided for each experiment and shall include:

1. A description of the experiment;

2. The date the utility, pursuant to Section 16-106 of the Act [220 ILCS 5/16-106], filed with the Commission its statement describing the program; and

3. The program’s estimated effect, if any, upon the requested rates.

83 Ill. Adm. Code 285.4000 Rate of Return Instructions

a) Capital structure measurement period. A company may elect to use either an historical or forecasted capital structure measurement period.

1. Historical capital structures. Average balances in an historical capital structure measurement period shall comprise either the latest consecutive 12 month period or the latest calendar or fiscal year for which actual data are available at the time of filing new tariffs. An historical capital structure comprising balances of long-term debt, preferred stock, and common equity measured as of a single date shall reflect the latest date or the end of the latest calendar or fiscal year for which actual data are available at the time of filing new tariffs.

2. Forecasted capital structures. Average balances in a forecasted capital structure shall reflect any consecutive 12 month period beginning no earlier than the date new tariffs are filed and ending no later than 24 months after the date new tariffs are filed. A forecasted capital structure comprising balances of long-term debt, preferred stock, and common equity from a single date shall reflect any date beginning no earlier than the end of the last calendar or fiscal year for which actual data are available at the time of filing new tariffs and ending no later than 18 months after the date new tariffs are filed.

b) Measurement. Components of the capital structure must be presented on a consistent basis with respect to the capital structure, measurement period, and method (i.e., net proceeds or internal rate of return method). If one or more adjustments for known and measurable changes affecting capital structure are made, all other known and measurable changes that would affect capital structure shall be made as well. The balance of short-term components of the capital structure shall be calculated from 12 months of average monthly balances. Utilities may elect to base the long-term components of the capital structure on either average or end-of-period balances. For those utilities electing an average capital structure, average balances for each source of capital included in the capital structure, excepting individual security issuances and retirements, shall be calculated from 12 months of average monthly balances. Individual security issuances and retirements shall be time-weighted. Each monthly average shall equal the simple average of the beginning and ending monthly balances. However, monthly data need not be presented for debt and preferred stock issues that do not change during the capital structure measurement period or that change by equal monthly amounts.

c) Applicability

1. Excepting those utilities exempted under Section 285.120(b)-(d), Sections 285.4000 through 285.4070 and 285.4090 are applicable to all utilities.

2. Excepting those utilities exempted under Section 285.120(b)-(d), Sections 285.4080 and 285.4090(d) are applicable to utilities with $7,500,000 or more of annual total revenue.

d) All data required under this Subpart shall be provided on a total company basis unless otherwise indicated.

83 Ill. Adm. Code 285.4010 Schedule D-1: Cost of Capital Summary

a) The utility shall provide a summary calculation of the weighted average cost of capital on a total company and jurisdictional basis; however, jurisdictional data is not required if the weights and costs of the components of the capital structure do not differ from total company data. Short-term debt shall be included in the capital structure unless the utility demonstrates that short-term debt is entirely financing assets, such as CWIP or seasonal working capital, that are not included in the utility’s rate base. For all classes shown, the amount, percentage of total, percentage cost, and weighted cost shall be provided. A summary shall be provided for each year from and including the last completed calendar or fiscal year through the capital structure measurement period. If the cost of capital shown on Schedule D-1 is not the same as that shown on Schedule A-2 required by Section 285.1005(a)(4), the utility shall provide an explanation for the difference.

b) The following supporting work papers and documents shall accompany Schedule D-1:

1. Monthly balances for common equity for the most recent calendar or fiscal year through the end of the capital structure measurement period. Utilities using forecasted data that reflect proposed rates shall present both separate monthly balances for common equity at present rates and the monthly change in common equity produced by the proposed rates. Identify actual and forecasted data;

2. A description of the company's capital structure objectives. If the company has conducted a study of those objectives, the company shall also provide a copy of that study;

3. A separate description of each adjustment made to exclude any increment to the utility's cost of capital directly or indirectly resulting from the direct or indirect investment, loan, guarantee, or advance of moneys, property, or other resources to affiliates engaged in unregulated or non-utility activities. The utility shall also describe how its adjustments remove that increment to its cost of capital. If the utility believes no such adjustment to its rate of return is necessary, it shall describe the reasons for that belief; and

4. A separate list of amounts invested in each unregulated and non-utility affiliate for each year from and including the last calendar or fiscal year through the capital structure measurement period.

c) Additional informational requirements for forecasted capital structures only:

1. The weighted average cost of capital may be calculated using either present or proposed rates. In the latter case, however, the utility shall also present the schedules required in Subpart G based upon present rates if the choice of present or proposed rates affects the data incorporated in those schedules.

2. The following schedules shall be provided if not already provided pursuant to Subpart J:

A) Schedule D-1.1 shall provide the data described in Section 285.7005(a);

B) Schedule D-1.2 shall provide the data described in Section 285.7010(a);

C) Schedule D-1.3 shall include the principal assumptions used in preparing the forecasted capital structure data; and

D) Schedule D-1.4 shall provide the data described in Section 285.7015(a). Schedule D-1.4 shall also explain any differences between the assumptions and methodologies used in the forecasted data reflected in Schedule D-1 and the assumptions and methodologies used in forecasts prepared for management or other entities.

83 Ill. Adm. Code 285.4020 Schedule D-2: Cost of Short-term Debt

a) Provide the cost of any short-term debt in Schedule D-2, even if short-term debt is not included in the capital structure provided in Schedule D-1.

b) From and including the most recently completed calendar or fiscal year through the end of the capital structure measurement period, provide monthly balances of the following with actual and forecasted data identified:

1. Balance of short-term debt;

2. Balance of total CWIP;

3. Balance of CWIP accruing AFUDC; and

4. Net amount outstanding, which equals the greater of:

A) subsection (b)(1) less (subsection (b)(1) divided by subsection (b)(2) multiplied by subsection (b)(3)); or

B) subsection (b)(1) less subsection (b)(3).

c) For each type of issue, the following information is required:

1. Type (e.g., commercial paper, line of credit, bank loan);

2. Average original term to maturity;

3. Amount outstanding;

4. Average interest rate;

5. Interest requirement (subsection (c)(3) multiplied by subsection (c)(4)); and

6. Cost of short-term debt (subsection (c)(5) divided by subsection (c)(3)).

d) Additional instructions:

1. Provide all balances required for Schedule D-2 on a 12 month average basis. Each monthly short-term balance shall be reduced by an amount equal to the concurrent, monthly balance of CWIP accruing AFUDC if the AFUDC rate is set in accordance with the Uniform System of Accounts. However, in no case shall the resulting amount equal less than zero;

2. Provide totals wherever applicable;

3. Describe all special provisions associated with each short-term debt issue (e.g., compensating balance requirements);

4. Do not include long-term debt due within one year; and

5. Interest rates shall equal the annualized rates that the utility paid no more than 60 days prior to the rate filing date or the prevailing or forecasted interest rates on short-term debt of similar risk and terms.

e) The following supporting work papers or documents shall accompany Schedule D-2:

1. Formulas used to set interest rates on variable and adjustable rate issues;

2. Portions of documents describing the manner by which interest rates on variable and adjustable rate debt issues are set (e.g., loan agreements);

3. Documents supporting all interest rates;

4. A description of company policy regarding short-term financing, including its uses, sources (e.g., commercial paper, bank loans, and lines of credit) and limitations (i.e., amount relative to total capital); and

5. Formula and rates of return the company uses to calculate AFUDC rates.

83 Ill. Adm. Code 285.4030 Schedule D-3: Embedded Cost of Long-term Debt, including Notes

a) Provide the embedded cost of any long-term debt, including any notes, on Schedule D-3. The embedded cost of long-term debt shall be provided for each year from and including the last completed calendar or fiscal year through the capital structure measurement period. The utility may choose either the net proceeds or internal rate of return method to calculate the embedded cost of long-term debt.

b) Utilities selecting the net proceeds method shall provide the following data by issue. Items may not be combined:

1. Debt issue type, coupon rate;

2. Date issued (month, day, year);

3. Maturity date (month, day, year);

4. Principal amount;

5. Face amount outstanding;

6. Unamortized discount or premium;

7. Unamortized debt expense (including gains and losses on reacquired debt);

8. Carrying value (subsection (b)(5) minus subsection (b)(6) minus subsection (b)(7));

9. Annualized coupon interest;

10. Annualized amortization of discount or premium;

11. Annualized amortization of debt expense (including gains and losses on reacquired debt);

12. Annualized interest expense (subsection (b)(9) plus subsection (b)(10) plus subsection (b)(11)); and

13. Embedded cost of long-term debt (subsection (b)(12) divided by subsection (b)(8)).

c) Utilities selecting the internal rate of return method shall include the following data by issue. Items may not be combined:

1. Debt issue type, coupon rate;

2. Date issued (month, day, year);

3. Maturity date (month, day, year);

4. Principal amount;

5. Face amount outstanding;

6. Current proceeds (including gains and losses on reacquired debt);

7. Discount rate;

8. Annual cost (subsection (c)(6) multiplied by subsection (c)(7)); and

9. Embedded cost of long-term debt (subsection (c)(8) divided by subsection (c)(6)).

d) Additional instructions:

1. Provide totals wherever applicable. Provide the embedded cost of long-term debt (subsections (b)(13) and (c)(9)) for totals only.

2. Capital lease obligations shall be included only if the recovery of lease payments is not being requested through operating expense.

A) Footnote capital leases excluded from this Schedule.

B) For capital leases included in this Schedule, briefly describe the leased property and the financing terms of the lease, including its life, principal payments, and interest rate.

3. Include any compensating balance requirements in unamortized debt discount. Utilities selecting the net proceeds method shall credit annualized amortization of debt discount with any interest or dividends earned on the compensating balance.

4. Gains and losses on reacquired debt.

A) Net proceeds method. Utilities selecting the net proceeds method shall amortize gains and losses over the remainder of the reacquired or refunding issue's original term to maturity. Gains and losses on reacquired debt shall be listed, by issue, separately from outstanding debt issues, replacing maturity date (subsection (b)(3)) with the conclusion of the amortization period.

B) Internal rate of return method. Utilities selecting the internal rate of return method shall include gains and losses on reacquired debt in either the computation of the discount rate of any refunding issue, if applicable, or by amortizing gains and losses over the remainder of the reacquired or refunding debt issue's original term to maturity. Gains and losses on such reacquired debt shall be listed by issue, replacing the annual cost (subsection (c)(8)) with the annualized amortization of gains and losses and maturity date (subsection (c)(3)) with the conclusion of the amortization period, if applicable.

5. Include long-term debt due within one year.

6. Interest rates on variable or adjustable rate debt shall equal the annualized rates that the utility paid no more than 60 days prior to the rate filing date or the prevailing or forecasted interest rates on short-term debt of similar risk and terms.

e) Provide the following work papers or documents supporting Schedule D-3:

1. For each variable and adjustable rate debt issue provide the following:

A) The formulas used to set the interest rate;

B) The portions of documents describing the manner by which the interest rate is set (e.g., indentures, loan agreements);

C) The documents supporting the interest rate forecast; and

D) The dates of interest rate adjustment.

2. The sinking fund schedule for each issue having such a requirement. This schedule shall include the following data:

A) Debt issue;

B) Payment date;

C) Sinking fund requirement; and

D) Optional sinking fund amount (if applicable).

3. Installment payment schedule for each issue having such a requirement. This schedule shall include the following data:

A) Debt issue;

B) Payment date;

C) Installment payment requirement; and

D) Optional payment amount (if applicable).

4. For each reacquired issue as of the date of its reacquisition, provide the following:

A) Reacquisition date;

B) Face amount retired;

C) Call premium;

D) Call price;

E) Unamortized discount or premium;

F) Unamortized debt expense (excluding the call premium);

G) Annualized amortization of discount or premium;

H) Annualized amortization of debt expense (excluding the call premium); and

I) Refunding issue (if applicable).

5. For each issue requiring a compensating balance, provide the following:

A) The amount of the compensating balance;

B) The interest earned on the compensating balance; and

C) The rate of interest or dividends earned on the compensating balance.

6. List the obligations of all persons or entities, non-utility affiliates or otherwise, the repayment of which the utility guarantees in any manner or form. In addition, identify the obligor, the amount of the obligation, including principal and interest, its due date, any consideration received by the utility as guarantor, and the ICC docket number of any order authorizing the contract. Exclude agreements with nuclear fuel lease subsidiaries and financing subsidiaries established solely for the purpose of servicing the financial obligations of the utility.

7. The calculation of the discount rate for each issue (internal rate of return methodology only, including gains and losses on reacquired debt).

83 Ill. Adm. Code 285.4040 Schedule D-4: Embedded Cost of Preferred Stock

a) Provide the embedded cost of any preferred stock on Schedule D-4. The embedded cost of preferred stock shall be provided for each year from and including the last completed calendar or fiscal year through the capital structure measurement period. The utility may choose either the net proceeds or internal rate of return method to calculate the embedded cost of preferred stock.

b) Utilities selecting the net proceeds method shall include the following data per issue. Items may not be combined with one another:

1. Dividend rate, type, par value;

2. Date issued;

3. Mandatory redemption date, if applicable;

4. Number of shares outstanding;

5. Par or stated value outstanding;

6. Premium or discount;

7. Issue expense (including gains and losses on stock redemptions, if applicable);

8. Net proceeds (subsection (b)(5) plus subsection (b)(6) minus subsection (b)(7));

9. Annualized amortization of discount or premium, if applicable;

10. Annualized amortization of issue expense (including gains and losses on stock redemptions, if applicable), if applicable;

11. Annualized dividends;

12. Annualized preferred stock expense (subsection (b)(9) plus subsection (b)(10) plus subsection (b)(11)); and

13. Embedded cost of preferred stock (subsection (b)(12) divided by subsection (b)(8)).

c) Utilities selecting the internal rate of return method shall include the following data separately (i.e., items may not be combined with one another):

1. Dividend rate, type, par value;

2. Date issued;

3. Number of shares outstanding;

4. Par or stated value outstanding;

5. Current proceeds (including gains and losses on stock redemptions, if applicable);

6. Discount rate (i.e., internal rate of return);

7. Annual cost (subsection (c)(5) multiplied by subsection (c)(6)); and

8. Embedded cost of preferred stock (subsection (c)(7) divided by subsection (c)(5)).

d) Additional instructions:

1. Provide totals wherever applicable. Provide the embedded cost of preferred stock (subsections (b)(13) and (c)(8)) for totals only.

2. Include preferred stock sinking fund and other principal payments due within one year.

3. Any gains and losses included in Schedule D-4 shall be listed separately, by issue.

e) Provide the following work papers or documents supporting Schedule D-4:

1. For each variable and adjustable rate preferred stock issue, provide the following:

A) The formulas used to set the dividend rate;

B) The portions of documents describing the manner by which the dividend rate is set (e.g., prospectus);

C) The documents supporting the dividend rate forecast; and

D) The dates of dividend rate adjustment.

2. Sinking fund schedule for each issue having such a requirement. This schedule shall include the following data:

A) Preferred stock issue;

B) Payment date;

C) Sinking fund requirement; and

D) Optional sinking fund amount (if applicable).

3. For gains and losses included in Schedule D-4, provide the following by stock issue:

A) Stock issue;

B) Number of shares reacquired;

C) Par or stated value reacquired;

D) Call premium;

E) Call price;

F) Discount or premium;

G) Issue expense (excluding the call premium); and

H) Refunding issue (if applicable).

4. Demonstrate that the losses included in Schedule D-4 were incurred as a direct result of transactions that reduced the utility’s overall cost of capital.

5. The calculation of the discount rate for each issue (internal rate of return methodology only, including gains and losses on reacquired preferred stock).

83 Ill. Adm. Code 285.4050 Schedule D-5: Unrecovered Common Equity Issuance Costs

a) Excepting those utilities exempted under Section 285.120(c)-(e), this Section is applicable to all utilities requesting compensation for unrecovered common equity issuance costs.

b) Provide the following data on common equity issuance costs that have not been recovered through rates on Schedule D-5:

1. Issue type (e.g., public, Dividend Reinvestment Plan (DRP), Employee Stock Purchase Plan (ESOP);

2. Dates issued;

3. Gross proceeds;

4. Underwriters' discounts;

5. Issuance expenses;

6. Net proceeds (subsection (b)(3) minus subsection (b)(4) minus subsection (b)(5));

7. Identify the method of rate treatment approved by the ICC, including supporting documents; and

8. Authorized amortization period (if applicable).

c) The data provided pursuant to subsection (b) must be based on the actual costs that the utility has incurred or is expected to incur through the measurement period for the utility’s capital structure. The utility may not substitute estimates of the common equity issuance costs of other companies as proxies for the actual or forecasted costs incurred to raise common equity capital for the utility.

d) Describe the accounting methods (including account numbers) by which underwriters' discounts, issuance expenses, gains or losses on redemption, and the amortization thereon are recorded for regulatory and financial reporting purposes.

e) Provide any available documents showing that the costs contained in this Schedule have not been recovered through rates.

83 Ill. Adm. Code 285.4060 Schedule D-6: Cost of Common Equity Workpapers

Provide a copy of all work papers and source documents used to estimate the utility’s requested rate of return on common equity. Where a utility is prohibited by a license or otherwise from providing the information to a third-party, and the supplier of the infor­mation has refused to allow its disclosure, in lieu of providing the information the utility shall provide the title, date, and publisher of that information.

83 Ill. Adm. Code 285.4070 Schedule D-7: Comparative Financial Data

a) Provide comparative financial data for the five most recently completed calendar or fiscal years through the capital structure measurement period in Schedule D-7. If the data requested in this Section may be found in either the annual report to shareholders or the statistical supplement supplied with the materials submitted pursuant to this Part, appropriate references to these reports, including page numbers, may be supplied in this Schedule in place of that data. Unless otherwise specified, the data in this Section shall be provided on a total company basis with amounts attributable to non-utility subsidiaries identified and shown separately. Provide workpapers showing the calculation of the ratios requested in subsection (c).

b) Terms used in subsection (c):

1. Funds from operations: net income plus depreciation and amortization (excluding cash decommissioning fund contributions) plus deferred income taxes plus deferred investment tax credits minus AFUDC or IDC plus other internal sources (excluding working capital changes);

2. Total capital: short-term debt plus total long-term debt plus preferred stock plus common stock; and

3. Total long-term debt: long-term debt including debt due within one year and capital leases.

c) Data required:

1. Capital structure ratios (percent based upon fiscal or calendar year end amounts). If the weights of the components of the ratemaking capital structure differ from those of the total company, provide both sets of ratios:

A) Short-term debt ratio (short-term debt divided by total capital);

B) Long-term debt ratio (total long-term debt divided by total capital);

C) Preferred stock ratio (total preferred stock divided by total capital); and

D) Common equity ratio (common equity divided by total capital).

2. Costs of capital. If the costs of the components of the ratemaking capital structure differ from those of the total company, provide the costs for both:

A) Embedded cost of long-term debt; and

B) Embedded cost of preferred stock.

3. Earnings ratios:

A) AFUDC or IDC as a percentage of earnings available for common shareholders ((AFUDC or IDC plus deferred charges) multiplied by 100) divided by earnings available for common shareholders;

B) Return on net original cost rate base-year end (operating income divided by net original cost rate base). Combination utilities, e.g., gas and electric, shall also show the return for each operation; and

C) Return on average common equity (earnings available for common shareholders divided by average common equity).

4. Fixed charge coverage:

A) Pre-tax interest coverage excluding AFUDC or IDC ((total operating income plus other income plus federal and State income taxes minus AFUDC equity funds portion) divided by total interest charges); and

B) After-tax fixed charge coverage (total operating income plus other income) divided by (total interest charges plus preferred dividends).

5. Cash flow ratios:

A) Funds flow interest coverage ((funds from operations plus cash interest paid) divided by total interest incurred);

B) Funds flow as a percent of average total debt (funds from operations divided by (average short-term debt plus average long-term debt));

C) Cash coverage of common dividends ((funds from operations minus preferred dividends) divided by common dividends); and

D) Net cash flow as a percentage of construction expenditures ((funds from operations minus preferred dividends minus common dividends) divided by (gross construction expenditures minus AFUDC or IDC)).

6. Common stock related data:

A) Shares outstanding (fiscal or calendar year end);

B) Shares outstanding (weighted average – monthly);

C) Earnings per share (weighted average);

D) Dividends paid per share (weighted average); and

E) Dividend payout ratio (common dividends divided by earnings available for common shareholders).

83 Ill. Adm. Code 285.4080 Schedule D-8: Security Quality Ratings

a) Provide a history of the changes in the ratings of each class of security (i.e., senior and subordinated debt, preferred stock, and commercial paper), assigned by rating agencies engaged by the utility to rate its securities (e.g., Standard & Poor's, Moody's Investors Service, and Fitch Investor's Service or their successors), for the last five years in Schedule D-8. The history shall include the rating and the date the rating was assigned.

b) Provide a copy of all credit rating analyses or reports on the utility and its parent, in the utility's possession, published during the last 12 months that describe security rating changes and the rationale for those changes.

c) Provide a copy of the last credit rating analysis or report on the utility and its parent, in the utility's possession, published by each rating agency engaged by the utility to rate its securities that comprehensively describes the utility's operations, financial condition, and regulatory environment.

83 Ill. Adm. Code 285.4090 Schedules D-9 through D-12: Financial Statements

a) The following financial statements shall be provided unless provided elsewhere in the filing, in which case the utility shall identify the location of the requested financial statements. These financial statements shall include the most recently completed calendar or fiscal year through the end of the capital structure measurement period. The financial statements shall be provided on a total company basis. Amounts attributable to non-utility subsidiaries shall be identified and shown separately.

b) Schedule D-9: Income Statement.

c) Schedule D-10: Balance Sheet.

d) Schedule D-11: Statement of Cash Flows. The statement of cash flows shall include, but need not be limited to, the following items:

1. Cash flows from operating activities:

A) Net income;

B) Depreciation and amortization;

C) Deferred income taxes and investment tax credits – net ;

D) Other operating activities excluding changes in working capital – net; and

E) Changes in working capital – net.

2. Cash flows from investing activities:

A) Capital (construction) expenditures – net of AFUDC; and

B) Other investing activities – net.

3. Cash flows from financing activities (separately show any subsidiary security issuances and retirements for which the utility has ultimate liability):

A) Issuance of long-term debt;

B) Retirement of long-term debt;

C) Issuance of preferred stock;

D) Retirement of preferred stock;

E) Issuance of common stock;

F) Retirement of common stock;

G) Net increase (decrease) in short-term debt;

H) Dividends paid on preferred stock;

I) Dividends paid on common stock; and

J) Other (explain).

4. Net increase (decrease) in cash.

e) Schedule D-12: Statement of Retained Earnings.

83 Ill. Adm. Code 285.5010 Schedule E-1: Proposed Tariff Sheets

Provide all proposed tariff sheets. Identify each page with "Schedule E-1, page (insert number) of (insert total number of pages)" in the upper right hand corner.

History

• Source: Amended at 38 Ill. Reg. 7598, effective March 20, 2014

83 Ill. Adm. Code 285.5015 Schedule E-2: Proposed Revisions to Existing Tariff Sheets

Provide current tariff sheets for all tariff sheets that the utility proposes to change that show, in strikeout form, all existing rates and tariff language the utility proposes to remove and show, in underline form, all new rates and tariff language the utility proposes to add.

History

• Source: Amended at 38 Ill. Reg. 7598, effective March 20, 2014

83 Ill. Adm. Code 285.5020 Schedule E-3: Narrative Rationale for Tariff Changes

a) On Schedule E-3, provide the rationale underlying the proposed changes to the tariff. Changes common to multiple rate forms need be discussed only once (e.g., "Minimum bill charges have been increased about 10% on all rates because...").

b) Provide a specific source of data or narrative supporting each rationale for change. The source of data need not be submitted with the materials provided to Staff pursuant to this Part but must be available to the Staff. If the explanation is part of testimony, then it need not be duplicated in the schedules. Reference the appropriate current or proposed rate schedules to which the rationale is applicable. Use the proper schedule and page number.

c) (Electric and Gas Utilities Only) Provide a statement that describes in detail the methodology used to allocate revenues among the utility's customer classes.

83 Ill. Adm. Code 285.5025 Schedule E-4: Billing Units – Electric, Gas, Water, and Sewer Utilities

a) Provide jurisdictional "Billing Units" by rate classifications that make up the total test year revenue for each designated rate in combination with its accompanying riders to the rates, if any.

1. Report all billing units beginning with those actually experienced in the historical year and setting forth each adjustment for items such as weather (see subsection (a)(2)) and growth to arrive at pro forma test year billing units supporting pro forma revenues at present and proposed rates reflected on Schedule C-1. If the test year billing units are not derived in this manner, provide an explanation of the methodology and identify each of the key assumptions used to develop the billing determinants from actual data and provide all the associated work papers.

2. (Electric and Gas Utilities Only) Provide quantitative weather normalization data consistent with utility's service area. Include a full explanation of the normalization method selected and explain why it is appropriate. Provide the number of monthly heating degree days and/or cooling degree days assumed. Identify and explain each of the key assumptions in the methodology. Also, if an historical test year is used, provide the number of monthly heating degree days and/or cooling degree days actually experienced by the utility in the test year and state the source of that data (i.e., location of weather station). Provide monthly and annual averages using the heating degree day data and/or cooling degree day data from the same weather station previously mentioned for the time period used to derive billing units.

3. Test year billing units for each rate schedule (or type of service), each rate block and each rate element are to be reported, whether changed or not.

b) Categorize the test year billing units for each rate and rate element by the following components:

1. Customer charges (service charges);

2. Minimum bills if applicable;

3. Energy or usage sales units (Note: provide billing units for each current and proposed energy or usage block);

4. Demand units (Note: billing units shall be provided for each current and proposed demand block);

5. Purchased gas adjustment units, fuel adjustment units, purchased water units, or purchased sewage treatment units; and

6. All other units that give rise to revenues, including detailed billing units for public and private fire protection services where applicable.

c) Any utility that prepares an elasticity of demand study to support adjustments to test year billing units shall submit the study as work papers supporting Schedule E-4 in addition to the other information required by this Section.

History

• Source: Amended at 38 Ill. Reg. 7598, effective March 20, 2014

83 Ill. Adm. Code 285.5100 Additional Electric and Gas Utility Rate Design Data Requirements

Sections 285.5105 through 285.5315 are applicable to specific types of utilities. The affected utilities are indicated in each Section title.

83 Ill. Adm. Code 285.5105 Schedule E-5: Jurisdictional Operating Revenue – Electric and Gas Utilities

a) Provide calculations showing the derivation of jurisdictional test year revenues from each current rate schedule and from each new rate schedule proposed by the utility based on the billing units derived in Section 285.5025. Test year revenues for each rate schedule and each block within a schedule are to be reported, whether changed or not.

b) The calculations for each rate schedule shall show the calculation of test year revenues from each of the following rate components for each billing unit category provided on Schedule E-4:

1. Basic rate charges;

2. Purchased gas adjustment charges, fuel adjustment charges;

3. Add-on tax charges to recover governmental tax assessments on gross revenue (add-on tax charges shall not be included in base rates); and

4. Any other present or proposed add-on charges for individual rate classes not covered otherwise. (Note: Include, if applicable, municipal tax and rental costs for meters, transformers and related items in "Other", if available.)

c) Identify all other revenues in the present and proposed revenue requirement as referenced in the Operating Revenue balance provided in Schedule C-1.

83 Ill. Adm. Code 285.5110 Schedule E-6: Embedded Class Cost-of-Service Studies – Electric and Gas Utilities

Each electric and gas utility with $5 million or more in total jurisdictional annual revenues shall submit, at a minimum, an embedded cost-of-service study for each rate increase application based on costs for the proposed test year. This submission shall consist of two parts:

a) Schedule E-6: A full set of cost-of-service results that presents the functionalization, classification and allocation to the utility's rate classes of all Illinois jurisdiction costs on the utility system as follows:

1. All costs broken down by ICC Account or group of similar ICC Accounts that are allocated on the same basis;

2. Test year costs shall be consistent with the costs presented in Section 285.3005.

3. A list of all externally generated allocation factors in the study;

4. Rates-of-return by customer classes under both present and proposed rates; and

5. A full narrative description of the allocation methodology used in the cost-of-service study that explains in detail:

A) The derivation of all externally generated allocators; and

B) The basis for all direct assignments of costs in the study.

b) Schedule E-6 work papers: the utility shall provide all materials relied on in developing the cost-of-service study. This shall include:

1. All work papers relied on to develop the cost-of-service study;

2. The following data on demand and/or energy loss factors used in the cost-of-service study:

A) A list of all demand and/or energy loss factors by customer class used in the study; and

B) All studies or analyses relied on to develop these loss factors;

3. All other studies and analyses relied on by the utility to develop cost-of-service study results; and

4. A working model of the utility's cost-of-service study. If the utility is prevented from fulfilling this requirement by an agreement with an outside vendor, provide the following:

A) The contract provisions that prevent the utility from distributing a working "unprotected" version of the study; and

B) Either allow intervenors access to a computer that contains a working "protected" version of the model, i.e., formulas may be hidden to prevent viewing, where they can generate alternative cost-of-service study results; or have the utility's vendor and individual intervenors enter into an agreement to provide the intervenors with a working "unprotected" version of the model to use for a fixed and limited time period at the end of which that right to use the program would expire.

History

• Source: Amended at 38 Ill. Reg. 7598, effective March 20, 2014

83 Ill. Adm. Code 285.5120 Schedule E-7: Load Research – Electric Utilities

Each electric utility with more than $50 million in total jurisdictional annual revenue shall provide a set of load research results that were developed no more than four years before the filing date. This submission shall consist of two parts:

a) Schedule E-7: a full set of load research results based on statistical samples of the utility's rate classes. This shall include the following information:

1. Monthly class and Illinois jurisdictional loads at the time of the system coincident peaks, along with the date and time of this peak;

2. The monthly maximum non-coincident peak demands for each customer class, along with the date and time of each peak for each customer class;

3. Class and jurisdictional load factors; and

4. The statistical confidence level achieved for each set of load data developed.

b) Schedule E-7 work papers. The utility shall provide the following materials in support of its load research results:

1. The time period over which the data was collected;

2. A full description of the statistical methods used by the utility to derive load research results, including accuracies and confidence levels its load research samples were designed to achieve; and

3. A full explanation of the usage strata into which customers in the utility's load research sample are distributed. For each usage stratum, the utility must provide the following:

A) Identify the number of customers and the customer types (by class) in that particular usage stratum;

B) Average monthly usage;

C) Average demand in kW at the time of the system peak; and

D) Average non-coincident peak demand.

4. An explanation of how the load research sample was derived and justification for the appropriateness of the sample used.

History

• Source: Amended at 38 Ill. Reg. 7598, effective March 20, 2014

83 Ill. Adm. Code 285.5130 Schedule E-8: Bill Frequency Data – Electric and Gas Utilities

Each electric and gas utility with $20 million or more in total jurisdictional annual revenue shall provide the following bill frequency data for each of the utility's rate classes for the historical year as defined in 83 Ill. Adm. Code 287.100(a) (If the historical year bill frequency data does not accurately reflect test year bill frequency data for an individual rate class, then the utility shall provide test year bill frequency data for that class under proposed rate classes.):

a) A frequency distribution of monthly customer bills (by numbers and percentage) structured as follows for the utility's major rate classes (All data points beyond the 95th percentile shall be grouped in one block.):

1. For electric utilities:

A) For the rate classes applicable to residential customers: by 50 kWh increments from 0 to 500 kWh, by 100 kWh increments from 500 to 1,000 kWh, by 250 kWh increments from 1,000 to 2,500 kWh and by 500 kWh increments for all bills over 2,500 kWh;

B) For the rate classes applicable to commercial and industrial customers: by 10 kWh increments from 0 to 100 kWh, by 25 kWh increments from 100 to 500 kWh, by 50 kWh increments from 500 to 1,000 kWh, by 100 kWh increments from 1,000 to 2,500 kWh, by 500 kWh increments from 2,500 to 5,000 kWh, by 1,000 kWh increments from 5,000 to 10,000 kWh, by 5,000 kWh increments from 10,000 to 50,000 kWh, by 10,000 kWh increments from 50,000 to 100,000 kWh, by 50,000 kWh increments from 100,000 to 200,000 kWh, by 100,000 kWh increments from 200,000 to 1,000,000 kWh, and by 500,000 kWh increments for all bills over 1,000,000 kWh;

C) For the demand metered classes applicable to commercial and industrial customers: by 5 kW increments from 0 to 100 kW, by 10 kW increments from 100 to 200 kW, by 50 kW increments from 200 to 500 kW, by 100 kW increments from 500 to 1,000 kW, by 500 kW increments from 1,000 to 5,000 kWh, and by 2,500 kWh increments for all bills over 5,000 kW.

2. For gas utilities:

A) For the rate classes applicable to residential customers: by 10 therm increments from 0 to 200 therms, by 20 therm incre­ments from 200 to 400 therms, by 50 therm increments from 400 to 600 therms, and by 100 therm increments for all bills over 600 therms;

B) For the rate classes applicable to small commercial cus­tomers: by 20 therm increments from 0 to 400 therms, by 50 therm increments from 400 to 600 therms, by 100 therm increments from 600 to 1,000 therms, by 200 therm incre­ments from 1,000 to 2,000 therms, by 500 therm increments from 2,000 to 5,000 therms, by 1,000 therm increments from 5,000 to 10,000 therms, by 5,000 therm increments from 10,000 to 30,000 therms, by 10,000 therm increments from 30,000 to 100,000 therms, by 50,000 therm increments from 100,000 to 400,000 therms, by 100,000 therm increments from 400,000 to 800,000 therms, and by 200,000 therm increments for all bills over 800,000 therms;

C) For the rate classes applicable to small industrial customers: by 20 therm increments from 0 to 400 therms, by 50 therm increments from 400 to 600 therms, by 100 therm increments from 600 to 1,000 therms, by 200 therm increments from 1,000 to 2,000 therms, by 500 therm increments from 2,000 to 5,000 therms, by 1,000 therm increments from 5,000 to 10,000 therms, by 5,000 therm increments from 10,000 to 30,000 therms, by 10,000 therm increments from 30,000 to 100,000 therms, by 50,000 therm increments from 100,000 to 400,000 therms, by 100,000 therm increments from 400,000 to 800,000 therms, and by 200,000 therm increments for all bills over 800,000 therms;

D) For the rate classes applicable to large commercial cus­tomers: by 20 therm increments from 0 to 400 therms, by 50 therm increments from 400 to 600 therms, by 100 therm increments from 600 to 1,000 therms, by 200 therm incre­ments from 1,000 to 2,000 therms, by 500 therm increments from 2,000 to 5,000 therms, by 1,000 therm increments from 5,000 to 10,000 therms, by 5,000 therm increments from 10,000 to 30,000 therms, by 10,000 therm increments from 30,000 to 100,000 therms, by 50,000 therm increments from 100,000 to 400,000 therms, by 100,000 therm increments from 400,000 to 800,000 therms, and by 200,000 therm increments for all bills over 800,000 therms; and

E) For the rate classes applicable to large industrial customers: by 20 therm increments from 0 to 400 therms, by 50 therm increments from 400 to 600 therms, by 100 therm increments from 600 to 1,000 therms, by 200 therm increments from 1,000 to 2,000 therms, by 500 therm increments from 2,000 to 5,000 therms, by 1,000 therm increments from 5,000 to 10,000 therms, by 5,000 therm increments from 10,000 to 30,000 therms, by 10,000 therm increments from 30,000 to 100,000 therms, by 50,000 therm increments from 100,000 to 400,000 therms, by 100,000 therm increments from 400,000 to 800,000 therms, and by 200,000 therm increments for all bills over 800,000 therms.

b) Frequency distributions, by season, for each rate tariff with seasonal rates in effect.

c) A frequency distribution (in numbers and percentage) by both demand and usage level for demand metered tariffs.

83 Ill. Adm. Code 285.5135 Schedule E-9: Bill Comparisons – Electric and Gas Utilities

a) Compute bill comparisons under present and proposed rates for the test year for each residential, commercial and industrial rate schedule or combination of rate schedule with its associated rate rider on which the customers are serviced and any applicable fuel adjustment clause or purchased gas adjustment. Utilities with seasonal rates shall present these comparisons for each season and on an annual basis. The format for comparisons of present and proposed bills for electric and gas utilities shall be as follows in subsections (b) and (c).

b) Electric utilities:

1. For residential customers, present comparisons under the following monthly usage levels:

A) For residential service without water heating: 100 kWh, 250 kWh, 500 kWh, 750 kWh, 1,000 kWh, 1,500 kWh, 2,000 kWh and 3,000 kWh;

B) For residential service with water heating: 750 kWh, 1,000 kWh, 1,500 kWh, 2,000 kWh and 3,000 kWh;

C) For residential service with space heating or all electric: 100 kWh, 250 kWh, 500 kWh, 750 kWh, 1,000 kWh, 1,500 kWh, 2,000 kWh, 3,000 kWh, 5,000 kWh and 7,500 kWh; and

D) For the residential customer with typical usage as determined on a monthly basis.

2. For commercial service, present comparisons under the following monthly usage levels: 375 kWh, 750 kWh, 1,500 kWh, 6,000 kWh, 40 kW and 10,000 kWh, 50 kW and 12,500 kWh, 100 kW and 30,000 kWh, 300 kW and 90,000 kWh, 500 kW and 150,000 kWh, and 1,000 kW and 300,000 kWh.

3. For industrial service, present comparisons under the following monthly usage levels: 75 kW and 15,000 kWh, 75 kW and 30,000 kWh, 150 kW and 30,000 kWh, 150 kW and 60,000 kWh, 300 kW and 60,000 kWh, 300 kW and 120,000 kWh, 500 kW and 100,000 kWh, 500 kW and 200,000 kWh, 1,000 kW and 200,000 kWh, 1,000 kW and 400,000 kWh, 5,000 kW and 1,500,000 kWh, 5,000 kW and 2,500,000 kWh, 10,000 kW and 3,000,000 kWh, 10,000 kW and 5,000,000 kWh, 20,000 kW and 6,000,000 kWh, 20,000 kW and 10,000,000 kWh, 50,000 kW and 15,000,000 kWh, and 50,000 kW and 25,000,000 kWh.

c) Gas utilities:

1. For residential customers, present comparisons under the following monthly usage levels: 0 therms, 10 therms, 40 therms, 100 therms, 200 therms, 250 therms, 500 therms and 1,000 therms.

2. For commercial customers, present comparisons under the following monthly usage levels: 0 therms, 300 therms, 500 therms, 1,000 therms, 3,000 therms, 5,000 therms, 10,000 therms and 20,000 therms.

3. For industrial customers, present comparisons under the following monthly usage levels, 0 therms, 1,000 therms, 5,000 therms, 10,000 therms, 25,000 therms, 50,000 therms, 100,000 therms and 500,000 therms.

Chapter I Illinois Commerce Commission

Subchapter b Provisions Applicable to More Than One Kind of Utility

Part 285 Standard Information Requirements for Public Utilities and Telecommunications Carriers in Filing for an Increase in Rates

83 Ill. Adm. Code 285.5200 Schedule E-5: Long-Run Service Incremental Cost Studies – Telecommunications Carriers (repealed)

History

• Source: Repealed at 38 Ill. Reg. 7598, effective March 20, 2014

83 Ill. Adm. Code 285.5205 Schedule E-6: Imputation Tests – Telecommunications Carriers (Repealed)

History

• Source: Repealed at 38 Ill. Reg. 7598, effective March 20, 2014

83 Ill. Adm. Code 285.5210 Schedule E-7: Jurisdictional Operating Revenue - Telecommunications Carriers

a) Present calculations of jurisdictional revenues derived from each current rate schedule and from each new rate schedule proposed by the carrier.

1. Report all revenues beginning with those actually experienced in the historical year and setting forth each adjustment for items such as growth to arrive at pro forma revenues at present and proposed rates.

2. Revenues for each rate schedule are to be reported, whether changed or not.

b) Each rate schedule shall provide the following information:

1. Rate elements. Schedule E-7 provides for the reporting of revenue and sales data by category and by each rate element within the category. Provide the tariff sheet number reference for each rate element along with the name of the rate element.

2. Units in service. Units shall be presented in two forms: actual units in service and demand adjusted units. Base annual unit revenues for the historic year on units in service that reflect growth through the end of the test year. Base initial nonrecurring charges or other one-time charge revenues on the historical year occurrences.

83 Ill. Adm. Code 285.5215 Schedule E-8: Bill Comparisons – Telecommunications Carriers

On Schedule E-8, telecommunications carriers subject to the requirements of this Part shall provide bill comparisons for typical basic telecommunications services used by the majority of residential and business customers. If the charges are different for the exchange areas serviced, list the bill comparisons for typical service in representative rate groups (i.e., rate group with the highest percentage increase or decrease, rate group with the lowest percentage increase or decrease, and a rate group containing the largest number of exchanges).

83 Ill. Adm. Code 285.5300 Schedule E-5: Jurisdictional Operating Revenue – Water and Sewer

a) Provide calculations showing the derivation of jurisdictional revenues from each current rate schedule and from each new rate schedule proposed by the utility.

1. Report all revenues beginning with those actually experienced in the historical year and setting forth each adjustment for items such as weather and growth to arrive at pro forma revenues at present and proposed rates.

2. Revenues for each rate schedule and each block within a schedule are to be reported, whether changed or not.

b) The calculations for each rate schedule shall show the revenue calculation from each of the following rate components:

1. Basic rate charges;

2. Purchased water units or purchased sewage treatment units;

3. Details of fire protection revenues by meter size for each public fire district and municipality as paid by customers and the municipality or district in addition to the details by service connection size for private fire protection customers; and

4. Any other add-on charges not covered otherwise, in effect at the date of filing the proposed tariffs. Add-on charges shall not be included in base rates.

83 Ill. Adm. Code 285.5305 Schedule E-6: Embedded Cost of Service Studies – Water and Sewer

a) Each water and sewer utility may submit an embedded cost-of-service study for each rate increase application based on costs for the proposed test year. Each cost-of-service study submitted must include (at a minimum) the information listed in subsections (b), (c) and (d). If a cost-of-service study is not submitted, the utility must provide the necessary data in subsections (b), (c) and (d) to enable Staff to perform a cost-of-service study.

b) Schedule E-6: A full set of cost-of-service results that presents the functionalization, classification and allocation of all jurisdictional costs on the utility system. Present all non-jurisdictional costs separately from jurisdictional costs in the study.

1. All costs broken down in detail to allow a full cost-of-service study to be performed in accordance with the Uniform System of Accounts (83 Ill. Adm. Code 605 and 650). The breakdown of expenses by Uniform System of Accounts shall also include the following additional transmission and distribution expenses: Mains, Meters, Services, Meter Installations, Hydrants, and Distribution Reservoirs and Standpipes. Additionally, customer accounts expense shall include meter reading in its breakdown of expenses.

2. A listing of all externally generated allocation factors in the study.

3. A full narrative description of the allocation methodology used in the cost-of-service study that explains in detail:

A) The derivation of all externally generated allocators; and

B) The basis for all direct assignments of costs in the study.

c) Work papers supporting Schedule E-6 shall include all materials relied on in developing the cost-of-service study. This shall include, but not be limited to, the following:

1. All work papers relied on to develop the cost-of-service study in spreadsheet format, when applicable;

2. The following data on load factors used in the cost-of-service study:

A) A listing of all load factors used in the study by rate class and/or customer class; and

B) All studies and analyses relied on to develop these load factors.

3. All studies and/or analyses relied on by the utility to develop cost-of-service study results.

4. The amount of plant in service, contributions in aid of construction, and customer advances for:

A) Mains larger than eight inches in diameter; and

B) Mains eight inches and smaller in diameter.

d) Customer usage structured as follows for the utility's rate groups:

1. For water utilities:

A) Number of customers by meter size for each customer class; and

B) Water usage for each customer class by rate block (1,000 gallon or 100 cubic foot).

2. For sewer utilities:

A) For flat rate customers, the number of billing units by rate;

B) For customers billed on water usage:

i) Number of customers by meter size for each customer class; and

ii) Water usage for each customer class by rate block (1,000 gallon or 100 cubic foot).

History

• Source: Amended at 38 Ill. Reg. 7598, effective March 20, 2014

83 Ill. Adm. Code 285.5315 Schedule E-7: Bill Comparisons – Water and Sewer

a) Bill comparisons shall be calculated for the test year for each residential, commercial, industrial, or any other class rate schedule or combination of rate schedules, with its associated rate rider on which such customers are serviced. Show rates with different seasonal charges (winter, summer) for each season. The bill comparisons shall demonstrate the full range of per­cent increases and decreases that are expected to occur by reporting the consumption levels that produce the maximum percentage increase and the minimum percent increase or maximum percent decrease, whichever occurs. The format for comparisons of present and proposed bills shall show the present bill, the proposed bill, the dollar difference and the per­centage difference as described in subsections (b) and (c).

b) Water utilities:

1. For residential customers, present comparisons by 1,000 gallon or 100 cubic foot increments for usage from 0 to 20 units with an indi­cation of the average use;

2. For those commercial and industrial customers with usage levels less than 1000 units per month, present comparisons by 50,000 gallon or 5,000 cubic foot increments for usage from 0 to 1000 units; and

3. For those industrial and commercial customers with usage levels greater than 1000 units per month, present comparisons by 100,000 gallon or cubic foot increments for usage from 0 to 1,000,000 units and by 500,000 gallon or cubic foot increments from 1,000,000 to the maximum usage by any customer.

c) Sewer utilities:

1. For flat rate service, the rate for each type of service;

2. For rates based on water usage:

A) For residential customers, present comparisons by 1,000 gal­lon or 100 cubic foot increments for usage from 0 to 20 units with an indication of the average use;

B) For those commercial and industrial customers with usage levels less than 1000 units per month, present comparisons by 50,000 gallon or 5,000 cubic foot increments for usage from 0 to 1000 units; and

C) For those industrial and commercial customers with usage levels greater than 1000 units per month, present com­parisons by 100,000 gallon or cubic foot increments for usage from 0 to 1,000,000 units and by 500,000 gallon or cubic foot increments from 1,000,000 to the maximum usage by any customer.

d) The dollar amounts computed for current bills and proposed bills shall include the charges resulting from purchased water adjustments and sewage treatment rates, where applicable, that were in effect on the date of filing. Separately state municipal tax charges, franchise fees and the fire protection charge for the largest municipality.

83 Ill. Adm. Code 285.6000 Applicability of Subpart I

Subpart I is applicable to electric and gas utilities, subject to the requirements of this Part, as indicated in the title of each Section.

83 Ill. Adm. Code 285.6005 Schedule F-1: Electric Generating Station Data

Schedule F-1, for electric utilities that own generating stations, shall contain the electric generating station data listed below for the five consecutive years immediately preceding the test year and the test year, by generating unit, or by station if unit data is unavailable:

a) Operation and maintenance expenses, segregated by fixed and variable expenses, that are used in determining generation dispatch. As a work paper supporting this schedule, include a description of how the costs were calculated and allocated into the fixed and variable categories and any studies that support the allocation.

b) Net generation; and

c) Capacity factor.

83 Ill. Adm. Code 285.6010 Schedule F-2: Electric Interchange Transactions

Schedule F-2 shall contain information on electric interchange transactions of electric utilities for the test year and five consecutive years immediately preceding the test year when a utility is seeking a rate increase other than a delivery services rate increase. Information to be provided shall include:

a) Firm purchases and sales: Provide an annual summary listed by organization involved in the transaction and include MWhrs received or delivered, demand charges, energy charges, transmission charges, and total cost.

b) Non-firm purchases and sales: Provide an annual summary listed by organization involved in the transaction and by type of transaction (economy, general purpose, emergency, etc.). Include MWhrs received or delivered, energy charge in dollars, and transmission charges. Forecast levels of non-firm purchases and sales need only be listed by transaction type.

c) Transmission services: Provide the annual MWhrs received and delivered and revenue received for providing transmission services.

83 Ill. Adm. Code 285.6015 Schedule F-3: Electric Utility Marginal Energy Costs

Electric utilities that own generating assets shall provide on Schedule F-3 the marginal energy costs by costing period (summer, winter, on-peak, off-peak, etc.) for the test year. As work papers supporting this schedule, provide a description of the calculation of the marginal costs, the major assumptions, and support data from production cost studies.

83 Ill. Adm. Code 285.6020 Schedule F-3.1: Distribution System Maintenance Expense

a) Provide the following information for the utility's tree trimming program:

1. Tree trimming expense for the test year and three previous years;

2. The utility's policy regarding tree trimming cycle; and

3. The percent of the distribution system that has a tree trimming cycle in excess of the policy indicated in subsection (a)(2).

b) Provide the distribution substation maintenance expense for the test year and five previous years.

c) Provide the maintenance expense for the test year and five previous years for all distribution equipment other than distribution substations.

83 Ill. Adm. Code 285.6100 Schedule F-4: Additions to Plant in Service Since the Last Rate Case

a) Provide information concerning plant additions included in rate base on Schedule B-1 that are not currently in the rate base ordered in the utility's most recent rate proceeding. The number of projects for which information must be provided is the lower of the 30 most costly additions or the number of additions whose cost is greater than that shown in the table below. For multi-jurisdictional utilities, the cost of the addition shall be considered on the basis of total company cost, by type of utility. The supporting work papers shall include the reports included in response to subsection (b)(7).

UTILITY NET PLANT

(From most recent ILCC Form 21, pages 200-201)

Minimum Cost of Project for which information need be provided in Section 285.6100

ELECTRIC UTILITIES

GAS UTILITIES

Equal to or greater than $1 billion

Higher of 0.1% of net plant or $2,000,000

Lower of 0.2% of net plant or $10,000,000

Greater than $50 million but less than $1 billion

$1,000,000

Higher of 0.2% of net plant or $1,000,000

$50 million or Less

$100,000

$100,000

b) Information provided for the top ten most costly additions shall include:

1. Description of addition;

2. Date project started;

3. Completion date;

4. Completion cost;

5. Reason for the project;

6. Alternatives considered and the reasons for rejecting each alternative; and

7. List of reports relied upon by management when deciding to pursue the rate base addition.

c) Information provided for the next 20 most expensive additions to rate base shall include:

1. Description of addition;

2. Completion cost; and

3. Reason for the project.

83 Ill. Adm. Code 285.6200 Schedule F-5: Fossil Fuel Inventory – Electric Utilities

a) For each of the five consecutive years immediately preceding the test year and the test year, electric utilities that own generating assets shall provide information on fuel inventory, including all primary, secondary, and start-up fuel inventories, for each generating unit and fuel type as described in subsection (b). If the same fuel is burned by more than one unit at a station, indicate the affected units and provide the information for the combination of units.

b) Indicate, where applicable, tons, barrels, and dollars for the following information:

1. Monthly average fuel inventory level;

2. Monthly average fuel burn;

3. Monthly average fuel receipts;

4. Maximum inventory storage capacity;

5. Unusable inventory, where unusable inventory is defined as inventory that is not accessible for use, but is necessary for the rest of the inventory to be utilized;

6. Reason for unusable inventory;

7. Daily burn at full load; and

8. For all fuel types, specify at what time each is used, i.e., natural gas is used as a primary fuel in the months of May through September, etc.

c) Supporting work papers shall include a complete description of how the utility determines the cost and Btu content of fossil fuel burned from inventory.

83 Ill. Adm. Code 285.6205 Schedule F-6: Contractual Coal Delivery Schedule – Electric Utilities

a) Electric utilities that own generating assets shall provide the information described in subsection (b) concerning contractual coal delivery schedules for each generating unit for the test year. If the same fuel is burned by more than one unit at a station, indicate the affected units and provide the information for the combination of units.

b) Information provided shall include:

1. Source of coal supply, including the name of the coal supplier and location of the mine;

2. Delivery amount in tons per week, month, etc., as specified in the contract and the mode of transportation;

3. Allowable deviations from the schedule;

4. Required advance notice to alter the schedule; and

5. Explanation of how the utility determines an appropriate coal delivery schedule if no contractual schedule is specified.

83 Ill. Adm. Code 285.6210 Schedule F-7: Fossil Fuel Supply Interruptions – Electric Utilities

a) Electric utilities that own generating assets shall provide the information described in subsection (b) concerning each fossil fuel supply interruption when coal, oil or natural gas could not be delivered to a generating unit during the previous five years.

b) Information provided for each occurrence exceeding five days shall include:

1. Date of interruption;

2. Description of occurrence;

3. Duration;

4. Units affected;

5. Inventory burned; and

6. Size of inventory when deliveries resumed.

83 Ill. Adm. Code 285.6300 Schedule F-8: Gas Stored Underground – Gas Utilities

a) Provide information, when applicable, for the portion of each underground gas storage facility owned, contracted, leased, etc., during the test year and for the period directly after the test year to the present. When the underground storage is provided by a natural gas pipeline or other service provider, including services provided pursuant to a purchased storage service on file with the Federal Energy Regulatory Commission, the utility shall note this on the schedule and provide the information that is available. References to storage facility shall be construed to include storage services that are not defined by a specific storage facility.

b) Information to be provided shall include:

1. Location and operator of the storage facility;

2. Date that each contract, lease, etc., expires;

3. Maximum working gas inventory volume for the portion of the storage facility owned, contracted, leased, etc., by the utility;

4. Method of inventory valuation used by the utility (i.e., average, FIFO (first in, first out), LIFO (last in, first out));

5. Maximum daily deliverability on a typical peak day for the portion of the storage facility owned, contracted, leased, etc., by the utility;

6. Expected daily deliverability on a typical peak day for the portion of the storage facility owned, contracted, leased, etc., by the utility (differs from subsection (b)(5) only if derations are expected);

7. Injection limitations, such as time of year constraints, source of injection gas, etc., for the portion of the storage facility owned, contracted, leased, etc., by the utility; and

8. Method of dispatch (i.e., peak shaving, base loading, etc.).

c) Supporting work papers shall include the following information for the portion of the storage facility owned, contracted, leased, etc., by the utility:

1. An explanation of the calculation of each storage facility's maximum daily deliverability on a typical peak day;

2. An explanation of the calculation of each storage facility's expected daily deliverability on a typical peak day;

3. An explanation of the type of transportation used in conjunction with each leased or contracted storage agreement; and

4. An explanation of how the utility accounts for its storage inventory levels (one central pool or specific information for each storage field).

History

• Source: Amended at 38 Ill. Reg. 7598, effective March 20, 2014

83 Ill. Adm. Code 285.6305 Schedule F-9: Underground Gas Storage Activity – Gas Utilities

a) Provide information, if applicable, for the portion of all underground gas storage facilities either owned or leased by the utility for each of the five consecutive years immediately preceding the test year and the test year. Where the underground storage is provided by a natural gas pipeline or other service provider, including services provided pursuant to a purchased storage service on file with the Federal Energy Regulatory Commission, the utility shall note this on the schedule and provide the information that is available. References to storage facility shall be construed to include storage services that are not defined by a specific storage facility.

b) Information shall be provided only for that portion of the storage facility that is owned, leased or contracted by the utility and shall include:

1. End of month inventory of cushion gas and working gas in dollars and millions of cubic feet or decatherms;

2. Monthly injection and withdrawal quantities; and

3. Date and reason for any instances where the withdrawal capacity of a facility was limited due to unforeseen circumstances, such as equipment breakdowns, within the five consecutive years immediately preceding the test year.

History

• Source: Amended at 38 Ill. Reg. 7598, effective March 20, 2014

83 Ill. Adm. Code 285.6310 Schedule F-10: Adequacy of Underground Gas Storage Levels – Gas Utilities

a) Provide support for the determination that the available gas storage is the proper amount to ensure reliable service to customers at the lowest cost during the test year.

b) Work papers shall include studies available to support the determination that the available gas storage is the proper amount needed to ensure reliable service to customers at the lowest cost during the test year.

83 Ill. Adm. Code 285.6315 Schedule F-11: Propane, Liquefied Natural Gas, and Synthetic Natural Gas Facilities – Gas Utilities

a) Provide information for each propane, liquefied natural gas (LNG) and synthetic natural gas (SNG) facility.

b) Information to be provided shall include:

1. Rate at which the propane/LNG inventory can be replenished during the winter months;

2. Feedstock consumption rate in gallons per hour for the plant at rated capacity;

3. Expected peak day capacity of the plant;

4. Last three dates on which the facility was required to serve load on the utility's system. Explain the situation that caused each of these three occurrences and how much load was served by the facility;

5. Date and reason for any instances where the withdrawal capacity of a facility was limited due to unforeseen circumstances, such as equipment breakdowns, within the five consecutive years immediately preceding the test year.

c) Supporting work papers shall include:

1. An explanation of how the replenishment rate will change for different levels of inventory; and

2. Basis for replenishment rates.

History

• Source: Amended at 38 Ill. Reg. 7598, effective March 20, 2014

Chapter I Illinois Commerce Commission

Subchapter b Provisions Applicable to More Than One Kind of Utility

Part 285 Standard Information Requirements for Public Utilities and Telecommunications Carriers in Filing for an Increase in Rates

83 Ill. Adm. Code 285.6320 Schedule F-12: Propane, Lng, and Sng Feedstock Inventory Levels – Gas Utilities

Provide the monthly level of feedstock inventory, including monthly injections and withdrawals, for each propane, LNG, and SNG facility for the three consecutive years immediately preceding the test year and the test year, in dollars and gallons.

83 Ill. Adm. Code 285.7000 Instructions for Subpart J

a) A utility, subject to the requirements of this Part, selecting a future test year as defined in 83 Ill. Adm. Code 287 shall provide the additional schedules required by Subpart J.

b) Schedules shall present information on a total company basis, unless otherwise specified. If the utility maintains separate books for each service area, and on a applicable service basis, for which separate tariffs exist (e.g., district, division, etc.), the schedules shall present information for each service area for which a change in rates is requested. In addition, if common rates are requested for a service area for which separate tariffs currently exist, the utility shall present information for each service area requesting common rates and the combined service areas requesting common rates.

83 Ill. Adm. Code 285.7005 Schedule G-1: Comparison of Prior Forecasts to Actual Data – Prior Three Years

a) Schedule G-1 shall compare forecast period data to actual data to demonstrate the reliability and accuracy of the utility's forecast for each of the three most recent consecutive years preceding the test year for which actual data exist. The prior years' forecast data are to represent the original approved budget for the period.

b) Work papers supporting Schedule G-1 shall include:

1. The original, and all amendments, of operating and capital budgets or forecasts for each of the three consecutive years preceding the test year for which actual data exist and those in support of the test year; and

2. A budget manual or formalized budget guidelines and procedures used to develop the utility's most recent budget.

History

• Source: Amended at 38 Ill. Reg. 7598, effective March 20, 2014

83 Ill. Adm. Code 285.7010 Schedule G-2: Statement from the Independent Certified Public Accountant

a) Schedule G-2 shall be a statement from an independent certified public accountant that the preparation and presentation of the applicable schedules comply with the Prospective Financial Information, November 1, 2012 (copyright 2013) by the American Institute of Certified Public Accountants (1211 Avenue of the Americas, New York NY 10036-8775). No later amendment or edition is included in this incorporation.

b) The work papers of the independent certified public accountant supporting the statement required in subsection (a) shall be made available to the Commission Staff at the utility's office. The work papers shall also include the engagement letter, representation letter, and any additional correspondence between the utility and the independent certified public accountant regarding the engagement.

History

• Source: Amended at 38 Ill. Reg. 7598, effective March 20, 2014

83 Ill. Adm. Code 285.7015 Schedule G-3: Statement on Assumptions Used in the Forecast

a) Schedule G-3 shall be a statement indicating whether the forecast for the test year contains the same assumptions and methodologies used in forecasts prepared for management or other entities such as the Securities and Exchange Commission, security rating companies and agencies, underwriters, and investors.

b) Schedule G-3 shall also include an explanation of any differences between the assumptions and methodologies used in the forecast forming the basis of the test year selected by the utility and the assumptions and methodologies used in forecasts prepared for management or other entities.

83 Ill. Adm. Code 285.7020 Schedule G-4: Statement on Accounting Treatment

a) Schedule G-4 shall be a statement that the accounting treatment applied to anticipated events and transactions in the forecast is the same as the accounting treatment to be applied in recording the events once they have occurred.

b) Schedule G-4 shall also include an explanation of any differences between the accounting treatment applied to anticipated events and transactions in the forecast forming the basis of the test year selected by the utility and the accounting treatment to be applied in recording the event once it has occurred.

83 Ill. Adm. Code 285.7025 Schedule G-5: Assumptions Used in the Forecast

Schedule G-5 shall include the principal assumptions used in preparing the projected information forming the basis for the test year selected by the utility.

83 Ill. Adm. Code 285.7030 Schedule G-6: Inflation

a) Schedule G-6 shall identify the rate of inflation applied to accounts, portions of accounts, or budget items inflated by an index for the future test year.

b) Information provided shall include the following information on each of the accounts, portions of the accounts, or budget items inflated by an index:

1. Account or budget item;

2. Description;

3. Dollar base to which inflation factor was applied;

4. Inflation factor; and

5. The product of multiplying the amount in subsection (b)(3) by the amount in subsection (b)(4) that represents an amount for inflation included within the test year.

83 Ill. Adm. Code 285.7035 Schedule G-7: Proration of Accumulated Deferred Income Taxes

Provide the calculation for the proration of accumulated deferred income taxes attributable to the accelerated depreciation of public utility property pursuant to section 168(i)(9)(B) of the Internal Revenue Code (26 USC 168(i)(9)(B)) for the exclusion of the normalization reserve from rate base. The calculated average balance of accumulated deferred income taxes attributable to the accelerated depreciation of public utility property shall be presented on Schedule B-9.

Chapter I Illinois Commerce Commission

Subchapter b Provisions Applicable to More Than One Kind of Utility

Part 285 Standard Information Requirements for Public Utilities and Telecommunications Carriers in Filing for an Increase in Rates

83 Ill. Adm. Code 285.7045 Schedule G-8: Actual Gross Additions and Retirements Compared to Original Budget

Provide a comparison by plant function of the original budget of capital additions and retirements to actual capital additions and retirements for each of the three most recent consecutive years preceding the test year for which actual data exist.

History

• Source: Amended at 38 Ill. Reg. 7598, effective March 20, 2014

83 Ill. Adm. Code 285.7050 Schedule G-9: Comparison of Budgeted Non-Payroll Expense to Actual

a) Provide, by ICC Account number, with operation and maintenance shown by individual operation and maintenance expense account (or utility account number or budget item, if utility account numbers or budget items are in similar detail or greater detail when compared to ICC Account numbers), actual non-payroll expense compared with budgeted non-payroll expense for each of the three most recent consecutive years preceding the test year for which actual data exist. The budgeted non-payroll expense shall represent the originally approved budget. If budgeted amounts are not available by ICC Account number, utility account number or budget, provide the comparison by function (for example, power production – operation, power production – maintenance, distribution – operation, distribution – maintenance, etc.).

b) Information provided shall include:

1. Account number;

2. Account description;

3. Actual non-payroll expense in third prior year;

4. Budgeted non-payroll expense in third prior year;

5. Difference between actual and budgeted non-payroll expense in third prior year;

6. Percentage change for difference between budgeted and actual non-payroll expense in third prior year;

7. Actual non-payroll expense in second prior year;

8. Budgeted non-payroll expense in second prior year;

9. Difference between actual and budgeted non-payroll expense in second prior year;

10. Percentage change for difference between budgeted and actual non-payroll expense in second prior year;

11. Actual non-payroll expense in prior year;

12. Budgeted non-payroll expense in prior year;

13. Difference between actual and budgeted non-payroll expense in prior year; and

14. Percentage change for difference between budgeted and actual non-payroll expense in prior year.

c) Supporting work papers shall include explanations for percentage differences of 15% or more identified in subsection (b)(14).

History

• Source: Amended at 38 Ill. Reg. 7598, effective March 20, 2014

83 Ill. Adm. Code 285.7055 Schedule G-10: Budgeted Payroll Expense

a) Provide, by ICC Account number, operation and maintenance by individual operation and maintenance expense account (or utility account number or budget item, if utility account numbers or budget items are in similar detail or greater detail when compared to ICC Account numbers), actual direct payroll expense as defined by Section 285.115 compared with the budgeted payroll expense for each of the three most recent consecutive years preceding the test year for which actual data exist and the test year. The budgeted payroll expense shall represent the originally approved budget. If budgeted amounts are not available by ICC Account number, utility account number or budget, provide the comparison by function (for example, power production – operation, power production – maintenance, distribution – operation, distribution – maintenance, etc.).

b) Information provided shall include:

1. Account number;

2. Account description;

3. Actual payroll expense in third prior year;

4. Budgeted payroll expense in third prior year;

5. Difference between actual and budgeted payroll expense in third prior year;

6. Percentage change for difference between budgeted and actual payroll expense in third prior year;

7. Actual payroll expense in second prior year;

8. Budgeted payroll expense in second prior year;

9. Difference between actual and budgeted payroll expense in second prior year;

10. Percentage change for difference between budgeted and actual payroll expense in second prior year;

11. Actual payroll expense in the year prior to the test year;

12. Budgeted payroll expense in the year prior to the test year;

13. Difference between actual and budgeted payroll expense in the year prior to the test year;

14. Percentage change for difference between budgeted and actual payroll expense in the year prior to the test year; and

15. Payroll expense reflected in test year.

c) Supporting work papers shall include:

1. Explanations for percentage differences of 15% or more identified in subsection (b)(14);

2. Actual direct payroll expense for each month of the three consecutive years identified in subsections (b)(3), (b)(7), and (b)(11); and

3. Direct payroll expense included within the original budget for each month of the three consecutive years identified in subsections (b)(4), (b)(8), and (b) (12) and identified in subsection (b)(15) for the test year.

History

• Source: Amended at 38 Ill. Reg. 7598, effective March 20, 2014

83 Ill. Adm. Code 285.7060 Schedule G-11: Budgeted Number of Employees

a) Schedule G-12 shall list the number of employees by department included within the original, approved budget in each month of the three most recent consecutive years preceding the test year, for which actual data exist, and the test year.

b) Information shall include:

1. Number of full time employees;

2. Number of part time employees;

3. Number of full time equivalents for part time employees (i.e., if a full time employee is defined as working 40 hours per week, then part time, non-overtime hours divided by 40 would yield the number of full time equivalents); and

4. Total full time equivalents (sum of amounts in subsections (b)(1) and (b)(3)).

History

• Source: Amended at 38 Ill. Reg. 7598, effective March 20, 2014

83 Ill. Adm. Code 285.7065 Schedule G-12: Forecasted Property Taxes

a) Provide information on the forecasted property taxes for the test year. If the information for the year immediately preceding the test year reflected on Schedule C-19 represents a combination of actual and forecasted data, provide information for the year preceding the test year also.

b) Information provided shall include:

1. Description of the methodology used to derive forecasted amounts reflected on Schedule C-19;

2. Equalized assessed value by county; and

3. Effective tax rate by county with the basis for the escalation rate used.

c) Provide the amount of property tax recoveries obtained from any appeals process for each of the three most recent consecutive years preceding the test year for which actual data exist.

History

• Source: Amended at 38 Ill. Reg. 7598, effective March 20, 2014

Chapter I Illinois Commerce Commission

Subchapter b Provisions Applicable to More Than One Kind of Utility

Part 285 Standard Information Requirements for Public Utilities and Telecommunications Carriers in Filing for an Increase in Rates

83 Ill. Adm. Code 285.7070 Schedule G-13: Comparison of Actual Financial Results to the Originally Approved Forecast for Each of the Past Twelve Months and Eight Subsequent Months

Provide a comparison of each month's actual financial results to each month's forecast within the utility's originally approved annual forecast for each of the past 12 months at the time of filing and each of the eight subsequent months as available.

83 Ill. Adm. Code 285.7075 Financial Statements

Provide the following financial statements (including the most recently completed calendar or fiscal year through the end of the future test year) on a total company basis (including utility subsidiaries). Amounts attributable to non-utility subsidiaries shall be identified and shown separately:

a) Income statement, including non-jurisdictional service revenues to be identified as Schedule G-15;

b) Balance sheet to be identified as Schedule G-16 (This schedule may be omitted if already provided pursuant to Section 285.2020.);

c) Statement of cash flows to be identified as Schedule G-17 (This schedule may be omitted if already provided pursuant to Section 285.4090(d).); and

d) Statement of retained earnings to be identified as Schedule G-18.

83 Ill. Adm. Code 285.APPENDIX A Work Paper Referencing System

POSITION DESCRIPTION

1 & 2 First and second characters will always be "WP", which denotes work papers.

3 Position 3 will always represent the section of standard information requirement schedules to which the work papers are related. The sections are:

A Revenue and Financial Summaries

B Rate Base

C Operating Income

D Rate of Return

E Rate and Tariff

F Financial Projection

G Planning and Operations

H Future Test Year Requirements

4 Position 4 will always represent the schedule number within a sec­tion. The first schedule within a section will always be "1", the second "2", etc. Several standard schedule numbers have been assigned. If the utility wishes to apply additional schedules in any section, the next available (unassigned) schedule number in the appropriate section shall be used.

5 Position

Schedules that feed a specific schedule number shall be identified by the fourth position. The first supporting schedule shall have posi­tions 3 and 4 coded with the section and schedule number that the supporting schedules feed, and it shall be numbered "1", the second "2", etc.

For example:

The standard number assigned to the Operating Income Adjustment Summary Schedule is C-3. The first adjustment shall be supported by a separate schedule numbered C-3.1. The second adjustment supporting schedule shall be C-3.2. The work papers would be indexed WPC-3.1 and WPC-3.2, respectively.

6 Position

Data is required for supporting a schedule identified by the 5-position digit. The first additional supporting schedule shall be identified with the lower case letter "a", the second "b", etc. In all cases where the 6th position is used, the 3rd, 4th, and 5th position characters shall be coded with the section, schedule and supporting schedule that the additional data supports.

For example:

Information provided as additional support for adjustment C-3.1 would be coded in the work papers as: WPC-3.1 a, b, c…etc.

Chapter I Illinois Commerce Commission

Subchapter b Provisions Applicable to More Than One Kind of Utility

Part 286 Submission of Rate Case Testimony

83 Ill. Adm. Code 286.10 Applicability

This Part shall apply to all public utilities as defined in Section 3-105 of the Public Utilities Act (Act) [220 ILCS 5/3-105] and to those telecommunications carriers as defined in Sec­tion 13-202 of the Act [220 ILCS 5/13-202] that are subject to the requirements of Section 9-201 of the Act [220 ILCS 5/9-201] and 83 Ill. Adm. Code 285. As used in this Part, the term "utilities" shall include both public utilities and those telecommunications carriers to which this Part is applicable.

83 Ill. Adm. Code 286.20 Submission of Prepared Testimony

a) Direct Testimony

1. Utilities shall, at the time of filing tariffs for a base rate increase, file the prepared direct testimony of any witnesses and any exhibits in support of the utility's proposed tariffs.

2. For each project listed in 83 Ill. Adm. Code 285.6100(a), the utility's direct testimony shall include at least the following information that the utility relied upon to support its conclusion that its investment in the project is both prudent and used and useful in providing utility service:

A) A description of all reports, studies, forecasts, documentation, or other factors that the utility relied upon to support its con­clusion; and

B) A description of the manner in which the utility's use of the described reports, studies, forecasts, documentation or other factors in planning, constructing or operating the projects supports the utility's conclusion.

3. The utility shall also submit one electronic copy of the testimony and exhibits to the Director of the Financial Analysis Division or any successor division of the Illinois Commerce Commission (Commission) at the time of filing.

b) Supplemental direct testimony. Submission of direct testimony shall not preclude submission of supplemental direct testimony with good cause shown. In determining whether good cause has been shown, the Commission shall consider, among other things, the degree to which the information that is the subject of the supplemental direct testimony was not known to the utility at the time direct testimony was filed, and the degree to which facts have changed due to circumstances beyond the control of the utility.

c) Nothing in this Section shall be construed as limiting:

1. Updates to the rate of return on rate base during the rebuttal phase of the rate proceeding;

2. Updates or adjustments pursuant to 83 Ill. Adm. Code 287; or

3. The submission of post record data pursuant to 83 Ill. Adm. Code 200.875.

d) Nothing in this Section shall be construed to limit the submission of corrections of mistakes or inadvertent omissions, provided no party is prejudiced by that submission.

History

• Source: Amended at 40 Ill. Reg. 16200, effective December 9, 2016

83 Ill. Adm. Code 286.30 Schedules and Work Papers Required to Support the Utility's Revised Revenue Requirement

When, subsequent to the date of filing initial rates or tariffs in a rate proceeding, a utility files testimony or exhibits with a revised revenue requirement or a revenue increase differ­ent from the revenue increase previously presented on Schedule A-2, the utility shall provide the schedules and work papers sup­porting the revised revenue requirement at the time of filing the testimony in accordance with the requirements of 83 Ill. Adm. Code 285.

a) The schedules shall be identified in the upper right hand corner with the appro­priate schedule reference, the revision date, and the docket number. The following schedules, if affected by the change in the proposed revenue requirement, are required:

1. An overall financial summary as defined by 83 Ill. Adm. Code 285.1005 to be identified as Revised Schedule A-2;

2. A jurisdictional rate base summary as defined by 83 Ill. Adm. Code 285.2005 to be identified as Revised Schedule B-1, except that the presentation of rate base components shall include:

A) Prior balance sponsored by the utility;

B) Adjustment; and

C) Adjusted requested balance;

3. A summary of rate base adjustments as defined by 83 Ill. Adm. Code 285.2010 to be identified as Revised Schedule B-2 that reflects the individual adjustments to rate base included within the aggregated total adjustment amount reflected on Revised Schedule B-1;

4. A schedule of each rate base adjustment providing support for the adjustment as defined by 83 Ill. Adm. Code 285.2015 to be identified as Revised Schedule B-2.1, B-2.2, etc.;

5. A jurisdictional operating income summary as defined by 83 Ill. Adm. Code 285.3005 to be identified as Revised Schedule C-1, except that the presentation of the components of operating income shall include:

A) Prior pro forma balance at present rates;

B) Total of adjustments;

C) Revised pro forma balance at present rates;

D) Requested rate increase; and

E) Pro forma balance at proposed rates;

6. A summary of the adjustments to operating income as defined by 83 Ill. Adm. Code 285.3010 to be identified as Revised Schedule C-2 that reflects the individual adjustments to operating income within the aggregated total adjustment amount reflected on the jurisdictional operating income summary;

7. A schedule of each adjustment to operating income providing support for the adjustment as defined by 83 Ill. Adm. Code 285.3015 to be identified as Revised Schedule C-2.1, C-2.2, etc.; and

8. All schedules as defined by 83 Ill. Adm. Code 285.Subpart G affected by that revision.

b) Work papers are required for, but not limited to, the work papers prescribed by the schedules submitted in support of the revised tariffs or revised reve­nue requirement. In addition, all work papers shall:

1. Be keyed to the appropriate text or testimony exhibit;

2. Contain the name of the person responsible for the work paper and the date prepared;

3. Be cross-referenced wherever possible to minimize duplication of data; and

4. Include assumptions, schedule amounts, narrative or other support so that the reasonableness of the work paper can be reviewed.

83 Ill. Adm. Code 286.40 Work Papers Supporting the Testimony of Parties Other Than the Utility

Provision of work papers supporting the testimony of parties other than the utility shall be determined at the pre-hearing conference.

Part 287 Rate Case Test Year

83 Ill. Adm. Code 287.10 Applicability

This Part shall apply to all public utilities as defined in Section 3-105 of the Public Utilities Act (Act) [220 ILCS 5/3-105] and to those telecommunications carriers as defined in Sec­tion 13-202 of the Act [220 ILCS 5/13-202] that are subject to the requirements of Section 9-201 of the Act [220 ILCS 5/9-201] and 83 Ill. Adm. Code 285. As used in this Part, "util­ity" shall include both public utilities and those telecommunications carriers to which this Part is applicable.

83 Ill. Adm. Code 287.20 Test Year Options

A utility, at its option, may propose either one of the following periods as its proposed test year:

a) Historical. Any consecutive 12 month period, beginning no more than 24 months prior to the date of the utility's filing, for which actual data are avail­able at the time of filing new tariffs; or

b) Future. Any consecutive 12 month period of forecasted data beginning no earlier than the date new tariffs are filed and ending no later than 24 months after the date new tariffs are filed.

83 Ill. Adm. Code 287.30 Updates to Future Test Year Data

a) During the suspension period, the assigned Administrative Law Judge may require or allow the utility to update its schedules and workpapers, if a utility has proposed a future test year, according to the schedule established in the proceeding when evidence has been introduced that a significant and mate­rial change affecting the revenue requirement as defined in subsection (c) of this Section has occurred. In establishing this schedule, the Administrative Law Judge shall consider the timing and scope of the updated filing. A utility shall not be allowed or required to submit more than one updated filing, or to submit an updated filing during the final 150 days of the resuspension period. When data are updated, the utility shall also provide updated infor­mation for any affected schedules and work papers originally submitted as a requirement of 83 Ill. Adm. Code 285.

b) A determination to require or allow the submission of an update shall include, but not be limited to, the consideration of:

1. Whether the changes significantly and materially affect the revenue requirement;

2. Whether the changes could have been reflected in the initial tariff filing; and

3. Whether the Illinois Commerce Commission staff and other partici­pants will have an adequate opportunity to review the updated infor­mation.

c) Examples of "significant and material" changes would include changes since the original filing of tariffs to factors including, but not limited to:

1. Contractual obligations;

2. Revenue requirements;

3. Additions or losses of customers served; and

4. Governmental requirements or levies, such as tax rates or environ­mental requirements.

d) Whenever the utility updates projected data in its selected test year, it shall provide a reconciliation of original and updated data and identify and support the changes in its testimony and exhibits.

e) Nothing in this Section shall be construed as a limitation on updates to the rate of return on rate base during the rebuttal phase of the rate proceeding.

83 Ill. Adm. Code 287.40 Pro Forma Adjustments to Historical Test Year Data

A utility may propose pro forma adjustments (estimated or calculated adjustments made in the same context and format in which the affected information was provided) to the selected historical test year for all known and measurable changes in the operating results of the test year. These adjustments shall reflect changes affecting the ratepayers in plant investment, operating revenues, expenses, and cost of capital where such changes occurred during the selected historical test year or are reasonably certain to occur sub­sequent to the historical test year within 12 months after the filing date of the tariffs and where the amounts of the changes are determinable. Attrition or inflation factors shall not be substituted for a specific study of individual capital, revenue, and expense components. Any proposed known and measurable adjustment to the test year shall be individually identified and sup­ported in the direct testimony of the utility. Each adjustment shall be submitted according to the standard information requirement schedules prescribed in 83 Ill. Adm. Code 285.

Part 288 Rate Case Expense

83 Ill. Adm. Code 288.10 Scope

The requirements of this Part shall only apply to the rate case expenses described in subsections (a) and (b) and for which recovery is sought by the utility through rates:

a) amounts expended by a utility to compensate outside counsel/support staff and outside technical experts/support staff to prepare and litigate a rate case filing; and

b) amounts expended by a utility to compensate affiliate counsel/support staff and affiliate technical experts/support staff to prepare and litigate a rate case filing.

83 Ill. Adm. Code 288.20 Definitions

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

"Flat fee contract" means a contract between a utility and outside counsel or an outside technical expert by which the utility pays an agreed upon amount, regardless of hours worked or billed.

"Hourly rate contract" means a contract under which a utility agrees to compensate outside counsel or an outside technical expert based on hourly rates multiplied by hours billed.

"Miscellaneous expenses" means expenses billed by an outside counsel, outside technical expert, utility affiliate counsel, or utility affiliate technical expert for costs including, but not limited to, photocopying, travel, travel-related meals and lodging, if evidence establishes that those costs were excluded from the agreement with the utility as compensation for the rate case at issue.

"Not-to-exceed contract" means a contract between a utility and outside counsel or an outside technical expert by which the utility agrees to compensate the outside counsel or outside technical expert at an hourly rate for work billed, if there is a cap on the maximum amount that may be paid out under the contract.

"Outside counsel" means an attorney that is not employed by the utility or any of its affiliates who is retained to prepare and litigate a rate case filing subject to this Part on behalf of the utility.

"Outside counsel and outside technical expert compensation" means costs subject to the Commission's specific assessment as to justness and reasonableness, which include the following costs for which the utility seeks recovery as part of rate case expense in a rate case filing:

Outside counsel (attorney) fees, whether billed under an hourly rate contract, a flat fee contract, a not-to-exceed contract, or some other arrangement for compensation; including non-attorney support staff fees and reimbursement of miscellaneous incidental expenses.

Outside technical expert fees, whether billed under an hourly rate contract, a flat fee contract, a not-to-exceed provision, or some other arrangement for compensation; support staff fees; and reimbursement of miscellaneous expenses.

"Outside technical expert" means a consultant or other professional who is not employed by the utility or any of its affiliates that is retained to testify as an expert witness on behalf of the utility and/or otherwise assist the utility with the preparation and/or litigation of a rate case filing.

"Support staff" means personnel performing functions under the direction and supervision of outside counsel, outside technical experts, utility affiliate counsel or utility affiliate technical experts in connection with a rate case filing subject to this Part, such as paralegals, legal assistants or other non-attorney/non-technical expert staff whose time is billed to the utility in connection with a rate case filing.

"Time entry" means a contemporaneously generated document that states the hours performed on a particular task, specifying the task performed and:

the applicable hourly rate, in the case of hourly rate billing or a contract with a not-to-exceed clause; or

the applicable estimated hourly rate, in the case of a flat fee contract.

"Utility affiliate counsel" means an attorney employed by a utility affiliate who prepares and litigates a rate case filing subject to this Part on behalf of the utility.

"Utility affiliate counsel and support staff and utility affiliate technical experts and support staff compensation" means costs subject to the Commission's specific assessment as to justness and reasonableness, which include the following costs for which the utility seeks recovery as part of rate case expense in a rate filing:

Expenses for utility affiliate counsel and related support staff for services rendered on a rate case, pursuant to an affiliate agreement, provided that the recovery of incentive compensation costs shall be excluded from rate case expense;

Expenses for utility affiliate technical experts and related support staff for services rendered on the rate case, pursuant to an affiliate agreement, provided that the recovery of incentive compensation costs shall be excluded from rate case expense.

"Utility affiliate technical expert" means a professional employed by a utility affiliate that is:

retained to testify as an expert witness on behalf of the utility and/or otherwise assist the utility with the preparation and/or litigation of a rate case filing; and

who is not a utility affiliate counsel as that term is defined.

83 Ill. Adm. Code 288.30 Required Support for Compensation Costs

a) A utility subject to this Part shall, upon request during discovery, make information available to parties of record in order to assist those parties in the development of a recommended amount of rate case expense and for the Commission in assessing the justness and reasonableness of amounts paid to compensate all persons covered by Section 288.10. Information shall include, but not be limited to, the following:

1. Facts and documentation describing the terms of the engagement between the utility and outside counsel/support staff and the utility and outside technical experts/support staff that include the nature of the services to be provided, by whom the services would be provided, and the hourly rates to be charged. In the case of a flat fee contract, this documentation shall include the estimated hourly rate charged for work of similar nature or some other unit of time measurement.

2. For services provided, including, but not limited to, under an hourly rate contract, a flat fee contract, or a contract with a not-to-exceed provision, invoices disclosing time entries for each outside counsel/support staff that clearly indicate:

A) a description of the services provided;

B) by whom the services were provided;

C) the time spent providing the services on a daily basis;

D) the applicable hourly rate charged by the persons providing the services, or some other unit of time measurement; and

E) For outside counsel and their support staff, the applicable codes from the American Bar Association's Uniform Task-Based Management System Litigation Code Set or similar standardized billing system, if and to the extent that the outside counsel/support staff use that coding system in their billing invoices.

3. For services provided under an hourly rate contract, including but not limited to a contract with a not-to-exceed provision, invoices or other documents disclosing time entries for each outside technical expert/support staff that clearly indicates:

A) a description of the services provided;

B) by whom the services were provided;

C) the time spent providing the services on a daily basis;

D) the hourly rate charged, or some other unit of time measurement.

4. For services provided under a flat fee contract, all invoices provided by the outside counsel/support staff or outside technical expert/support staff to the utility that are performed pursuant to the contract, as well as any existing invoices or documentation disclosing time entries and summaries of any proposals reviewed prior to the selection for service.

5. For a flat fee contract, documents created or reviewed by the utility in considering the reasonableness of the contracted fee, including any calculations that the utility performed or reviewed related to the fee prior to execution of the contract. This includes the estimated hourly rate that would be charged in an hourly rate contract and the presumed or estimated number of hours to be worked.

6. For services provided by utility affiliate counsel/support staff and utility affiliate technical experts/support staff, documentation that clearly indicates:

A) a description of the services provided;

B) the name and title of the persons providing the services;

C) the time spent providing the services on a daily basis; and

D) the amounts and rates charged, excluding incentive compensation costs.

b) In addition to the information required in subsection (a), the utility shall provide the following information at the time of filing its direct case:

1. All information required by 83 Ill. Adm. Code 285.3085 (Schedule C-10) and 285.3090 (Schedule C-10.1).

2. Invoices or documentation from the counsel and expert witnesses that specify the work performed, by whom the work was performed and the charges for the services.

3. An explanation of the processes, procedures and controls the utility has in place to ensure that the work performed by all persons covered by Section 288.10 does not duplicate work performed by a utility employee.

4. An explanation of the process, procedures and controls the utility has in place to ensure that the bills from all persons covered by Section 288.10 are accurate, reasonable and not redundant before payment is made to those vendors.

5. An explanation of the reasonableness of the fees to be paid to all persons covered by Section 288.10 with consideration of the factors enumerated in Section 288.40.

6. An explanation of the utility's rationale for the proposed amortization period of total rate case expense that approximates the time period between rate cases.

c) The utility shall file at the time of filing its direct or rebuttal case and, if applicable, its surrebuttal case, and as otherwise directed by the Administrative Law Judge, a summary schedule of the compensation costs for which rate recovery is sought that includes, for all persons covered by Section 288.10, the following:

1. Identification of the outside counsel/support staff, outside technical experts/support staff, utility affiliate counsel/support staff, and utility affiliate technical experts/support staff;

2. Total projected expense update, if the projection is the basis for the total requested rate case expense;

3. Actual expense incurred to date, with supporting invoices made available upon request;

4. Remaining costs projected to be incurred, if any; and

5. Total rate case expense that was approved by the Commission in the utility's previous rate case for the work performed by all persons covered by Section 288.10.

d) Inclusion of overhead expenses on the part of all persons covered by Section 288.10 (e.g., photocopying, binding) shall be accompanied by evidence that the rates charged the utility by the attorney or expert specifically exclude those overhead expenses from the rates charged to the utility.

e) No later than five business days prior to the start of evidentiary hearings in the rate case, the utility shall file an affidavit signed by a utility representative with authority to make affirmations on behalf of the utility that, to the best of the utility representative's knowledge, information and belief:

1. The compensation paid or to be paid to all persons covered by Section 288.10 that the utility is seeking to recover as rate case expense in the instant rate case is supported by billings or other documentation that:

A) Are true and accurate;

B) Support costs that were reasonable to prepare and litigate the rate case;

C) Were reviewed and approved by utility management prior to payment; and

D) Are not duplicative;

2. The utility paid or will pay the billed amounts requested to be recovered as rate case expense;

3. Additional compensation, if any, to be paid to all persons covered by Section 288.10 that are not yet billed to the utility, or not yet performed, will be made in accordance with the affirmations required in this subsection (e); and

4. The filing of the utility representative affidavit is informational in nature and shall not be binding on the Commission in its assessment of the justness and reasonableness of the amount of rate case expense requested by the utility.

f) All updates and supporting documentation of the rate case expense amounts requested by the utility for recovery in rates shall be submitted for inclusion in the evidentiary record of the rate case.

83 Ill. Adm. Code 288.40 Determination of Reasonable Compensation Costs

a) Rate case expenses shall be addressed in the attorney review that occurs in post-trial briefs.

b) The factors to be considered by the Commission in determining the justness and reasonableness of compensation costs for all persons covered by Section 288.10 may include, without limitation, the following:

1. The fulfillment of the required support for compensation costs as required in Section 288.30;

2. Identification of the type of service involved as either professional or support staff;

3. Novelty, complexity or difficulty of the issues;

4. Nature, extent and reasonableness of work performed that was considered at the time the work was performed, including, without limitation, the amount of support required for pleadings, discovery, briefing and hearings and the relevance of the work products to the justness and reasonableness of the proposed utility rates;

5. Requisite skill required to perform services efficiently and accurately;

6. Professional credentials, including, without limitation, education, training, experience, achievements and reputation, in the applicable professional discipline;

7. The reasons why multiple outside counsel, outside technical experts, utility affiliate counsel or utility affiliate technical experts addressed the same issues;

8. Relevant evidence regarding the market rates concerning fees charged for comparable services, including, as applicable, fees charged in other rate cases in Illinois or fees charged in other jurisdictions for rate cases;

9. Hourly rates applicable to outside counsel and outside technical experts representing or retained by utilities and outside counsel or outside technical experts representing or retained by other entities that regularly appear in Commission proceedings; and

10. The reasonableness of the amount of time taken to perform a task.

83 Ill. Adm. Code 288.50 Compensation Costs Support Disclosure

a) Information disclosed by the utility in support of compensation costs for all persons covered by Section 288.10 shall be afforded the same protections for privileged, confidential and proprietary information that exist under the Commission's Rules of Practice (83 Ill. Adm. Code 200), the Illinois Code of Civil Procedure [735 ILCS 5], the Illinois Rules of Evidence and other applicable Illinois law.

b) When information or a document is withheld from disclosure or discovery on a claim that it is privileged pursuant to a common law or statutory privilege, any such claim shall be made expressly and shall be supported by a description of the nature of the documents, communications or things not produced or disclosed and the exact privilege that is being claimed.

c) When there is a dispute regarding a claim of privilege, any party may file a motion seeking an in camera inspection of the documents in question by the Administrative Law Judge to resolve that dispute.

d) Nothing in this Section is intended to preclude or otherwise change any protections or rights existing pursuant to the Illinois Code of Civil Procedure, the Illinois Supreme Court Rules, the Illinois Rules of Evidence, the Commission's Rules of Practice, or any other applicable law with respect to privileged information or documents.

Part 288 Utility Rate Case Expense and Consumer Intervenor Compensation Fund

83 Ill. Adm. Code 288.10 Scope

a) This Part applies to the following rate case expenses for which recovery is sought by the public utility through rates:

1. expenses incurred by a public utility to compensate outside counsel/support staff and outside technical experts/support staff for preparing and litigating a rate case filing; and

2. expenses incurred by a public utility to compensate affiliate counsel/support staff and affiliate technical experts/support staff for preparing and litigating a rate case filing.

b) This Part also applies to the disbursement of compensation pursuant to Section 9-229 of the Public Utilities Act [220 ILCS 5] from the Consumer Intervenor Compensation Fund for any docketed proceedings in which public utilities seek to recover rate case expenses or in any other docketed proceedings concerning matters affecting programs, plans, tariffs, policies, pricing, rates, costs, charges, or other offerings associated with utility service.

History

• Source: Amended at 47 Ill. Reg. 5619, effective April 7, 2023

83 Ill. Adm. Code 288.20 Definitions

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

"Administrator" means the person or entity independent of the Commission and chosen by the Commission through a competitive bid process who is responsible for the prudent management of the Consumer Intervenor Compensation Fund and for recommendations for the award of consumer intervenor compensation from the Fund. [220 ILCS 5/9-229(b)(7)(A)]

"Commission" means the Illinois Commerce Commission.

"Consumer interest representative" or "CIR" means:

a residential utility customer or group of residential utility customers represented by a not-for-profit group or organization registered with the Illinois Attorney General under the Solicitation of Charity Act;

representatives of not-for-profit groups or organizations whose membership is limited to residential utility customers; or

representatives of not-for-profit groups or organizations whose membership includes Illinois residents and that address the community, economic, environmental, or social welfare of Illinois residents, except government agencies or intervenors specifically authorized by Illinois law to participate in Commission proceedings on behalf of Illinois consumers. [220 ILCS 5/9-229(b)(2)]

"Eligible costs" means costs incurred by a consumer interest representative to represent residential consumer interests in a proceeding before the Commission, including reasonable attorney's or advocate's fees, reasonable expert witness fees, and other reasonable costs of preparation for and participation in a hearing or proceeding, including reasonable compensation for each advocate's, attorney's, or lay or expert witness's hours expended, and other eligible costs for reimbursement, but specifically excluding expenses related to travel or meals.

"Flat fee contract" means a contract between a public utility and outside counsel or an outside technical expert by which the public utility pays an agreed-upon amount, regardless of hours worked or billed.

"Fund" means the Consumer Intervenor Compensation Fund created pursuant to Section 9-229(b) of the Act.

"Hourly rate contract" means a contract under which a public utility agrees to compensate outside counsel or an outside technical expert based on hourly rates multiplied by hours billed.

"Material recommendation" means any recommendation advanced by a consumer interest representative for Commission action in testimony, briefing, the presentation of facts in the evidentiary record, and evidence and recommendations concerning expenses, investments, rate design, rate impact, or other matters affecting the programs, plans, tariffs, policies, pricing, rates, costs, charges, or other offerings associated with utility service, relating to a significant issue in the docket as defined in this Section.

"Miscellaneous expenses" means expenses billed by an outside counsel, outside technical expert, public utility affiliate counsel, or public utility affiliate technical expert for costs including, but not limited to, photocopying, travel, travel-related meals, and lodging, if the evidence establishes that those costs were excluded from the agreement with the public utility as compensation for the rate case at issue.

"Not-to-exceed contract" means a contract between a public utility and outside counsel or an outside technical expert by which the public utility agrees to compensate the outside counsel or outside technical expert at an hourly rate for work billed, if there is a cap on the maximum amount that may be paid out under the contract.

"Outside counsel" means an attorney that is not employed by the public utility or any of its affiliates who is retained to prepare and litigate a rate case filing subject to this Part on behalf of the public utility.

"Outside counsel and outside technical expert compensation" means costs subject to the Commission's specific assessment as to justness and reasonableness, which include the following costs for which the public utility seeks recovery as part of rate case expense in a rate case filing:

Outside counsel (attorney) fees, whether billed under an hourly rate contract, a flat fee contract, a not-to-exceed contract, or some other arrangement for compensation, including non-attorney support staff fees and reimbursement of miscellaneous incidental expenses.

Outside technical expert fees, whether billed under an hourly rate contract, a flat fee contract, a not-to-exceed provision, or some other arrangement for compensation, support staff fees, and reimbursement of miscellaneous expenses.

"Outside technical expert" means a consultant or other professional who is not employed by the public utility or any of its affiliates that is retained to testify as an expert witness on behalf of the public utility or otherwise assist the public utility with the preparation or litigation of a rate case filing.

"Significant financial hardship" means that a consumer intervenor has incurred or will incur eligible costs as defined in this Section and will be either unable or not reasonably able, without an award of intervenor compensation, to participate in a Commission proceeding by offering lay or expert testimony or legal briefing and argument concerning the expenses, investments, rate design, rate impact, or other matters affecting the pricing, rates, costs, or other charges associated with utility service.

"Significant issue in the docket" means an issue raised in a docket which affects the expenses, investments, rate design, rate impact, or other matters affecting the programs, plans, tariffs, policies, pricing, rates, costs, charges, or other offerings associated with utility service.

"Support staff" means personnel performing functions under the direction and supervision of outside counsel, outside technical experts, public utility affiliate counsel, or public utility affiliate technical experts in connection with a rate case filing subject to this Part, such as paralegals, legal assistants or other non-attorney/non-technical expert staff whose time is billed to the public utility in connection with a rate case filing.

"Time entry" means a contemporaneously generated document that states the hours performed on a particular task, specifying the task performed and:

the applicable hourly rate, in the case of hourly rate billing or a contract with a not-to-exceed clause; or

the applicable estimated hourly rate, in the case of a flat fee contract.

"Utility affiliate counsel" means an attorney employed by a public utility affiliate who prepares and litigates a rate case filing subject to this Part on behalf of the public utility.

"Utility affiliate counsel and support staff and utility affiliate technical experts and support staff compensation" means costs subject to the Commission's specific assessment as to justness and reasonableness, which include the following costs for which the public utility seeks recovery as part of rate case expense in a rate filing:

Expenses for utility affiliate counsel and related support staff for services provided on a rate case pursuant to an affiliate agreement, if the recovery of incentive compensation costs is excluded from rate case expense;

Expenses for utility affiliate technical experts and related support staff for services provided on the rate case pursuant to an affiliate agreement, if the recovery of incentive compensation costs is excluded from rate case expense.

"Utility affiliate technical expert" means a professional employed by a public utility affiliate that is:

retained to testify as an expert witness on behalf of the public utility or otherwise assist the public utility with the preparation or litigation of a rate case filing; and

who is not a utility affiliate counsel as that term is defined.

History

• Source: Amended at 47 Ill. Reg. 5619, effective April 7, 2023

83 Ill. Adm. Code 288.30 Required Support for Compensation Costs (renumbered)

(Section 288.30 renumbered to Section 288.100 at 47 Ill. Reg. 5619, effective April 7, 2023)

83 Ill. Adm. Code 288.40 Determination of Reasonable Compensation Costs (renumbered)

(Section 288.40 renumbered to Section 288.110 at 47 Ill. Reg. 5619, effective April 7, 2023)

83 Ill. Adm. Code 288.50 Compensation Costs Support Disclosure (renumbered)

(Section 288.50 renumbered to Section 288.120 at 47 Ill. Reg. 5619, effective April 7, 2023)

83 Ill. Adm. Code 288.100 Required Support for Compensation Costs

a) A public utility subject to this Part shall, upon request during discovery, make information available to parties of record to assist them in developing a recommended amount of rate case expense and to assist the Commission in assessing the justness and reasonableness of amounts paid to compensate all persons covered by Section 288.10. This information shall include, but not be limited to, the following:

1. Facts and documentation describing the terms of the engagement between the public utility and outside counsel/support staff and the public utility and outside technical experts/support staff that include the nature of the services to be provided, by whom the services would be provided, and the hourly rates to be charged. In a flat fee contract, this documentation shall include the estimated hourly rate charged for work of similar nature or some other unit of time measurement.

2. For services provided, including, but not limited to, under an hourly rate contract, a flat fee contract, or a contract with a not-to-exceed provision, invoices disclosing time entries for each outside counsel/support staff that clearly indicate:

A) a description of the services provided;

B) by whom the services were provided;

C) the time spent providing the services on a daily basis;

D) the applicable hourly rate, or some other unit of time measurement, charged by the persons providing the services; and

E) For outside counsel and their support staff, the applicable codes from the American Bar Association's Uniform Task-Based Management System Litigation Code Set or a similar standardized billing system, if and to the extent that the outside counsel/support staff use that coding system in their billing invoices.

3. For services provided under an hourly rate contract, including, but not limited to, a contract with a not-to-exceed provision, invoices or other documents disclosing time entries for each outside technical expert/support staff that clearly indicates:

A) a description of the services provided;

B) by whom the services were provided;

C) the time spent providing the services on a daily basis;

D) the hourly rate charged, or some other unit of time measurement.

4. For services provided under a flat fee contract, all invoices provided by the outside counsel/support staff or outside technical expert/support staff to the public utility that are performed under the contract, as well as any existing invoices or documentation disclosing time entries and summaries of any proposals reviewed before the selection for service.

5. For a flat fee contract, documents created or reviewed by the public utility in considering the reasonableness of the contracted fee, including any fee-related calculations that the public utility performed or reviewed before executing the contract. This includes the estimated hourly rate that would be charged in an hourly rate contract and the presumed or estimated number of hours to be worked.

6. For services provided by utility affiliate counsel/support staff and utility affiliate technical experts/support staff, documentation that clearly indicates:

A) a description of the services provided;

B) the name and title of the persons providing the services;

C) the time spent providing the services on a daily basis; and

D) the amounts and rates charged, excluding incentive compensation costs.

b) In addition to the information required in subsection (a), the public utility shall provide the following information at the time of filing its direct case:

1. All information required by 83 Ill. Adm. Code 285.3085 (Schedule C-10) and 285.3090 (Schedule C-10.1).

2. Invoices or documentation from the counsel and expert witnesses that specify the work performed, by whom the work was performed, and the charges for the services.

3. An explanation of the processes, procedures, and controls the public utility has in place to ensure that the work performed by all persons covered by Section 288.10 does not duplicate work performed by a public utility employee.

4. An explanation of the process, procedures, and controls the public utility has in place to ensure that the bills from all persons covered by Section 288.10 are accurate, reasonable, and not redundant before payment is made to those vendors.

5. An explanation of the reasonableness of the fees to be paid to all persons covered by Section 288.10 with consideration of the factors enumerated in Section 288.110.

6. An explanation of the public utility's rationale for the proposed amortization period of total rate case expense that approximates the time between rate cases.

c) At the time of filing its direct or rebuttal case and, if applicable, its surrebuttal case, and as otherwise directed by the Administrative Law Judge, the public utility shall file a summary schedule of the compensation costs for which rate recovery is sought that includes, for all persons covered by Section 288.10, the following:

1. Identification of the outside counsel/support staff, outside technical experts/support staff, utility affiliate counsel/support staff, and utility affiliate technical experts/support staff;

2. Total projected expense update, if the projection is the basis for the total requested rate case expense;

3. Actual expense incurred to date, with supporting invoices made available upon request;

4. Remaining costs projected to be incurred, if any; and

5. Total rate case expense that was approved by the Commission in the utility's previous rate case for the work performed by all persons covered by Section 288.10.

d) Inclusion of overhead expenses for all persons covered by Section 288.10 (e.g., photocopying, binding) shall be accompanied by evidence that the rates charged to the public utility by the attorney or expert specifically exclude those overhead expenses from the rates charged to the public utility.

e) Not later than five business days before the start of evidentiary hearings in the rate case, the public utility shall file an affidavit signed by a public utility representative with authority to make affirmations on behalf of the public utility that, to the best of the public utility representative's knowledge, information, and belief:

1. The compensation paid or to be paid to all persons covered by Section 288.10 that the public utility is seeking to recover as rate case expense in the instant rate case is supported by billings or other documentation that:

A) Are true and accurate;

B) Support costs that were reasonable to prepare and litigate the rate case;

C) Were reviewed and approved by public utility management before payment; and

D) Are not duplicative;

2. The public utility paid or will pay the billed amounts requested to be recovered as rate case expense;

3. Additional compensation, if any, to be paid to all persons covered by Section 288.10 that are not yet billed to the public utility, or not yet performed, will be made in accordance with the affirmations required in this subsection (e); and

4. The filing of the public utility representative affidavit is informational in nature and shall not be binding on the Commission in its assessment of the justness and reasonableness of the amount of rate case expense requested by the public utility.

f) All updates and supporting documentation of the rate case expense amounts requested by the utility for recovery in rates shall be submitted for inclusion in the evidentiary record of the rate case.

History

• Source: Former Section 288.30 renumbered to 288.100 and amended at 47 Ill. Reg. 5619, effective April 7, 2023

83 Ill. Adm. Code 288.110 Determination of Reasonable Compensation Costs

a) Rate case expenses shall be addressed in the attorney review that occurs in post-trial briefs.

b) The factors to be considered by the Commission in determining the justness and reasonableness of compensation costs for all persons covered by Section 288.10 may include, without limitation, the following:

1. The fulfillment of the required support for compensation costs as required in Section 288.110;

2. Identification of the type of service involved as either professional or support staff;

3. Novelty, complexity, or difficulty of the issues;

4. Nature, extent, and reasonableness of work performed that was considered at the time the work was performed, including, without limitation, the amount of support required for pleadings, discovery, briefing, and hearings, and the relevance of the work products to the justness and reasonableness of the proposed utility rates;

5. Requisite skill required to perform services efficiently and accurately;

6. Professional credentials, including, without limitation, education, training, experience, achievements, and reputation, in the applicable professional discipline;

7. The reasons why multiple outside counsel, outside technical experts, utility affiliate counsel, or utility affiliate technical experts addressed the same issues;

8. Relevant evidence regarding the market rates concerning fees charged for comparable services, including, as applicable, fees charged in other rate cases in Illinois or fees charged in other jurisdictions for rate cases;

9. Hourly rates applicable to outside counsel and outside technical experts representing or retained by utilities and outside counsel or outside technical experts representing or retained by other entities that regularly appear in Commission proceedings; and

10. The reasonableness of the amount of time taken to perform a task.

History

• Source: Former Section 288.40 renumbered to 288.110 and amended at 47 Ill. Reg. 5619, effective April 7, 2023

83 Ill. Adm. Code 288.120 Compensation Costs Support Disclosure

a) Information disclosed by the utility in support of compensation costs for all persons covered by Section 288.10 shall be given the same protections for privileged, confidential and proprietary information that exist under the Commission's Rules of Practice (83 Ill. Adm. Code 200), the Illinois Code of Civil Procedure [735 ILCS 5], the Illinois Rules of Evidence, and other applicable Illinois law.

b) When information or a document is withheld from disclosure or discovery on a claim that it is privileged pursuant to a common law or statutory privilege, any claim shall be made expressly and shall be supported by a description of the nature of the documents, communications or things not produced or disclosed and the exact privilege that is being claimed.

c) When there is a dispute regarding a claim of privilege, any party may file a motion seeking an in camera inspection of the documents in question by the Administrative Law Judge to resolve that dispute.

d) Nothing in this Section is intended to prevent or otherwise change any protections or rights existing under the Illinois Code of Civil Procedure, the Illinois Supreme Court Rules, the Illinois Rules of Evidence, the Commission's Rules of Practice, or any other applicable law concerning privileged information or documents.

History

• Source: Former Section 288.50 renumbered to 288.120 at 47 Ill. Reg. 5619, effective April 7, 2023

83 Ill. Adm. Code 288.200 Eligibility Requirements

a) A Consumer Interest Representative is eligible for full or partial compensation from the Fund if all of the conditions in this subsection (a) are met. Eligible expenses include the CIR's reasonable fees for attorneys and experts and reasonable costs of participating in a Commission docket. Expenses related to travel or meals are not compensable. Nothing in this provision shall exclude a CIR from receiving compensation under this Subpart C for cosponsoring a witness's testimony, joint discovery, or joint briefing with another party. Other parties may include, but are not limited to, a government agency or the Citizens Utility Board:

1. The CIR's participation includes lay or expert testimony or legal briefing and argument concerning the expenses, investments, rate design, rate impact, or other matters affecting the programs, plans, tariffs, policies, pricing, rates, costs, charges, or other offerings associated with utility service;

2. The Commission adopts a material recommendation, in whole, in part, or with modification, made by the CIR or adopts a settlement or stipulation agreement in which a material recommendation of the CIR is resolved related to a significant issue in the docket;

3. The CIR's participation has caused a significant financial hardship to the participant;

4. The CIR does not receive any compensation, funding or donations, directly or indirectly, from parties that have a financial interest in the outcome of the proceeding, provided that parties that have a financial interest do not include residential or small commercial utility customers.

b) The Administrator shall, by July 1, 2023, publish a standard application and disclosure form required from all CIRs requesting funds according to this Subpart. The purpose of the form is to provide transparency in the Administrator's adjudication of fund eligibility. The Administrator may revise and publish the standard financial disclosure form from time to time if that form is made available on the Commission's website and accessible to intervenors at the time of intervention and if the form contains no requirements not already stated in this Part. Notwithstanding the standard application and disclosure form, the Administrator or the Commission may request, and the CIR shall provide, any additional information relevant to determining the appropriateness of an award request.

History

• Source: Added at 47 Ill. Reg. 5619, effective April 7, 2023

83 Ill. Adm. Code 288.220 Request for Consumer Intervenor Compensation After Conclusion of the Proceeding

a) A Consumer Interest Representative must submit a verified request for funding from the Fund to the Administrator within 30 days after the later of the Commission's final order in the proceeding or after the Commission's denial of rehearing, if any. The CIR shall serve copies of this verified request on all parties to the proceeding.

b) A verified request for funding from the Fund by a Consumer Interest Representative submitted to the Administrator must include:

1. The name of the CIR requesting compensation;

2. The full name, mailing address, telephone number, and e-mail address of the CIR or its representative filing the request;

3. The mailing address to which payments should be sent;

4. A completed Form W-9 containing the CIR's taxpayer identification number;

5. Information demonstrating eligibility as a CIR;

6. An itemized request for compensation including, but not limited to the applicable Commission docket number and the following information for each advocate, attorney, or lay or expert witness:

A) name;

B) work title;

C) fee rate per hour;

D) firm or business name;

E) number of hours expended;

F) specific tasks performed in the applicable Commission docket;

G) the specific issue each task addressed; and

H) other eligible costs for reimbursement, excluding expenses related to travel or meals. Costs should be supported by invoices where practicable;

7. Information demonstrating that the CIR addressed expenses, investments, rate design, rate impact, or other matters affecting the pricing, rates, costs or other charges associated with utility service and that the final Commission Order or Order on Rehearing adopted a material recommendation, in whole, in part, or with modification, made by the CIR or adopts a settlement or stipulation agreement in which a material recommendation of the CIR is resolved related to a significant issue in the Commission docket identified in subsection (b)(6), including that the final Commission Order included a discussion of the CIR's evidence or recommendations related to that issue;

8. Information demonstrating that the costs incurred from participation in the Commission docket identified in subsection (b)(6) caused a significant financial hardship for the CIR including, but not limited to, a budget summary containing information concerning the CIR's financial capabilities and resources, including, but not limited to, annual budget, cash on hand, and revenue information supporting the claim of financial hardship;

9. Information demonstrating that the compensation sought is fair, just and reasonable, and consistent with the market rate paid to persons of comparable training and experience who offer similar services and that the rates do not exceed the comparable market rate for services paid by the public utility as part of its rate case expense;

10. The CIR's status as a tax-exempt organization registered with the IRS (e.g., 501(c)(3) or 501(c)(4) status);

11. A certification that the CIR did not receive directly or indirectly any compensation, funding, or donations from parties that have a financial interest in the outcome of the proceeding for which the CIR seeks compensation;

12. A certification that the CIR understands and accepts that the receipt of funds is subject to the availability of monies in the Fund and that in no event will compensation be paid if funds are insufficient; and

13. Other information that the Administrator requires to make a recommendation regarding compensation.

c) Information disclosed by the CIR in support of compensation costs for all persons covered by this Section shall be given the same protections for privileged, confidential and proprietary information that exist under the Commission's Rules of Practice (83 Ill. Adm. Code 200), the Illinois Code of Civil Procedure [735 ILCS 5], the Illinois Rules of Evidence, and other applicable Illinois law. If a verified request for reimbursement from the Fund contains information the CIR considers confidential or proprietary, the CIR must clearly identify that information.

History

• Source: Added at 47 Ill. Reg. 5619, effective April 7, 2023

83 Ill. Adm. Code 288.230 Request for Consumer Intervenor Compensation Before the Conclusion of the Proceeding

a) To receive compensation from the Fund before the conclusion of a proceeding, a Consumer Interest Representative shall submit to the Administrator a verified request for compensation before the Commission enters its final order after denial or decision on rehearing in the proceeding. The CIR shall serve copies of this verified request on all parties to the proceeding. In such cases, the CIR shall include in its verified request:

1. The name of the CIR requesting compensation;

2. The full name, mailing address, telephone number, and e-mail address of the CIR or its representative filing the request;

3. The mailing address to which payments should be sent;

4. A completed Form W-9 containing the CIR's taxpayer identification number;

5. Information demonstrating that the CIR meets the definition of a Consumer Interest Representative;

6. An itemized request for compensation including, but not limited to the applicable Commission docket number and the following information for each advocate, attorney, or lay or expert witness:

A) name;

B) work title;

C) fee rate per hour;

D) firm or business name;

E) number of hours expended;

F) specific tasks performed in the applicable Commission docket;

G) the specific issue each task addressed; and

H) other eligible costs for reimbursement, excluding expenses related to travel or meals. Costs should be supported by invoices where practicable;

7. Information demonstrating that the tasks identified in subsection (a)(6) address expenses, investments, rate design, rate impact, or other matters affecting the pricing, rates, costs or other charges associated with utility service and relate to a material recommendation made by the CIR or adopts a settlement or stipulation agreement in which a material recommendation of the CIR is resolved related to a significant issue in the Commission docket identified in subsection (a)(6);

8. Information demonstrating that costs the CIR incurred from participation in the identified ICC dockets in subsection (a)(6) will cause a significant financial hardship for the CIR including, but not limited to, a budget summary containing information concerning the CIR's financial capabilities and resources including but not limited to annual budget, cash on hand, and revenue information supporting the claim of financial hardship;

9. Information demonstrating that the compensation sought is fair, just and reasonable and consistent with the market rate paid to persons of comparable training and experience who offer similar services and that the rates do not exceed the comparable market rate for services paid by the public utility as part of its rate case expense;

10. The CIR's status as a tax-exempt organization registered with the IRS (e.g., 501(c)(3) or 501(c)(4) status);

11. A certification that the CIR did not receive directly or indirectly any compensation, funding, or donations from parties that have a financial interest in the outcome of the proceeding for which the CIR seeks compensation;

12. A certification that the CIR understands and accepts that the receipt of funds is subject to the availability of monies in the Fund and that in no event will compensation be paid if funds are insufficient;

13. A certification that the CIR will, for any compensation received from the Fund that exceeds the award of compensation determined following the Commission's final order after denial or decision on rehearing in the proceeding, return the excess compensation to the Fund within 30 days after a final award determination or the award becoming final pursuant to operation of law by submitting a check with the memo "Consumer Intervenor Compensation Fund" sent to:

Illinois Commerce Commission

Financial Information Section

527 East Capitol Avenue

Springfield, IL 62701;

and

14. Any other information from the CIR the Administrator considers necessary to make a recommendation regarding compensation before the Commission's final order after denial or decision on rehearing in the proceeding.

b) Information disclosed by the CIR in support of compensation costs for all persons covered by this Section shall be given the same protections for privileged, confidential and proprietary information that exist under the Commission's Rules of Practice (83 Ill. Adm. Code 200), the Illinois Code of Civil Procedure [735 ILCS 5], the Illinois Rules of Evidence, and other applicable Illinois law. If a verified request for reimbursement from the Fund contains information the CIR considers confidential, proprietary or a trade secret, the CIR must clearly identify that information.

c) A CIR that receives compensation from the Consumer Intervenor Fund before the entry of the Commission's final order after denial or decision on rehearing in the proceeding must submit a verified request for funding following the Commission's final order after denial or decision on rehearing in the proceeding pursuant to Section 288.220.

History

• Source: Added at 47 Ill. Reg. 5619, effective April 7, 2023

83 Ill. Adm. Code 288.240 Award Recommendations

a) In making recommendations for awards, the Administrator shall, at a minimum, include within its recommendation:

1. The name of the CIR to which the Administrator recommends awarding compensation from the Fund;

2. The amount of the award the Administrator recommends;

3. An explanation of how the CIR meets the definition of a Consumer Interest Representative;

4. Identification of each material recommendation, in whole, in part, or with modification, made by the CIR or adopts a settlement or stipulation agreement in which a material recommendation of the CIR is resolved related to a significant issue in a Commission docket (or dockets) that the Commission adopted in its final order, including evidence that the final Commission Order included a discussion of the CIR's evidence or recommendations;

5. An explanation of how costs incurred by the CIR from participation in the Commission docket (or dockets) identified in subsection (a)(4) caused a significant financial hardship for the CIR;

6. A determination of whether the CIR received directly or indirectly any compensation, funding, or donations from parties that have a financial interest in the outcome of the proceeding for which the CIR is seeking compensation;

7. An explanation of why the recommended award is fair, just, and reasonable, including how the award is consistent with the market rates paid to persons of comparable training and experience who offer similar services and does not exceed the comparable market rate for services paid by the public utility as part of its rate case expense;

8. A statement that sufficient monies exist in the Fund to make the award, if that is the case; and

9. A statement of whether the CIR received compensation before the Commission's final order after denial or decision on rehearing in the proceeding and, if so, the net amount of compensation that the CIR is owed by, or is obligated to return to, the Fund.

b) Award recommendations shall be submitted by the Administrator to the Commission, with information supporting the recommendation as required by Sections 288.220 and 288.230, as a notice filed as a report in eDocket in the proceeding in which compensation is sought within 30 days after a verified request for compensation is received.

History

• Source: Added at 47 Ill. Reg. 5619, effective April 7, 2023

83 Ill. Adm. Code 288.250 Award Payments

a) Unless the Commission enters upon a hearing concerning the propriety of an award within 45 days after the Administrator submits an award recommendation to the Commission, the CIR shall be issued the recommended award within 75 days after the Administrator provides the Commission an award recommendation with any necessary adjustments to account for compensation provided prior to the Commission's final order after denial or decision on rehearing in the proceeding.

b) The Commission may, without answer or other pleadings but upon reasonable notice, initiate a hearing concerning the propriety of an award either on its own initiative or in response to a complaint. In determining the grant of awards, the Commission shall consider the following:

1. The impact the requesting CIR's advocacy had on the outcome of the matter before the Commission, as reflected in the Final Order, with respect to a significant issue in the docket; and the extent to which that impact made a meaningful advancement of public policy in light of the goals and aspirations outlined in the Act;

2. The financial ability of the requesting CIR, and the imposition of the financial hardship that the Consumer Interest Representative would incur to the extent no award was granted;

3. The CIR's eligibility, as set forth in Section 9-229 of the Act;

4. The location of the residential utility customers represented by the CIR relative to the geographic locations or service territories affected by the matter for which the award is sought; and

5. The reasonableness of the fees for which reimbursement is sought, the long-term financial solvency of the Fund, and the economic imposition on utilities and the public.

c) Complaints regarding an award recommendation made by the Administrator must be filed with the Commission within 30 days after the Administrator files the award recommendation in eDocket.

d) If the Commission enters upon a hearing concerning the propriety of an award, the Commission's Order shall indicate whether the award of compensation is granted, denied, or granted in part and denied in part, and shall indicate that amount awarded, if anything and the CIR shall be issued the award within 30 days of the Commission's final determination regarding the award with any necessary adjustments to account for any previously provided compensation.

e) In no event shall an award be issued that exceeds the amount of available monies in the Fund, with awards issued based upon the order in which notices of compensation to be paid from the Fund are received from the Administrator by the Executive Director or a designee until the funds are exhausted.

f) The Administrator shall notify the Executive Director and the Director of the Commission's Administrative Services Division when compensation is to be paid from the Fund. The notification shall include:

1. The name of the CIR to be paid;

2. The address to which payment should be sent;

3. The amount of compensation to be provided;

4. The balance that will remain in the Fund after the compensation is provided;

5. A copy of the verified request for reimbursement from the Fund by a CIR;

6. A copy of the CIR's Form W-9 containing its taxpayer identification number;

7. A copy of the Administrator's award recommendation; and

8. Copies of the itemized request for compensation including, but not limited to, the applicable Commission docket number; each advocate's, attorney's, or lay or expert witness's name, work title, fee rate per hour, number of hours expended, specific tasks performed in the applicable Commission docket; the specific issue each task addressed, and other eligible costs for reimbursement.

g) When the Administrator notifies the Executive Director and the Director of the Commission's Administrative Services Division that compensation is to be paid from the Fund, the Administrator shall clearly identify any information provided to the Executive Director and the Director of the Commission's Administrative Services Division considered confidential, proprietary or a trade secret.

History

• Source: Added at 47 Ill. Reg. 5619, effective April 7, 2023

83 Ill. Adm. Code 288.260 Compensation Before the Commission's Final Order After Denial or Decision on Rehearing in the Proceeding

a) The Administrator shall have in its sole discretion the authority, subject only to the Commission's authority to determine the propriety of any award, to approve, but subject to the requirements of this Part and Section 9-229 of the Act, the provision of compensation from the Fund to CIRs prior to the Commission's Final Order after denial or decision on rehearing in the proceeding.

b) The Administrator will not approve the compensation if it exceeds the available monies in the Fund.

c) The Administrator shall notify the Executive Director and the Director of the Commission's Administrative Services Division of approval of any compensation to be paid from the Fund. The notification shall include:

1. The name of the CIR to be paid;

2. The address to which payment should be sent;

3. The CIR's completed Form W-9 containing its taxpayer identification number;

4. The amount of compensation to be provided;

5. The balance that will remain in the Fund after the compensation is provided; and

6. A copy of the verified request for compensation from the Fund prior to the entry of the Commission's final order after denial or decision on rehearing in the proceeding (if such a request is made).

d) When the Administrator notifies the Executive Director and the Director of the Commission's Administrative Services Division that compensation is to be paid from the Fund, the Administrator shall clearly identify any information provided to the Executive Director and the Director of the Commission's Administrative Services Division considered confidential, proprietary or a trade secret.

History

• Source: Added at 47 Ill. Reg. 5619, effective April 7, 2023

83 Ill. Adm. Code 288.270 Issuance of Compensation

a) Upon receipt of an Administrator's notice indicating compensation is to be paid from the Fund, the Executive Director or a designee shall sign and issue a voucher directing payment of the award by the Illinois Office of the Comptroller, except that the Executive Director or a designee shall not cause to be issued any voucher directing payment of compensation if the amount to be paid exceeds the available monies in the Fund or that causes the Commission to exceed its legislative appropriation with respect to the Fund.

b) Awards shall be issued based upon the order in which notices of compensation to be paid from the Fund are received from the Administrator by the Executive Director or a designee.

History

• Source: Added at 47 Ill. Reg. 5619, effective April 7, 2023

83 Ill. Adm. Code 288.280 Mandatory Contributions from Utilities to Consumer Intervenor Compensation Fund

a) Each utility that files a request for an increase in base rates pursuant to Section 9-201 of the Act or a multi-year rate plan pursuant to Section 16-108.18(d) of the Act and seeks to recover rate case expenses pursuant to this Part shall deposit the lesser of $500,000 or half the rate case attorney and expert expense allowed by the Commission into the Fund. The contribution shall be made within 35 days after the date of the Commission's Final Order in the rate case or 20 days after the denial of rehearing under Section 10-113 of the Act, whichever is later. (See Section 9-229(b)(4) of the Act.)

b) Utility contributions to the Fund shall be recoverable expenses.

History

• Source: Added at 47 Ill. Reg. 5619, effective April 7, 2023

83 Ill. Adm. Code 288.290 Annual Report from Administrator of Consumer Intervenor Compensation Fund

By March 1 of each year, the Administrator shall issue an annual report containing a summary of the Fund's operation for the prior year. The report shall contain at a minimum, the following information:

a) A list of proceedings for which compensation was awarded, and the amounts awarded by docket number and by the entity receiving an award;

b) A list of compensation recipients including, at a minimum, a description of the organization receiving the funds, the location of the organization's principal place of business, the effect the representative's participation had on the outcome of the docket, and the amount paid to each recipient;

c) A list of compensation award requests that were denied by the Commission or the Administrator for any reason;

d) A fiscal summary that includes funds on hand, receipts from contributions, and expenditures of the fund during the year for which the report is submitted;

e) Any additional information the Commission requires, or the Administrator considers appropriate to report.

History

• Source: Added at 47 Ill. Reg. 5619, effective April 7, 2023

Part 290 Public Utility Electronic Tariff Filing

83 Ill. Adm. Code 290.10 Overview of Electronic Tariff 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]. To that end, the Commission is committed to facilitating the filing, distributing and accessing of tariffs electronically through its Electronic Tariff Filing System. Any public utility subject to the provisions of this Part may elect to submit a tariff and all associated documents for filing in an electronic format instead of in hard copy format. However, nothing in this Part should be construed to require any public utility to submit any tariff for filing in an electronic format.

83 Ill. Adm. Code 290.20 Definitions

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

"Commission" or "ICC" means the Illinois Commerce Commission.

"Electronic Tariff Filing System", "e-Tariff System" or "e-Tariff" means the ICC's system used by public utilities to submit tariffs electronically.

"ICC External User" or "Authorized User" means a person who is not an ICC employee and who has been authorized to use the Commission's electronic tariff filing system.

"ICC External User Account" or "Authorized User Account" means the unique user name and password that are assigned to a person who is authorized to use the Commission's electronic tariff filing system.

"ICC External User Account Application" means the form used to request the creation of an ICC external user account.

"Personally Identifiable Information" includes, but is not limited to, social security numbers, driver's license numbers, credit card numbers, debit card numbers, and medical records.

"PDF" means the Adobe Acrobat Portable Document Format.

"Public Utility" has the meaning ascribed in Sections 3-105(a)(1) and (2) of the Act.

"Staff" means ICC employees.

"Tariff" has the meaning ascribed in the definition of "Schedule" in 83 Ill. Adm. Code 255.10, excluding standard information requirement materials submitted pursuant to 83 Ill. Adm. Code 285.

83 Ill. Adm. Code 290.30 Applicability

This Part applies to all public utilities.

83 Ill. Adm. Code 290.40 Acceptable Format

a) All tariffs submitted electronically to the Commission shall be in PDF.

b) All electronic tariff records will be stored by the Commission in PDF.

83 Ill. Adm. Code 290.50 Electronic Tariff Filing System Accounts

a) Each person seeking to submit tariffs electronically must have an active ICC external user account. The ICC external user account application is available on the ICC website or by contacting the Chief Clerk's Office.

b) A completed ICC external user account application must be delivered to the Chief Clerk's Office in accordance with the instructions provided on the form.

c) A public utility is responsible for authorizing the persons who may submit tariffs electronically on its behalf. Any user authorized to submit tariffs electronically on behalf of a public utility can see a list of the public utility's authorized users for the electronic tariff filing system.

d) The public utility shall timely contact the Chief Clerk's Office to request the revocation of an authorized user account if a person is no longer authorized to submit tariffs electronically on behalf of the public utility, or if the public utility becomes aware of a security breach associated with the person or the account.

e) A person whose ICC external user account application is accepted by the ICC will be assigned a unique user name and password.

f) An authorized user is responsible for keeping his or her user name and password confidential. The unique user name and password assigned to a person are used to authenticate authorized users and establish authority to submit tariffs electronically on behalf of a public utility. Therefore, safeguarding this information is important to prevent unauthorized electronic submission of tariffs.

g) The unique user name and password of an authorized user enable the e-Tariff system to trace an electronically submitted tariff to a specific person as if the submission were signed. This shall serve as an electronic signature of the authorized user on those submissions.

83 Ill. Adm. Code 290.60 Control Processes

a) The electronic tariff filing system allows only users with an authorized user account to submit tariffs electronically.

b) If an electronic tariff submission is found to contain malware, the submission will be rejected and the user shall be notified of the rejection.

c) If an electronic tariff submission is found to contain personally identifiable information, the submission will be rejected and the user shall be notified of the rejection.

d) A user's web browser must be set to accept cookies in order for authorized users to submit tariffs electronically. Cookies identify authorized users and enable the server to send customized data to the user. Cookies also submit account information for the authorized user. A privacy statement is available on the ICC website.

e) The electronic tariff filing system logs every electronic tariff submission with the ICC external user account, public utility name, filing description, tracking number, date and time.

f) Any problems or errors experienced during an electronic tariff submission should be reported to the ICC Chief Clerk's Office.

83 Ill. Adm. Code 290.70 Required Information

a) Tariffs submitted electronically shall consist of a letter of transmittal, tariff pages and work papers, if applicable. Letters of transmittal and tariff pages will be publicly viewable. Work papers will be viewable only by the public utility representatives that submitted the work papers and Staff. The work papers represent information the public utility believes is necessary to facilitate the understanding of the tariff submission.

b) The letter of transmittal shall contain the following information:

1. The name of the public utility on record with the ICC.

2. The tariff pages that are being changed.

3. A signature of a representative of the public utility.

c) The letter of transmittal and tariff pages shall contain the information required by, and, except for page size and hard copy form, shall be in the format prescribed by, 83 Ill. Adm. Code 255.30(a) through (l)(3).

d) The work papers, if applicable, shall:

1. Be submitted in a separate file from the letter of transmittal and tariff pages file.

2. Use the following naming convention for the work paper file: Company Name – Tariff – WP.

3. For each page heading of the work paper file, provide the following minimum information:

A) Public utility name;

B) Tariff name;

C) Sheet No.; and

D) WP (or Work Paper) page x of x.

4. Be retained by the ICC as confidential and proprietary in accordance with Section 4-404 of the Act.

83 Ill. Adm. Code 290.80 Submission of Tariffs Electronically

a) An authorized user must verify that the tariff documents submitted electronically do not contain personally identifiable information.

b) Upon submission of an electronic tariff, the electronic tariff filing system will provide the authorized user with a tracking number for the submission. The tracking number should be retained for any inquiries related to the submission.

c) An authorized user can locate and view electronic tariff submissions made by the account in the electronic tariff filing system by tracking number or date range. The entry for the tariff submission will indicate whether the submission is publicly viewable, the status of the submission (pending, accepted or rejected) and a description of the submission. An authorized user may also view all electronic tariff documents submitted on behalf of his or her public utility.

d) Submission of a tariff electronically does not constitute acceptance of the tariff. An electronically submitted tariff is deemed accepted when the Chief Clerk's Office designates the tariff as accepted on the electronic tariff filing system.

e) In order for an electronically submitted tariff to be considered filed on a particular date, it must be accepted by the ICC Chief Clerk's Office before 5:00 PM Central Time on that date. It is the responsibility of the public utility to ensure that its submission is made in such a manner that acceptance of the submission by the ICC Chief Clerk's Office for filing occurs on the date that is shown on the applicable tariff documents the public utility submitted for filing.

83 Ill. Adm. Code 290.90 Notification of Acceptance or Rejection of Tariff Submission

a) An authorized user will be able to create an e-mail notification list for each electronic tariff submitted. The user and any associated e-mail notification list will be notified automatically by email for each electronic tariff submission.

b) When an electronic tariff submission is accepted or rejected by the Chief Clerk's Office, an e-mail is sent to the user and the notification list for the tariff submission.

c) It is the responsibility of the public utility to monitor electronic tariff submissions and verify acceptance or rejection of the tariff.

Part 295 Advertising Expenses of Electric and Gas Utilities

83 Ill. Adm. Code 295.10 Advertising Standard

In any general rate increase request by any gas or electric utility as prescribed in General Order 157, the following advertising standard shall apply to the utility's direct presentation to the Commission. Nothing in this Part shall prevent the utility from presenting a proposed method of expensing advertising costs at variance with this general standard so long as in addition to any variance testimony, the advertising expenses are presented as contained in this Part.

a) Unless the Commission otherwise orders, no electric or gas utility shall include as an operating expense in the test year computation any direct or indirect expenditures for promotional, political, institutional or goodwill advertising. In determining whether to allow a variation from this provision, the Commission shall consider, among other things, whether the advertising at issue is necessary to protect consumers, to promote more efficient use of the public utility's system, or to allow the public utility to compete effectively against non-regulated competitors.

b) In making the computation of allowable operating expenses, the utility shall not include any direct or indirect expenditure for advertising which contains any nonallowable material in the expenditure.

c) In providing the advertising expenses as prescribed in this Part, or in any proposed variance to the general standard, the utility shall complete and include in its direct presentation to the Commission, a form entitled "Rate Case Advertising Expense," as prescribed by the Commission.

83 Ill. Adm. Code 295.20 Definitions

a) Advertising – The term Advertising means the commercial use, by an electric or gas utility, of any media, including newspapers, printed matter, radio and television, in order to transmit a message to a substantial number of members of the public or to such utility's consumers. In determining what constitutes a "substantial number," the Commission shall consider, among other things, the medium of communication used, the actual number of persons reached, and the size of the utility involved.

b) Political Advertising – The term Political Advertising means any advertising for the purpose of influencing public opinion with respect to the legislative, administrative or electoral matters, or with respect to any controversial issue of public importance.

c) Promotional Advertising – The term Promotional Advertising means any advertising for the purpose of encouraging any person to select or use the service or additional service of a utility or the selection or installation of any appliance or equipment designed to use such utility's service.

d) Goodwill or Institutional Advertising – The term Goodwill or Institutional Advertising means any advertising either on local or national basis designed primarily to bring the utility's name before the general public in such a way as to improve the image of the utility or to promote controversial issues for the utility or the industry.

83 Ill. Adm. Code 295.30 Allowable Advertising Expenses

The following categories of advertising shall be considered allowable operating expenses:

a) Advertising which informs consumers how they can conserve energy or can reduce peak demand for electric or gas energy;

b) Advertising required by law or regulations, including advertising required under Part I of Title II of the National Energy Conservation Policy Act (see 42 U.S.C. Chapter 91, Subchapter II);

c) Advertising regarding service interruptions, safety measures or emergency conditions;

d) Advertising concerning employment opportunities with such utility;

e) Advertising which promotes the use of energy efficient appliances, equipment or services;

f) Explanations of existing or proposed rate schedules or notifications of hearings thereon;

g) Advertising regarding customer service which directly relates to the utility service received by the customer, identifies company employees and their functions, explains the company's terms and conditions of service and identifies the location and operating hours of company business offices;

h) Advertising which promotes the shifting of demand from peak to off-peak hours or which encourages the off-peak usage of the service;

i) "Other" categories of advertisements not includable in subsections (a) through (h) but which are not political, promotional, institutional or goodwill advertisements.

83 Ill. Adm. Code 295.40 Materials to Be Made Available

In any general rate increase proceeding in which this Part applies the following materials shall be made available to the Commission Staff at the time of the start of the Staff investigation.

a) Copies of all advertisements and scripts included in the test year operating expense, listing the production costs for each ad, the publication schedule and costs for each ad;

b) Copies of all advertisements included in the test year operating expense purchased on a cooperative basis with manufacturers, developers or others and the company's cost for each ad;

c) All expenses incurred by the utility included in the test year operating expense for ads or scripts produced by a trade association. Include all monies paid to the association for advertising purposes, either in the form of dues, assessments or subscriptions;

d) If a forecast "Test Year" is selected so that actual data is not available by the end of the proceeding the utility shall provide the data in subsections (a), (b) and (c) of this Section for the most recent twelve-month period for which actual data is available. The utility shall include a statement of assumptions as to its "Test Year" expenses and a statement of its advertising policy in the "Test Year."

Part 300 Guidelines for Land and Right-of-Way Acquisitions

83 Ill. Adm. Code 300.10 Certificate of Public Convenience and Necessity

a) This Part shall apply whenever any public utility or common carrier by pipeline seeks to negotiate the acquisition of a land right-of-way easement involving a project which requires a certificate of public convenience and necessity under Section 8-406, 8-406.1 or 15-401 of the Public Utilities Act (Act) [220 ILCS 5/8-406, 8-406.1 and 15-401] or whenever a public utility or a common carrier by pipeline seeks an order under Section 8-503 of the Act [220 ILCS 5/8-503].

b) Requirements in this Part for proceedings involving public utilities are equally applicable to common carriers by pipeline.

History

• Source: Amended at 37 Ill. Reg. 2864, effective March 1, 2013

83 Ill. Adm. Code 300.20 Informational Packet

Prior to any public utility or its agent initiating contact with any landowner (the record owner of the land as disclosed by the records of the Tax Collector of the county wherein the land is located) to negotiate the acquisition of a land right-of-way easement, it shall file with the Illinois Commerce Commission an informational packet consisting of, but not necessarily limited to, a brief description of the purpose of the project, type of facility proposed to be constructed, size of site or width of right-of-way being sought and, in the case of a transmission line, its expected origin and terminus points.

83 Ill. Adm. Code 300.30 Negotiation of the Acquisition of Land or a Land Right-of-Way Easement

This Section shall govern the actions of every person acting on behalf of a public utility when negotiating the acquisition of land or a land right-of-way easement:

a) At least 14 days before the time when a utility initiates telephone or personal contact with the landowner to negotiate the acquisition of land or a land right-of-way easement, the utility representative shall send a letter to the landowner by certified mail, return receipt requested, containing the information set forth in subsection (c) together with the "Statement of Information from the Illinois Commerce Commission Concerning Acquisition of Land or Land Rights-of-Way by Illinois Utilities and Common Carriers by Pipeline" (see Appendix A).

b) Utility representatives shall keep and maintain a permanent record of all letters sent in compliance with this Section.

c) Any letter sent by the utility representative shall be on that representative's letterhead or on the letterhead of the utility, and it shall clearly set forth:

1. The identity, address and telephone number of the utility representative;

2. The identity of the utility attempting to acquire the land or land rights;

3. The general purpose of the proposed project;

4. The type of facility to be constructed;

5. The general description of the land or land rights that the utility seeks to acquire and the type of structures, if any, the utility seeks to build;

6. A statement that the utility or its representative seeks to negotiate with the landowner to arrive at a fair and reasonable agreement for the land or land rights; and

7. An invitation to the landowner to contact the utility representative to arrange a mutually agreeable time for an appointment to further discuss the matter.

d) If the landowner does not contact the utility representative within two weeks after the mailing of the original letter, that representative shall contact the landowner to attempt to establish a mutually convenient time and date for a meeting to discuss the matter.

e) Each utility representative shall carry, and show to every landowner contacted, an identification card with the name and address, the employer, and a recent picture of the utility representative. All contacting persons shall provide their telephone numbers to landowners.

f) Upon the initial personal contact with the landowner, each utility representative shall be prepared to discuss, with specificity, the project for which the land or a land right-of-way is sought and shall more specifically inform and advise the landowner of the following:

1. By oral statement concerning the reason for the contact, e.g., the general purpose of the proposed project and the type of facilities to be constructed.

2. Provide technical information regarding the proposed project. This should include, among other things, to the extent that is then known to the utility, a written statement briefly outlining the purpose of the proposed project, a small-scale map of the proposed project and sketches indicating types of facilities, the approximate location of facilities, the compensation and basis for compensation and, if applicable, the type of structures, and amount (length and width) of the land or the land right-of-way deemed necessary for the proposed project. This information shall be furnished to the landowner for the landowner's review, along with any proposed agreement or contract proposed by the utility.

History

• Source: Amended at 35 Ill. Reg. 8797, effective June 1, 2011

83 Ill. Adm. Code 300.40 Application of This Part

This Part shall be prospectively applied. The Part shall not affect the following:

a) The validity of any existing Commission certificate.

b) The validity of any easement or subsequent order of the Commission under Section 8-503 of the Act.

History

• Source: Amended at 21 Ill. Reg. 1659, effective February 1, 1997

83 Ill. Adm. Code 300.50 Revocation of Existing Certificate

This Part shall not cause the revocation of any existing Commission certificate.

83 Ill. Adm. Code 300.60 Railroad Company (repealed)

History

• Source: Repealed at 21 Ill. Reg. 1659, effective February 1, 1997

83 Ill. Adm. Code 300.70 Variance

The Commission, on application of a utility or on its own motion, may grant a variance from this Part in individual cases where the Commission finds that:

a) The provision from which the variance is granted is not statutorily mandated;

b) No party will be injured by the granting of the variance; and

c) The rule from which the variance is granted would, in the particular case, be unreasonable or unnecessarily burdensome.

83 Ill. Adm. Code 300.APPENDIX A Statement of Information from the Illinois Commerce Commission Concerning Acquisition of Land or Land Rights-of-Way by Illinois Utilities and Common Carriers by Pipeline

A representative of a public utility or a common carrier by pipeline (collectively the company) is contacting you to negotiate the purchase of property or the acquisition of land or a land right-of-way over or through property that you own, or in which you have an interest as an owner. The company proposes to construct, operate and maintain certain facilities on your land, as set forth in the accompanying letter. The company representative contacting you will further explain the proposed project.

The purpose of this Statement is to provide you with general information regarding the Illinois Commerce Commission's (Commission's) regulatory process governing a company's proposed project, including the procedures that companies must follow before they can exercise the power of eminent domain to acquire land or land rights. Eminent domain is the power of the State, or those to whom the power is delegated by the State, to take private property for public use upon payment of just compensation to the landowner as is determined by the courts. This Statement covers several questions that landowners commonly pose to Commission staff members about proceedings at the Commission that relate to a company's proposed project when a company seeks to place facilities on or near those landowners' property. This Statement, however, is not a legal opinion concerning your rights under the law, or the Commission's rules. It also is not a detailed analysis of the procedures involved. If you have any questions concerning your legal rights, you may wish to consult an attorney.

Requests for a Commission Certificate under

Section 8-406, 8-406.1, or 15-401 of the Public Utilities Act

Ordinarily, before constructing major new facilities, a public utility must obtain a certificate of public convenience and necessity from the Commission under Section 8-406 or 8-406.1 of the Public Utilities Act [220 ILCS 5/8-406 or 8-406.1]. Likewise, a common carrier by pipeline ordinarily must obtain a certificate in good standing from the Commission under Section 15-401 of the Public Utilities Act [220 ILCS 5/15-401] before constructing a pipeline or other facility. In either case, to obtain a certificate, the utility or common carrier files an application with the Commission describing the proposed project. The Commission then initiates a proceeding to consider evidence regarding the application and notifies affected landowners of the date, time and place of the initial hearing regarding the proposed project. If you have concerns about such a proposal, the Commission encourages you to participate in the Commission's certificate proceeding. Changes to a company's proposal are much less likely after the Commission has approved the proposal and issued the company a certificate. Landowners may participate in the proceeding, either through oral or written statements, or by intervening in the proceeding regarding the proposed project, as provided in the Commission's Rules of Practice (83 Ill. Adm. Code 200). In this type of proceeding, the Commission considers such factors as the public need for the proposed project, the type of facilities to be constructed, and the feasibility of the proposed location of the facilities. If the Commission determines that a company has met the requirements for obtaining a certificate and it approves the facility's design and location, it will grant a certificate to the company authorizing construction of the facility and the route that the facility will take across or through property not owned or controlled by the company.

Requests for a Commission Order Under

Section 8-503 of the Public Utilities Act

A company may also seek a Commission Order under Section 8-503 [220 ILCS 5/8-503] authorizing or directing it to construct the proposed project, either in conjunction with its request to obtain a certificate under Section 8-406 or 15-401, or separately. If a company seeks an order pursuant to Section 8-503 in a separate proceeding, the Commission will notify affected landowners of the Section 8-503 proceeding, and affected landowners may participate in this type of proceeding in the same manner as is described above for applications for certificates under Section 8-406 or 15-401. If, at the conclusion of the proceeding, the Commission grants the company's request for an order pursuant to Section 8-503, it will issue an order authorizing the proposed project or directing the company to construct the proposed project, including the specific route of the facility. If the Commission grants a company's request for a certificate under Section 8-406.1, the Section 8-406.1 order must also contain an order pursuant to Section 8-503 authorizing or directing the construction of the high voltage electric service line.

Requests for Eminent Domain Authority Pursuant to

Section 8-509 of the Public Utilities Act

A company seeking a certificate under Section 8-406.1 or a Commission Order under Section 8-503 may also apply to the Commission for authorization under Section 8-509 [220 ILCS 5/8-509] to use the power of eminent domain through the courts pursuant to the Eminent Domain Act [735 ILCS 30] to acquire the land or land rights necessary for the project. The company may elect to seek Commission authorization pursuant to Section 8-509, either in conjunction with its request for a certificate under Section 8-406.1 or for a Commission Order under Section 8-503, or separately. If the Commission authorizes the use of eminent domain under Section 8-509, and if the company is unable to reach agreement with the landowners to acquire the property interests necessary to complete the proposed project, the company will file a condemnation lawsuit in the circuit court where the property is located in order to obtain the property interests that the project requires. The courts, not the Commission, make the final decision as to whether the company can acquire land or land rights by eminent domain and, if so, the compensation that the company will pay to the landowner.

Attempts by Companies to Acquire Property Rights

Before seeking a Commission Order authorizing or directing a company to construct a project, a company may choose to acquire land or land rights from landowners. A company may seek to purchase land or acquire a right for use of the land. Alternatively, a company may seek to obtain an option to purchase land or land rights at a future date. A company representative will provide affected landowners with information regarding the price and other terms that the company intends to offer for the land or land rights. Such a company uses its own forms for this type of transaction. The Commission does not require a company seeking to acquire land or land rights to use any particular form.

The price and other terms for the land or land rights is a matter of negotiation. between each landowner and a company. The Commission does not participate in the negotiation The Commission also does not establish or approve the negotiated price and other terms for the acquisition of land or land rights. Negotiation involves discussion and bargaining in an effort to reach a mutual agreement. During the negotiations, and at any time, you may be represented by an attorney. However, you are under no obligation to retain anyone to provide legal counsel. Further, you are under no obligation to negotiate or reach an agreement with the company that is seeking to acquire land or land rights. The Commission does not require such a company to obtain by negotiation a fixed amount or percentage of land or land rights necessary for the project before it seeks Commission authorization to acquire land or land rights.

The Commission typically makes its final decision regarding a project's route in certificate proceedings. Once a company obtains a certificate, issues such as the specific route of the project are not typically reconsidered in subsequent Section 8-503 proceedings before the Commission. Once a company obtains a Commission Order pursuant to Section 8-503 for a project, issues such as the specific route of the project will not be reconsidered in subsequent Section 8-509 proceedings before the Commission and in subsequent condemnation proceedings before the courts. You should not delay in taking whatever action that you believe is, or may be, necessary to protect your property interests. If you elect to negotiate with a company, the Commission encourages you or your representative to negotiate vigorously.

If you have any questions about this Statement or Commission rules and procedures, please contact:

Director, Safety & Reliability Division

Illinois Commerce Commission

527 East Capitol Avenue

Springfield, Illinois 62701

Please address specific questions concerning your individual property to the company representative.

History

• Source: Amended at 37 Ill. Reg. 2864, effective March 1, 2013

Part 302 Guidelines for Carbon Dioxide Transportation and Sequestration

83 Ill. Adm. Code 302.10 Definitions

As used in this Part:

"Act" means the Carbon Dioxide Transportation and Sequestration Act [220 ILCS 75].

"Commission" means the Illinois Commerce Commission created by Section 2-101 of the Public Utilities Act [220 ILCS 5/2-101].

"Owner" or "Operator" means any Owner or Operator of a pipeline designated, constructed, and operated to transport and to sequester carbon dioxide produced by a clean coal facility, by a clean coal SNG facility, or by any other source that will result in the reduction of carbon dioxide emissions from that source. [220 ILCS 75/15]

83 Ill. Adm. Code 302.20 Certificate of Authority

This Part shall apply whenever any Owner or Operator seeks to construct, operate or maintain a carbon dioxide pipeline under the Act.

83 Ill. Adm. Code 302.30 Application for Certificate of Authority

a) Prior to any Owner or Operator or its agent initiating contact with any landowner (the record owner of the land as disclosed by the records of the tax collector of the county where the land is located) to negotiate the acquisition of an easement in property or any interest in property, it shall file with the Illinois Commerce Commission an application containing, in addition to the matters set forth in Section 20(b) of the Act, a brief description of the proposed project, a map of the route or route width showing either the specific route for the carbon dioxide pipeline (including size of site and width of easement to be sought), or the project route width that identifies the areas in which the pipeline would be located, with such route ranging from the minimum width required for the pipeline right-of-way up to 200 feet in width [220 ILCS 75/20(d)], and pipeline length and diameter, and the location of any above ground facilities (compressor stations, valves, etc.).

b) When an applicant files its application for a certificate of authority with the Commission, it shall provide notice to each local government where the proposed pipeline will be located and include a map of the proposed pipeline route. The applicant shall also publish notice in a newspaper of general circulation in each county where the proposed pipeline is located. [220 ILCS 75/20(c)]

c) The applicant shall include with the application, when filed with the Commission, a list containing the name and address of each owner of record of the land along the proposed route, or within a proposed project route width, as disclosed by the records of the tax collector of the county in which the land is located, as of not more than 30 days prior to the filing of the application. Notice of the filing of an application for a certificate of authority shall be provided by the Commission within 30 days after filing to the landowners along the proposed route, or to the potentially affected landowners within a proposed project route width. [220 ILCS 75/20(e)] Notice shall include the time and place scheduled for the initial hearing on the application, and shall include the information required by Appendix A. This subsection's requirements for notice to owners of record shall not be deemed jurisdictional and the omission of the name and address of an owner of record from the list or lack of notice shall in no way invalidate a subsequent order of the Commission relating to the application.

83 Ill. Adm. Code 302.40 Negotiation of the Acquisition of an Easement in Property or Any Interest in Property

This Section shall govern the actions of every person acting on behalf of an Owner or Operator when negotiating the acquisition of an easement in any property or interest in property for the construction, operation or maintenance of a carbon dioxide pipeline:

a) At least 14 days before an Owner or Operator initiates telephone or personal contact with the landowner to negotiate the acquisition of an easement in any property or interest in property, the Owner or Operator or representative shall send a letter to the landowner by certified mail, return receipt requested, containing the information set forth in subsection (c), together with the "Statement of Information from the Illinois Commerce Commission Concerning Acquisition of Easement in Property or any Interest in Property by Illinois Owners or Operators Under the Carbon Dioxide Transportation and Sequestration Act" (see Appendix B).

b) Owner or Operator representatives shall keep and maintain a permanent record of all letters sent in compliance with this Section.

c) Any letter sent by the Owner or Operator representative shall be on that representative's letterhead or on the letterhead of the utility, and it shall clearly set forth:

1. The identity, address and telephone number of the utility representative;

2. The identity of the Owner or Operator attempting to acquire easement in the property or interest in property;

3. The general purpose of the proposed project;

4. A description of the proposed carbon dioxide pipeline, including pipeline length, pipeline diameter, and the location of any above ground facilities (compressor stations, valves, etc.);

5. The general description of the easement in property or interest in property that the Owner or Operator seeks to acquire and the type of structures, if any, the Owner or Operator seeks to build;

6. A statement that the Owner or Operator or its representative seeks to negotiate with the landowner to arrive at a fair and reasonable agreement for the easement in property or interest in property; and

7. An invitation to the landowner to contact the Owner or Operator representative to arrange a mutually agreeable time for an appointment to further discuss the matter.

d) If the landowner does not contact the Owner or Operator representative within two weeks after the mailing of the original letter, the representative may contact the landowner to attempt to establish a mutually convenient time and date for a meeting to discuss the matter.

e) Each Owner or Operator representative shall carry, and show to every landowner contacted, an identification card with the name and address of the Owner or Operator and a recent picture of the Owner or Operator representative. All contacting persons shall provide their telephone numbers to landowners.

f) Upon the initial personal contact with the landowner, each Owner or Operator representative shall be prepared to discuss, with specificity, the project for which the easement in property or interest in property is sought and shall more specifically inform and advise the landowner of the following:

1. By oral statement, the reason for the contact; e.g., the general purpose of the proposed project and the type of facilities to be constructed.

2. Technical information regarding the proposed project. This shall include, among other things: to the extent that is then known to the Owner or Operator, a written statement briefly outlining the purpose of the proposed project; a small-scale map of the proposed project route or route width; sketches indicating types of facilities; the approximate location of facilities; the compensation and basis for compensation; if applicable, the types of structures; and the amount (length and width) of the easement in property or interest in property deemed necessary for the proposed project. This information shall also include a statement that the law provides that easements in property or interests in property ranging from the minimum width required for a pipeline right-of-way up to 200 feet in width may be sought for carbon dioxide pipelines. This information shall be furnished to the landowner for the landowner's review, along with any proposed agreement or contract proposed by the Owner or Operator.

83 Ill. Adm. Code 302.50 Application of This Part

This Part shall be prospectively applied. The Part shall not affect the following:

a) The validity of any existing Commission certificate.

b) The validity of any easement or subsequent order of the Commission under the Act.

83 Ill. Adm. Code 302.60 Revocation of Existing Certificate

This Part shall not cause the revocation of any existing Commission certificate.

83 Ill. Adm. Code 302.APPENDIX A Statement of Information from the Illinois Commerce Commission Concerning Applications for a Certificate of Authority by Illinois Owners or Operators Under the Carbon Dioxide Transportation and Sequestration Act

[Name of Owner or Operator], the Owner or Operator of a carbon dioxide pipeline, has filed an application with the Illinois Commerce Commission for a certificate of authority to construct, operate or maintain a carbon dioxide pipeline under the Carbon Dioxide Transportation and Sequestration Act [220 ILCS 75]. According to information filed with the application, the Owner or Operator proposes to construct, operate and maintain certain facilities on or near your land.

The purpose of this Statement is to provide you with general information regarding the Illinois Commerce Commission's ("Commission") regulatory process governing a company's proposed project, including the procedures that companies must follow before they can exercise their limited grant of authority to take and acquire an easement in any property or interest in property for construction, operation or maintenance of a carbon dioxide pipeline in the manner provided for the exercise of the power of eminent domain under the Eminent Domain Act [735 ILCS 30]. This Statement covers several questions that landowners commonly pose to Commission staff members about proceedings at the Commission that relate to a company's proposed project when a company seeks to place facilities on or near the landowner's property. This Statement, however, is not a legal opinion concerning your rights under the law or the Commission's rules. It also is not a detailed analysis of the procedures involved. If you have any questions concerning your legal rights, you may wish to consult an attorney.

Requests for a Certificate of Authority under the

Carbon Dioxide Transportation and Sequestration Act

Before constructing, operating or maintaining a carbon dioxide pipeline, an Owner or Operator must obtain a certificate of authority from the Commission under Section 20 of the Carbon Dioxide Transportation and Sequestration Act [220 ILCS 75/20]. To obtain a certificate, the Owner or Operator files an application with the Commission describing the proposed project. The Commission then initiates a proceeding to consider evidence regarding the application and notifies the potentially affected landowners of the date, time and place of the initial hearing regarding the proposed project. The courts, not the Commission, make the final decision as to whether the company can acquire the easement in property or in any interest in property and, if so, the compensation that the company will pay to the landowner.

Attempts by Owners and Operators to Acquire Property Rights

An Owner or Operator may seek to purchase land or acquire a right for use of the land. Alternatively, an Owner or Operator representative may seek to obtain an option to purchase land or land rights at a future date. A company representative will provide affected or potentially affected landowners with information regarding the price and other terms that the Owner or Operator intends to offer for the easement in property or any interest in property. The Owner or Operator uses its own forms for this type of transaction. The Commission does not require a company seeking to acquire an easement in property or any interest in property to use any particular form.

The price and other terms for the easement in property or any interest in property are matters of negotiation between each landowner and an Owner or Operator. The Commission does not participate in the negotiation. The Commission also does not establish or approve the negotiated price and other terms for the acquisition of an easement in property or any interest in property. Negotiation involves discussion and bargaining in an effort to reach a mutual agreement. During the negotiations, and at any time, you may be represented by an attorney. However, you are under no obligation to retain anyone to provide legal counsel. Further, you are under no obligation to negotiate or reach an agreement with the company that is seeking to acquire an easement in property or any interest in property. The Commission does not require the Owner or Operator to obtain an easement by negotiating a fixed amount or percentage of property or any interest in property necessary for the project before it seeks Commission authorization to acquire an easement in property or any interest in property.

The Commission will make its final decision regarding a project's route in certificate proceedings. Once an Owner or Operator obtains a certificate of authority, issues such as the specific route of the project are not typically reconsidered in subsequent proceedings before the Commission or addressed before the courts. You should not delay in taking whatever action that you believe is, or may be, necessary to protect your property interests. If you elect to negotiate with a company, the Commission encourages you or your representative to negotiate vigorously.

If you have any questions about this Statement or Commission rules and procedures, please contact:

Director, Safety & Reliability Division

Illinois Commerce Commission

527 East Capitol Avenue

Springfield, Illinois 62701

Please address specific questions concerning your individual property to the company representative.

83 Ill. Adm. Code 302.APPENDIX B Statement of Information from the Illinois Commerce Commission Concerning Acquisition of Easement in Property or Any Interest in Property by Illinois Owners or Operators Under the Carbon Dioxide Transportation and Sequestration Act

A representative of an Owner or Operator of a carbon dioxide pipeline is contacting you to negotiate the purchase of an easement in property or in any interest in property over or through property that you own, or in which you have an interest as an owner. The company proposes to construct, operate and maintain certain facilities on your land, as set forth in the accompanying letter. The company representative contacting you will further explain the proposed project.

The purpose of this Statement is to provide you with general information regarding the Illinois Commerce Commission's ("Commission") regulatory process governing a company's proposed project, including the procedures that companies must follow before they can exercise their limited grant of authority to take and acquire an easement in any property or interest in property for construction, operation or maintenance of a carbon dioxide pipeline in the manner provided for the exercise of the power of eminent domain under the Eminent Domain Act [735 ILCS 30]. This Statement covers several questions that landowners commonly pose to Commission staff members about proceedings at the Commission that relate to a company's proposed project when a company seeks to place facilities on or near the landowner's property. This Statement, however, is not a legal opinion concerning your rights under the law or the Commission's rules. It also is not a detailed analysis of the procedures involved. If you have any questions concerning your legal rights, you may wish to consult an attorney.

Requests for a Certificate of Authority under the

Carbon Dioxide Transportation and Sequestration Act

Before constructing, operating or maintaining a carbon dioxide pipeline, an Owner or Operator must obtain a certificate of authority from the Commission under Section 20 of the Carbon Dioxide Transportation and Sequestration Act [220 ILCS 75/20]. To obtain a certificate, the Owner or Operator files an application with the Commission describing the proposed project. The Commission then initiates a proceeding to consider evidence regarding the application and notifies the potentially affected landowners of the date, time and place of the initial hearing regarding the proposed project. The courts, not the Commission, make the final decision as to whether the company can acquire the easement in property or in any interest in property and, if so, the compensation that the company will pay to the landowner.

Attempts by Owners and Operators to Acquire Property Rights

An Owner or Operator may seek to purchase land or acquire a right for use of the land. Alternatively, an Owner or Operator representative may seek to obtain an option to purchase land or land rights at a future date. A company representative will provide affected or potentially affected landowners with information regarding the price and other terms that the Owner or Operator intends to offer for the easement in property or any interest in property. The Owner or Operator uses its own forms for this type of transaction. The Commission does not require a company seeking to acquire an easement in property or any interest in property to use any particular form.

The price and other terms for the easement in property or any interest in property is a matter of negotiation between each landowner and an Owner or Operator. The Commission does not participate in the negotiation. The Commission also does not establish or approve the negotiated price and other terms for the acquisition of an easement in property or any interest in property. Negotiation involves discussion and bargaining in an effort to reach a mutual agreement. During the negotiations, and at any time, you may be represented by an attorney. However, you are under no obligation to retain anyone to provide legal counsel. Further, you are under no obligation to negotiate or reach an agreement with the company that is seeking to acquire an easement in property or any interest in property. The Commission does not require the Owner or Operator to obtain an easement by negotiating a fixed amount or percentage of property or any interest in property necessary for the project before it seeks Commission authorization to acquire an easement in property or any interest in property.

The Commission will make its final decision regarding a project's route in certificate proceedings. Once an Owner or Operator obtains a certificate of authority, issues such as the specific route of the project are not typically reconsidered in subsequent proceedings before the Commission or addressed before the courts. You should not delay in taking whatever action that you believe is, or may be, necessary to protect your property interests. If you elect to negotiate with a company, the Commission encourages you or your representative to negotiate vigorously.

If you have any questions about this Statement or Commission rules and procedures, please contact:

Director, Safety & Reliability Division

Illinois Commerce Commission

527 East Capitol Avenue

Springfield, Illinois 62701

Please address specific questions concerning your individual property to the company representative.

Part 305 Construction of Electric Power and Communication Lines

83 Ill. Adm. Code 305.10 Policy

The purpose of this Part is the practical safeguarding of persons during the installation, operation, or maintenance of electric supply and communication lines and their associated equipment. It contains minimum requirements considered necessary for the safety of employees and the public.

83 Ill. Adm. Code 305.20 Scope and Incorporation by Reference of Portions of the National Electrical Safety Code (nesc)

a) This Part shall apply to electric utilities and those telecommunications carriers subject to Section 8-505 of the Public Utilities Act [220 ILCS 5/8-505].

b) The Illinois Commerce Commission adopts as its rules the following portions of the National Electrical Safety Code C2-2017 (2017 edition, approved April 26, 2016, published by the Institute of Electrical and Electronics Engineers, Inc., 3 Park Avenue, New York NY 10016-5997):

1. Section 2 (Definitions of Special Terms);

2. Section 9 (Grounding Methods of Electric Supply and Communications Facilities);

3. Part 2 (Sections 20-27: Safety Rules for the Installation and Maintenance of Overhead Electric Supply and Communication Lines); and

4. Part 3 (Sections 30-39: Safety Rules for the Installation and Maintenance of Underground Electric Supply and Communication Lines).

c) No incorporation in this Part includes any later amendment or edition.

History

• Source: Amended at 45 Ill. Reg. 3148, effective February 10, 2022

83 Ill. Adm. Code 305.30 General Rules

All electric supply and communication lines and equipment shall be designed, constructed and maintained to meet the requirements of this Part to enable service to be safe, adequate and dependable. For all particulars not specified in this Part, construction and maintenance should be done in accordance with accepted engineering practices for the given local conditions.

83 Ill. Adm. Code 305.40 Application

a) New Installation and Extensions

These rules shall apply to all new installations and extensions, except that they may be waived or modified by the Illinois Commerce Commission. Instances of waiver or modification would include, but not be limited to, space limitations, temporary construction, or changes in technology. When the Commission waives or modifies these rules, it shall approve equivalent safety measures, including special working methods.

b) Existing Installations

1. Existing installations including maintenance replacements which comply with the Commission's rules which were in effect at the time of original installation need not be modified to comply with this Part except as may be required for safety reasons as directed by the Commission.

2. Where an existing installation meets, or is altered to meet, the requirements of this Part, such installation is considered to be in compliance with this Part and is not required to comply with any previously adopted rules of the Commission that have been superseded by this Part.

3. Where conductors or equipment are added, altered, or replaced on an existing structure, the structure or the facilities on the structure need not be modified or replaced if the resulting installation will be in compliance with:

A) The rules which were in effect at the time of the original installation.;

B) The rules in effect at the time of a previous modification; or

C) The rules currently in effect.

c) Effective Date. This Part shall apply to new installations and extensions where design was started and approval given by the company after October 1, 1984.

History

• Source: Amended at 17 Ill. Reg. 22043, effective December 15, 1993

83 Ill. Adm. Code 305.50 Certificates of Public Convenience and Necessity

An application for a Certificate of Public Convenience and Necessity to construct, operate and maintain a new electric supply line or communication line shall be accompanied by a plat of suitable scale to clearly show:

a) The location of the proposed line along its entire length.

b) The location of railroad tracks, and electric supply and communication lines which will be crossed by the proposed new lines.

c) The location of all other electric supply and communication lines that are located within one-half mile of the route of the proposed new line.

d) The names of the utilities owning or operating railroad, electric supply and communication lines, shown on the plat in conformance with subsections (b) and (c) above.

83 Ill. Adm. Code 305.60 Notification Procedure for Applications

Notice of the filing of an application for a Certificate of Public Convenience and Necessity to construct new line facilities or an application for authority to reconstruct, alter or remove existing line facilities shall be given by the applicant at the time of filing its application with the Commission to all other utilities whose lines will be crossed by the proposed new or reconstructed line facilities, or whose lines will be paralleled within 200 feet by such new or reconstructed line facilities. A list of all utilities to whom such notice were sent, including their addresses, shall accompany the application.

83 Ill. Adm. Code 305.70 Advance Notice and Cooperation

a) Railroad Crossings. An electric or communication utility planning to cross the tracks of a railroad, either overhead or underground, shall give notice of its intention to do so. Unless other mutual arrangements are made in conformity with Section 305.80, such notice shall be given by registered mail at least 20 calendar days in advance of the commencement of construction. Such notice shall include information regarding the location and general plan for the crossing, planned clearances, and such other pertinent information in sufficient detail to determine whether the proposed construction conforms with the requirements of this Part. In a case of emergency where the required notice would work a hardship on the company planning the crossing, the involved parties shall cooperate so as to avoid unnecessary delay in construction of the crossing.

b) Overhead Line Crossing. An electric or communication utility planning a crossing over or under an existing line, or general reconstruction of an existing crossing, shall give notice of its intention to do so. Unless other mutual arrangements are made in conformity with Section 305.80, such notice shall be given by registered mail at least 20 calendar days in advance of the commencement of construction. All parties involved in such planned crossing construction or reconstruction shall cooperate in coordinating plans for future construction.

c) Inductive Coordination.

Although the Commission has no specific rules covering inductive coordination, the Commission retains full jurisdiction of such matters as location, design, construction, operation and maintenance of power and communication circuits, where consideration of these or other conditions may be necessary in order to prevent or eliminate inductive interference.

83 Ill. Adm. Code 305.80 Interchange Data

To assist in promoting conformity with these rules, a procedure or plan should be instituted between all utilities whose facilities may occupy the same territory so that it will provide for the exchange of pertinent data and information, including data relative to proposed and existing construction, and changes in operating conditions which may affect or be likely to affect situations of proximity.

83 Ill. Adm. Code 305.90 Coordinated Locations of Lines

a) General Location. Utilization of highways is essential to the economical and efficient extension, operation and maintenance of power and communication services. To avoid unduly increasing the number or difficulty of proximity situations incident to the use of the same highway by two or more different types or kinds of facilities, all lines should be located as follows: Where communication circuits and electric circuits on the same highway are not to occupy joint structures or where either kind of a circuit is alone on a highway, all communication circuits should be placed on one side of the highway and all electric circuits should be placed on the other side, so that one side of any section of a highway will be available as the communication side and one side as the power side.

b) Other Rights-of-Way. Subsection (a) shall also apply to other rights-of-way. Situations should also be avoided whereby the reasonable use of parcels of property is restricted by the planned route traversing the property.

83 Ill. Adm. Code 305.100 Overbuilding or Underbuilding

Overbuilding or underbuilding of one pole line by another pole line should be avoided. Where it is necessary for the lines to occupy the same side of the highway, the use of a single pole line is preferable.

83 Ill. Adm. Code 305.110 Exceptions and Additions to Nesc Provisions

a) Footnotes and notes which reference provisions of the NESC which have not been expressly adopted by the Illinois Commerce Commission shall not be construed to incorporate such provisions into this Part.

b) Table A of this Part provides minimum vertical separation between crossarms for the safety of electric and communication employees. Said table will be used in conjunction with Rule 238 in addition to Table 238-1 of the NESC.

83 Ill. Adm. Code 305.120 Intent

a) Statements in this Part which are to be regarded as mandatory are characterized by the use of the word "shall." Statements in this Part which are advisory in nature, to be followed insofar as practical, are indicated by the word "should." Statements in the NESC which are advisory in nature, to be followed insofar as practical, are indicated as "RECOMMENDATIONS."

b) Notes contained herein other than footnotes to tables, are for information purposes only and are not to be considered as mandatory or as part of the code requirements.

83 Ill. Adm. Code 305.130 Exemption

If exemption from any of the requirements herein is desired in any particular case, the Commission will consider the application of a public utility for such exemption when accompanied by a full statement setting forth the conditions existing and the reasons why such exemption is desired. Exemptions will be governed by the same standards applicable to waivers and modifications in Section 305.40(a). It is understood that any exemption so granted shall apply only to the particular case covered by the application, and exemption shall not be extended to other cases unless specifically granted in the Commission's order.

83 Ill. Adm. Code 305.TABLE A Vertical Separation of Crossarms Carrying Conductors

1. BASIC SEPARATION.

The separations given in the following table are for crossarms carrying conductors of 0 to 50,000 volts attached to fixed supports.

2. INCREASED SEPARATION FOR VOLTAGES EXCEEDING 50,000 VOLTS.

For voltages greater than 50,000 volts the clearances in the table below shall be increased at the rate of 0.4 inch per 1,000 volts of the excess.

Supply conductors: preferably at higher levels 6

Open wires, 0 to 750 volts; cables, having effectively grounded continuous metal sheath, or insulated conductors supported on and cabled together with an effectively grounded messenger, all voltages

15,000 to 50,000

volts

Conductors usually at lower levels

750 to

8,700 to

8,700

15,000

volts

volts

Same

Different

utility

utilities

Communication conductors:

Feet

Feet

Feet

Feet

Feet

General

1, 2

4

4

6

6

Use in operation of supply

lines

2

3

2

4

4

6

Supply conductors:

0 to 750 volts

2

4

2

4

4

6

750 volts to 8,700 volts

4

2

4

4

6

8,700 volts to 15,000 volts:

If worked on alive with long-handled tools and adjacent circuits are neither killed nor covered with shields or protectors

4

4

6

If not worked on alive except when adjacent circuits (either above or below) are killed or covered by shields or protectors, or by the use of long-handled tools not requiring linemen to go

between live wires

2

5

4

5

4

Exceeding 15,000 volts, but

not exceeding 50,000 volts

5

4

5

4

1 Where supply circuits of 550 volts or less, with transmitted, power of 3,200 watts or less, are run below communication circuits in accordance with Rule 220B2 the clearance may be reduced to 2 feet.

2 In localities where the practice has been established or placing on jointly used poles, crossarms carrying supply circuits of less than 300 volts to ground and crossarms carrying communication circuits at a vertical separation less than specific in the table, such existing construction may be continued until the said poles are replaced provided that –

The minimum separation between existing crossarms is not less than 2 feet, and that –

Extensions to the existing construction shall conform to the clearance requirements specified in table 11.

When communication conductors are all in cable, a supply crossarm carrying only wires of not more than 300 volts to ground may be placed at not less than 2 feet above the point of attachment of the cable to the pole provided that –

The nearest supply wire on such crossarm shall be at least 30 inches horizontally from the center of the pole, and that –

The cable be placed so as not otherwise to obstruct the climbing space.

3 This shall be increased to 4 feet when the communication conductors are carried above supply conductors unless the communication-line-conductor size is that required for grade C supply lines.

4 Where conductors are operated by different utilities, a minimum vertical spacing of 4 feet is recommended.

5 These values do not apply to adjacent crossarms carrying phases of the same circuit or circuits.

6 A conductor which is effectively grounded throughout its length, and is associated with a supply circuit of 0 to 22,000 volts may have the clearance specified for cables having effectively grounded continuous metal sheath or messenger.

Chapter I Illinois Commerce Commission

Subchapter b Provisions Applicable to More Than One Kind of Utility

Part 310 The Waiver of Filing and the Approval of Certain Contracts and Arrangements with Affiliated Interests (general Order 174)

83 Ill. Adm. Code 310.10 Routine Banking Transactions

The opening of bank accounts, deposit of monies in those accounts, the withdrawal of monies from those accounts by checks, drafts, bills of exchange or otherwise, the making of time deposits with banks, the purchase from banks, at not to exceed prevailing market prices, of obligations of the United States maturing not more than five years after the purchase, the sale to banks of obligations of the United States at not less than prevailing market prices, and the making use of routine custodial and handling services of banks with respect to securities at not to exceed standard charges, all in the ordinary course of business, are not considered to be contracts or arrangements within the purview of Section 7-101 of the Public Utilities Act.

History

• Source: Amended at 43 Ill. Reg. 11944, effective October 1, 2019

83 Ill. Adm. Code 310.20 Revolving Loan Fund for Employees

Any utility may set aside and maintain a fund in an amount to be approved by the Commission to be used as a revolving fund, under such rules and regulations as may be prescribed by the Commission, for loans to employees.

83 Ill. Adm. Code 310.30 Compromises or Settlements with Customers in Financial Difficulties

Consent and approval by the Commission shall not be required for a utility in compromising or settling a claim for unpaid utility service against a customer in financial difficulties whose affairs are being administered by a creditors' committee, protective committee, reorganization committee or other similar agency, to accept securities or obligations issued by or on behalf of such customer, provided, that the amount of unpaid services so compromised or settled is not in excess of $5,000, and provided, further, that the compromise or settlement with the utility shall be on at least as favorable terms for the utility as the compromise or settlement made for or on behalf of such customer with any other creditor similarly situated.

83 Ill. Adm. Code 310.40 Transactions Under Contracts in Existence on July 10, 1933

Approval by the Commission of particular transactions under any contract or arrangement of the character described in Section 7-101(3) of the Act shall not be required when the contract or arrangement was in existence on July 10, 1933; or when the contract or arrangement is filed with and approved by the Commission subsequent to that date. Each utility shall keep accurate records relating to these transactions, which shall be open to inspection by the Commission. Nothing in this Section shall be construed as an approval, for any purpose, of any contracts existing on July 10, 1933.

History

• Source: Amended at 43 Ill. Reg. 11944, effective October 1, 2019

83 Ill. Adm. Code 310.50 Service Agreements with Affiliated Natural Gas Companies for Natural Gas Service at Filed Rates

Approval by the Commission shall not be required for the execution and performance by an Illinois utility of a service agreement with an affiliated natural gas company (as defined in section 2(6) of the federal Natural Gas Act (15 USC 717a(6)), when the service agreement is substantially in the form filed by the natural gas company (as directed by 18 CFR 154.110 (August 3, 2016)) as a part of its Federal Energy Regulatory Commission (FERC) Gas Tariff, and executed or to be executed by non-affiliated customers of the natural gas company and providing for the rendition of service at rates and charges filed with FERC.

History

• Source: Amended at 43 Ill. Reg. 11944, effective October 1, 2019

83 Ill. Adm. Code 310.60 Contracts with Affiliated Interests Which Need Not Be Filed or Approved

Pursuant to Section 7-101 of the Act and subject to the other provisions of this Part, the Commission hereby waives, as to all public utilities, the filing and necessity for approval of contracts and arrangements described in Section 7-101(3) of the Act in cases of:

a) contracts or arrangements made in the ordinary course of business for the employment of officers or employees;

b) contracts or arrangements made in the ordinary course of business for the purchase of services, supplies, or other personal property at prices not exceeding the standard or prevailing market prices, or at prices or rates fixed pursuant to law;

c) contracts or arrangements in which the total obligation to be incurred under the contract does not exceed the lesser of $5,000,000 or 2% of the public utility's receipts from all tariffed services as defined in Article XVI or Article XIX of the Act in the preceding calendar year;

d) the temporary leasing, lending or interchanging of equipment in the ordinary course of business or in case of an emergency; and

e) contracts made by a public utility with a person or corporation whose bid is the most favorable to the public utility, as ascertained by competitive bidding under the rules for competitive bidding prescribed in this Part.

History

• Source: Amended at 43 Ill. Reg. 11944, effective October 1, 2019

83 Ill. Adm. Code 310.70 Rules Governing Competitive Bidding

a) Whenever any public utility desires to enter into contracts or arrangements pursuant to competitive bidding, the public utility shall prepare specifications, forms of proposals or contracts setting forth clearly, and so far as applicable in each case in detail, a description or descriptions of the matters and things for which bids are requested, including the terms, times and conditions of delivery and payment, the place or places where delivery or performance is to be made, the character, amount and terms of securities offered or sought, and a full description of the supplies or other articles or things required or offered for sale, hypothecation, or purchase, and shall make and attach to the specifications such maps, drawings and illustrations, and state such other substantial facts or conditions, as are or may be necessary to a full understanding of the premises and procedure by bidders. The specifications, drawings and illustrations in each case shall be kept open at the principal office or offices of the public utility in Illinois, or made available on the public utility's website, for full examination, free of charge, by persons desiring to examine those specifications with a view to bidding. Upon request, the public utility shall furnish to any person or persons desiring them, true and correct copies of the specifications, maps, drawings and illustrations. The public utility may make a charge for copies furnished that shall not exceed the reasonable cost of making and forwarding the copies requested. In addition, the public utility shall electronically distribute a notice requesting bids in a manner reasonably designed to achieve broad circulation among prospective bidders, post a notice requesting bids to its website, or publish once a week for two consecutive weeks a notice requesting bids in at least two newspapers of general circulation, the first publication to be at least two weeks immediately preceding the day that bids are to be submitted. One newspaper shall be the official State newspaper and the other newspaper shall be one published or of general circulation in either:

1. the city or town where the principal operating office of the public utility is located; or

2. the city or town where the contract is to be performed.

b) The electronic or published notices shall describe in general the proposed contract or arrangement and the special things or matters for which bids are requested, the date and time at or before which the bids must be submitted, and the person to whom, and the office at which, the bids submitted will be received and opened. The public utility may, in the notice, reserve the right to reject any and all bids and may, at its option, require each bidder to tender a bond in a reasonable sum stated in the notice, with sufficient surety conditioned upon the faithful and prompt performance of the terms of the contract or arrangement.

c) Every bid to receive consideration shall be submitted at the place and by the time specified in the notice for the receipt of bids. The time specified may be any hour from 10:00 a.m. until 3:00 p.m. of any business day and the bids shall be opened after the specified hour and before 6:00 p.m. on the day, at the place, and by the person or persons designated in the notice. Each bidder may attend in person, or by duly authorized representative, at the opening of the bids, and shall be afforded an opportunity to examine each bid. The bids then shall be tabulated and a copy of the tabulation shall be promptly furnished to any bidder or authorized representative upon application. When required by the notice, each bid shall be accompanied by a bond in the amount and upon the conditions specified in the notice. A bond shall be required only in cases in which the notice expressly specifies a bond requirement. Each bid shall be enclosed with accompanying papers in a plain envelope, securely sealed, bearing no indication of the bidder or the amount of the bid; shall be marked "Bid under proposed contract pursuant to notice dated _________"; and shall be addressed to the officer of the public utility designated in the notice to receive the bid. Each bid shall state the name and address of the bidder and, if the bidder is a corporation, the names and addresses of its officers and directors, and of the purchasing or selling officer or agent in that transaction. If the bidder is a firm, partnership or association, the bid shall give the names and addresses of each member and of the general manager and purchasing or selling agent in that transaction.

d) After receiving and opening bids as prescribed in subsection (c), the public utility receiving the bid shall, within 48 hours when the sale of securities is the undertaking, and within 20 days when the bids are for the purchase or sale of supplies, equipment, construction or maintenance work, or other articles or things, accept the most favorable bid considering:

1. the lowest price or prices for the purchase of supplies, equipment, construction or maintenance work, articles or things described in the advertisement, and the highest price or prices offered for any securities or property so described for sale by the public utility; and

2. the ability and reliability of the bidder, financial and otherwise, to deliver the property or to perform the work or transaction or to pay for the securities or property described in the advertisement, giving due consideration to any bond or security accompanying the bid.

e) If so specified in the notice, all bids may be rejected and the public utility may readvertise for bids. The public utility shall notify the successful bidder of the acceptance of its bid and the bidder shall, within 10 days, execute the required contract, and if required by the notice, execution of a good and sufficient bond for the faithful and prompt performance of the contract shall be executed. If the successful bidder neglects or fails to timely execute the contract or bond, the public utility may, within 5 days after the expiration of the 10 day period, award the contract or arrangement to the next most favorable bidder. If neither the most favorable bidder nor the next most favorable bidder executes a contract and qualifies, the public utility shall readvertise for new bids.

f) Each public utility, after having made and executed a contract, shall, within 15 days, file with the Commission a statement of the transaction giving:

1. a copy of the electronic or published notice;

2. the total amount of each bid and the names of all bidders, and:

A) if the bidder is a corporation, the names and addresses of the officers and directors, and of the purchasing or selling officer or agent in that transaction; or

B) if the bidder is a partnership, firm or association, the names and addresses of the members, the general manager, and the purchasing or selling agent in that transaction;

3. the name of the bidder to whom the contract was awarded, together with a copy of the contract; and

4. if any other than the lowest or the highest bid, as the case may be, is accepted as being the most favorable to the utility, the reasons for the acceptance.

g) In the case of each bid, the public utility shall preserve and keep open for examination by the Commission, or any duly authorized representative:

1. a copy of the resolution or order of the board of directors, executive committee or officers of the public utility, specifying the purposes and terms of the contract for which the bids were invited;

2. a copy of the specifications, maps, drawings and illustrations upon which bids were made;

3. copies of the electronic or published notices, giving the dates and times of each distribution, posting or publication;

4. the original bids received, designating the bid accepted and giving a statement of the reasons for accepting the bid;

5. a copy of the contract entered into between the public utility and the accepted bidder, together with a copy of the bond, if any.

h) The files in each transaction shall be securely fastened together and marked "Transaction for competitive bidding, pursuant to notice dated _______" with a sworn statement by the president, a vice president or secretary of the public utility stating that:

1. the files contain true and complete records of all of the negotiations had in connection with the contract; and

2. the files shall not be broken or any part destroyed by the public utility or any officer or agent thereof, without written authorization of the Commission.

i) Nothing in this Section shall excuse or waive the requirement of prior approval and authorization for the issuance of securities under Article VI of the Act.

History

• Source: Amended at 43 Ill. Reg. 11944, effective October 1, 2019

83 Ill. Adm. Code 310.80 Applicability

a) The above and foregoing provisions of this Part shall apply alike to all public utilities under the jurisdiction of the Illinois Commerce Commission subject however, to the power of the Commission, either upon complaint or upon its own motion, to rescind this Part or any provision thereof to any one or more public utilities which shall be found, after a hearing, to be guilty of abusing, either presently or in the past, this Part or guilty of evading compliance with the standards herein set forth. For the purposes of this Part the terms "abusing" and "evading compliance" are used in their broadest sense, and, among other things, include the granting, directly or indirectly, of a preference or advantage which results in unjust discrimination and any contract or arrangement by which an affiliated interest takes undue advantage of a public utility.

b) General Order No. 130, together with the First, Second and Third Supplements to said order are hereby cancelled and rescinded and the provisions of this Part together with 83 Ill. Adm. Code 105 (General Order 175) supersede the rules therein prescribed.

Part 315 Pole Attachment Rates, Terms and Conditions Applicable to Cable Television Companies, Electric Utilities and Telecommunications Carriers

83 Ill. Adm. Code 315.10 Statement of Purpose and Commission Policy

a) The purpose of this Part is to designate a presumptive methodology for computation of annual rental rates to be paid by cable television ("CATV") companies to electric utilities and local exchange telecommunications carriers (collectively "regulated entities") under the jurisdiction of the Illinois Commerce Commission ("Commission") for the use of space on distribution poles for attachment of CATV cables and associated facilities.

b) It is the policy of the Commission that CATV companies and regulated entities should, to the maximum extent possible, endeavor to establish pole attachment rental rates through negotiation and without resort to the processes of the Commission. The presumptive pole attachment rental rate formula is designated herein in order to provide guidance to all parties in such negotiations and to set forth the methodology the Commission intends to follow in exercising its authority under Section 7-102 of the Public Utilities Act ("Act") (Ill. Rev. Stat. 1991, ch. 111⅔, par. 7-102) [220 ILCS 5/7-102] with respect to such controverted cases as are brought before it.

History

• Source: amended at 18 Ill. Reg. 676, effective February 1, 1994

83 Ill. Adm. Code 315.20 Presumptive Pole Attachment Rental Rate Formula

Subject to the provisions of Section 315.30 below, an annual pole attachment rental rate included in a pole attachment agreement between a CATV company and a regulated entity which is presented to the Commission for consent and approval under Section 7-102 of the Act shall be presumed to be just and reasonable if shown to be equal to the rate resulting from the following formula:

Rental Rate

=

(Cost per pole) x (CATV Space) x (Carrying Charge)

(Total Usable Space)

Where:

a) "Cost per Pole" shall be the regulated entity's book investment in all bare distribution poles included in the electric utility Account 364 or telecommunications carrier Account 2411 at the most recent December 31, divided by the equivalent number of distribution poles included in the account at such date. If the book investment for "bare" poles is not ascertainable, then a deduction of 30% shall be made to reflect appurtenances (i.e., crossarms) not used by CATV. This 30% deduction from pole investment may be rebutted by a statistically reliable survey to the contrary.

b) "CATV Space" shall be 1.0 foot, representing an allocation to the CATV company of 1 foot of the useful space for the CATV attachments.

c) "Total Usable Space" shall be 14 feet in accordance with surveys submitted by both CATV and the regulated entities. This 14-feet presumption for usable space may be rebutted by a statistically reliable survey to the contrary.

d) "Carrying Charge" shall include the sum of the following components determined in the following manner:

1. "Maintenance costs carrying charge" shall be the maintenance expense attributed to the maintenance of the poles and associated equipment set forth in the respective electric utility Account 593 or telecommunications carrier Account 6411 as recorded in the books of accounts for the most recently completed calendar year divided by the respective cost of plant recorded in such plant account for the most recently completed calendar year.

2. "Administrative and general costs carrying charge" shall be calculated as the sum of the expenses recorded in the electric utility Accounts 920, 921, 923, 924, 925, 926, 927, 928, 929, 930, 931 and 935 (subtracting the credit in Account 922) or telecommunications carrier Accounts 6110 through 6124, 6510 through 6565, 6610 through 6623 and 6710 through 6790 (excluding depreciation account 6560 through 6566), for the most recent completed calendar year, divided by the investment in electric utility or telecommunications carrier plant in-service (including amounts unclassified and allocated common plant, if any) at the most recently completed calendar year.

3. "Depreciation expense carrying charge" shall be the annual depreciation rate applied to electric utility Account 364 or telecommunications carrier Account 2411, expressed as a decimal, for the most recently completed calendar year.

4. "Taxes other than income taxes carrying charge" shall be calculated using a methodology which reasonably develops the expense for such taxes for the most recently completed calendar year attributable to the ownership of the facilities recorded in electric utility Account 364 or telecommunications carrier Account 2411, divided by the book cost of such plant. Taxes do not include any estimated or anticipated taxes but only those which have accrued.

5. "Return and income taxes carrying charge" shall be determined by the regulated entity by considering the rates of return currently being permitted on depreciated original cost rate bases as allowed by the Commission in the respective utility's most recent rate case. With said rate of return so determined, the return and income tax carrying charge shall be computed as follows:

RIT

=

r

x

DOC

1.0 - f - s + fs

OC

Where:

A) "RIT" is the return and income tax carrying charge;

B) "r" is the rate of return expressed as a decimal;

C) "f" is the effective federal income tax rate as incurred by the regulated entity in the most recently completed calendar year expressed as a decimal;

D) "s" is the effective state income tax rate as incurred by the regulated entity in the most recently completed calendar year, expressed as a decimal;

E) "DOC" is the depreciated original cost of the pole account as of the end of the most recent calendar year; and

F) "OC" is the original cost of the pole account, as of the end of the most recent calendar year.

e) The electric accounts mentioned in this Section are those required to be maintained by 83 Ill. Adm. Code 415. The telecommunications accounts mentioned in this Section are those required to be maintained by 83 Ill. Adm. Code 710.

History

• Source: Amended at 18 Ill. Reg. 676, effective February 1, 1994

83 Ill. Adm. Code 315.30 Procedure

a) Where consent and approval of the Commission to a pole attachment or conduit agreement is required by Section 7-102 of the Act and the parties thereto have agreed to the annual rate specified in such agreement, the regulated entity's petition for consent to and approval of the agreement shall be accompanied by verified statements of concurrence as to the rate, signed by a representative of each party. Such concurrence will be sufficient proof that the rate provided therein is just and reasonable.

b) Where consent and approval of the Commission to a pole attachment agreement is required by Section 7-102 of the Act and the parties thereto have not agreed to an annual pole attachment rental rate, the regulated entity's petition for consent to and approval of the agreement shall be accompanied by an exhibit or exhibits showing that the rate proposed by the utility is equal to the rate resulting from the formula set forth in Section 315.20 or if there is a deviation from the formula, a statement explaining any deviations therefrom. No such exhibit need be filed if a concurrence such as that described above is filed. A rate equal to the rate resulting from the formula set forth in Section 315.20 shall be presumed just and reasonable. The burden of proving such a rate unjust or unreasonable shall be on the party objecting to such rate.

History

• Source: Amended at 18 Ill. Reg. 676, effective February 1, 1994

83 Ill. Adm. Code 315.40 Pole Inspections

After the "post-construction" inspection, further inspection of CATV pole plant, at CATV's cost, is prohibited except when the regulated entity submits to the CATV operator a statistically reliable survey evidencing the fact that the CATV operator has failed to report more than 5% of his attachments or is in noncompliance on 5% or more of the poles to which it is attached. The CATV operator shall be allowed 30 days to rebut said survey. If the surveys are in conflict, the Commission shall decide any dispute on petition of either party. Thereafter, if a survey is conducted, the CATV operator shall be required to pay the cost of same if the survey is borne out (more than 5% failure to report rate is shown or more than 5% non-compliance is found), provided that any non-compliance is not caused by the regulated entity.

History

• Source: Added at 18 Ill. Reg. 676, effective February 1, 1994

83 Ill. Adm. Code 315.50 Make-Ready Work

Detailed itemization for make-ready work shall be provided to each CATV operator with each billing for make-ready work. This itemization shall be provided for each pole. At a minimum, this itemization shall include:

a) dates of work;

b) location of work;

c) labor cost per hour and persons employed; and

d) materials used and cost of materials.

History

• Source: Added at 18 Ill. Reg. 676, effective February 1, 1994

83 Ill. Adm. Code 315.60 Indemnification

CATV operators cannot be required in any pole attachment agreements to indemnify the electric utilities or telecommunications carriers from the negligence of electric utilities or telecommunications carriers.

History

• Source: Added at 18 Ill. Reg. 676, effective February 1, 1994

83 Ill. Adm. Code 315.70 Prospective Application

Contracts concerning the subject matter of this Part approved by the Commission before February 1, 1994 need not be amended to comply with the requirements of this Part.

History

• Source: Added at 18 Ill. Reg. 676, effective February 1, 1994

Chapter I ILLINOIS COMMERCE COMMISSION SUBCHAPTER b: PROVISIONS APPLICABLE TO MORE THAN ONE KIND OF UTILITY

Subchapter b Provisions Applicable to More Than One Kind of Utility

Part 325 Donations by Utilities

83 Ill. Adm. Code 325.10 Scope, Construction and Application of This Part

This Part establishes requirements applicable to public utilities that, pursuant to the Act, seek recovery of the costs of donations as operating expenses through rates or other charges or classifications. The information required by this Part is intended to be supplemental to information required by other provisions of law pertaining to donations by public utilities, including 83 Ill. Adm. Code 280.3070 (Schedule C-7: Charitable Contributions), and the provisions of this Part are not intended to reduce or eliminate those other requirements. The practices and procedures contained in this Part are intended to help ensure that:

a) qualifying donations are ones for which recovery from ratepayers is appropriate under the Act; and

b) the information provided to the Commission for its review of the prudence and reasonableness of the donations is sufficient in quality and detail and is supported by the record of the rate case.

83 Ill. Adm. Code 325.20 Definitions

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

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

"Charitable contribution" means a donation proposed to be an operating expense pursuant to the Act or any applicable order or rule of the Commission, including, without limitation, Section 9-227 of the Act and 83 Ill. Adm. Code 285.3070 (Schedule C-7: Charitable Contributions).

"Commission" means the Illinois Commerce Commission.

"Donation" means a contribution made by a public utility to an organization or entity that purports to be engaged in promoting the public welfare or in supporting charitable, scientific, religious or educational purposes, including, without limitation, charitable contributions.

"Public utility" or "utility" has the meaning ascribed to "public utility" in Section 3-105 of the Act.

"Rate case" means any rate proceeding filed under Article IX (Rates) or Article XVI (Electric Service Customer Choice and Rate Relief Law of 1997) of the Act, or filed in connection with any other applicable recovery mechanism, including riders.

83 Ill. Adm. Code 325.30 Supplemental Information to Be Provided Regarding Charitable Contributions

a) To assist the Commission in evaluating the prudence and reasonableness of any charitable contribution, for all charitable contributions to a single entity or organization that total $1,000 or more in the reporting year for which a utility is seeking recovery from ratepayers in a rate case, the utility must provide both the information required by 83 Ill. Adm. Code 285.3070 and the following supplemental information, provided that, if charitable contributions subject to this Section include amounts that the utility contributed under a program in which it matches employee contributions, the utility may report the matching contributions as a single aggregate amount separately for each recipient of matching funds:

1. Account number/description used to record each charitable contribution;

2. Date and amount of each charitable contribution;

3. Brief description of why the donation is reasonable in amount;

4. Name of the entity or organization receiving the charitable contribution;

5. Publicly stated mission of, or a link through which the stated mission may be publicly accessed, and the physical address of, the entity or organization receiving the charitable contribution;

6. Indication of whether the entity or organization receiving each charitable contribution is a tax-exempt organization under State or federal law. Notwithstanding this informational requirement, the fact that an entity or organization is or is not tax exempt does not create an inference that a contribution to the entity or organization is per se reasonable or unreasonable;

7. Description of the purpose of each charitable contribution, including:

A) whether it is for the public welfare or for charitable scientific, religious or educational purposes; and

B) whether the donee provides services within the public utility's service territory or within the State of Illinois;

8. Amount of the charitable contribution, if any, allocated to other utility operations (e.g., gas and electric, or water and sewer) or jurisdiction (e.g., Illinois and Iowa), along with the identification of the other utility operation or jurisdiction; and

9. Basis of any allocation to other utility operations and jurisdictions, if applicable.

b) The workpapers supporting subsection (a) (see 83 Ill. Adm. Code 285.410) shall include the following:

1. Procedures used by a utility providing multiple utility services (e.g., gas and electric, or water and sewer) or serving multiple jurisdictions (e.g., Illinois and Iowa) to allocate any charitable contribution to each utility service provided or jurisdiction served; and

2. Sworn statements required by Section 325.60, if applicable.

83 Ill. Adm. Code 325.40 Information to Be Made Available Regarding Charitable Contributions

In any rate case proceeding involving a charitable contribution, the utility seeking recovery shall make the following materials available electronically to Commission Staff upon request:

a) Written confirmation, which may be in the form of a receipt or a letter or other written communication, from the entity or organization receiving the charitable contribution showing the name of the entity or organization that received the charitable contribution, the name of the utility that made the charitable contribution, the date the charitable contribution was made, and the amount of the charitable contribution;

b) For all donations to a single organization or entity that are less than $1,000 for the reporting year for which a utility is seeking recovery from ratepayers in a rate case, a spreadsheet that identifies the date, donee charity, purpose and amount of each contribution, provided that, if charitable contributions subject to this subsection include amounts that the utility contributed under a matching program under which it matches employee contributions, then the utility may report the matching contributions as a single aggregate amount separately for each recipient of matching funds, and the confirmation and letter prescribed in subsection (a) may not be available; and

c) For individual donations that are $10,000 or more for the reporting year for which a utility is seeking recovery from ratepayers in a rate case, written confirmation from the recipient entity or organization stating the intended purpose of the funds received.

83 Ill. Adm. Code 325.50 Future Test Year Rate Filings

If a utility uses a future test year in a rate case, the utility shall provide the information required by Section 325.30 for each of the three consecutive calendar years immediately preceding the test year for which actual data are available, provided, however, that for those past calendar years this Section shall not be construed as imposing additional information requirements that did not exist prior to the effective date of this Part.

83 Ill. Adm. Code 325.60 Disclosures Regarding Donations or Charitable Contributions Made to Energy Low-Income and Support Programs Under Section 16-108.5(b-10)

For any donation by a participating utility to the energy low-income and support programs required by Section 16-108.5(b-10) of the Act, the participating utility shall, in its formula rate filings under Section 16-108.5 of the Act, provide to Commission Staff a sworn statement that none of the donations made in compliance with the requirements of Section 16-108.5(b-10) are included in the request for rate recovery.

Chapter I Illinois Commerce Commission

Subchapter b Provisions Applicable to More Than One Kind of Utility

Part 330 Determination of Temporary Rate Increases

83 Ill. Adm. Code 330.10 Definitions

"Permanent rates" are established by the Commission at the conclusion of a rate case conducted under Section 9-201 of The Public Utilities Act ("Act") (Ill. Rev. Stat. 1985, ch. 111⅔, par. 9-201).

"Temporary rates" are established by the Commission after hearing for an interim time period to be in effect until permanent rates are approved and in effect, pursuant to Section 9-202(b) of the Act (Ill. Rev. Stat. 1985, ch. 111⅔, par. 9-202(b)).

83 Ill. Adm. Code 330.20 Applicability

This Part applies to every public utility, as defined in Section 3-105 of the Act (Ill. Rev. Stat. 1985, ch. 111⅔, par. 3-105), under the jurisdiction of the Commission, and every telecommunications carrier subject to Article IX of the Act (Ill. Rev. Stat. 1985, ch. 111⅔, pars. 9-101 through 9-252).

83 Ill. Adm. Code 330.30 Necessary Conditions for a Temporary Rate Increase

a) Any utility requesting a temporary rate increase must file a motion, testimony and exhibits supporting the request for a temporary rate increase, including the information required by Section 330.40, within 90 days after the utility files its rates, testimony, exhibits, and information required by 83 Ill. Adm. Code 285 supporting the request for a permanent rate increase.

b) The utility will bear the burden of proof regarding the need for a temporary rate increase. The utility must demonstrate that at least one of the following has occurred or will occur prior to the time that permanent rates are expected to be approved or in effect:

1. a loss of revenues or an increase in expenses caused by factors outside the control of the utility which has resulted in or will result in an inability to render service in compliance with the standards of service prescribed for the particular utility (Telephone – 83 Ill. Adm. Code 730, Electric – 83 Ill. Adm. Code 410, Gas – 83 Ill. Adm. Code 500, Water – 83 Ill. Adm. Code 600); or

2. an inability to raise needed capital at a reasonable cost;

c) The Commission shall not grant a temporary rate increase unless the Commission has reason to believe that the evidence supporting the temporary rate increase would support a permanent rate increase, and that the utility would be entitled to a permanent rate increase at the time permanent rates will be established. The Commission must issue an interim order addressing any requested temporary rate increase, either denying, granting in full, or granting in part the requested temporary rates increase.

83 Ill. Adm. Code 330.40 Filing Requirements

a) Any utility requesting a temporary rate increase pursuant to Section 9-202(b) of the Act must satisfy the filing requirements specified in this Section in addition to the testimony, exhibits, and information required by 83 Ill. Adm. Code 285, supporting the request for a permanent increase. Within 14 days after the date the utility files the information set forth in Section 330.40(c) and (d), the Manager of the Hearing Examiners Division or his appointed representative (Hearing Examiner) shall provide the utility a list in writing of any deficiencies in the filing and provide the utility 14 days from receipt of the notice to file the additional information. Failure to satisfy the filing requirements shall serve as cause for the Commission to reject the request for the temporary rate increase.

b) Utilities classified as "Large utilities" or "Medium utilities" under 83 Ill. Adm. Code 285.120(a) must provide the information specified in subsections (c), (d), (e), (f), (g), (h), and (i). All other utilities must provide the information specified in subsections (f), (g), (h), and (i).

c) A utility requesting a temporary rate increase must provide the following financial information, where applicable, on a historic basis for the two years preceding the current calendar year and on a projected basis, assuming both the granting and denial of the requested temporary rate increase, for the current calendar year and the calendar year immediately following the current calendar year:

1. Gross cash flow (expressed both as a dollar figure and as a percentage of permanent capital);

2. Expenditures on rate base items (expressed both as a dollar figure and as a percentage of net plant);

3. External financing requirements (expressed as a dollar figure by types of financing);

4. Earnings available for common equity (expressed both as a dollar figure and as a percentage of average common equity);

5. Capital structure ratios (expressed both as a dollar figure and as a percentage of total capitalization);

6. Common Dividends;

7. Pre-tax interest coverage ratio including allowance for funds used during construction ("AFUDC") or interest during construction ("IDC");

8. Pre-tax interest coverage ratio excluding AFUDC or IDC;

9. Post-tax interest coverage ratio including AFUDC or IDC;

10. Post-tax interest coverage ratio excluding AFUDC or IDC;

11. AFUDC or IDC;

12. Net cash flow (expressed both as a dollar figure and as a percentage of permanent capital);

13. Number of common shares outstanding;

14. The embedded cost of long term debt, i.e., debt having an initial maturity period greater than one year (expressed as a percentage of total long term debt outstanding);

15. The embedded cost of preferred stock (expressed as a percentage of total preferred stock outstanding);

16. The cost of short-term debt, i.e., debt having an initial maturity of one year or less (expressed as a percentage of total short-term debt outstanding; and

17. Revenues obtained from Illinois jurisdictional operations.

d) The utility shall provide the following financial information on a projected basis, assuming both the granting and denial of the requested temporary rate increase, for the current calendar year and the year immediately following the current calendar year:

1. sources and uses of funds statements or statements of cash flow;

2. balance sheets; and

3. income statements.

e) The utility shall provide supporting workpapers for all information specified in subsections (c) and (d) above.

f) The utility must explain why the requested temporary rate increase is necessary because of:

1. a loss of revenues or an increase in expenses caused by factors outside the control of the utility which has resulted or will result in an inability to render service in compliance with the standards of service prescribed for the particular utility; or

2. an inability to raise needed capital at a reasonable cost.

g) If the utility claims an inability to raise needed capital at a reasonable cost, it must demonstrate such an inability. In determining what cost is reasonable the Commission will consider general interest rate levels in the economy, interest rates available to public utilities in general, and the impact of raising necessary capital on the utility's embedded cost of long-term debt, cost of short-term debt, embedded cost of preferred stock, cost of common equity, capital structure ratios, and interest coverage ratios.

h) If the utility claims a loss of revenues or an increase in expenses caused by factors outside the control of the utility which results in an inability to render service in compliance with the standards of service prescribed for the particular utility, the utility must specify the factors that caused the loss of revenues or the increase in expenses and demonstrate that such factors are outside its control. The utility must also demonstrate how the loss of revenues or increase in expenses has or will lead to an inability to render service complying with the applicable standards. In addition, the utility must state the nature of the inability and the cost of remedial action, and provide documentation which would include the evaluation of alternative solutions.

i) The utility must specify any indenture requirements that may be violated if the temporary rate increase is not granted, as well as any possibilities of impairment of the ability to pay preferred and/or common dividends.

83 Ill. Adm. Code 330.45 Standard for Decision in Granting a Temporary Rate Increase

The Commission shall grant a temporary rate increase if the Commission determines that the utility has met the requirements of Section 330.30 and if the Commission deems it to be in the public interest.

83 Ill. Adm. Code 330.50 Refunds

a) All temporary rate increases granted will be subject to refund, pending the order issued in the permanent rate case. If the temporary rate increase granted exceeds the permanent rate increase granted, the difference will be refunded. The Commission shall also review the propriety of its prior award of interim relief based upon the criteria used by the Commission in granting the interim rate relief. (Section 9-202(b) of the Act). Each utility receiving a temporary rate increase shall maintain books and records in a manner such that the revenue recovered through temporary rate increased can be identified. identified. The amount of the refund shall be computed and revenues shall be recorded by telecommunications carriers in Account 165, by gas and electric utilities in Account 242, and by water and sewer utilities in Account 241. Said books and records, including billing records during the temporary rate increase period, shall be maintained by the utility until all appeals to the Commission order addressing permanent relief are completed or the appeal deadline passes with no appeals being filed.

b) Any refund shall include interest at the rate set forth pursuant to 83 Ill. Adm. Code 280.70(e)(1) for the applicable time period.

Part 335 Confidential Contracts

83 Ill. Adm. Code 335.10 Filing of Confidential Contracts

a) Any public utility that files a contract pursuant to a rate schedule that has been approved by the Illinois Commerce Commission ("Commission") and that enables the public utility to provide service to customers under contracts that, pursuant to Section 9-102.1(a) of the Public Utilities Act ("Act") [220 ILCS 5/9-102.1(a)], are treated as proprietary and confidential by the Commission ("contract") shall file two copies of the contract with the Chief Clerk of the Commission in the Springfield office of the Commission.

b) Any public utility that files a contract under subsection (a) of this Section shall also send written notice of such filing to any entity listed as an authorized agency in Section 335.100, and shall include proof of such notice in the filing with the Commission. The notice shall include the name of the public utility, the date of filing the contract with the Commission and sufficient information to identify the contract. However, the notice need not contain the name of the customer.

83 Ill. Adm. Code 335.100 Access to Confidential Contracts

The Attorney General of the State of Illinois, the Citizens Utility Board (see 220 ILCS 10), and the Office of Public Counsel (see 220 ILCS 5/11-201) are authorized agencies ("authorized agency") by Section 9-102.1(d) of the Act and have access to those contracts for the provision of utility services filed by public utilities on a confidential or proprietary basis pursuant to Section 9-102.1(a) of the Act.

83 Ill. Adm. Code 335.110 Form of Access

a) Except as provided in subsections (b) and (c) of this Section, access to contracts filed pursuant to Section 9-102.1(a) of the Act shall be limited to inspection of the contracts in the offices of the Commission in Chicago or Springfield, provided that the employee or agent of the authorized agency has on file with the Commission a confidentiality agreement as provided in subsections (d) and (e) of this Section. During the inspection, no copies may be made of any contract filed under Section 9-102.1(a) of the Act.

b) An authorized agency, subject to providing a confidentiality agreement as provided in subsection (d) of this Section, shall be permitted to receive from the public utility one copy of the contract filed pursuant to Section 9-102.1(a) of the Act for review. This copy may be redacted to exclude the name, address and the service address(es) of the customer. The contract shall be provided to the authorized agency within five business days after the later of the effective date of the confidentiality agreement or the request of the authorized agency for such access. In addition, upon the request of the authorized agency, the public utility shall provide the redacted information to the authorized agency within five days after the request. This information shall be included as information obtained pursuant to the terms of the confidentiality agreement. The authorized agency shall be permitted to retain the contract as provided in Section 335.120. During any period of time while the contract is in the possession of the authorized agency, the contract shall be kept and maintained in accordance with the security procedures specified in Section 335.130. The authorized agency shall permit review of the contract in its possession only by individuals qualified to review such contracts in accordance with subsections (d) and (e) of this Section.

c) An individual employed by the authorized agency either on an independent or part-time basis ("independent contractor") qualified in accordance with the provisions of subsection (e) of this Section shall be permitted to receive from the authorized agency the authorized agency's copy of the contract filed pursuant to Section 9-102.1(a) of the Act for review at the independent contractor's premises. The contract provided for such review may be redacted to exclude the name, address and the service address(es) of the customer, and to the extent that the redacted information has been made available to the authorized agency pursuant to subsection (b) above, such information may be shared with the independent contractor, provided that the information remains protected under the confidentiality agreement. The independent contractor shall be permitted to retain the contract as provided in Section 335.120. During any period of time the contract is in the possession of the independent contractor, the contract shall be maintained in accordance with the security procedures specified in Section 335.130. The independent contractor shall permit review of the contract in its possession only by individuals qualified to review such contracts in accordance with subsections (d) and (e) of this Section.

d) A full-time employee of an authorized agency who is seeking access to any contract filed pursuant to Section 9-102.1(a) of the Act shall present to the public utility, for filing with the Chief Clerk of the Commission, a signed confidentiality agreement, as set forth in Appendix A, indicating that he/she is a full-time employee of the authorized agency and setting forth the employee's and authorized agency's agreement to maintain the confidential nature of the contract. Such confidentiality agreement shall extend to all information contained in the contract and any information redacted from the contract and subsequently provided by the public utility and shall limit the use of the contract or any included information for purposes of review for compliance with the Act. The form shall be signed by all the full-time employees who are to have access to the contract and shall also be signed by the executive director of the Citizens Utility Board, the Attorney General or his/her designee, or the Public Counsel or his/her designee, as appropriate.

e) In those instances in which the person who is seeking access to contracts is an independent contractor retained or employed by the authorized agency, the independent contractor shall present to the public utility, for filing with the Chief Clerk of the Commission, a signed confidentiality agreement, as set forth in Appendix B, indicating that he/she is an independent contractor employed or retained by the authorized agency and setting forth the independent contractor's agreement to maintain the confidential nature of the contract. Where the authorized agency's copy of the contract is to be provided to the independent contractor for use at his/her premises, the authorized agency shall provide notice of such action to the public utility. In addition to the requirements set forth in subsection (c), the confidentiality agreement shall require the independent contractor to certify that the independent contractor is not, and will not for a period of one year after the date the independent contractor's right to access to the contracts under the confidentiality agreement terminates, provide consulting or other services to a competitor of the public utility or to a customer of the public utility relating to negotiations for a contract for rates for utility services or that are otherwise related in subject matter or scope to the material issues in the contract for which access is sought. An officer of the public utility that filed the contract must sign the confidentiality agreement indicating the public utility's acquiescence to the independent contractor's access to the contract prior to such access being granted. The public utility shall have 10 business days to respond to the independent contractor's request for access to the contract.

f) Nothing in this Part shall preclude the public utility from seeking appropriate legal redress, including all costs, losses or damages, including attorneys fees, resulting directly or indirectly from disclosure or use of the terms of a contract filed under Section 9-102.1(a) of the Act or information related to such a contract, the disclosure or use of which is in violation of the terms of an agreement executed pursuant to this Section.

83 Ill. Adm. Code 335.120 Scope and Duration of Access

a) An agreement authorizing access to a contract subject to this Part shall be effective for only that contract. The access so granted shall be valid for the earliest of:

1. one year from the effective date of any such agreement; or

2. the date on which the employment or consulting contract with the authorized agency of the person so granted access is terminated; or

3. the date on which the public utility terminates the access of the person for cause in accordance with Section 335.140.

b) The confidentiality requirements stated in an agreement authorizing access to the contract subject to this Part shall permanently remain in effect unless, until, and to the extent that, the information contained in the contract becomes part of the public domain otherwise than through a breach of the confidentiality agreement by a party authorized to have access to the contract pursuant to this Part.

c) Subject to the effectiveness of a valid confidentiality agreement and compliance with the provisions of this Part, the authorized agency shall be permitted to retain the contract for a period of 90 days from the date on which the public utility provides the contract to the authorized agency ("retention period"). The authorized agency may request and obtain one extension for an additional 90 day period by notifying the public utility and requesting the extension, subject to a valid confidentiality agreement and the other provisions of this Part. At the termination of the retention period and any extension, the contract shall be returned to the public utility that provided the contract.

d) After the retention period and any extension, an authorized agency shall, upon request, be granted one additional 90 day period to have the contract at its premises, at any time during the duration of the contract, subject to a valid confidentiality agreement and subject to all the restrictions as set forth in this Part.

e) Access to the contract subject to this Part shall be permitted at any time during the term of the contract in the offices of the Commission in Chicago and Springfield, subject to a valid confidentiality agreement and all the provisions of this Part.

83 Ill. Adm. Code 335.130 Security for Contracts

All copies of the contracts provided to authorized agencies pursuant to this Part shall be marked by the public utility in such manner to identify the copies as copies provided to that agency and shall be maintained at all times, while in the possession of the authorized agency or an independent contractor retained by an authorized agency, in a locked or secured location and not available to anyone other than those individuals who have signed the confidentiality agreements. The authorized agency, part-time employee, or independent contractor shall not duplicate or reproduce in any manner the contract provided under this Part.

83 Ill. Adm. Code 335.140 Enforcement

a) In those instances in which the contract provided pursuant to Section 335.110 is duplicated or the information contained in the contract is used in violation of the terms of the confidentiality agreement, the authorized agency responsible for maintaining the confidential nature of the contract shall lose its privileges to have the copies provided at its office, pursuant to Section 335.110(b) and (c), for a period of one year. The authorized agency would then only be able to view such contracts in the offices of the Commission during that one year interim period as provided in Section 335.110(a). If the public utility has a reasonable belief that the contract, provided pursuant to Section 335.110 to an authorized agency, was duplicated or the information contained in the contract was used in violation of the terms of the agreement, the public utility shall give notice to the authorized agency and the Commission of the circumstances and the public utility may discontinue providing copies of further contracts to such authorized agency for one year or until the authorized agency shows to the satisfaction of the public utility or the Commission that the authorized agency was at all times relevant in full compliance with the terms and conditions of the confidentiality agreement and this Part.

b) The unauthorized copying of the contract or the unauthorized disclosure by an independent contractor of the information contained in the contract filed pursuant to Section 9-102.1(a) of the Act shall be good cause for a public utility to find such person unacceptable for access to future contracts subject to provisions of Section 335.150.

c) The unauthorized copying of the contract or the unauthorized disclosure by the independent contractor of the information contained in the contract filed pursuant to Section 9-102.1(a) of the Act shall constitute good cause for the public utility to terminate access to the contract currently in the possession of such independent contractor.

83 Ill. Adm. Code 335.150 Contested Access

Should the public utility refuse to acquiesce to the independent contractor's request for access to the contract, the authorized agency may file a petition under the Commission's Rules of Practice (83 Ill. Adm. Code 200) seeking a finding by the Commission pursuant to Section 9-102(d)(ii) of the Act that the independent contractor is acceptable to have access to the contract pursuant to this Part. The petition shall name the public utility as the respondent.

83 Ill. Adm. Code 335.APPENDIX A Agreement for Full-Time Employees of Authorized Agencies

AGREEMENTS UNDER SECTION 9-102.1 OF THE PUBLIC UTILITIES ACT

ACCESS FOR FULL-TIME EMPLOYEES OF THE ATTORNEY GENERAL OF

THE STATE OF ILLINOIS, THE CITIZENS UTILITY BOARD AND

THE OFFICE OF PUBLIC COUNSEL

Section 1 (must be completed)

1. The undersigned are full-time employee(s) of the [Citizens Utility Board] [Office of the Attorney General] [Office of Public Counsel] (the authorized agency) and enter into this confidentiality agreement in connection with access to a certain contract identified as ___________ (contract) which (utility), an Illinois public utility, has filed with the Illinois Commerce Commission on a confidential basis pursuant to Section 9-102.1 of the Public Utilities Act. The effective date of this agreement is ______________. The undersigned agrees not to copy, duplicate, or reproduce in any manner the contract and not to use the information contained in the contract for purposes other than reviewing it for compliance with the Public Utilities Act [220 ILCS 5]. The undersigned also agrees to keep the contract and all information contained therein, and any information redacted in accordance with 83 Ill. Adm. Code 335.110(b) or (c) confidential, and not to divulge the terms of the contract or any confidential information coming to my knowledge from the contract to any person other than a person authorized to receive access to such confidential contract pursuant to Section 9-102.1 of the Public Utilities Act who has executed a confidentiality agreement pursuant to 83 Ill. Adm. Code 335 (Part 335) with respect to the contract. The undersigned agrees that he/she/they have reviewed and understand and will comply fully with the provisions of Part 335.

2. If the authorized agency receives a copy of the contract for review in accordance with 83 Ill. Adm. Code 335.110(b), the undersigned agrees that, at the earlier of the end of the retention period (as defined in 83 Ill. Adm. Code 335.120(c)) or such extended or additional period as is permitted under 83 Ill. Adm. Code 335.120(c) or (d); or the date that the undersigned's right of access to the contract terminates in accordance with Paragraph 3 below, the authorized agency shall return the contract to the utility.

3. The confidentiality requirements stated in this agreement shall remain permanently in effect unless, until, and to the extent that the information contained in the contract becomes part of the public domain otherwise than through the breach of a confidentiality agreement by a party authorized to have access to the contract pursuant to Part 335. Access to the contract shall be permitted by this agreement until the earliest of (i) one year from the effective date; (ii) the date on which the full-time employment of the undersigned with the authorized agency is terminated; or (iii) (with respect to access to a copy for review at the office of the authorized agency pursuant to 83 Ill. Adm. Code 335.110(b) only) the date on which access terminates in accordance with 83 Ill. Adm. Code 335.140.

Full Time Employees:

Signature:

Name & Title:

Date

Section 2 (must be completed)

I, __________________, the [Executive Director of the Citizens Utility Board] [Attorney General or his/her designee] [Public Counsel or his/her designee], hereby certify that the person(s) named above is (are) a full-time employee(s) of the authorized agency. The authorized agency agrees not to copy or duplicate the contract and not to use the information contained in the contract for purposes other than for reviewing it for compliance with the Public Utilities Act [220 ILCS 5]. The authorized agency also agrees to keep this agreement, the contract and all information contained therein, and any information redacted in accordance with 83 Ill. Adm. Code 335.110(b) or (c), confidential, and not to divulge the terms of the contract or any confidential information which is the subject of this agreement to any person other than a person authorized to receive access to such confidential contracts pursuant to Section 9-102.1 of the Public Utilities Act who has executed a confidentiality agreement pursuant to Part 335 with respect to the contract.

Dated:

Signature

Title

Section 3 (must be completed)

I, ________________________________ an officer of___________________________, an Illinois public utility, agree that the foregoing terms are consistent with the provisions of 83 Ill. Adm. Code 335, and thus forward this agreement to the Chief Clerk of the Illinois Commerce Commission in accordance with 83 Ill. Adm. Code 335.110(d).

Dated:

Signature

Title

83 Ill. Adm. Code 335.APPENDIX B Agreement for Part-Time Employees or Independent Contractors of Authorized Agencies

ACCESS FOR PART-TIME EMPLOYEES OR INDEPENDENT CONTRACTORS

RETAINED BY THE ATTORNEY GENERAL OF THE STATE OF ILLINOIS,

THE CITIZENS UTILITY BOARD OR THE OFFICE OF PUBLIC COUNSEL

Section 1 (must be completed)

1. I, _______________________, enter into this agreement for the purpose of receiving access to a certain contract identified as _____________________ (contract) which (utility), an Illinois public utility, has filed with the Illinois Commerce Commission on a confidential basis pursuant to Section 9-102.1 of the Public Utilities Act. The effective date of this agreement (effective date) is ____________________. I am a part-time employee of or independent contractor (independent contractor) employed/retained by the [Citizens Utility Board] [Office of the Attorney General] [Office of Public Counsel] (the authorized agency), and I hereby agree not to copy or duplicate the contract and not to use the information contained in the contract for purposes other than for reviewing it for compliance with the Public Utilities Act [220 ILCS 5]. I agree to keep the contract and all information contained therein, and any information redacted in accordance with 83 Ill. Adm. Code 335.110(b) or (c), confidential; and not to divulge the terms of the contract or any information coming to my knowledge from the contract to any person other than a person authorized to have access to the contract pursuant to Section 9-102.1 of the Public Utilities Act who has executed a confidentiality agreement pursuant to 83 Ill. Adm. Code 335 with respect to the contract.

2. I certify that I am not currently providing and will not provide, for a period of one year from the date that my right of access to the contract under this agreement terminates, consulting or other services to a competitor of the utility or a customer of the utility which consulting or other services relate to negotiations for a contract for rates for utility service or otherwise relate in subject matter or scope to material terms of the contract.

3. I understand that, if I breach this confidentiality agreement, the utility may bring a legal action seeking recovery of all costs, losses or damage, including attorneys' fees, resulting directly or indirectly from disclosure or use of any information contained in the contract in violation of this agreement.

4. Access to the contract shall be permitted by this agreement until the earliest of: (i) one year from the effective date; (ii) the date on which my employment or consulting contract with the authorized agency is terminated; or (iii) the date on which the utility terminates my right of access to the contract for cause in accordance with 83 Ill. Adm. Code 335.140.

5. The confidentiality requirements stated in this agreement shall remain permanently in effect unless, until and to the extent that information contained in the contract becomes part of the public domain otherwise than through the breach of a confidentiality agreement by a party authorized to have access to the contract pursuant to 83 Ill. Adm. Code 335 (Part 335).

6. If I receive the authorized agency's copy of the contract for review at my premises in accordance with 83 Ill. Adm. Code 335.110(c), I agree to maintain the contract in a locked or secured location and to ensure that the contract is not made available to anyone other than individuals who are authorized by the provisions of Part 335 to review the contract and who have executed a confidentiality agreement pursuant to Part 335 with respect to the contract. I agree not to duplicate or reproduce the contract in any manner. I further agree that, at the earlier of the end of the retention period (as defined in 83 Ill. Adm. Code 335.120(c)) or such extended or additional period as is permitted under 83 Ill. Adm. Code 335.120(c) or (d); or the date that my right of access to the contract terminates in accordance with Paragraph 4 above, I will return the contract to the authorized agency for return to the public utility.

7. I acknowledge that I have reviewed the provisions of Part 335 and that I understand and will fully comply with those provisions.

8. The utility may make a reasonable inquiry into the facts required to establish that I have implemented and enforced reasonable procedures to ensure that the terms and conditions of this agreement are fully complied with and I agree to furnish the utility with the information that is reasonably necessary to conduct such an inquiry. If, as a result of such inquiry, the utility has reason to believe that I am failing to comply with this agreement, the utility may take such action as it determines is necessary to protect its interests, including, but not limited to, terminating this agreement and directing the return of all contracts provided pursuant to this agreement.

Dated:

Signature

Title

Section 2 (must be completed)

I, ___________________________________, the/a [Executive Director of the Citizens Utility Board] [Attorney General or his/her designee] [Public Counsel or his/her designee], hereby certify that the person whose signature appears above is a part-time employee of or an independent contractor employed/retained by the authorized agency. The authorized agency agrees not to copy or duplicate the contract and not to use the information contained in the contract for purposes other than for reviewing it for compliance with the Public Utilities Act [220 ILCS 5]. The authorized agency also agrees to keep this agreement, the contract and all information contained therein, and any information redacted in accordance with 83 Ill. Adm. Code 335.110(b) or (c), confidential, and not to divulge the terms of the contract or any confidential information which is the subject of this agreement to any person other than a person authorized to receive access to such confidential contracts pursuant to Section 9-102.1 of the Public Utilities Act who has executed a confidentiality agreement pursuant to 83 Ill. Adm. Code 335 with respect to the contract.

Dated:

Signature

Title

Section 3 (must be completed)

I, , an officer of_, an Illinois public utility, state that the person whose name appears in Section 1 is acceptable for purposes of being given access to the contract pursuant to the terms of this agreement, and that this agreement should be filed with the Chief Clerk of the Illinois Commerce Commission in accordance with 83 Ill. Adm. Code 335.110(d).

Dated:

Signature

Title

Subchapter B Provisions Applicable to More Than One Kind of Utility

Part 340 Money Pool Agreements

83 Ill. Adm. Code 340.10 Applicability

a) This Part shall apply to public utilities as defined in Section 3-105 of the Public Utilities Act (Act) [220 ILCS 5/3-105], incumbent local exchange carriers that provide noncompetitive services as defined in Section 13-202.5 of the Act [220 ILCS 5/13-202.5], and electing providers as defined in Section 13-506.2 of the Act [220 ILCS 5/13-506.2], but shall exclude local exchange telecommunications carriers with no more than 35,000 subscriber access lines pursuant to Section 13-504(d) of the Act [220 ILCS 5/13-504(d)] that are not electing providers as defined in Section 13-506.2 of the Act.

b) This Part shall apply to any agreement that provides a mechanism for borrowing or lending monies among affiliates, except:

1. Routine bank transactions as defined in 83 Ill. Adm. Code 105.10;

2. Cash management and treasury services whereby funds are not transferred, loaned or advanced; and

3. Loans between affiliates and utilities that have original terms to maturity greater than one year.

c) All affiliated interest agreements that are subject to the requirements of this Part must be filed with the Illinois Commerce Commission (Commission) for approval pursuant to Section 7-101 or 7-102 of the Act [220 ILCS 5/7-101 or 7-102]. This Part shall not limit the Commission from imposing conditions on its approval of a money pool agreement as it may deem necessary to safeguard the public interest. These conditions include, but are not limited to, imposing higher eligibility requirements for affiliates to borrow from utilities, further restricting the amount of utility funds available for lending, or requiring repayment of utility funds under specific circumstances.

History

• Source: Amended at 36 Ill. Reg. 3884, effective March 1, 2012

83 Ill. Adm. Code 340.20 Definitions

"Affiliate" has the same meaning as the phrase affiliated interests as defined in Section 7-101(2)(ii) [220 ILCS 5/7-101(2)(ii)].

"Cash management" means aggregating customer receipts and paying all vendors and other operating requirements.

"Credit rating agency" means Standard & Poor's or its successor, Moody's Investors Service or its successor, or Fitch Ratings or its successor.

"Financial Institution" means a bank, savings and loan, savings bank, credit union, insurance company, or other institution that collects funds from the public to place in financial assets such as stocks, bonds, money market instruments, bank deposits or loans.

"High-grade credit issuer" means a company that has the following credit ratings from at least two of the following three major credit rating agencies and a higher, equivalent or no credit rating from the third credit rating agency: A- or above by Standard & Poor's or its successor; A3 or above by Moody's Investors Service or its successor; or A- or above by Fitch Ratings or its successor.

"High-grade committed credit facility" means credit lines that permit the person to draw funds from financial institutions that are high-grade credit issuers.

"Issuance costs" means any interest, premiums, discounts, commissions, or fees paid in connection with any loans to a party to the money pool agreement.

"Large utility" means a utility that has $50,000,000 or more in total capitalization as reported in the annual report the utility files with the Chief Clerk of the Commission.

"Medium-grade credit issuer" means a company that has the following issuer credit ratings from at least two of the following three major credit rating agencies and a higher, equivalent or no credit rating from the third credit rating agency: BBB or above by Standard & Poor's or its successor; Baa2 or above by Moody's Investors Service or its successor; or BBB or above by Fitch Ratings or its successor.

"Medium-term note" means a note with a maturity of greater than one but no more than ten years.

"Money pool agreement" means any agreement that provides a mechanism for borrowing or lending monies among affiliates repayable on demand or for original terms to maturity of 365 days or less, but excluding routine bank transactions as defined in 83 Ill. Adm. Code 105.10.

"Parent company" means every company owning or holding, directly or indirectly, 10% or more of the voting capital stock of a utility or every company in any chain of successive ownership of 10% or more of voting capital stock.

"Service company" means a mutual or subsidiary service company approved by the Securities and Exchange Commission pursuant to 17 CFR 250.88 or a company providing services to utilities pursuant to an agreement that has been approved by the Commission under Section 7-101 or 7-102 of the Act.

"Short-term" means one year or less.

"Small utility" means a utility that has less than $50,000,000 in total capitalization as reported in the annual report the utility files with the Chief Clerk of the Commission.

"Surplus funds" means funds that are not needed for the immediate short-term cash requirements of the utility.

"Total capitalization" means the sum of short-term debt, long-term debt, preferred stock and common equity for the entire company.

"Utility" means public utilities as defined in Section 3-105 of the Act, incumbent local exchange carriers that provide noncompetitive services as defined in Section 13-202.5 of the Act, and electing providers as defined in Section 13-506.2 of the Act, but excluding local exchange telecommunications carriers with no more than 35,000 subscriber access lines pursuant to Section 13-504(d) of the Act that are not electing providers as defined in Section 13-506.2 of the Act.

History

• Source: Amended at 36 Ill. Reg. 3884, effective March 1, 2012

83 Ill. Adm. Code 340.30 Minimum Requirements for Short-Term Loans from Affiliates to Utilities

Incumbent local exchange carriers shall not be subject to the requirements of this Section pursuant to Section 13-601 of the Act [220 ILCS 5/13-601]. Electing providers shall not be subject to the requirements of this Section pursuant to Section 13-506.2(j) of the Act. Utilities may borrow funds on a day-to-day basis from affiliates subject to the following restrictions:

a) The money pool agreement shall set forth a form of promissory note to be used for loans to the utility or shall itself set out the terms of the loans. All short-term loans may be prepaid by the utility without premium or penalty.

b) No utility shall borrow through or from an affiliate if the utility determines that it can borrow at lower cost directly from banks or other financial institutions or through the sale of its own commercial paper.

c) Interest. The interest rate on borrowings made by the utility from the affiliate shall not exceed the affiliate’s actual interest cost, including issuance costs, for the funds obtained or used to provide the funds borrowed by the utility.

History

• Source: Amended at 36 Ill. Reg. 3884, effective March 1, 2012

83 Ill. Adm. Code 340.40 Minimum Requirements for Short-Term Loans from Utilities to Affiliates

a) A utility may borrow from outside the money pool agreement in order to make loans to an affiliate that is a public utility under applicable State law. A utility may not borrow from outside the money pool agreement in order to make loans to non-utility affiliates, except for loans to service companies and subsidiaries of the utility.

b) An affiliate shall be eligible for borrowing from the utility if the affiliate meets one of the following seven requirements:

1. The affiliate maintains the following commercial paper ratings from at least two of the following three major credit rating agencies and a higher, equivalent, or no credit rating from the third credit rating agency: A-1 or above from Standard & Poor's or its successor; P-1 or above from Moody's Investors Service or its successor; and F-1 or above from Fitch Ratings or its successor;

2. The aggregate amount of outstanding short-term indebtedness of the affiliate, including amounts to be borrowed from the utility, excluding amounts drawn on the committed credit facility, does not exceed the unused balance of funds available to the affiliate under high-grade committed credit facilities at any time plus the amount of funds the affiliate invests in the short-term securities described in Section 340.50(a)(1) and (2);

3. The affiliate is a high-grade credit issuer;

4. The aggregate amount of funds the affiliate borrows is guaranteed by an affiliate of the utility that meets the requirements set forth in subsection (b)(1);

5. The aggregate amount of funds the affiliate borrows is guaranteed by an affiliate with a high-grade committed credit facility that meets the requirements set forth in subsection (b)(2);

6. The affiliate is a utility; or

7. The affiliate provides the utility cash management services through a Commission-approved agreement and the utility does not issue bonds, notes or other forms of indebtedness to persons or entities that are not affiliates of the utility; and

A) The utility is a small utility; or

B) The utility demonstrates that any benefits from relying on an affiliate to provide all the utility’s capital exceed the risks associated with a decrease in the utility’s financial independence provided that the affiliate is a medium-grade credit issuer.

c) The affiliate receiving the loan shall repay the principal amount of the loan, together with all accrued interest, on demand of the utility.

d) The utility may lend funds to an affiliate only if the utility cannot earn a higher rate of return on investments of similar risk in the open market, or the utility will earn no less than the rate the utility would have earned on investments in existing short-term investment accounts maintained by the utility during the period in question.

e) Interest. Each affiliate receiving a loan shall accrue interest monthly on the unpaid principal amount of the loan from the date of such loan until the principal amount shall be paid in full.

f) Event of default. If an affiliate shall generally not pay its debts as the debts become due, or shall admit in writing its inability to pay its debts generally, or shall make a general assignment for the benefit of creditors, or any proceeding shall be instituted by or against an affiliate seeking to adjudicate it as bankrupt or insolvent, then the unpaid principal amount of any loans to such affiliate and all accrued interest shall become immediately due and payable to the utility.

g) A utility shall neither lend additional funds nor extend the term of existing loans to any affiliate that no longer meets any of the eligibility criteria of subsection (b). An affiliate that exceeds its borrowing limit shall have 90 days to repay sufficient principal and accrued interest to bring that affiliate back into compliance with subsection (b) or, alternatively, to repay all outstanding loans from the utility and accrued interest.

h) When petitioning for approval of an affiliate to borrow from the utility under one of the eligibility requirements of subsection (b), a utility shall provide the following as part of its petition:

1. A utility seeking to meet the eligibility requirements of subsection (b)(1) shall provide reports from the two or, if available, three credit rating agencies presenting the commercial paper ratings for all affiliates that will borrow from the utility;

2. A utility seeking to meet the eligibility requirements of subsection (b)(2) shall provide:

A) Documentation from the financial institutions evidencing the line of credit available to the affiliate and the unused balance of funds available to each affiliate that will borrow from the utility; and

B) The credit ratings from the two or, if available, three credit rating agencies for all of the financial institutions that are extending credit lines to the affiliates;

3. A utility seeking to meet the eligibility requirements of subsection (b)(3) shall provide reports from the two or, if available, three credit rating agencies presenting the credit ratings for all affiliates that will borrow from the utility;

4. A utility seeking to meet the eligibility requirements of subsection (b)(4) shall provide:

A) A copy of the guarantee; and

B) Reports from the two or, if available, three credit rating agencies presenting commercial paper ratings for the affiliate of the utility that will guarantee repayment of funds borrowed from the utility;

5. A utility seeking to meet the eligibility requirements of subsection (b)(5) shall provide:

A) A copy of the guarantee;

B) Documentation from the financial institutions evidencing the line of credit available to the affiliate and the unused balance of funds available to the affiliate that will guarantee repayment of funds borrowed from the utility; and

C) The credit ratings from the two or, if available, three credit rating agencies for all of the financial institutions that are extending credit lines to the affiliate;

6. A utility seeking to meet the eligibility requirements of subsection (b)(6) shall provide certification from the chief accounting officer of the affiliate utility that the affiliate is authorized to operate as a utility;

7. A utility seeking to meet the eligibility requirements of subsection (b)(7) shall provide:

A) The docket number of the Commission proceeding in which the cash management agreement was approved;

B) A copy of the agreement; and

C) Either:

i) Certification from the chief accounting officer of the utility that the utility is a small utility, including the total capitalization of the utility as reported in the last annual report filed with the Chief Clerk of the Commission; or

ii) Reports from the two or, if available, three credit rating agencies presenting the credit ratings for all affiliates that will borrow from the utility.

The information required by this subsection (h) does not bind the Commission to a decision based solely on the data provided pursuant to this subsection.

83 Ill. Adm. Code 340.50 Investment of Money Pool Funds

a) Investment of money pool funds not lent to affiliates that meet the eligibility requirements of Section 340.40(b) shall be restricted to one or more of the following short-term investments:

1. Interest-bearing accounts with banks;

2. Obligations issued or guaranteed by the U.S. government or its agencies and instrumentalities, including obligations under repurchase agreements;

3. Obligations issued or guaranteed by any state or political subdivision, provided that these obligations are rated not less than A by Standard & Poor's or its successor, Moody's Investors Service or its successor, or Fitch Ratings or its successor;

4. Commercial paper rated not less than A-1 by Standard & Poor's or its successor, P-1 by Moody's Investors Service or its successor, or F-1 by Fitch Ratings or its successor;

5. Money market funds;

6. Bank certificates of deposit and bankers acceptances;

7. Eurodollar certificates of deposits or time deposits;

8. Medium-term notes, variable rate demand notes and variable rate preferred stock rated A- or above by Standard & Poor's or its successor, A3 or above by Moody's Investors Service or its successor, or A- or above by Fitch Ratings or its successor;

9. Short-term securities rated AA or above by Standard & Poor's or its successor, Aa or above by Moody's Investors Service or its successor, or AA or above by Fitch Ratings or its successor;

10. Short-term securities issued or guaranteed by an entity rated AA or above by Standard & Poor's or its successor, Aa or above by Moody's Investors Service or its successor, or AA or above by Fitch Ratings or its successor; or

11. Repurchase agreements with financial institutions rated AA or above by Standard & Poor's or its successor, Aa or above by Moody's Investors Service or its successor, or AA or above by Fitch Ratings or its successor with a minimum of 102% over collateralization.

b) Where money pool funds of a utility are commingled with funds of one or more affiliates under an approved money pool agreement, interest income and other investment income earned on the pool of funds shall be allocated to the participants that provided funds for the money pool in proportion to the aggregate balance of the pool of funds that each such participant contributed.

83 Ill. Adm. Code 340.60 Required Filings and Procedures

a) This Section does not apply to small utilities or electing providers.

b) All filings required by this Section shall be signed and verified under oath by an executive officer having knowledge of the facts and filed with the Office of the Chief Clerk of the Commission in duplicate with a copy provided to the Manager of the Finance Department. Each filing shall state on its face the Docket number of the proceeding authorizing the utility's participation in the money pool agreement.

c) Documentation of transactions. Utilities are required to file a quarterly report documenting all daily deposits, borrowings, interest income, and interest expense relating to transactions with affiliates. The first report shall be filed within 30 days after the end of the applicable calendar or fiscal quarter in which the order authorizing the agreement is entered or by August 14, 2004 for filings made pursuant to an agreement entered into before June 15, 2004. Thereafter, reports shall be filed covering the transactions during each successive calendar or fiscal quarter, each report to be filed within 30 days after the end of each quarter. The written documentation shall include the following:

1. Utilities subject to the requirements of Section 340.30 shall provide the daily balances of loans outstanding from an affiliate to the utility for each day of the calendar or fiscal quarter.

2. Utilities subject to the requirements of Section 340.40 shall provide:

A) The daily net balances of transactions that increase the loan balances;

B) The daily net balances of transactions that decrease the loan balances;

C) Total accrued interest for the applicable quarter;

D) The applicable interest rate for each day of the quarter;

E) The maturity date of each loan and any renewal dates;

F) The qualification of affiliates to borrow from a utility pursuant to Section 340.40(b);

G) For borrowers meeting the requirements of Section 340.40(b)(2) or (b)(5), the report shall provide detailed statements documenting the unused amount of the borrower's or its guarantors' high-grade committed credit facility, the amount of funds invested in the securities described in Section 340.50(a)(1) and (2), the balance of funds invested in each of the investments available under Section 340.50(a), exclusive of the amount invested in the securities described in Section 340.50(a)(1) and (2), and the total amount the utility loaned to affiliates as of the end of the applicable quarter; and

H) For borrowers meeting the requirements of Section 340.40(b)(1), (b)(3) or (b)(4), the report shall provide the credit ratings of the applicable affiliates.

d) The utility shall file a report listing all of the affiliates with which it can participate in the money pool agreement. An update of the report shall be filed as a part of the quarterly report described in subsection (b). An additional update shall be filed within 10 days after an affiliate that has a direct borrowing relationship with the utility is added to the money pool agreement. The updated reports shall contain a list of all companies involved and indicate which companies have been added and the date those companies entered into the money pool agreement.

e) Any credit rating downgrades to any affiliate that has a direct borrowing relationship with the utility by a credit ratings agency, which results in the affiliate no longer being a high-grade credit issuer, shall be reported to the utility and the Manager of the Commission's Finance Department within 10 days after any such downgrade. Each filing shall state on its face the Docket number of the proceeding authorizing the utility's participation in the money pool agreement.

f) Confidential Treatment of Filings Made Pursuant to this Section

1. For filings made pursuant to a proceeding authorizing the utility's participation in the money pool agreement in which the petition was filed after June 15, 2004, the filing entity shall include in its petition a request for confidential treatment for any documents for which it desires confidential treatment after the filing of the documents.

2. For filings made pursuant to a money pool agreement entered into before June 15, 2004, a filing utility seeking confidential treatment of these documents shall file a petition pursuant to 83 Ill. Adm. Code 200.

History

• Source: Amended at 41 Ill. Reg. 15718, effective December 15, 2017

Subchapter c Electric Utilities

Part 410 Standards of Service for Electric Utilities and Alternative Retail Electric Suppliers

83 Ill. Adm. Code 410.10 Definitions

"Acceptance testing" means the approval of a group of meters based on statistical testing procedures.

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

"Alternative retail electric supplier" or "ARES" means the same as that term is defined in Section 16-102 of the Act [220 ILCS 5/16-102].

"Answer time" means a measurement from the point the last digit of the entity's telephone number is dialed or, if a menu-driven system is used, from the point the last menu digit is dialed by the subscriber and the call is answered by the entity.

"Applicant" means anyone who requests a line extension from an entity providing distribution services.

"Average error" means the difference between 100% and the average percent registration as defined in Section 410.150(d).

"Billing multiplier" means the number by which a meter register reading is multiplied to obtain actual usage data. The billing multiplier shall include the transformer multiplier and meter multiplier, if applicable.

"Commission" means the Illinois Commerce Commission.

"Commission referee test" means the accuracy test of any customer's electric meter made in the presence of one or more members of Commission Staff.

"Complaint" means an objection made to an entity, by a customer or another entity, as to its charges, facilities or service, the disposal of which complaint requires investigation or analysis.

"Creep" means a continuous apparent accumulation of energy in a meter with voltage applied and the load terminals open circuited.

"Customer" has the same meaning as "retail customer."

"Demand" means the electric consumption at the point of delivery measured over a specified interval of time in order to estimate the instantaneous electric load.

"Deposit" means an amount paid by an applicant for service to an entity providing distribution services that is intended to cover any line extension expenses that exceed the free limits allowed.

"Electric cooperative" means the same as that term is defined in Section 3.4 of the Electric Supplier Act [220 ILCS 30/3.4].

"Electric utility" means the same as that term is defined in Section 16-102 of the Act [220 ILCS 5/16-102].

"Entity" means each electric utility while providing services within its service area, each electric utility while providing electric power and energy outside its service area, any ARES providing services subject to this Part, and any electric cooperative or municipal system but only when it provides services as an ARES outside its service territory.

"Instrument transformer" means a transformer used for metering that reproduces in its secondary circuit, in a definite and known proportion, the voltage or current of its primary circuit, with the phase relation substantially preserved.

"Meter multiplier" means the number (other than 1) by which the meter register reading is multiplied to obtain meter data not adjusted for the effect of instrument transformation on the calculated amount of actual usage.

"Meter shop" means a facility containing equipment used by an entity for determining the accuracy of meters.

"Metering service" means the performance of functions related to the provision, installation, testing, maintenance, repair and reading of electric meters used for billing of retail customers and maintaining meter usage data as well as the maintenance and management of meter information and meter data with respect to those meters.

"Municipal system" means any public utility owned and operated by any political subdivision or municipal corporation of the State of Illinois, or owned by such and operated by its lessees or agents.

"Phase-shifting transformer" means an assembly of one or more transformers intended to be connected to a poly-phase circuit so as to provide voltages in the proper phase relations for energizing metering equipment.

"Point of delivery" means the point at which the entity providing distribution facilities connects its lines or equipment to the lines or facilities owned or rented by the customer, without regard to the location or ownership of transformers, substations or meters, unless otherwise provided for by written contract or tariffs.

"Portable standards" means instruments (e.g., watt-hour meters, voltmeters, and ammeters) that are used outside the meter shop to test customer meters.

"Reference standards" means instruments (e.g., watt-hour meters, voltmeters, and ammeters) that are used only for verifying the accuracy of working or portable standards, and whose accuracy is traceable back to the national standard maintained by the National Institute of Standards and Technology or its successor.

"Retail customer" means the same as that term is defined in Section 16-102 of the Act [220 ILCS 5/16-102].

"Service watt-hour meter" means an electricity meter used for billing retail customers and maintaining meter usage data that measures and registers the integral, with respect to time, of the real power that flows in the circuit to which the meter is connected. This also includes meters that measure demand in watts or volt-amperes.

"Test amps" means the electrical current used during meter accuracy testing as designated by the manufacturer and displayed on the meter.

"Transformer multiplier" means the product of the current transformer ratio multiplied by the potential transformer ratio when instrument transformers are part of a metering installation.

"Var-hour meter" means an electricity meter that measures and registers the integral, with respect to time, of the reactive power of the circuit in which it is connected. This includes meters that measure demand in vars.

"Working standards" means instruments (e.g., test benches and demand boards) that are used in meter shops to test the accuracy of customer meters.

83 Ill. Adm. Code 410.20 Application

This Part sets forth minimum requirements and shall apply to any entity in this State. This Part shall not apply to any electric cooperative nor to a municipal system when operating within its service territory. Records required by this Part shall be retained as set forth in 83 Ill. Adm. Code 420, unless longer periods of retention are stated in this Part.

83 Ill. Adm. Code 410.30 Exemption or Modification

Any entity may file an application requesting modification of or exemption from any Section of this Part that applies to the entity. Upon showing that the modification or exemption is economically and technically sound and will not compromise safety, reliability or the service obligations of the entity, the Commission may grant the modification or exemption. A petition for exemption or modification shall be filed pursuant to 83 Ill. Adm. Code 200 and shall set forth specific reasons and facts in support of the requested exemption or modification.

83 Ill. Adm. Code 410.40 Complaints

a) Each entity shall investigate each complaint received. The receipt of all written complaints shall be acknowledged in writing or verbally.

b) Each complaint received by an entity shall be documented, and any records required by this Part shall be made available to Commission personnel upon request. Each record shall contain, at a minimum, the name and address of the complainant, the time of day and the date received, the nature of the complaint, the result of the investigation and/or analysis, when and by whom conducted, the final disposition of the complaint, and the date of disposition.

c) Records of complaints related to voltage regulation or accuracy of metering equipment or data, other than requests for meter rereads, shall be kept in the following manner: each entity receiving complaints shall keep an index or file containing all those complaints for 3 years, separated by year. If the entity chooses to maintain an index of complaints, it shall contain enough information to allow access to individual records of each complaint.

83 Ill. Adm. Code 410.45 Customer Call Centers

a) Each entity shall maintain a customer call center where customers can reach a representative and receive current information. At least once every 6 months, each entity shall provide written information to customers explaining how to contact the call center. The average answer time for calls placed to the call center shall not exceed 60 seconds where a representative or automated system is ready to render assistance and/or accept information to process calls. The abandon rate for calls placed to the call center shall not exceed 10%. Each entity shall maintain records of the call center's telephone answer time performance and abandon call rate. These records shall be kept for a minimum of 2 years and shall be made available to Commission personnel upon request. In the event that answer times and/or abandon rates exceed the limits established above, the reporting entity may provide the Commission or its personnel with explanatory details. At a minimum, these records shall contain the following information in monthly increments:

1. Total number of calls received;

2. Number of calls answered;

3. Average answer time;

4. Number of abandoned calls; and

5. Abandon call rate.

b) Entities that do not have electronic answering capability that meets the requirements of subsection (a) shall notify the Manager of the Commission's Consumer Services Division or its successor by January 15, 2001 and work with Staff to develop individualized reporting requirements as to the call volume and responsiveness of the call center.

c) On or before March 1 of every year, each entity shall file a report with the Chief Clerk of the Commission for the preceding calendar year on its answer time and abandon call rate for its call center as described in subsection (a). A copy of the report shall be sent to the Manager of the Consumer Services Division or its successor.

83 Ill. Adm. Code 410.100 Application of Subpart B

This Subpart applies to all entities that are providing metering service. Each entity shall be responsible for ensuring that its meters and metering service comply with these requirements.

83 Ill. Adm. Code 410.110 Meter Records

a) Each entity shall keep records that contain the following information about each service watt-hour meter and var-hour meter the entity owns or has in service in this State:

1. manufacturer and date of purchase, along with any testing data provided by the manufacturer that is used by the entity for acceptance testing of the meter;

2. manufacturer or entity identification number;

3. nameplate data, including:

A) form designation or circuit description;

B) "watt-hour meter" or other description;

C) manufacturer's name or trademark;

D) manufacturer's type;

E) electrical current class;

F) rated voltage;

G) number of wires;

H) frequency;

I) test amperes;

J) watt-hour meter constant; and

K) watt-hour meter test constant (if applicable);

4. date and place of present or most recent installation (entities that do not already retain this information on meters removed from service must begin keeping this information starting with all meters installed or removed from service after January 1, 2001);

5. date and type of last major repair, or of final disposition; and

6. accuracy of each meter in accordance with the testing policies set forth in this Subpart, including:

A) date of test;

B) reason for test;

C) reading and accuracy of meter as found and as left;

D) creep test results, if applicable;

E) identification of person performing test; and

F) identification of equipment used to test meter.

b) Each entity shall keep records of tests of the accuracy of each of its service watt-hour meters installed in this State until superseded by a later test, but not less than 3 years. Each entity shall keep all other records required by subsection (a) for not less than 3 years.

c) Each entity having service watt-hour meters installed in this State shall compile a report of the results of all meter accuracy tests required by this Part at least once each year. This report shall include the number of meters tested and the number of meters that tested outside of accuracy limits for each of the following categories: sample testing, periodic testing, and at customer request. Each entity shall keep this report for not less than 8 years.

d) Each entity having instrument transformers in service in this State shall maintain a record for each instrument transformer that includes the manufacturer's name or trademark, type, and serial number. Each instrument transformer placed in service will be marked with the same information. Each entity shall also retain a record of the most recent accuracy test of each instrument transformer for at least as long as the instrument transformer is in service.

e) Each entity having phase-shifting transformers in service in this State shall maintain a record for each phase-shifting transformer that includes the manufacturer's name or trademark, type, and serial number. Each phase-shifting transformer placed in service will be marked with the same information. Each entity shall retain a record of the accuracy of each such phase-shifting transformer for as long as the phase-shifting transformer is in service.

83 Ill. Adm. Code 410.120 Metering Service Requirements

a) Each service watt-hour meter shall have a register or display on the front of the meter that: displays energy consumption in a definite and known proportion to the actual energy consumption of that customer; is plainly visible; and can be read by the customer. This requirement may be waived in writing by the customer. This requirement shall not affect the entity's right to secure meters for safety reasons or in situations in which the meter is subject to excessive risk of damage or tampering. At the customer's request, a representative for the entity providing metering service shall explain to the customer how to read the meter used for billing that customer.

b) If a billing multiplier is used to calculate customer usage, the entity shall mark the billing multiplier on the front of the meter (or other location on the metering installation where the multiplier is plainly visible) and identify it as a billing multiplier at the time of installation or test, using a permanent marking method. Any entity providing instrument transformers shall mark the multiplier based on instrument transformer ratios on all new installations, and shall mark the multiplier on all existing installations when periodic meter testing is performed on the meter at that installation. The billing multiplier shall include the transformer multiplier and meter multiplier.

c) No meter shall be installed that is known to be mechanically or electrically defective, or that has not been tested in accordance with this Subpart and shown to comply with the accuracy requirements in this Subpart.

d) Meters shall be installed so as to be accessible to metering personnel for reading, testing, and making adjustments and repairs.

e) Meters installed after January 1, 2001 shall, at a minimum, meet the standards set forth in Section 4.7 of the American National Standards Institute's (ANSI) Code for Electricity Metering (1995 edition, approved June 12, 1995, published by the National Electrical Manufacturers Association, 1300 N. 17th Street, Suite 1847, Rosslyn, Virginia 22209). No later amendments or editions are incorporated.

f) The entity may refuse to install a meter or to serve a customer if, in the entity's judgement, the metering installation is hazardous or of such character that satisfactory service cannot be provided. In case of refusal, the entity shall inform the customer in writing of the reason for refusal to render service and shall notify within 24 hours by telephone or in person the customer and all other entities providing service to that customer.

83 Ill. Adm. Code 410.130 Separate Metering

a) Except as otherwise provided in subsection (c), a separate meter shall be used to measure the electricity that is consumed within, and controlled by the occupant of, each individual unit contained in any new building, newly remodeled portion of an existing building, or new mobile home park for which a building permit was obtained on or after November 1, 1981, or, if no permit was required, for which construction was commenced on or after November 1, 1981. Separately metered consumption shall be used as the basis for billing the occupant of the individual unit as a separate customer.

b) Definitions – For purposes of this Section, the following definitions shall apply:

1. "Individual unit" means each portion of a building that is separately leased, rented or owned.

2. "Control" means the ability of the occupant of an individual unit to determine the timing and amount of electricity consumed. Electricity used for central space heating, central water heating, central ventilation or central air conditioning systems is not "controlled" by the occupant of the individual unit.

3. "Remodeled portion of a building" means each area in which interior alterations are made that are required by local code or ordinance.

4. "Mobile home park" means contiguous parcels of land used for the accommodation of occupied mobile homes.

5. "Multiple-unit building" means buildings with more than 4 individual units.

c) Exceptions – Separate metering and billing of electricity shall not be required for the following:

1. Units within buildings normally considered to be temporary domiciles, such as motels, dormitories, health care facilities and nursing homes.

2. Residential units that do not have kitchen and bathroom facilities separate from common use facilities.

3. Portions of buildings in which separate metering is impractical, such as concession stands in lobbies, and individual offices that share office service areas.

4. Buildings for which space heating is provided by electric lighting and that qualify for service under special rates.

5. Multiple-unit buildings that are designated as congregate, assisted-living care facilities for elderly or handicapped persons.

d) The provisions contained in this Section are minimum requirements and shall not prohibit any electric utility from filing tariffs that impose additional restrictions on the use of master metering.

e) Waiver – Any applicant for electric service who is refused master metered service by an entity, and who has exhausted his remedies in the informal complaint process set forth by the Commission (83 Ill. Adm. Code 200.160), may file a formal complaint (83 Ill. Adm. Code 200.170) with the Commission seeking a waiver from the requirements of this Section or the corresponding rules of the entity. The complaint shall comply with the Commission's Rules of Practice (83 Ill. Adm. Code 200) and shall name the entity as a Respondent. The complaint shall allege that the long-run benefits of separate metering are outweighed by the associated costs or that separate metering would otherwise be impractical or unreasonable.

83 Ill. Adm. Code 410.140 Testing Facilities and Equipment

a) Each entity shall provide a meter shop adequately equipped with reference standards, instruments and other facilities, equipment, and personnel necessary to make the tests required of the entity by this Part. Each entity shall provide working standards and portable standards necessary to make the tests required of the entity by this Part. All apparatus and equipment shall be available at all times during the entity's established business hours for the inspection of or use by authorized representatives of the Commission. The entity shall take precautions to ensure that the meters used for billing and maintaining customers usage are not damaged in transit to or from any testing facility.

b) Each entity shall verify the accuracy of all reference standards at least once every 12 months. If the comparison indicates that the reference standard is in error by more than 0.5% on any combination on which it will be used, the entity shall adjust the standard to reduce the inaccuracy, if possible. In any case, the entity shall apply the correction indicated by the certificate or calibration card accompanying the instrument (pursuant to subsection (d)).

c) When in use for testing meters, all solid state working and portable standards shall be compared to a reference standard at least once every six months. All other working and portable standards used regularly for testing meters shall be compared against a reference standard at least once every month. When working and portable standards are used for purposes other than testing meters, they shall be compared to a reference standard at least once each year. If found in error by more than 0.5%, the entity shall adjust the instrument to read within the specified limits or shall apply the proper correction factor.

d) Each working, portable or reference standard shall be accompanied at all times by a certificate or calibration card signed or initialed by the person responsible for the calibration giving the date and results of the last calibration of the instrument. The entity shall keep any superseded certificates or calibration cards on file for at least 3 years.

e) An authorized representative of the Commission may check or establish the accuracy of all testing equipment owned by each entity, as well as the methods of operation of testing equipment. An authorized representative of the Commission shall perform an audit of each entity's meter testing equipment and methods at least every 3 years.

83 Ill. Adm. Code 410.150 Meter Accuracy Requirements

a) The accuracy of service watt-hour meters shall be determined using the following criteria:

1. Light Load test: 10% of test amps at 100% power factor;

2. Heavy Load test: 100% of test amps at 100% power factor; and

3. Power Factor test: 100% of test amps at 50% lagging power factor. The power factor test is only required on meter shop tests.

b) Accuracy limits:

1. On any test of a service watt-hour meter, the meter shall be left so adjusted that the error shall not be in excess of the following:

A) Average error: 1% fast or slow.

B) Error at heavy load: 1% fast or slow.

C) Error at light load: 1% fast or slow.

D) Error at power factor: 2% fast or slow.

2. Meters shall not be deliberately set in error by any amount.

c) Each entity shall test a service watt-hour meter for creep at the time it makes any accuracy test of that meter if the percent registration at light load deviates by greater than 2% from the percent registration at heavy load. No service watt-hour meter found to creep shall be placed in service or allowed to remain in service in that condition.

d) The average percent registration of a watt-hour meter shall be determined by adding the light load registration to 4 times the heavy load registration and dividing that quantity by 5.

e) Demand meters, when tested on the loads specified in this Section, shall be adjusted, if necessary, to meet the following requirements:

1. Demand Meters other than Lagged Demand Meters:

A) Electrical element – Error shall not exceed that specified for service watt-hour meters in this Section.

B) Timing element – When used to measure time interval only, error shall not exceed 2%. When used also to keep a record of time of day at which the demand occurs, error shall not exceed 0.25%.

2. The demand error for lagged demand meters shall not exceed 3% of full scale indication.

83 Ill. Adm. Code 410.151 Installation and Removal of Lagged Demand Meters

Lagged demand meters shall not be installed after January 31, 2001. All lagged demand meters shall be removed from service by January 31, 2008.

83 Ill. Adm. Code 410.155 Installation Inspections

Within 90 days after installation or exchange of any meter with associated instrument transformers and/or phase-shifting transformers, a post-installation inspection shall be made under load to determine if the meter is accurately measuring customer energy consumption. At a new or re-wired metering location, where the installation includes potential transformers, the inspection shall be performed by someone other than the original installer.

83 Ill. Adm. Code 410.160 Initial Tests

Initial tests are tests made before installation, regardless of whether the meter and associated devices have previously been in service. Each meter and associated devices (unless included in the sample testing plan in Section 410.180) shall be inspected and tested in the meter shop of the entity or other location that meets the requirements of this Part before being placed in service, and the accuracy of the meter shall be within the tolerances permitted by this Part. If a meter is removed from a customer's premises, except for field testing, it shall be tested and inspected as described above before it is placed in service again. If creep or inaccuracy is discovered in a meter removed from service, the entity shall correct the metering data as detailed in Section 410.200.

83 Ill. Adm. Code 410.170 Accuracy Testing of Meters

a) Each service watt-hour meter and var-hour meter shall be inspected and tested according to the schedule in subsection (b). At the time a service watt-hour meter or var-hour meter is tested, any demand meter associated with it shall be inspected or tested. Each demand meter shall be tested at least as often as the meter with which it is associated and, as nearly as practicable, at the same time. If the service watt-hour meter is of the type in which the same element that measures watt-hours is used to measure demand, then the watt-hour test and the demand test shall be considered to be one and the same.

b) Alternating current service watt-hour meters and associated var-hour meters shall be tested according to the following schedule:

1. Self-contained single-phase and three-wire network meters:

A) Non-demand:

i) Sample according to Section 410.180; or

ii) 8 years;

B) Demand:

i) with pulse-operated electronic demand registers: 4 years;

ii) with surge-proof magnets or solid state: 8 years.

2. Self-contained 480 volt single-phase and poly-phase meters; transformer-rated single-phase meters:

A) Non-demand:

i) with surge-proof magnets: 8 years;

ii) without surge-proof magnets: 4 years;

B) Demand:

i) Mechanical meters with pulse-operated electronic demand registers: 4 years;

ii) with surge proof magnets or solid state: 8 years.

3. Transformer-rated poly-phase meters: 8 years.

c) Direct current watt-hour meters shall be tested at least once every 12 months.

83 Ill. Adm. Code 410.180 Sample Testing Procedures

a) An entity that chooses to use sample testing shall use the procedures prescribed in any of the following documents (alone or in combination) to sample test non-demand, self-contained single-phase or three-wire network meters.

1. ANSI/ASQC Z1.4-1993 "Sampling Procedures and Tables for Inspection by Attributes", approved 1993, American Society for Quality Control, 611 East Wisconsin Avenue, Milwaukee WI 53202. No later amendment or editions are incorporated.

2. ANSI/ASQC Z1.9-1993 "Sampling Procedures and Tables for Inspection by Variables for Percent Nonconforming", approved 1993, American Society for Quality Control, 611 East Wisconsin Avenue, Milwaukee WI 53202. No later amendment or editions are incorporated.

3. Military Standard 414 "Sampling Procedures and Tables for Inspection by Variables", approved May 8, 1968, Defense Automation and Production Service, Building 4/D, 700 Robbins Avenue, Philadelphia PA 19111-5094. No later amendment or editions are incorporated.

4. Military Standard 105 "Sampling Procedures and Tables for Inspection by Attributes", approved May 10, 1989, Defense Automation and Production Service, Building 4/D, 700 Robbins Avenue, Philadelphia PA 19111-5094. No later amendment or editions are incorporated.

5. If, on December 15, 2000, an entity does not already use sample testing in accordance with subsection (a)(1) or (a)(2), the entity must begin to sample test in accordance with subsection (a)(1) or (a)(2), starting with the earlier of either the entity upgrading to a new sample testing tracking program or January 2010.

6. If, on December 15, 2000, an entity does use sample testing in accordance with subsection (a)(1) or (a)(2), that entity shall continue to use a sample testing program in accordance with subsection (a)(1) or (a)(2).

b) The entity shall divide the meter population into homogeneous groups consisting of meters of the same basic type and purpose. All meters within each homogeneous group shall be eligible for sampling each time a sample is taken. A sample shall be taken each calendar year from each homogeneous group, and testing shall be completed during the same calendar year. The size of each sample shall be determined through use of an allowed sampling procedure listed in subsection (a).

c) The performance of a homogeneous group shall be considered acceptable when, after applying the performance criteria described in subsection (f) to each meter included in the sample, the sample indicates an acceptable quality level (AQL) at least as stringent as 2.5%. AQL shall indicate the maximum percentage of nonconforming meters to be permitted within a homogeneous group.

d) Each entity shall perform 100% testing on all used or remanufactured meters purchased.

e) Each entity using sample testing shall file a yearly report no later than March 31 of the following year with the Chief Clerk of the Commission and provide a copy to the Manager of the Energy Division or its successor detailing the sample plan used in the previous year, along with the results of the testing program.

f) The performance of a meter that is tested as part of a sample shall be considered acceptable when its average percent registration, prior to any adjustment, is not less than 98% or more than 102%. The average percent registration for each meter shall be calculated as described in Section 410.150(d).

g) All tests described in Section 410.150(a) shall be performed on all meters included in the sample, and all meters included in the sample shall be left adjusted so that the error shall not exceed the limits listed in Section 410.150(b).

h) When an entity finds the performance of any homogeneous group to be unacceptable through sample testing, the entity shall perform corrective action on the group. Corrective actions outlined in this subsection shall be completed by the end of the second calendar year after the year in which the homogeneous group performance is initially found to be unacceptable. The corrective action shall consist of one of the following:

1. Removal of a subgroup of problem meters from service so that the performance of the remaining meters in the group is found to be acceptable through subsequent sample testing; or

2. Removal from service of all meters associated with the group.

History

• Source: Amended at 28 Ill. Reg. 10617, effective August 1, 2004

83 Ill. Adm. Code 410.190 Meter Tests Requested by Customer

a) Upon customer request, the entity providing metering service to that customer shall test the customer's meter within 30 days after receiving the request, unless the customer agrees to a later time. The meter test shall be performed between 7 a.m. and 4 p.m. Monday through Friday, excluding holidays, unless some other time is agreed upon by the entity and the customer. The test shall be performed at the meter installation location and in the customer's presence, unless the customer gives consent for the meter to be removed and/or tested outside the customer's presence.

b) If the customer's meter has been tested at the request of another entity or customer while in service at the same location within the past 6 months, the entity may provide the results of that test in reply to the customer's request in lieu of the test specified in subsection (a).

c) An entity shall not require any payment from the customer for a meter test, unless a test has been performed on that meter at that customer's request within the previous 12 months, or information has been provided as in subsection (b) within the past 6 months. In such cases, the customer shall be required to pay $40 to the entity. The entity shall refund the $40 deposit to the customer if the entity finds that the meter over-registers by more than 2%.

d) Commission referee tests

1. Upon written application to the Commission by any customer, the entity providing metering service shall test the customer's meter within 30 days after receiving notice of the written request from a Commission representative, unless the customer agrees to a later time. The application for a Commission referee test shall be accompanied by a fee of $20. The entity shall conduct this test under the supervision of a representative of the Commission.

2. On receipt of the request from a customer, a Commission representative shall notify the entity. After the entity has received notice that application has been made for a referee test, the entity shall not disturb the meter in any way, unless the customer or the Commission gives written permission for the meter to be removed.

3. The entity shall furnish to the Commission's representative such assistance as may be required to make the test. The Commission shall make a written report of the results of the test to the customer within 30 days after the test.

4. If upon test the meter is found to over-register by more than 2%, the entity shall reimburse the customer the amount paid to the Commission for the test. The entity shall also make any necessary metering data adjustment.

e) No entity shall be required to perform more than 2 tests of the same meter installed at the same location at customer request within a 12 month period, unless a Commission referee test is requested. After a Commission referee test, the entity shall not be required to test the same meter for a period of at least 12 months.

83 Ill. Adm. Code 410.195 Meter Tests Requested by Entity

a) Upon another interested entity's request, the entity providing metering service shall test the meter within 30 days after receiving the request, unless the requesting entity agrees to a later time. The meter test shall be performed between 7 a.m. and 4 p.m. Monday through Friday, excluding holidays, unless some other time is agreed upon by the entities. The test shall be performed at the meter installation location and in the presence of a representative of the requesting entity, unless the requesting entity gives consent for the meter to be removed and/or tested without the representative's presence.

b) If the meter has been tested at the request of another party while in service at the same location within the past 6 months, the entity may provide the results of that test in reply to the entity's request in lieu of the test specified in subsection (a).

c) Meter tests requested by other entities may be performed at any time agreeable to both entities if the customer's electrical service will not be interrupted by the test. If the customer's electrical service will be interrupted by the test, the testing entity or requesting entity shall obtain permission from the affected customer to interrupt the service before the test is performed.

d) The entity requesting the meter test shall be required to pay the actual cost (not to exceed $250) of performing the test to the entity performing the test. The entity performing the test shall refund the payment to the other entity if the meter over-registers by more than 2%. No entity shall induce a customer to request a meter test on behalf of that entity to avoid paying the actual cost of the meter test.

e) The entity providing metering service shall not be required to provide more than 1 test on the same meter at the same location more than once every 3 years at the request of another entity, unless the other entity requests a Commission referee test.

f) If an entity requests a Commission referee test, the requesting entity shall pay $20 to the Commission and the actual cost (not to exceed $250) of the test to the entity providing metering service. If the meter over-registers by more than 2%, the entity providing metering service shall refund both fees to the requesting entity and make any necessary meter data adjustment. The entity providing metering service shall not be required to provide a Commission referee test on the same meter at the same location more than once every 12 months.

83 Ill. Adm. Code 410.200 Corrections and Adjustments for Meter Error

a) Whenever any test made by any entity or by the Commission shows a meter to have an average error of more than 2%, a correction of the metering data shall be determined by the entity providing metering service and that correction shall be conveyed within 3 business days to the customer and to other entities involved in billing the customer.

b) When a meter is found to have an average error of more than 2%, the entity providing metering service shall determine the metering data correction using the actual percentage of error as determined by the test, not the difference between the allowable error and the error found as a result of a test.

c) If the meter is found to run faster than allowable, the entity providing metering service shall determine the correction to the metering data for that meter. In determining the correction it shall be presumed, unless demonstrated otherwise, that the inaccuracy has existed for a period of 2 years. This period of presumed inaccuracy shall not exceed the time for which records of the current customer's usage exist.

d) If the meter is found to be slower than allowable, the entity providing metering service shall determine the correction to the metering data for that meter. In determining the correction, it shall be presumed, unless demonstrated otherwise, that the inaccuracy has existed for a period of 1 year prior to the test for small commercial and residential customers and 2 years prior to the test for all other customers.

e) In the case of a non-registering meter that has been read during the period of non-registration, the entity providing metering service shall not determine a correction to metering data for estimated consumption extending over more than twice the regular interval between readings.

f) No corrections to metering data for meter error shall extend beyond the in-service date of the meter discovered to be in error, nor shall any correction be required to extend beyond the date upon which the current customer first occupied the premises at which the error is discovered.

g) Whenever an entity or the Commission's representative finds that a service watt-hour meter, while in service, exhibits creep, the entity shall make an estimate of the registration caused by the creep during the period as specified under subsection (c) and shall make a corresponding correction in the metering data.

h) Billing adjustments

1. For electric utilities. Any correction to metering data for over-registration shall be accompanied by an adjustment to customer billing by any electric utility that rendered service that is affected during the period of adjustment. Corrections made to metering data for under-registration may be accompanied by an adjustment to a customer's billing. However, if an electric utility is providing metering service, in no case shall an adjustment to a customer's billing be made for under-registration if all testing and accuracy requirements of this Part have not been met.

2. For entities other than electric utilities. Any correction to metering data made by any entity other than an electric utility and all records relating to the adjustment of the customer's billing or charges shall be retained for at least 2 years.

i) Provisions of this Section do not apply to situations in which the customer's wires, meters or other service equipment have been tampered with and the customer enjoyed the benefit of the tampering.

83 Ill. Adm. Code 410.210 Information to Customers

a) Bills rendered to retail customers for service shall clearly show at least the following:

1. The date of the meter reading, the number of days in the billing period, the energy used, the meter constant if applicable, the type of service rendered, a complete description of the service or rate classification under which the customer receives service, and the type of reading that was used in the bill calculation (such as actual, estimated or customer reading), and, for meters for which beginning and ending meter readings are used as billing determinants, the reading of the meter at the beginning and the reading of the meter at the end of the period for which the bill is rendered.

2. In the event that a bill rendered to retail customers is not based on usage derived from meter readings, the bill must indicate the period of time for which the bill is rendered, the type of service rendered, and a complete description of the service or rate classification under which the customer receives service.

3. The total amount of the bill and, when applicable, the following portions that make it up, listed vertically for easy readability:

A) the monthly customer charge or portion thereof;

B) the demand charges;

C) the cost of energy detailed by the energy used and the price per unit for each change in the unit price;

D) the cost of fuel adjustment;

E) any other applicable adjustments (other charges not under categories of charges but relating to services, energy, or other programs provided to customers by the entity);

F) State tax;

G) municipal tax;

H) infrastructure maintenance fee;

I) transition charge; and

J) optional services listed separately;

4. The due date of the bill.

5. Definitions or explanations of any abbreviations and technical words used on the bill.

6. The name and the toll-free telephone number of each service provider whose services to the customer appear on the bill.

7. The average use per day for the period over which the bill is rendered and for the comparable period one year earlier, and an indication of the difference in temperatures between the two periods. If this information is not available for a customer, the bill shall so state.

b) Each entity, upon request by a customer, shall transmit at a minimum a statement of the actual consumption of energy by the customer at the customer's present billing address for each billing period during the immediately preceding 12-month period for which that customer was receiving service.

c) All electric utilities shall have on file with the Commission a proposed tariff under Section 9-201 of the Act [220 ILCS 5/9-201] that contains a bill form complying with the requirements of subsection (a). By June 15, 2001, all billings shall comply with the requirements of subsection (a).

d) As mandated by Section 8-302 of the Act [220 ILCS 5/8-302], whenever a customer for whom an electric utility provides metering service provides the utility with a written request asking the meter reader to leave a card showing these meter readings and dates, the electric utility shall have its meter reader leave a card showing these meter readings and dates.

e) Each electric utility shall disclose to each of its customers information about the customer's service in a clear and concise manner. The disclosure shall contain the following minimum requirements:

1. A description of the rates or charges for the rate classification under which the customer receives service;

2. An identification and explanation of optional or experimental rates or classifications available to customers; and

3. An identification and explanation of all charges that are not related to costs incurred in service and the supply of energy to that customer.

f) In addition, for customers served under the residential and commercial classifications, this disclosure statement shall contain the following:

1. An explanation of the terms appearing on the customer's bill form; and

2. An example of how to calculate a bill using the customer's existing rate.

g) Disclosure statements shall be provided:

1. To each new customer, not later than 60 days after the date of commencement of service, through a billing insert, separate mailing or direct customer contact by a representative of the entity providing billing.

2. To all affected customers in the event of a change in overall rate levels. The disclosure statement shall be transmitted, at a minimum, within the second complete billing cycle after the rates become effective following the issuance of a final order in any rate proceeding. If the disclosure is sent during a period in which proration occurs, a statement such as the following shall be incorporated in the text:

"This summary is being sent during a period in which proration occurs. Proration occurs when part of your bill is charged on old rates and part of your bill is charged on new rates. If an attempt is made to calculate your bill using this rate summary, your calculation will not yield the proper billing amount for this billing period, but will do so in subsequent months. We recommend that you retain this summary for future reference in computing proper billing amounts."

h) Each ARES shall provide to all residential and small commercial customers, at least annually, a disclosure statement with the following information:

1. the average monthly prices; and

2. the terms and conditions of the products and services sold to the customer.

i) At least annually, each electric utility shall provide to small commercial and residential customers an identification and explanation of optional or experimental rates or classifications available to the customer.

83 Ill. Adm. Code 410.300 Voltage Regulation

a) Standard voltage. Each entity supplying electrical energy for general use shall adopt a standard service voltage of 120 volts (when measured phase to neutral) and shall maintain the service voltage within the allowable variations from that value at all times.

b) Allowable voltage variations. For service rendered at the standard service voltage, voltage variations as measured at any customer's point of delivery shall not exceed a maximum of 127 volts nor fall below a minimum of 113 volts for periods longer than two minutes in each instance. For service rendered at voltages other than the standard voltage value, voltage variations as measured at any customer's point of delivery shall not exceed 10% above or below the service voltage for a longer period than two minutes in each instance.

c) Variations of voltage in excess of those specified above shall not be considered a violation of this Section if caused:

1. by operations of a retail customer in violation of an agreement with or the rules of the entity;

2. by the operation of apparatus on a retail customer's premises that results in large inrush currents;

3. by infrequent and unavoidable fluctuations of short duration due to system operation; or

4. by acts of nature or other situations beyond the entity's control.

83 Ill. Adm. Code 410.310 Voltage Surveys

a) Each entity shall make voltage surveys of its system to keep itself informed regarding the character of the service being furnished from the system. Such surveys may be made by recording instruments, analytical methods, or a combination of these methods.

b) All charts or readings taken or analyses made in voltage surveys shall be retained for at least 5 years and kept in a systematic manner. The entity shall record the date, hour and place of the test, distance from the transformers, size of transformers, the instruments used, and the name of the persons making the test.

c) For use in making voltage surveys, each entity shall provide portable recording voltmeters. These instruments shall be of a type and range suited to the voltage supplied.

d) Each entity shall install and maintain recording voltmeters on its system to indicate the adequacy of voltage control methods and equipment.

83 Ill. Adm. Code 410.320 Standard Frequency

Each entity that supplies alternating current for use by retail customers in this State shall operate its equipment in a manner that the frequency of the alternating current maintained by the operation of the interconnected transmission systems is not degraded as a result of any action or lack of action on the part of the entity.

83 Ill. Adm. Code 410.330 Service Connections

An entity providing distribution services shall furnish and install without charge a service connection of reasonable length from the distribution system to the point of delivery on the customer's property, unless otherwise provided for in the utilities' tariffs.

83 Ill. Adm. Code 410.400 Application of Subpart E

This Subpart shall not apply to applicants for auxiliary, standby or temporary service. Each entity providing distribution services shall file line extension provisions with the Commission that set forth conditions and terms for provision of auxiliary, standby, or temporary service.

83 Ill. Adm. Code 410.410 Extension Provisions

a) If an extension of a entity's distribution system is necessary in order to serve an applicant or group of applicants, the entity providing distribution services, upon written request for service by the applicants, shall make the necessary line extension. The line extension shall be made along a street, highway or other right-of-way to the nearest point adjacent to the point of delivery for the applicants. The applicant or group of applicants must agree to the provisions of this Section before the line extension is made.

1. The entity providing distribution services may file a line extension provision in conjunction with its rate schedule. If the entity providing distribution services files a line extension provision, that provision shall be worded so that the applicant will have a choice of obtaining the extension under the provision or obtaining the extension under subsections (b) and (c). If the line extension provision is permitted to become effective by the Commission, then the applicant may proceed under the line extension provision or under subsections (b) and (c).

2. Alternatively, the filed line extension provision may be in lieu of subsections (b) and (c) instead of an option; however, if the entity providing distribution services files a line extension provision in lieu of subsections (b) and (c), the line extension provision shall not become effective unless the entity providing distribution services demonstrates that the line extension provision is generally more favorable to applicants than the provisions of subsections (b) and (c). After specific action by the Commission by order, the line extension provision shall become effective.

b) Free extensions

1. If an extension of the entity's distribution system is necessary in order to serve an applicant or a group of applicants, the entity shall extend its line without charge for each applicant along the street, highway or other available right of way to the nearest point adjacent to the premises of the applicants, upon written request for service. If the entity believes the cost of providing the extension is excessive, the entity may file a request with the Commission for a modification of this requirement for a specific extension. The line extension furnished without charge shall be the cost equivalent of up to 250 feet of single-phase overhead line per customer and shall include any necessary delivery voltage transformer and its associated protective devices for each customer. No free extension shall be made from existing lines on which refunds are due from previous deposits. If a refund is due from a previous deposit, any further extension shall be made only upon the applicant making a deposit equal to the full estimated cost of the required additional extension.

2. If all or part of a line extension is made on existing poles and costs less than the cost of constructing the free extension described in subsection (b)(1), the entity shall not charge for the extension.

c) Extension in excess of the free limit

1. If the cost of the line extension is greater than that allowed in subsection (b), the entity shall make the line extension and shall own, maintain, and replace the line extension upon agreement by the applicant or group of applicants to deposit with the entity an amount under the original or any subsequent extension, equal to the estimated cost of the extension above the free limits.

2. The cost of extensions in excess of the free limit, and any resulting deposits, shall be allocated among customers based on their respective share of the length of the line extension. Deposits will be refundable based on changed circumstances or shared use for a period of ten years from the date the line extension is placed in service.

3. In no case shall a refund exceed the original deposit.

4. If the premises of a customer are so located that they could be served by extending a parallel separate line at less cost than the amount of deposit that would be required from them for connection to the existing extension, the customer shall not be required to deposit in excess of the estimated cost of the separate line. The customer shall not share in any refunds so long as the deposit remains less than that of other depositors on the line extension.

5. Combining of rural service. For the purposes of determination of the deposits and refunds, a farm applicant whose premises include a number of buildings such as barns, employees' houses, etc., for which electric service is desired may qualify as a single applicant, provided the farm applicant constructs the necessary facilities required to supply the various buildings from a mutually agreed upon point conveniently located near the entity's lines. This shall not be construed as including electric service to buildings occupied by a tenant who leases land or conducts a business separate from that of the land owner.

6. In the event an option is available for a line extension to a group of applicants, the decision of the majority of the applicants will determine which option is implemented.

7. Determination of deposit. The distance of the electrical equipment installation from the available primary or secondary circuit that is nearest to the route that normally would be used in making the extension that is on available right-of-way shall be considered in determining whether an applicant is entitled to a free extension, and the cost of extending this circuit shall be used as the basis in determining the amount of deposit necessary in case the extension is above the free limit.

d) Commission review. If the extension is of such length and the prospective business that may be developed by it is so meager as to make it doubtful whether the business from the extension would ever pay a fair compensation for its investment, operation, maintenance and replacement, or for other substantial reasons is unwarranted, the fact shall be reported to the Commission for investigation and determination as to the reasonableness of the extension.

Part 411 Electric Reliability

83 Ill. Adm. Code 411.10 Purpose

a) The Commission's policies for reliability of facilities and service have been developed from the following basic principles incorporated in the Public Utilities Act.

1. Reliability encompasses more than statistical data, and the simple absence or occurrence of outages alone may not reflect the true system reliability. The risks of future outages, as indicated by the age, condition, design, and performance of transmission and distribution facilities and by a jurisdictional entity's investment in the maintenance, repair, replacement, and upgrade of its facilities and equipment, are no less important than the past occurrence of outages in assessing system reliability.

2. Potential service reliability improvements should be evaluated considering the costs and benefits of the improvements to the jurisdictional entity and to customers.

3. Reliable electric service is essential to the health, safety and welfare of the citizens of the State of Illinois.

b) Accordingly, this Part is adopted for the purposes stated herein and should be interpreted in a manner consistent with the policies stated herein and in a manner that accomplishes the specific objectives set out in this Part. Ends to be served by this Part are listed below.

1. To define clearly the Commission's process of assessing electric service reliability.

2. To assure the reliable delivery of electricity to all customers in this State.

3. To assure the effective implementation of amendments to the Public Utilities Act relating to the reliable provision of transmission and distribution or delivery services in a competitive environment.

4. To adopt, as required by law, rules and regulations for assessing, and assuring, the reliability of the transmission and distribution systems and facilities that are under the Commission's jurisdiction.

5. To establish uniform measurements to assess transmission, distribution and delivery service and to establish reporting requirements that routinely and periodically inform the Commission about the reliability of transmission and distribution systems under its jurisdiction.

6. To allow the Commission to monitor more effectively the reliability of the transmission and distribution systems over which power and energy from all electric suppliers will be transported to consumers in the State.

7. To provide adequate information for the Commission to monitor aspects of reliability in addition to interruptions.

83 Ill. Adm. Code 411.20 Definitions

This Section defines terms as they are used in this Part.

"Alternative retail electric supplier" has the same meaning as defined in Section 16-102 of the Public Utilities Act [220 ILCS 5/16-102].

"Controllable interruption" is an interruption caused or exacerbated in scope and duration by the condition of facilities, equipment, or premises owned or operated by a jurisdictional entity, or by the action or inaction of persons under a jurisdictional entity's control and that could have been prevented through the use of generally accepted engineering, construction, or maintenance practices.

"Customer", for the purposes of this Part only, means a retail customer, as that term is defined in Section 16-102 of the Act, or a single entity that is using and has agreed to pay for electric power or energy, or electric transmission or distribution service, from a jurisdictional entity in a wholesale transaction. A single customer can have one or more points of service or meters at a given location. Customer, for the purpose of this Part, shall not include entities that are using electric power or energy unlawfully (e.g., through an illegal tap).

"Distribution circuit" is a circuit owned and/or operated by a jurisdictional entity and designed to operate at a nominal voltage of 15,000 volts or less and to supply one or more distribution transformers.

"Distribution circuit interruption" is an interruption originating at a point that is between the circuit interrupting device at the substation supplying the distribution circuit and the distribution transformer.

"Electric service" means the availability of electric power and energy purchased by the customer at the point of connection between jurisdictional entity equipment and customer equipment, on those terms and conditions provided for in the jurisdictional entity's tariffs, in its terms and conditions of service, or in any contract between a jurisdictional entity and the customer.

"Electric utility" or "Utility" means a public utility, as defined in Section 3-105 and Section 16-102 of the Act, that has a franchise, license, permit or right to furnish or sell electricity to retail customers within a service area.

"Facilities" includes all lines, cables, equipment, plant, computer systems, customer service systems, apparatus, property, and any other items of similar kind that are used to provide or that affects the reliability of transmission, distribution or delivery services.

"Independent system operator" shall have the meanings given in Article XVI of the Act [220 ILCS 5/Art. XVI].

"Interruption" or "Outage", except as used in Sections 411.210 and 411.220, means the failure or operation of a single component, or the simultaneous failure or operation of physically and directly connected components of a jurisdictional entity's transmission or distribution system that results in electric service to one or more of its customers being lost or being provided at less than fifty percent of standard voltage for a period longer than one minute in duration and requiring human intervention by the jurisdictional entity to restore electric service.

Service to a multi-phase point of service is interrupted if service to one or more phases is interrupted.

The Commission does not intend this definition to require a jurisdictional entity to install and operate voltage sensing equipment specifically to identify interruptions involving provision of service at less that fifty percent of standard voltage.

This definition specifically excludes occurrences of the loss of electric service when automatic switches, automatic line reclosing devices, or other automatic jurisdictional entity devices successfully restore electric service.

The term "interruption" or "outage" shall not include the interruptions listed below.

Interruptions intentionally initiated by a jurisdictional entity, pursuant to the provisions of an interruptible service tariff or contract and affecting only those customers taking electric service under such tariff or contract.

Interruptions intentionally initiated by a jurisdictional entity for nonpayment of a bill and according to the provisions of Sections 8-201, 8-202, 8-203, 8-204, 8-205 and/or 8-206 of the Act [220 ILCS 5/8-201, 8-202, 8-203, 8-205, and 8-206] and 83 Ill. Adm. Code 280.

Interruptions intentionally initiated by a jurisdictional entity due to tampering with service equipment.

Interruptions intentionally initiated by a jurisdictional entity due to its being denied access to service equipment located on the affected customer's private property.

Interruptions intentionally initiated by a jurisdictional entity due to hazardous conditions located on the affected customer's private property (such as a fire).

Interruptions intentionally initiated by a jurisdictional entity due to a request by the affected customer.

Interruptions intentionally initiated by a jurisdictional entity due to a request by a law enforcement agency, fire department, other governmental agency responsible for public welfare, or any agency or authority responsible for bulk power system security (e.g., North American Electric Reliability Council, a regional reliability council, or an independent system operator).

Interruptions caused by the failure of a customer's equipment; the operation of a customer's equipment in a manner inconsistent with statute, an approved tariff, rule, regulation, or an agreement between the customer and the jurisdictional entity; or the failure of a customer to take a required action that would have avoided the interruption, such as failing to notify the jurisdictional entity of an increase in load when required to do so by a tariff or contract.

Interruptions caused by the actions or omissions of another jurisdictional entity or other supplier of electricity or electrical services shall not be deemed an "interruption" of the jurisdictional entity providing transmission and distribution services so long as that jurisdictional entity's transmission and distribution facilities serving the customer remained operational.

Scheduled interruptions initiated by a jurisdictional entity for repair, maintenance, or reinforcement shall not be considered an interruption for the purposes of the targets set forth in Section 411.140(b)(4) and calculating reliability indices. For all other purposes under this Part, the term "interruption" shall include scheduled interruptions initiated by a jurisdictional entity for repair, maintenance, or reinforcement. Scheduled interruptions are reportable under Section 411.120(b)(3)(C).

As used in Sections 411.210 and 411.220, "Interruption" has the same meaning as when used in Section 16-125(e) of the Act.

"Interruption duration" means a period of time measured in one-minute increments that starts when a jurisdictional entity is notified or becomes aware of an interruption and ends when a jurisdictional entity restores electric service.

"Jurisdictional entity" means an electric utility or alternative retail electric supplier owning, controlling, or operating transmission and distribution facilities and equipment subject to the Commission's jurisdiction.

"Operating area" is a geographic area defined by the jurisdictional entity that is a distinct area for administration, operation, or data collection with respect to the facilities serving, or the service provided within, the geographic area.

"Power fluctuation" or "Surge," except as used in Sections 411.200, 411.210, and 411.220, means departure of more than one minute in duration in the frequency or voltage of power supplied to the customer's point of service that is caused by the failure or operation of a single component, or simultaneous failure or operation of directly connected components, of a jurisdictional entity's transmission or distribution system, that exceeds the Commission's standards for frequency and voltage (or, where the customer and the jurisdictional entity have agreed on frequency and voltage standards, exceeds the variation allowed thereby), and that causes damage to customer goods. An interruption shall not be deemed a power fluctuation. A power fluctuation or surge shall not include voltage variations or frequency variations caused by:

Unpreventable damage due to weather events or conditions;

Customer tampering;

Unpreventable damage due to civil or international unrest or animals; and

Damage to a jurisdictional entity's equipment or other actions by a party other than the jurisdictional entity, its employees, agents, or contractors.

As used in Section 411.200, the term "Power Fluctuation", and as used in Sections 411.210 and 411.220, the term "Power Surge or other Fluctuation", have the same meanings as when those terms are used in Section 16-125(f) of the Act.

"Reliability indices" are as listed below.

"System Average Interruption Frequency Index (SAIFI)" is the average number of interruptions per customer during the year. It is calculated by dividing the total annual number of customer interruptions by the total number of customers served during the year.

SAIFI

=

Total Number of Customer Interruptions

Total Number of Customers Served

"Customer Average Interruption Duration Index (CAIDI)" is the average interruption duration for those customers who experience interruptions during the year. It is calculated by dividing the annual sum of all customer interruption durations by the total number of customer interruptions.

CAIDI

=

Sum of all Customer Interruption Durations

Total Number of Customer Interruptions

"Customer Average Interruption Frequency Index (CAIFI)" is the average number of interruptions for those customers who experience interruptions during the year. It is calculated by dividing the total annual number of customer interruptions by the total number of customers affected by interruptions. In determining the total number of customers affected, each customer is counted only once regardless of the number of customer interruptions that the customer may have experienced during the year.

CAIFI

=

Total Number of Customer Interruptions

Total Number of Customers Affected

"Unpreventable damage" is damage interruptions or fluctuations that could not be reasonably foreseen and prevented through the use of generally accepted engineering, construction, and maintenance practices. For example, damage shall be deemed unpreventable when it is:

Caused by a customer's failure to follow good engineering practices with respect to its own equipment; or

When engineering, construction, operations, or maintenance practices or actions have been identified and proposed by the jurisdictional entity to prevent the interruption, fluctuation, or damage, but the jurisdictional entity has not been allowed or permitted by a governmental authority or property owner to implement such practices or actions.

"Worst-performing circuits" are those distribution circuits that, for each reliability index, are among the one percent of all circuits in an operating area (or at least one circuit for each reliability index) with the highest achieved values (lowest performance levels) for the reliability index. For the purpose of identifying worst-performing circuits, only distribution circuit interruptions and customers affected by such interruptions shall be considered in calculating the reliability indices.

83 Ill. Adm. Code 411.30 Applicability of Subpart B

The provisions of Subpart B are applicable to all jurisdictional entities subject to this Part.

83 Ill. Adm. Code 411.40 Applicability of Subpart C

The provisions of Subpart C are applicable to all electric utilities that have 100,000 or more customers.

History

• Source: Amended at 44 Ill. Reg. 4598, effective March 4, 2020

83 Ill. Adm. Code 411.50 Commission Design of Customer Survey

By December 10, 1998, the Commission shall initiate a rulemaking to design and approve a single customer survey that is applicable to each jurisdictional entity's compliance with the requirements of this Part. Until the Commission designs and approves a customer survey, each jurisdictional entity, except for jurisdictional entities exempt under Section 411.110(b), shall comply with the requirements of this Part using a customer survey of its own selection or design. At the conclusion of the Commission initiated proceeding, each jurisdictional entity shall replace, for purposes of the annual reliability reports, its customer survey with the customer survey designed and approved by the Commission.

83 Ill. Adm. Code 411.100 Reliability Obligations

a) Each jurisdictional entity shall provide services and facilities that, in accordance with the Act and other applicable statutes, provide an adequate, efficient and reasonable level of reliability giving appropriate consideration to the costs and benefits of changing or maintaining the level of reliability.

b) Each jurisdictional entity shall plan, design, construct, operate and maintain its facilities, including equipment, apparatus, systems, and property, to prevent controllable interruptions of service and to meet the requirements of this Part, consistent with the requirements in subsection (a). If such interruptions occur, the jurisdictional entity shall reestablish service as soon as it can and in a time consistent with general safety and public welfare.

c) Each jurisdictional entity shall adopt and implement procedures for restoration of transmission and distribution services to customers after an interruption on a non-discriminatory basis without regard to the identity of the provider of power and energy.

d) Whenever a jurisdictional entity intends to interrupt electric service for the purpose of working on the system, the jurisdictional entity shall make reasonable efforts to notify those customers who may be affected by such interruption in advance of the construction, repair, or maintenance.

e) Each jurisdictional entity shall design its system according to generally accepted engineering practices, including consideration of normally expected weather, animal activity and other conditions.

f) Each jurisdictional entity shall adopt and maintain appropriate operating procedures and reliability related administrative procedures.

83 Ill. Adm. Code 411.110 Record-Keeping Requirements

a) Required records. Except as provided in subsection (b) below, a jurisdictional entity shall maintain, for the most recent five-year period, the records listed below.

1. Records sufficient to determine a history of electric service interruptions experienced by each customer at the customer's current location. The records shall be sufficient to determine the information listed below for each interruption.

A) Starting date of the interruption.

B) Starting time of the interruption.

C) Interruption duration.

D) Description of the cause of the interruption.

E) Operating areas affected.

F) Circuit number(s) of the distribution circuit(s) affected.

G) Number of customers affected.

H) Service account number of each customer affected.

I) Address of each affected customer location.

J) Name of each affected customer's electric energy supplier, if known.

2. Records showing, for each distribution circuit, the total number of customers served by the circuit at the end of each year.

b) Periods for which records are not required. A jurisdictional entity need not maintain records reflecting the information identified in subsection (a) for any period prior to calendar year 1994. A jurisdictional entity that, as of January 1, 1994, did not have the technical capability to collect and record some or all of the information identified in subsection (a) need not maintain records reflecting such information for any period prior to January 1, 1999. A jurisdictional entity serving retail customers in Illinois as of December 16, 1997, and that was exempted from the requirements of the Commission's electric service reliability policy (83 Ill. Adm. Code 410, Subpart C) as of that date, need not maintain records reflecting such information for any period prior to January 1, 2002.

83 Ill. Adm. Code 411.120 Notice and Reporting Requirements

a) Telephone or Facsimile Notice. A jurisdictional entity must provide notice by telephone or by facsimile transmission to the Consumer Services Division of the Commission when any single event (e.g., storm, tornado, equipment malfunction, etc.) causes interruptions for 10,000 or more of the jurisdictional entity's customers for three hours or more. After these interruptions have continued for three hours, a jurisdictional entity must provide notice within one hour when the notice would be provided during normal business hours, or within the first hour of the next business day. A jurisdictional entity shall provide updates every two hours during the normal business day until service is restored to all customers involved. To the extent that data and information are known, the notice shall include the data and information listed in this subsection (a).

1. An estimate of the number of customers the interruptions affect.

2. Starting date of the interruptions.

3. Starting time of the interruptions.

4. Duration of the interruptions.

5. Locations of the interruptions, described as precisely as possible in generally recognized and geographically oriented terms such as street address, subdivision, or community.

6. Description of the cause of the interruptions.

7. The date and time when the jurisdictional entity expects to restore electric service.

8. The name and telephone number of a jurisdictional entity representative the Commission Staff can contact for more information about the interruptions.

9. Customer call volume to the jurisdictional entity during the interruption as compared to normal call volume and the steps the jurisdictional entity is taking to address call volume.

b) Annual Report. On or before June 1 of each year, each jurisdictional entity, except for jurisdictional entities exempt under Section 411.110(b), shall file with the Chief Clerk of the Commission an annual report for the previous calendar year submitted under oath and verified by an individual responsible for the jurisdictional entity's transmission and distribution reliability.

1. The data requirements incorporated in the annual report are not meant to replace timely reports on outages when they occur or are remedied as required by other provisions of this Part.

2. Supporting data used for more than one purpose or calculation need be submitted only once in each annual report, if submitted with clear cross-references. Data should be consistent and differences reconciled to the extent possible.

3. The annual report shall include the information listed in this subsection (b)(3).

A) A plan for future investment and, where necessary, reliability improvements for the jurisdictional entity's transmission and distribution facilities that will ensure continued reliable delivery of energy to customers and provide the delivery reliability needed for fair and open competition, along with the estimated cost of implementing the plan and any changes to the plan from the previous annual report.

i) The plan must cover all operating areas, including a description of the relevant characteristics of each operating area and the age and condition of the jurisdictional entity's equipment and facilities in each operating area.

ii) The plan shall cover a period of no less than three years following the year in which the report was filed.

iii) The plan shall identify all foreseeable reliability challenges and describe specific projects for addressing each.

iv) The plan shall provide a timetable for achievement of the plan's goals.

v) The plan shall report and address all unresolved reliability complaints about the jurisdictional entity's system received from other utilities, independent system operators, and alternative retail electric suppliers.

vi) The plan shall report the specific actions, if any, the jurisdictional entity is taking to address the concerns raised in complaints received from other utilities, independent system operators, and alternative retail electric suppliers.

vii) The plan must consider all interruption causes listed in subsection (b)(3)(D).

viii) The plan must consider the effects on customers and the cost of reducing the number of interruptions reported as required by subsection (b)(3)(C).

B) A report of the jurisdictional entity's implementation of its plan filed pursuant to subsection (b)(3)(A) for the previous annual reporting period, including an identification of significant deviations from the first year of the previous plan and the reasons for the deviations.

C) The number and duration of planned and unplanned interruptions for the annual reporting period and their impacts on customers.

D) The number and causes of controllable interruptions for the annual reporting period.

E) Customer service interruptions that were due solely to the actions or inactions of another utility, another jurisdictional entity, independent system operator, or alternative retail electric supplier for the annual reporting period.

F) A comparison of interruption frequency and duration for customers buying electric energy from the jurisdictional entity versus customers buying electric energy from another utility or alternative retail electric supplier for the annual reporting period. A jurisdictional entity may base this comparison on each customer's supplier as of December 31 of each year. A jurisdictional entity need not include this information for customers whose electric energy supplier is not known to the jurisdictional entity.

G) A report of the age, current condition, reliability and performance of the jurisdictional entity's existing transmission and distribution facilities, which shall include, without limitation, the data listed in this subsection (b)(3)(G). In analyzing and reporting the age of the jurisdictional entity's plant and equipment, the jurisdictional entity may utilize book depreciation. Statistical estimation and analysis may be used when actual ages and conditions of facilities are not readily available. The use of these techniques shall be disclosed in the report.

i) A qualitative characterization of the condition of the jurisdictional entity's system defining the criteria used in making the qualitative assessment, and explaining why they are appropriate.

ii) A summary of the jurisdictional entity's interruptions and voltage variances reportable under this Part, including the reliability indices for the annual reporting period.

iii) The jurisdictional entity's expenditures for transmission construction and maintenance for the annual reporting period expressed in constant 1998 dollars, the ratio of those expenditures to the jurisdictional entity's transmission investment, and the average remaining depreciation lives of the entity's transmission facilities, expressed as a percentage of total depreciation lives.

iv) The jurisdictional entity's expenditures for distribution construction and maintenance for the annual reporting period expressed in constant 1998 dollars, the ratio of those expenditures to the jurisdictional entity's distribution investment, and the average remaining depreciation lives of the entity's distribution facilities, expressed as a percentage of total depreciation lives.

v) The results of a customer satisfaction survey completed during the annual reporting period and covering reliability, customer service, and customer understanding of the jurisdictional entity's services and prices.

vi) An overview pertaining to the number and substance of customers' reliability complaints for the annual reporting period and their distribution over the jurisdictional entity's operating areas.

H) A table showing the achieved level of each of the three reliability indices of each operating area for the annual reporting period (provided, however, that for any reporting period commencing before April 1, 1998, a jurisdictional entity will not be required to report the CAIFI reliability index).

I) A list showing the worst-performing circuits for each operating area for the annual reporting period with the understanding that the designation of circuits as "worst-performing circuits" shall not, in and of itself, indicate a violation of this Part.

J) A statement of the operating and maintenance history of circuits designated as worst-performing circuits; a description of any action taken or planned to improve the performance of any such circuit (which shall include information concerning the cost of that action); and a schedule for completion of any such action. (The jurisdictional entity may decide, based on cost considerations or other factors, that it should take no action to improve the performance of one or more circuits designated as worst-performing circuits. If the jurisdictional entity decides to take no action to improve the performance of one or more circuits designated as worst-performing circuits, the jurisdictional entity shall explain its decision in its annual report.)

K) Commencing June 10, 2001, tables or graphical representations covering, for the last three years, all of the jurisdictional entity's customers, and showing, in ascending order, the total number of customers that experienced a set number of interruptions during the year (i.e., the number of customers, who experienced zero interruptions, the number of customers who experienced one interruption, etc.).

L) Commencing June 10, 2001, for those customers who experienced interruptions in excess of the service reliability targets, a list of every customer, identified by a unique number assigned by the jurisdictional entity and not the customer's name or account number, the number of interruptions and interruption duration experienced in each of the three preceding years, and the number of consecutive years in which the customer has experienced interruptions in excess of the service reliability targets.

M) The name, address and telephone number of a jurisdictional entity representative who can be contacted for additional information regarding the annual report.

c) Customer Report. A jurisdictional entity shall, upon request made by a customer or the Consumer Services Division of the Commission, provide to the customer and/or the Consumer Services Division, within 30 days after the request, a report on all interruptions that the customer making the request, or subject to the Consumer Service Division's request, has experienced at the customer's current service location during the most recent five calendar years. The report shall identify for each interruption the information specified in Section 411.110(a)(1)(A) through (D). Notwithstanding the provisions of this subsection, a jurisdictional entity is not required to report data pursuant to this Section that Section 411.110(b) does not require a jurisdictional entity to maintain, or that the jurisdictional entity was not required to retain at the time of the interruption. This subsection does not alter the provisions of 83 Ill. Adm. Code 200 and 280 that relate to informal and formal complaint procedures.

History

• Source: Amended at 44 Ill. Reg. 4598, effective March 4, 2020

83 Ill. Adm. Code 411.130 Interruption Cause Categories

In adhering to the interruption record-keeping and reporting requirements set forth in this Part, each jurisdictional entity shall classify and report on the cause of each interruption using the cause categories and interruption code descriptions given in Table A of this Part.

83 Ill. Adm. Code 411.140 Reliability Review

a) Beginning in the year 1999 and at least every three years thereafter, the Commission shall assess the annual report of each jurisdictional entity and evaluate its reliability performance. Within thirty days after receiving the Commission's final report on such assessment, the jurisdictional entity may prepare a response to such report. Both the Commission's final report and the jurisdictional entity's response shall be filed with the Chief Clerk of the Commission.

1. The Commission recognizes that circumstances and events beyond a jurisdictional entity's control can affect reliability statistics and the interruptions experienced by customers. The Commission shall consider such circumstances and events when evaluating a jurisdictional entity's reliability performance.

2. The Commission evaluation shall:

A) Assess the jurisdictional entity's historical performance relative to established reliability targets.

B) Identify trends in the jurisdictional entity's reliability performance.

C) Evaluate the jurisdictional entity's plan to maintain or improve reliability.

D) Include specific identification, assessment, and recommendations pertaining to any potential reliability problems and risks that the Commission has identified as a result of its evaluation.

E) Include a review of the jurisdictional entity's implementation of its plan for the previous reporting period.

b) Annual report assessment and reliability performance evaluation criteria.

1. When assessing a jurisdictional entity's annual report, the Commission shall consider the information listed below.

A) Information that this Part requires a jurisdictional entity to include in annual reports.

B) The relevant characteristics of the area served, including but not limited to system configuration, population density, and geographical constraints.

C) The age and condition of the system's equipment and facilities.

D) Generally accepted engineering practices.

E) The costs of potential actions.

F) The benefits of avoiding the risks of service disruptions.

G) The reliability effects of severe weather events and other events and circumstances that may be beyond the jurisdictional entity's control.

2. Criteria for Commission assessment of a jurisdictional entity's annual report.

A) The report must comply with the requirements of this Part.

B) The report must contain a plan, as required by Section 411.120(b)(3)(A).

3. When assessing a jurisdictional entity's reliability performance, the Commission shall consider the information listed below.

A) Controllable interruptions.

B) Statistical measures of interruptions.

C) The number of interruptions experienced by individual customers.

D) The cumulative hours of interruption experienced by individual customers.

E) The jurisdictional entity's actions to prevent interruptions.

F) The jurisdictional entity's responses to interruptions and to the customers affected by interruptions.

G) The extent to which the jurisdictional entity has restored interruptions of service to customers on a non-discriminatory basis without regard to whether a customer has chosen the jurisdictional entity or another provider of electric power and energy.

H) The number and substance of informal inquiries, requests for assistance, and complaints directed by customers to the jurisdictional entity and to the Commission.

I) The results of customer satisfaction surveys that include customer perceptions of service reliability.

J) Generally accepted engineering practices.

K) The costs of potential actions.

L) The benefits of avoiding the risks of service disruptions.

M) The reliability effects of severe weather events and other events and circumstances that may be beyond the jurisdictional entity's control.

N) Previous Commission reports and the jurisdictional entity's responses to those reports.

O) Information that this Part requires a jurisdictional entity to include in annual reports.

P) The relevant characteristics of the area served, including but not limited to system configuration, population density, and geographical constraints.

Q) The age and condition of the system's equipment and facilities.

4. The jurisdictional entity shall strive to provide electric service to its customers that complies with the targets listed below.

A) Customers whose immediate primary source of service operates at 69,000 volts or above should not have experienced:

i) More than three controllable interruptions in each of the last three consecutive years.

ii) More than nine hours of total interruption duration due to controllable interruptions in each of the last three consecutive years.

B) Customers whose immediate primary source of service operates at more than 15,000 volts, but less than 69,000 volts, should not have experienced:

i) More than four controllable interruptions in each of the last three consecutive years.

ii) More than twelve hours of total interruption duration due to controllable interruptions in each of the last three consecutive years.

C) Customers whose immediate primary source of service operates at 15,000 volts or below should not have experienced:

i) More than six controllable interruptions in each of the last three consecutive years.

ii) More than eighteen hours of total interruption duration due to controllable interruptions in each of the last three consecutive years.

D) Exceeding the service reliability targets is not, in and of itself, an indication of unreliable service, nor does it constitute a violation of the Act or any Commission order, rule, direction, or requirement. The Commission's assessment shall determine if the jurisdictional entity has a process in place to identify, analyze, and correct service reliability for customers who experience a number or duration of interruptions that exceeds the targets.

83 Ill. Adm. Code 411.150 Modification or Exemption

a) Any jurisdictional entity may file an application requesting modification of or exemption from any Section of this Part as such Section applies to the jurisdictional entity filing the application. For good cause shown and upon a showing that such a waiver will not compromise the reliability obligations of the jurisdictional entity, the Commission may grant such a request for modification or exemption, except that the Commission may not grant any modification or exemption of specific requirements stated in Section 16-125 of the Act [220 ILCS 5/16-125]. A petition for exemption or modification shall be filed pursuant to 83 Ill. Adm. Code 200 and shall set forth specific reasons and facts in support of the requested exemption or modification.

b) In determining whether good cause has been shown, the Commission shall consider, among other things, the information listed below.

1. The extent to which circumstances beyond the control of the jurisdictional entity have made compliance with the applicable Section extremely difficult.

2. Whether the jurisdictional entity has made a good faith effort to comply with the applicable Section in a timely fashion.

3. Whether other information, which the jurisdictional entity would provide if the waiver is granted, permits the Commission Staff to review the subject filing in a complete, timely and meaningful manner.

83 Ill. Adm. Code 411.160 Format and Disclosure of Reports

The reports required to be filed by this Part shall be submitted to the Commission and available to the public in both printed and electronic form. The printed version shall be the official version filed with the Commission's Chief Clerk. Computerized data and information filed as part of a report that is stored by a jurisdictional entity on a personal computer shall be provided in Microsoft Office, or other format agreed to by Commission Staff, and delivered to the Commission's offices via electronic mail or portable storage media as agreed to by the Commission Staff. Underlying data provided to the Commission shall be available to the public to the extent that it is not proprietary information. A jurisdictional entity shall report the required information on both a system-wide and operating areas basis. A jurisdictional entity shall submit the required information in a consistent format each year that facilitates comparisons across time periods and that uses non-technical language. A jurisdictional entity's reports shall be available to the public from the jurisdictional entity and from the Commission. A jurisdictional entity shall keep copies of its reports at its public offices.

History

• Source: Amended at 44 Ill. Reg. 4598, effective March 4, 2020

83 Ill. Adm. Code 411.170 Exclusions

The service reliability targets in this Part shall not apply to customers served under a Commission approved tariff or contract, or contract for competitive services as defined in Section 16-102 of the Act [220 ILCS 5/16-102], that specifies levels of service reliability different from the service reliability targets in this Part.

83 Ill. Adm. Code 411.180 System Protection

a) In the event that the equipment or facilities of a customer or other entity are being operated in a manner that is inconsistent with the jurisdictional entity's tariffs, terms and conditions of service, or any contract between the jurisdictional entity and the customer or other entity, and such operation poses, in the reasonable judgment of the jurisdictional entity, an imminent threat to the reliability of service to customers or to person or property, the jurisdictional entity shall have the right, but not the obligation, to immediately discontinue service to those points of service that supply power or energy to such equipment or facilities until such time as the threat can be eliminated and service restored. The jurisdictional entity shall give as much notice of such discontinuance of service as is reasonably possible to the affected customer. Temporary discontinuance of service pursuant to this Section shall be deemed to be in compliance with 83 Ill. Adm. Code 280.130(k).

b) Notwithstanding anything in the rules of the Commission to the contrary, a jurisdictional entity may lawfully take such actions as are required by federal law or standards adopted under federal law, or by an organization authorized by federal authority, to protect the security of the bulk power system and/or to provide for the continuous supply of power to facilities regulated under federal law.

83 Ill. Adm. Code 411.190 Approval of Vegetation Management Programs

A jurisdictional entity may file with the Commission tariffs describing programs and practices for the control of vegetation designed to maintain or enhance service reliability. Such tariffs, if passed to file or accepted after hearing, shall be deemed standards of the Commission with respect to vegetation management by such jurisdictional entity and shall pre-empt contrary ordinances, rules, and actions of units of local government. A jurisdictional entity will provide notice to municipalities and counties directly affected thereby of the filing, under this Section, of a proposed tariff or supporting materials relating to the need for such a tariff.

83 Ill. Adm. Code 411.200 Specific Record-Keeping Requirements

a) Electric utilities with 100,000 or more customers must maintain service records detailing information on each interruption that affects 10 or more customers, or power fluctuations that affect 30,000 or more customers, or 0.8% of the utility's total customers, whichever is less. The service record for each interruption shall be maintained for at least five years and shall include the following information:

1. Starting date of the interruption or power fluctuation.

2. Starting time of the interruption or power fluctuation.

3. Interruption or power fluctuation duration.

4. Number of customers affected by the interruption or power fluctuation.

5. Description of the cause of the interruption or power fluctuation.

6. Geographic area affected by the interruption or power fluctuation.

7. Specific equipment involved in the interruption or power fluctuation.

8. Description of measures taken to restore service or eliminate power fluctuation.

9. Description of measures taken to remedy the cause of the interruption or power fluctuation.

10. Description of measures taken to prevent a future interruption or power fluctuation.

11. Amount of remuneration, if any, paid to affected customers.

12. Statement of whether the fixed charge was waived for affected customers.

b) An electric utility with 100,000 or more customers shall not modify its data collection or record-keeping procedures so as to collect or record less information about the reliability of its transmission and distribution facilities under the jurisdiction of the Commission or to collect information for fewer discrete areas than the utility collected in calendar year 1997 without first seeking the comments of the Commission Staff. Any changes in data collection and record-keeping procedures made without agreement of the Staff shall not excuse a later failure to provide information required or requested under the Act or this Part.

History

• Source: Amended at 44 Ill. Reg. 4598, effective March 4, 2020

83 Ill. Adm. Code 411.210 Specific Notice and Reporting Requirements

Each electric utility having 100,000 or more customers shall provide the following notice and reports:

a) Make the information, which the utility must maintain in accordance with Section 411.200, available for public inspection at the utility's offices and provide copies of the information to the public upon payment of a fee not exceeding the reasonable cost of reproduction.

b) File, with the Commission's Chief Clerk, an annual report on or before June 1 of each year that includes the following information:

1. Each record that Section 411.200 requires the utility to maintain.

2. The projected load and peak demand for each of the utility's operating areas for the following three years.

3. The peak loading (as a percentage of rated normal and emergency capacity) on each transmission and distribution substation transformer operating during its peak loading period at or above 90 percent of normal rated capacity, except when that data would reveal information about loads of specific customers.

c) Notify the Commission, within 72 hours, in the event that more than 30,000 customers, or 0.8% of the utility's total customers, whichever is less, are subjected to a power interruption that meets the conditions set forth in Section 16-125(e) of the Act or more than 30,000 customers, or 0.8% of the utility's total customers, whichever is less, are subjected to a power surge or other fluctuation that meets the conditions in Section 16-125(f) of the Act.

History

• Source: Amended at 44 Ill. Reg. 4598, effective March 4, 2020

83 Ill. Adm. Code 411.220 Proceedings to Determine Responsibility Under 220 Ilcs 5/16-125(e) & (f)

a) In the event that more than 30,000 customers of a utility, or 0.8% of the utility's total customers, whichever is less, are subjected to a power interruption that meets the conditions set forth in Section 16-125(e) of the Act and the utility or the Commission believes that the interruption is due to one or more of the causes set forth in Section 16-125(e)(1) through (4) of the Act, then the utility may commence a proceeding before the Commission, or the Commission may commence on its own motion a proceeding, seeking a declaration that the subject interruption was due to one or more of those causes and that liability under Section 16-125(e) of the Act should be waived by the Commission. Any such proceeding shall be commenced by the utility or the Commission no later than 30 days after the date on which a claim is filed with the Commission seeking damages or expense reimbursement. The Commission's decision in that proceeding shall be appealable by any party thereto, and except as reversed or modified on appeal, the determination of the cause of the interruption in this proceeding and the Commission's decision to grant or deny a waiver of liability in connection with the interruption shall be final and shall be binding on both the utility and claimants in actions before the Commission to recover damages under Section 16-125(e) of the Act. This proceeding shall determine only the liability of the utility under Section 16-125(e) of the Act and shall not constitute a finding or determination, for the purpose of this or any other proceeding, that the utility was or was not negligent, did or did not breach a contract, or violated or did not violate any other legal duty or obligation.

b) In the event that more than 30,000 customers of a utility, or 0.8% of the utility's total customers, whichever is less, are subjected to a power surge or other fluctuation that meets the conditions set forth in Section 16-125(f) of the Act, and the utility or the Commission believes that the power surge or other fluctuation is due to one or more of the causes set forth in Section 16-125(f)(1) through (4) of the Act, then the utility may commence a proceeding before the Commission, or the Commission may commence on its own motion a proceeding, seeking a determination from the Commission that the subject power surge or other fluctuation was due to one or more of those causes and that, therefore, no liability attaches under Section 16-125(f) of the Act. Any such proceeding shall be commenced by the utility or the Commission no later than 30 days after the date on which a claim is filed with the Commission seeking damages or expense reimbursement. The Commission's decision in the proceeding shall be appealable by any party to the proceeding and, except as reversed or modified on appeal, the determination of the cause of the power surge or other fluctuation in this proceeding shall be final and binding on both the utility and claimants in actions before the Commission to recover damages under Section 16-125(f) of the Act. This proceeding shall determine only the liability of the utility under Section 16-125(f) of the Act and shall not constitute a finding or determination, for the purpose of this or any other proceeding, that the utility was or was not negligent, did or did not breach a contract, or violated or did not violate any other legal duty or obligation.

c) Any customer affected by the subject interruption, power surge or other fluctuation, or a unit of local government in which the interruption, power surge or other fluctuation occurred, shall be entitled to intervene in a proceeding brought pursuant to this Section. Informal and formal complaints pursuant to the Commission's Rules of Practice (83 Ill. Adm. Code 200) brought by affected customers and units of local government shall be stayed pending disposition of this proceeding and appeals thereof, or consolidated with this proceeding for the purposes of liability.

History

• Source: Amended at 44 Ill. Reg. 4598, effective March 4, 2020

83 Ill. Adm. Code 411.230 Proceedings to Determine Damages Under 220 Ilcs 5/16-125(e) & (f)

a) Utilities shall design and implement an administrative procedure for resolving and paying claims for actual damages and replacement value under Section 16-125(e) and (f) of the Act that will minimize the need for formal complaint proceedings before the Commission. Utilities shall submit a description of this administrative procedure to the Commission for approval. The Commission shall provide all interested parties, specifically including customers of the utility and units of local government within the service area of the utility, with notice and the opportunity to comment on the utility's proposed administrative procedure. A utility's administrative procedure shall become effective only after approval by the Commission. The Commission shall conclude this approval process within 90 days absent exigent circumstances. The process shall:

1. Preserve, at the option of an affected customer, the availability of the Commission's informal and formal complaint procedures in the event that the customer chooses not to accept the administrative resolution;

2. Define clearly and in plain language reasonable standards for verification of damages and the procedures that will be followed by the utility and shall notify the claimant of the right to seek a determination by the Commission of actual damages or replacement value payable by the jurisdictional entity in the event that the claimant chooses not to accept the administrative resolution offered by the utility;

3. Be designed to resolve claims that are not stayed pursuant to Section 411.220 of this Part within ninety days after the claimant making a written claim and providing the required proof of damage in accordance with the administrative procedure developed pursuant to this Section, and the utility shall devote sufficient resources to the claims process such that a typical claim is resolved within that period. In the event that a claimant furnishes insufficient information to make a determination, the utility shall promptly notify the claimant of that fact; and

4. Provide that, until such time as the Commission finds that a utility is entitled to a waiver of liability under Section 16-125(e) or (f) of the Act and this finding is not appealed or is upheld on appeal, the utility will stay all pending claims subject to the application for waiver and shall maintain in good order all such claims and supporting documentation as well as all claims with supporting documentation that have been denied based upon the utility's belief that it is entitled to a waiver. In addition, upon a determination by the Commission that a utility is not entitled to a waiver of liability under Section and the utility will notify (at their last known address) customers whose administrative claims were either previously denied or stayed by the utility on the grounds that the utility believed it was entitled to a waiver of liability, and proceed to a determination of the claims on the merits.

b) The determination of the utility's administrative complaint resolution process shall not constitute evidence in the Commission or any court of the liability or absence of liability of the utility, or of the amount of damage, if any, suffered by the customer.

c) Damages under Section 16-125(e) of the Act shall include all actual damages and litigation costs but not consequential damages. Damages under Section 16-125(f) of the Act shall include the replacement value of all goods damaged.

d) A customer or a unit of local government whose claim for relief under Section 16-125(e) or (f) of the Act is not resolved through the administrative procedures described in this Section may then seek relief from the jurisdictional entity pursuant to the Commission's established complaint procedures (83 Ill. Adm. Code 280.170).

83 Ill. Adm. Code 411.300 Purpose of Subpart D

This Subpart provides specific instructions to the electric service jurisdictional entities on how to administer the customer satisfaction survey mandated by the Electric Service Customer Choice and Rate Relief Law of 1997 [220 ILCS 5/Art. XVI]. Each jurisdictional entity is required to submit to the Commission an annual report that includes the results of a customer satisfaction survey. The customer satisfaction survey covers reliability of electric service, customer service, and customer understanding of the jurisdictional entity's services and prices.

History

• Source: Added at 24 Ill. Reg. 12914, effective September 1, 2000

83 Ill. Adm. Code 411.301 Definitions Used in Subpart D

Absolute value – A nonnegative number equal in numerical value to a given real number.

Attempt – Using a phone, electronic mail or U.S. mail to contact residential or nonresidential customers.

Categorical questions – Questions with response options limited to prescribed categories.

Confidence interval – A range believed to contain the actual response of the entire population, based on a sample result.

Confidence level – The probability that a result, based on a sample, is likely to contain the actual response of the entire population.

Contact information − A residential or nonresidential customer's name, street address, phone number and/or email address.

Contingency table – A depiction of observed and expected frequencies in the sample data.

Correlation coefficient – An indicator of both the strength and the direction of a relationship between responses. The coefficient has two components: a value and a sign. Coefficient values range from 0 to 1 or 0 to -1 and indicate the strength of the relationship between two variables. As the value of the coefficient approaches 1, the relationship becomes stronger, with a value of 1 indicating a one-to-one correlation. As the value of the coefficient approaches 0, the relationship becomes weaker, with a value of 0 indicating no relationship. The coefficient can be either positive or negative.

Cross-tabulations – A widely used method for studying the relationship or association among and between variables. In cross-tabulation, the sample is divided into subgroups in order to examine how a variable of interest varies from subgroup to subgroup.

Descriptive statistics – Statistics that organize and summarize information without interpreting meaning. Descriptive statistics include, but are not limited to, the range of responses, the median response, the mean response, and the modal response.

Firmographics – The statistical data of a business.

Mean response – The sum of the numeric value of each response divided by the number of responses.

Median response – The numeric value of the response with 50% of responses above and 50% below it.

Modal response – The response that occurs most frequently.

Non-responses – The number of individuals in the sample who are not reached or refuse to respond to the entire survey or to a specific question.

Pearson Product Moment Correlation – The maximum likelihood estimator of population correlation, under normal conditions. If underlying requirements are met, it is most likely to detect co-variation or relationship between variables in the population.

Population – The total number, in each category, of residential and non-residential customers for the jurisdictional entity.

Range of responses – The distance between the highest score and the lowest score.

Rating questions – Questions with response options expressed as a numeric value on a scale of zero to ten.

Respondents – The number of residential or nonresidential customers who are reached and complete the survey.

Response rate – This is calculated by dividing the number of respondents by the number of prospective respondents contacted.

Sample size – The total number of randomly selected customers, including those who responded and those who did not.

Sampling frame – The size of the accessible population from which a sample is drawn. For example, where jurisdictional entities draw the sample from their customer databases, the sampling frame is identical to the population. Where jurisdictional entities use random digit dial, the sampling frame shall be valid customer telephone numbers.

Standard chi-square test – A statistical test used to determine if a relationship between variables exists by comparing expected and observed cell frequencies. Specifically, a chi-square test examines the observed frequencies in a category and compares them to what would be expected by chance or would be expected if there were no relationship between variables.

Statistically significant – Differences at the .05 probability level and/or relationships with a statistically significant correlation of .5 or higher.

Yes/no questions – Questions with yes or no response options.

History

• Source: Amended at 46 Ill. Reg. 5653, effective March 22, 2022

83 Ill. Adm. Code 411.305 Customer Survey Requirements

a) The survey addresses the following topics:

1. Residential and non-residential screening;

2. Overall satisfaction;

3. Reliability performance;

4. Customer service performance;

5. Understanding of services;

6. Tree-trimming performance;

7. Billing; and

8. Demographics and firmographics.

b) The research objectives for these surveys are to provide the Commission with basic knowledge about:

1. Consumer understanding of electric delivery services and prices for residential, commercial and industrial consumers for each utility;

2. Consumer satisfaction with electric delivery services and reliability; and

3. Changes in understanding and satisfaction over time for residential and non-residential consumers and within subgroups.

History

• Source: Added at 24 Ill. Reg. 12914, effective September 1, 2000

83 Ill. Adm. Code 411.310 General Characteristics of the Customer Survey

a) The customer survey shall start no earlier than September 1 and be completed by the end of the calendar year.

b) The survey can be conducted either over the phone, by electronic mail, U.S. mail or online or any combination of the preceding.

c) For residential and nonresidential customers selected in the sample, the method used must be consistent with the contact information provided by the customer. For example, if a customer does not provide an e-mail address, then that customer shall not be surveyed via e-mail, and therefore must be surveyed via telephone, online, or U.S. Mail.

d) The survey questions shall be identical for all jurisdictional entities.

e) The survey shall be conducted for residential and non-residential customers. For the residential population, the survey respondent shall be the person in the household who is most familiar with the household's electric service. For non-residential customers, the survey respondent shall be the person who is most familiar with electric service in the organization.

f) For each jurisdictional entity, the sample size shall be adequate to ensure that answers are reflective of the population at a specified statistical level of confidence and confidence interval as follows:

1. For residential customers, sample size shall be sufficient to achieve a 95% confidence level with a confidence interval of ± 4.0%. This confidence level and confidence interval equates to 600 respondents for utilities with 10,000 or more residential customers. The sample size for utilities with fewer than 10,000 residential customers would be adjusted by a finite population correction factor calculated as (N-n)/(N-1), where N = population size and n = originally required sample size.

2. For non-residential customers, sample size shall be sufficient to achieve a 95% confidence level with a confidence interval of ± 4.9%. This level of confidence and confidence interval equates to 400 respondents for utilities with 10,000 or more non-residential customers and accordingly fewer (i.e., (N-n)/(N-1)) for smaller jurisdictional entities.

g) Before eliminating a customer and randomly selecting a replacement, the jurisdictional entities shall:

1. make a minimum of five attempts to contact each randomly selected customer to request that the customer complete the survey;

2. for telephone surveys, attempt to reach the randomly selected customer at different times of day;

3. for telephone surveys, call the customer back at the specified time if the customer answers the telephone but asks to respond to the survey at a different time; and

4. for telephone surveys, call back at a time the target respondent is expected at home or office if the telephone is answered by anyone but the target respondent.

History

• Source: Amended at 46 Ill. Reg. 5653, effective March 22, 2022

83 Ill. Adm. Code 411.315 Survey Implementation

a) The jurisdictional entities shall comply with the following requirements in implementing the survey:

1. Each jurisdictional entity shall identify the most effective sampling frame from which to draw the sample. Whichever sampling frame option is chosen, a jurisdictional entity should continue with the chosen option for all subsequent tracking studies unless the independent reviewer finds cause to recommend an alternative sampling frame. Sampling frame options include:

A) A jurisdictional entity's customer database. If the jurisdictional entity does not have the contact information for a randomly selected customer, it shall attempt to locate the contact information in other available utility databases or purchase the contact information from an outside data provider;

B) Random digit dial for telephone surveys; and

C) Purchased lists;

2. An independent reviewer, such as a market research firm, shall review the sampling methodology and response rates each year to confirm that survey results adequately represent the entire population and are expected to be standard among jurisdictional entities. If a jurisdictional entity's survey results do not adequately represent the entire population and/or are not expected to be standard among jurisdictional entities, the independent reviewer shall recommend specific remedies or an alternative sampling frame for the following year;

3. Each jurisdictional entity shall provide the name of a contact person, if available from its database, to respond to the survey for any randomly selected industrial customer known to be an industrial customer at the time of selection;

4. A jurisdictional entity shall not volunteer the name of any specific electricity provider during the course of the survey interview;

5. A jurisdictional entity shall not offer incentives to encourage survey respondents to participate;

6. Jurisdictional entities shall not add questions to the survey;

7. In a single year, for telephone surveys, the same trained team of interviewers shall be used to ensure consistency in conducting the interviews;

8. For telephone surveys, interviewers shall be trained to conduct the interviews effectively and efficiently to minimize any potential for interviewer bias;

9. All jurisdictional entities that conduct the survey by telephone shall use, or cause to be used, a computer-assisted telephone interview software package that allows answers to be directly entered; and

10. All jurisdictional entities that conduct the survey via internet shall allow answers to be directly entered by the respondent.

b) Jurisdictional entities are encouraged to join together to hire a single research firm to execute the survey. If the jurisdictional entities elect to use a market research firm, the number of attempts promised by the firm, as well as the firm's past success at achieving a high response rate, shall be included in the selection criteria for the firm. Requests for proposals shall specify that the market research firm complies with the specifications of Sections 411.310 and 411.315 of this Part.

c) Jurisdictional entities shall pre-test the survey instrument with a total of 30 randomly selected residential respondents and 30 randomly selected non-residential respondents for all the jurisdictional entities combined. If any portion of the survey instrument is confusing to respondents, then the jurisdictional entities shall propose wording changes that preserve the meaning but provide clarity. These proposed wording changes shall be subject to approval by the Commission.

History

• Source: Amended at 46 Ill. Reg. 5653, effective March 22, 2022

83 Ill. Adm. Code 411.320 Format for Results of the Customer Satisfaction Survey

Each jurisdictional entity shall present the survey responses as part of the annual report to the Commission as required by 83 Ill. Adm. Code 411.120(b)(3)(G)(v). The annual report shall include the following information regarding the results of the customer satisfaction survey, described in greater detail in Sections 411.325 through 411.360 of this Part:

a) General information regarding the survey population, sampling frame, sample size and response rates;

b) An executive summary;

c) Summary descriptive information about survey responses for each question and for correlated questions, known as descriptive statistics, according to a standard format for all jurisdictional entities;

d) Statistically significant contingency between demographic questions cross-tabulated with each of: rating questions, yes/no questions, and categorical questions;

e) Statistically significant contingency between rating questions cross-tabulated with each of: yes/no questions, demographic questions, and categorical questions; and

f) Comparative responses for the current year and the preceding four years.

History

• Source: Added at 24 Ill. Reg. 12914, effective September 1, 2000

83 Ill. Adm. Code 411.323 Raw Data

Each jurisdictional entity shall make the raw data of survey responses available to the Commission for a period of five years after the submittal date of the annual report presenting the results of the survey. The Commission shall maintain the confidentiality of the raw data of survey responses.

History

• Source: Added at 24 Ill. Reg. 12914, effective September 1, 2000

83 Ill. Adm. Code 411.325 Survey Parameters

Each jurisdictional entity must provide the following general information about the survey parameters:

a) Population;

b) Sampling frame;

c) Sample size; and

d) Number of respondents and number of non-respondents.

History

• Source: Added at 24 Ill. Reg. 12914, effective September 1, 2000

83 Ill. Adm. Code 411.330 Categories of Responses for Survey Questions

a) There are three categories of responses for the questions on the customer satisfaction survey:

1. Rating questions;

2. Yes/no questions; and

3. Categorical questions.

b) The survey instrument shall indicate whether the question is a rating question, a yes/no question, or a categorical question.

c) The survey respondents shall not be given "N/A" (which shall be taken to mean "No Answer") or "Don't Know" as a response option. However, survey respondent shall be allowed to decline to answer a question by choosing “decline to answer” as a response option. If a customer declines to answer a question, the jurisdictional entities shall report the number of respondents who declined to answer each question.

History

• Source: Amended at 46 Ill. Reg. 5653, effective March 22, 2022

83 Ill. Adm. Code 411.332 Descriptive Statistics

a) The results of the customer satisfaction survey shall list, for each question, the number and percent of responses tabulated in each response category, including the total number of respondents and not including non-respondents. Responses that are reported in percentages shall be carried out to one decimal point.

b) The jurisdictional entities shall refer to Sections 411.335, 411.340, and 411.345 of this Part in presenting the results of the customer satisfaction survey as part of the annual report to the Commission. Each entity shall provide information on a question-by-question basis, including every survey question, in conformance with the specifications listed in Sections 411.335, 411.340, and 411.345 of this Part.

History

• Source: Added at 24 Ill. Reg. 12914, effective September 1, 2000

83 Ill. Adm. Code 411.335 Rating Questions

a) For the questions in the results of the customer satisfaction survey where there is a range of answers from 0-10, the descriptive statistics shall include the following information:

1. The total number of responses and non-responses (N/As);

2. The number and percentage of respondents that answered in each response category;

3. The mean response;

4. The median response;

5. The modal response; and

6. The range of responses.

b) Jurisdictional entities shall also present cross-tabulations indicating statistically significant relationships between rating questions and categorical questions to show how respondents in different categories rated the questions, as follows:

1. The number and percent of responses in each demographic category; and

2. A ranking from highest to lowest of the mean, median, modal and range of responses for each demographic type.

c) Statistically significant cross-tabulated statistics describing responses by income shall present the income as the income per household. Jurisdictional entities shall only report relationships with a statistically significant correlation of, and/or differences of, .5 or higher at the .05 probability level.

History

• Source: Added at 24 Ill. Reg. 12914, effective September 1, 2000

83 Ill. Adm. Code 411.340 Yes/No Questions

a) For the questions in the results of the customer satisfaction survey where the response is "yes/no," the following descriptive statistics shall be included:

1. The number and percent of responses and non-responses; and

2. The number and percent of yes and no responses.

b) Yes/no questions shall also be cross-tabulated with demographic questions to show how respondents in different categories answered the questions, including the number and percent of responses in each demographic category.

c) Statistically significant cross-tabulated statistics describing responses by income shall present the income as the income per household. Jurisdictional entities shall only report relationships with a statistically significant correlation of, and/or differences of, .5 or higher at the .05 probability level.

History

• Source: Added at 24 Ill. Reg. 12914, effective September 1, 2000

83 Ill. Adm. Code 411.345 Categorical Questions

a) For the categorical questions in the results of the customer satisfaction survey, the following descriptive statistics shall be included:

1. The number and percent of responses and non-responses;

2. The number and percent of responses in each category;

3. The modal response; and

4. A ranking of the responses from the most frequent to the least frequent.

b) Non-demographic categorical questions shall also be cross-tabulated with demographic questions to show how respondents in different categories answered the questions, including the number and percent of responses in each demographic category.

c) Statistically significant cross-tabulated statistics describing responses by income shall present the income as the income per household. Jurisdictional entities shall only report relationships with a statistically significant correlation of, and/or differences of, .5 or higher at the .05 probability level.

History

• Source: Added at 24 Ill. Reg. 12914, effective September 1, 2000

83 Ill. Adm. Code 411.350 Data Comparisons

a) The jurisdictional entities shall cross-tabulate data for the following two groupings of survey results:

1. Demographic Cross-Tabulations – Responses to demographic questions shall be cross-tabulated by each of: rating questions, yes/no questions, and categorical questions; and

2. Rating Cross-Tabulations – Responses to rating questions shall be cross-tabulated by each of: yes/no questions, categorical questions and demographic questions;

b) The statistic used to examine differences in the data shall be the chi-square;

c) The jurisdictional entities shall present relationships, as determined based on the standard chi-square test, using a contingency table;

d) All statistically significant differences between the observed and expected response at the .05 probability level shall be noted;

e) The jurisdictional entities shall use correlation coefficients to indicate the direction and strength of the relationship between reported ratings of satisfaction and responses to each survey question;

f) The jurisdictional entities shall present relationships, as determined based on the Pearson Product Moment Correlation, using a correlation table; and

g) All relationships with a statistically significant correlation that has an absolute value of .5 or higher shall be noted and shall be explained in the executive summary.

History

• Source: Added at 24 Ill. Reg. 12914, effective September 1, 2000

83 Ill. Adm. Code 411.355 Tracking the Results of the Customer Satisfaction Survey

a) The initial results of the customer satisfaction survey shall establish a baseline of responses and serve as a point of comparison for future responses.

b) After the first year that each question is used, each jurisdictional entity shall provide a comparison of the current year responses to the historical responses. For years two, three and four, the jurisdictional entities shall show historical responses for two, three and four years, respectively. For the fifth year and after, jurisdictional entities shall show comparative responses for the current year and the preceding four years (five years in total).

c) If a question is deleted, then it shall not be necessary to present historical information in the annual report for the deleted question.

d) If a question is modified, then the modified question shall establish a new baseline of responses and serve as a point of comparison for future responses.

e) For modified questions, after the first year, each jurisdictional entity shall provide a comparison of the current year responses to the historical responses. For years two, three and four, the jurisdictional entities shall show historical responses for two, three and four years, respectively. For the fifth year and after, jurisdictional entities shall show comparative responses for the current year and the preceding four years (five years in total).

History

• Source: Added at 24 Ill. Reg. 12914, effective September 1, 2000

83 Ill. Adm. Code 411.360 Executive Summary

Jurisdictional entities shall submit, in accordance with Section 411.160, an executive summary describing in narrative form the meaning of the statistical information derived from the survey results. This executive summary shall be sufficient to communicate to the Commission customers' responses on all the survey questions, with emphasis on:

a) Areas of particular satisfaction and dissatisfaction;

b) Changes over time; and

c) Statistically significant relationships between rating questions and other questions and demographic questions and other questions.

History

• Source: Added at 24 Ill. Reg. 12914, effective September 1, 2000

83 Ill. Adm. Code 411.TABLE A Causes of Interruptions

Interruption Cause Categories

Interruption Code Description

Other Alternative Retail Electric Supplier or Other Utility

Loss of Supply

Operating Event

Jurisdictional Entity/Contractor Personnel-Errors

Unclassified Error

Switching Error

Accident by Jurisdictional Entity

Testing Error

Dig-In by Jurisdictional Entity

Accident by Jurisdictional Entity

Contractor

Dig-In by Jurisdictional Entity

Contractor

Customer

Overload

Customer Request

Customer Equipment

Non-payment of Bill

Tampering with Service

Access to Equipment Denied

Interruptible Service Tariff or Contract

Public

Foreign Object

Fire

Vandalism

Accident by Others

Dig-In by Others

Vehicles

Weather Related

Lightning

Wind

Ice

Extreme Cold

Extreme Heat

Flooding

Animal Related

Wildlife

Birds

Snakes

Squirrels

Other

Tree Related

Tree Contact

Primary

Secondary

Service Drop

Limb Broken

Primary

Secondary

Service Drop

Overhead Equipment Related

Contamination

Malfunction

Broken Fuse Link

Underground Equipment Related

Underground Failure

Contamination

Malfunction

Intentional

Scheduled Construction, Maintenance or Repair

Emergency Repairs

Protection of System Integrity

Transmission and Substation Equipment Related

Contamination

Transmission System Outage

Substation Equipment

Unknown

Unknown*

Other

Other

• This category shall not be used if a reasonable and customary investigation should be expected to determine the proper cause of the interruption for which one of the other categories would be more appropriate.

Part 412 Obligations of Retail Electric Suppliers

83 Ill. Adm. Code 412.10 Definitions

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

"Alternative retail electric supplier" or "ARES" means alternative retail electric supplier as defined in Section 16-102 of the Public Utilities Act.

"ARES sales agent" means any employee, agent, independent contractor, consultant, or other person who is engaged by an ARES to solicit customers to purchase, enroll in or contract for electric power and energy service on behalf of an ARES. ARES sales agent does not include any agent, broker or consultant licensed under Section 16-115C of the Public Utilities Act that is acting as agent for the customer and not soliciting enrollments on behalf of any individual ARES.

"Commission" means the Illinois Commerce Commission.

"Complaint" means an objection made to an ARES by a customer or other entity as to its charges, facilities or service, the disposal of which complaint requires investigation or analysis.

"Customer," when used without additional modifying language, shall mean small commercial retail customers and residential customers collectively, as those terms are defined in this Section.

"Early termination fee" or "ETF" means a fee or penalty for terminating an agreement or contract for electric power and energy service provided by the ARES before the end of the contract term.

"Electric utility" means an electric utility as defined in Section 16-102 of the Public Utilities Act.

"Enrollment" means the process by which an ARES submits or executes a change in a customer’s selection of an electric supplier, enters into and effectuates a contract with a customer to provide the supply portion of electric service and the RES submits a valid direct access service request to the utility to effectuate that contract.

"Fixed rate" means that the per-kWh charge for electric power and energy service remains the same for the term of the contract.

"Goodwill and institutional advertising" means any advertising either on a local or national basis designed primarily to bring the ARES’s name before the general public in such a way to improve the image of the ARES or to promote the ARES or the industry, and that does not:

contain information about prices, terms, or conditions of retail electric supply products or services offered by ARES to customers; or

direct or induce customers to sign up for such products or services.

"Inbound enrollment call" means a telephone call to an ARES sales agent initiated by a customer that results in either an enrollment or a change of provision of that customer's electric power and energy service.

"In-person solicitation" means any sale initiated or conducted when an ARES sales agent is physically present with the customer.

"Letter of Agency" or "LOA" means the document described in Section 2EE of the Consumer Fraud and Deceptive Business Practices Act [815 ILCS 505] and referenced in Section 16-115A of the Public Utilities Act.

"Pending enrollment" means that a valid direct access service request has been submitted by an ARES and accepted by an electric utility, for which the beginning meter read date upon which the switch will become effective has not yet occurred.

"Public Utility" has the same meaning as “public utility” as defined by Section 3-105 of the Act.

"Renewable energy credit" or "REC" means a tradeable credit that represents the environmental attributes of one megawatt hour (1,000 kWh) of energy produced from a renewable energy resource. [20 ILCS 3855/1-10]

"Renewable energy resources" means, according to 42 USC 7372, any energy resource that has recently originated in the sun. "Renewable energy resources" includes energy and its associated renewable energy credit or renewable energy credits from wind, solar thermal energy, photovoltaic cells and panels, biodiesel, anaerobic digestion, crops and untreated and unadulterated organic waste biomass, tree waste, hydropower that does not involve new construction or significant expansion of hydropower dams, and landfill gas produced in Illinois. "Renewable energy resources" does not include the incineration or burning of tires, garbage, general household, institutional, and commercial waste, industrial lunchroom or office waste, landscape waste other than tree waste, railroad crossties, utility poles, or construction or demolition debris, other than untreated and unadulterated waste wood. [20 ILCS 3855/1-10]

"Rescission" or "to rescind" means the cancellation of an agreement or contract with an ARES before the ARES has submitted an enrollment request to the electric utility and/or within 10 calendar days after the date on the electric utility’s written notice to the customer of the switch.

"Residential customer" means a person receiving gas, electric, water or sanitary sewer utility service for household purposes furnished to a dwelling of one or two units that is billed under a residential rate.

"Send" or "Sent", when used in this Part to describe the action to be taken by an Alternative Retail Electric Supplier in sending a document to a customer, may include, if agreed to by the receiving customer, transmission of the document to the customer via electronic delivery (e.g., fax or email).

"Small commercial retail customer" means a nonresidential customer of an electric utility consuming 15,000 kWh or less of electricity annually in its service area. An ARES may remove the customer from designation as a "small commercial retail customer" if the customer consumes more than 15,000 kWh of electricity in any calendar year after becoming a customer of an ARES. In determining whether a customer is a small commercial retail customer, usage by the same commercial customer shall be aggregated to include usage at the same premises, even if measured by more than one meter, and to include usage at multiple premises. Nothing in this Part creates an affirmative obligation on an electric utility to monitor or inform customers or ARES as to a customer's status as a small commercial retail customer as defined by this definition. Nothing in this Part relieves an electric utility from any obligation to provide information upon request to a customer, an ARES, the Commission or others necessary to determine whether a customer meets the classification of small commercial retail customer.

"Third party verification" or "TPV" means the process required by Section 2EE(b) of the Consumer Fraud and Deceptive Business Practices Act [815 ILCS 505] to be used to verify that the customer wants to make a change in electric supplier. An ARES or its agent shall not describe the TPV as having any other purpose.

"Time-of-use rate" means that the per-unit charge for electric power and energy service changes more than once per month.

"Transferred call" means any enrollment call to an ARES in which the customer did not directly dial an ARES. This includes calls that originate as live or automated calls to the customer, who then might select an option that results in the call being forwarded to an ARES sales agent. "Transferred call" does not include enrollment calls in which the customer directly dials an aRES call center and selects to be forwarded to an ARES sales agent from a call center menu or live operator. For purposes of enrollment compliance, transferred calls shall be treated as telemarketing within the meaning of Section 412.130.

"Utility assistance recipient" means a utility customer that received financial assistance in the previous 12 months from either the Low Income Home Energy Assistance Program (LIHEAP), Low Income Home Water Assistance Program (LIHWAP), or that, at the time of enrollment, is participating in the Percentage of Income Payment Plan (PIPP) described in 220 ILCS 5/19-116.

"Utility Electric Supply Price to Compare" or "PTC" means the sum on the day of the disclosure of the electric supply charge and the transmission services charge and shall not include the purchased electricity adjustment. [220 ILCS 5/16-115A(e)(i)]

"Variable rate" means that the per-kWh charge for electric power and energy service changes at any time during the term of the contract but does not change more than once per month.

"Written" or "in writing" means a paper copy. However, when this Part requires information to be "written" or "in writing", an electronic copy satisfies that requirement so long as the customer has agreed to electronic communication.

History

• Source: Amended at 46 Ill. Reg. 19509, effective November 23, 2022

83 Ill. Adm. Code 412.15 Compliance

Each ARES shall be in full compliance with each requirement set forth in this Part on or before May 1, 2023 unless the Commission grants an extension of time to an ARES for cause. Nothing in these rules modifies or limits compliance by the ARES with any requirement set forth in Public Act 101-590 beginning January 1, 2020.

History

• Source: Amended at 46 Ill. Reg. 19509, effective November 23, 2022

83 Ill. Adm. Code 412.20 Waiver

a) The Commission, on application or petition of an ARES or non-ARES electric utility, may grant a temporary or permanent waiver from this Part, or any applicable subsections contained in this Part, in individual cases in which the Commission finds:

1. the provision from which the waiver is granted is not statutorily mandated;

2. no party will be injured by the granting of the waiver; and

3. the rule from which the waiver is granted would, as applied to the particular case, be unreasonable or unnecessarily burdensome.

b) The burden of proof in establishing a right to a waiver shall be on the party seeking the waiver.

History

• Source: Amended at 46 Ill. Reg. 19509, effective November 23, 2022

83 Ill. Adm. Code 412.30 Construction of This Part (repealed)

History

• Source: Repealed at 41 Ill. Reg. 13972, effective November 1, 2017

83 Ill. Adm. Code 412.40 Alternative Electric Supplier Utility Assistance Recipient

An alternative retail electric supplier shall not knowingly submit an enrollment to change a customer’s electric supplier if the electric utility’s records indicate that the customer either received financial assistance in the previous 12 months from the Low Income Home Energy Assistance Program, Low Income Home Water Assistance Program (LIHWAP), or, at the time of enrollment is participating in the Percentage of Income Payment Plan, unless:

a) the customer’s change in electric supplier is pursuant to a government aggregation program adopted in accordance with Section 1-92 of the Illinois Power Agency Act, or

b) the customer’s change in electric supplier is pursuant to a Commission-approved savings guarantee plan as described in the Act. [220 ILCS 5/16-115E]

History

• Source: Added at 46 Ill. Reg. 19509, effective November 23, 2022

83 Ill. Adm. Code 412.80 Application of Subpart B

The provisions of this Subpart shall only apply to an ARES serving or seeking to serve residential or small commercial retail customers, and only to the extent that an ARES provides services to residential or small commercial retail customers.

History

• Source: Former Section 412.100 renumbered to Section 412.80 and amended at 46 Ill. Reg. 19509, effective November 23, 2022

83 Ill. Adm. Code 412.100 Marketing Materials

a) All marketing materials, including, but not limited to, electronic marketing materials, in-person solicitations, and telephone solicitations of retail sale of electric power and energy shall contain information that adequately discloses the prices, terms, and conditions of the products or services and shall disclose the current utility electric supply Price to Compare (“PTC”). [220 ILCS 5/16-115A(e)(i)]

b) All marketing materials, including, but not limited to, electronic marketing materials, in-person solicitations, and telephone solicitations, shall include the following statement:

"(Name of the alternative retail electric supplier) is not the same entity as your electric delivery company. You are not required to enroll with (name of alternative retail electric supplier). Beginning on (effective date), the electric supply price to compare is (price in cents per kilowatt-hour). The electric utility electric supply price will expire on (expiration date). The utility electric supply price to compare does not include the purchased electricity adjustment factor. For more information go to the Illinois Commerce Commission's free website at www.pluginillinois.org."

If applicable, the statement shall also include the following statement:

"The purchased electricity adjustment factor may range between +.5 cents and -.5 cents per kilowatt hour."

[220 ILCS 5/16-115A(e)(i)]

c) Subsections (a) and (b) do not apply to goodwill or institutional advertising.

History

• Source: Former Section 412.100 renumbered to Section 412.80 and new Section added at 46 Ill. Reg. 19509, effective November 23, 2022

83 Ill. Adm. Code 412.105 Use of Utility Logo and Name

a) An ARES shall not use the logo of a public utility in any manner.

b) An ARES shall not use the name of a public utility in any manner that is deceptive or misleading, including, but not limited to, implying or otherwise leading a customer to believe that an ARES is soliciting on behalf of or is an agent of a utility.

c) An ARES shall not use the name, or any other identifying insignia, graphics or wording that has been used at any time to represent a public utility company or its services, to identify, label or define any of its electric power and energy service offers. However, an ARES may state the name of a public electric utility in order to accurately describe the electric utility service territories in which the supplier is currently offering an electric power and energy service.

d) Notwithstanding anything in this Subpart B or elsewhere in this Part 412, an ARES that is an affiliate of an Illinois public utility, and that was doing business in Illinois providing ARES service as of January 1, 2016, may continue to use that public utility's name, logo, identifying insignia, graphics, or wording in its business operations occurring outside the service territory of the public utility with which it is affiliated.

History

• Source: Amended at 46 Ill. Reg. 19509, effective November 23, 2022

83 Ill. Adm. Code 412.110 Minimum Contract Terms and Conditions

The sales contract shall, in plain language, contain the disclosures specified in this Section in 12-point type size or larger, in the order presented in this Section, and in the same language as the sales solicitation. The Uniform Disclosure Statement (UDS), which shall be in the same language as the sales contract and the sale solicitation, shall be appended to the sales contract. The disclosures specified in this Section shall appear at the beginning of the sales contract; no other contract terms, other than the disclosures required under Part 512 if the ARES is also offering natural gas supply, shall precede these disclosures. Any additional contract language shall use 10-point type size or larger. The sales contract shall include the following disclosures:

a) The legal name of the ARES and the name under which the ARES will market its products, if different;

b) The business address of the ARES;

c) The charges for service for the length of the contract by billing month and, if any charges are variable during the term of the contract,

1. an explanation of how the variable charges are determined;

2. the current rate per kWh price and a one-year price history or, if it has been offered for less than one year, the price history for the life of the product;

3. the statement: "Variable. The variable rate may go up or down" followed by one of the following:

A) "and is subject to the savings guarantee described below" if the ARES provides a guarantee of savings pursuant to subsection (j);

B) "and will be less than the Electric Utility’s Price to Compare ("PTC") (plus Purchased Electricity Adjustment) during" and describe the intervals during which the rate is guaranteed to be at or below the Price to Compare or Price to Compare plus Purchased Electricity Adjustment;

C) "and will be equal to the Electric Utility’s Price to Compare (“PTC”) (plus Purchased Electricity Adjustment) during" and describe the intervals during which the rate is guaranteed to equal the Price to Compare or Price to Compare plus Purchased Electricity Adjustment; or

D) "and the rate may be higher than the Electric Utility's Price to Compare ("PTC") during any given period" if none of the above statements apply.

d) For any product for which the price includes a fixed periodic charge that does not change with the customer's usage and does not include all supply and delivery service charges, the ARES shall provide an estimated total price in cents per kWh for electric service using sample monthly usage levels of 500, 1,000 and 1,500 kWh;

e) For any product offered at a fixed monthly charge that does not change with the customer's usage and does not include all supply and delivery service charges, the ARES must provide a statement to the customer stating that the fixed monthly charge is not the total monthly amount for electric service and identifying which charges are not included in the fixed monthly charge;

f) The length of the contract in months, and whether the contract renews automatically, including any applicable renewal clause disclosed in a manner consistent with this Part;

g) The fact that customers shall have a right to terminate their agreements with alternative retail electric suppliers at any time without any termination fees or penalties;

h) If the ARES intends at any point during the term of the contract to seek a deposit or prepayment from the customer, the ARES shall identify whether and under what circumstances a deposit or prepayment will be required, along with a disclosure of the manner in which the deposit or prepayment will be calculated and the circumstances in which the deposit or prepayment will be refunded;

i) Any fees assessed by the ARES to a customer for switching to the ARES;

j) If an ARES represents that a customer will realize savings under any conditions or circumstances, the ARES shall provide a written statement, in plain language, describing the conditions or circumstances that must occur in order for the savings to be realized. The statement shall disclose the entity or entities and price or prices to which the ARES is comparing its own offer for purposes of assessing or calculating savings;

k) A statement that the customer may rescind the agreement by contacting the ARES or the electric utility within 10 calendar days after the date on the electric utility’s written notice to the customer confirming the switch;

l) The following statement: "(Insert name of ARES)is an independent seller of electric power and energy service certified by the Illinois Commerce Commission and (insert name of ARES) is not representing, endorsed by, or acting on behalf of, a utility or a utility program, a consumer group or consumer group program," unless the ARES is, through the consumer group, offering services at prices, terms and conditions that are available solely to members of that organization, followed immediately by "or a governmental body or program of a governmental body", unless the ARES has entered into a contractual arrangement with the governmental body and has been authorized by the governmental body to make the statements;

m) A statement that:

1. the electric utility remains responsible for the delivery of electric power and energy to the customer's premises and will continue to respond to any service calls and emergencies; and

2. the customer will receive written notification from the electric utility confirming a switch of the customer's electricity supplier;

n) The toll-free telephone numbers for the ARES, the electric utility, and the Commission's Consumer Services Division; and

o) The statement: "A summary document entitled 'The Uniform Disclosure Statement' (UDS) is attached to this contract. The UDS has important disclosures, including information about your new rate and your right to end this contract without termination fees or penalties other than charges or fees for devices, equipment, or other non-electrical services. Please read both this contract and the UDS carefully."

History

• Source: Amended at 46 Ill. Reg. 19509, effective November 23, 2022

83 Ill. Adm. Code 412.115 Uniform Disclosure Statement

a) All ARES product offers for customers require a one-page (front and back of one 8.5 x 11 sheet of paper or, if delivered electronically, a file that is printable at 100% scale to such dimensions) Uniform Disclosure Statement (UDS) using the form in Appendix A.

1. All text in the UDS shall be printed in a 12-point type or larger.

2. The UDS may include a logo of the ARES.

3. The UDS shall not contain any items other than those found in Appendix A or described in this Section.

b) The disclosures in the UDS shall conform to Appendix A and shall include the information listed in this subsection (b), in the order listed.

1. Name: The legal name of the ARES and the name under which the ARES will market its products, if different.

2. Address: The ARES' business address and website.

3. Phone: The ARES' toll-free telephone number and hours of availability.

4. Price: The price in cents per kWh, or as otherwise stated below, and the number of months the price stays in effect.

A) If the price is a fixed monthly charge that does not change with the customer's usage, the fixed monthly charge shall be shown in dollars.

B) If the price is a custom price, the UDS shall include the word "custom" and the ARES shall replace "custom" with the price offered to a particular customer once the ARES has determined the custom price for the customer.

C) If the price is tied to a publicly available index or benchmark, the UDS shall state the index or benchmark and include the phrase "Refer to contract."

D) Variable Rate Products: For a variable rate product, the UDS shall state that the current rate per kWh price and a one-year price history, or history for the life of the product if it has been offered less than one year, are available on the ARES’ website and at a toll-free number. An ARES shall not rename a product in order to avoid disclosure of price history. If the price is a price that varies more than once a month, the UDS shall include the phrase "Time-of-use. Refer to contract."

5. Utility Electric Supply Price to Compare ("PTC"). "(Name of the alternative retail electric supplier) is not the same entity as your electric delivery company. You are not required to enroll with (name of alternative retail electric supplier). Beginning on (effective date), the utility electric supply price to compare is (price in cents per kilowatt-hour). The Electric Utility electric supply price will expire on (expiration date). The utility electric supply price to compare does not include the purchased electricity adjustment factor. For more information go to the Illinois Commerce Commission’s free website at www.pluginillinois.org." If applicable, the UDS will also include the following statement: "The purchased electricity adjustment factor may range between +.5 cents and -.5 cents per kilowatt hour."

6. Other Periodic Charges: If the price includes a fixed periodic charge, including any charge that accrues monthly, weekly, or over any other period of time, and that does not change with the customer's usage, that fixed periodic charge shall be disclosed in dollar amounts, shall show the fixed period of time for which that charge occurs, and, unless the fixed periodic charge is monthly, the sum of the charges on a monthly basis.

7. Total Price with Other Periodic Charges: If the price includes a fixed periodic charge, including any charge that accrues monthly, weekly, or over any other period of time, that does not change with the customer's usage, and the fixed periodic charge does not include all supply and delivery service charges, the UDS shall display the total price in cents per kWh at sample usage levels of 500, 1,000 and 1,500 kWh.

8. Length of the Contract: The length of the contract in months.

9. Subsequent Prices after the Initial Price: If the initial price remains in effect for the entire term of the contract, the UDS shall state "N/A" or "Not Applicable." If the price after the initial price does not change for the remainder of the term of the contract, the UDS shall state the price in cents per kWh and the number of months that price will stay in effect. If the price after the initial price is a price that includes a fixed periodic charge that does not change with the customer's usage, and the charge does not include all supply and delivery service charges, the UDS shall display the total price in cents per kWh at sample usage levels of 500, 1,000 and 1,500 kWh. If the price after the initial price is a variable rate that changes at any time, the UDS shall include the following: "Variable. The variable rate may go up or down and the rate may be higher or lower than the electric utility's Price to Compare ("PTC") during any given period."

10. Contract Renewal: The UDS shall disclose whether the contract renews automatically.

11. Rescission: The UDS shall include the following: "You have the right to rescind (stop) your enrollment within 10 calendar days after the date on your electric utility’s written notice confirming the switch of your supplier. You may call us at (insert toll-free number) or your utility at (insert toll-free number) to rescind."

12. Termination: The statement that "You have the right to terminate an agreement with an alternative retail electric supplier (ARES) AT ANY TIME WITH NO TERMINATION FEES AND NO PENALTIES. You may call us at (insert toll-free number) to terminate this contract. The limit on early termination fees and penalties shall not apply to charges or fees for devices, equipment, or other non-electrical services." The preceding portion in capital letters shall be capitalized and in bold.

13. Seller: The UDS shall include the following: "This is a sales solicitation and the seller is (insert ARES name), an independent alternative retail electric supplier. If you enter into a contract with the seller, (insert ARES name) will be your electric supplier. The seller is not endorsed by, representing, or acting on behalf of, a utility or a utility program, a consumer group or a consumer group program, or a governmental body or program of a governmental body, unless the ARES has entered into a contractual arrangement with the governmental body and has been authorized by the governmental body to make the statements.

14. Questions/Information: The UDS shall include the following: "If you have any questions or concerns about this sales solicitation, you may contact the Illinois Commerce Commission's Consumer Services Division at 1-800-524-0795."

15. Date of Solicitation: The UDS shall state the date the customer was solicited.

16. ARES sales agent name and ID: The UDS shall include an ARES sales agent name and ID.

c) The UDS shall be provided in the same language as the solicitation and sales contract.

History

• Source: Amended at 46 Ill. Reg. 19509, effective November 23, 2022

83 Ill. Adm. Code 412.120 In-Person Solicitation

a) An ARES sales agent shall state that the agent represents an independent seller of electric power and energy service certified by the Illinois Commerce Commission and is not employed by, representing, endorsed by, or acting on behalf of, a utility or a utility program, a consumer group or consumer group program, unless the ARES is, through the consumer group, offering services at prices, terms, and conditions that are available solely to members of that organization, or a governmental body or program of a governmental body, unless the ARES has entered into a contractual arrangement with the governmental body and has been authorized by the governmental body to make the statements.

b) When it would be apparent to a reasonable person that a customer's language skills in the language used for the solicitation are insufficient to allow the customer to understand and respond to the information conveyed by the agent in that language, or when the customer or another person informs the agent of this circumstance, the ARES sales agent shall find another representative fluent in the customer's language, use an interpreter, or terminate the in-person contact with the customer. If the ARES sales agent, individually or through an interpreter, makes a sales solicitation in a language other than English for any reason, the ARES sales agent shall present the UDS, sales contract, and third-party verification in the same language as the sales presentation. When the use of an interpreter is necessary, a form consistent with Section 2N of the Consumer Fraud and Deceptive Business Practices Act [815 ILCS 505] must be completed.

c) ARES sales agents who engage in in-person solicitation to sell electric power and energy service offered by the ARES shall display identification on an outer garment. This identification shall be visible at all times and prominently display the following:

1. The ARES sales agent's full name in reasonable size font;

2. An ARES sales agent ID number;

3. A photograph of the ARES sales agent; and

4. The trade name and logo of the ARES the sales agent is representing. If the agent is selling electric power and energy services from multiple ARES to the customer, the identification shall display the trade name and logo of the agent, broker or consultant entity as that entity is defined in Section 16-115C of the Act.

d) The ARES sales agent shall leave the premises at the customer's, owner's or occupant's request. In the absence of local ordinances or regulations, ARES and their agents shall not conduct in-person solicitation at residential dwellings before 9:00 a.m. and after 7:00 p.m. or civil dusk, whichever is earlier.

e) The ARES sales agent shall, during the sales presentation to the customer, verbally disclose the items listed in Section 412.110(a) and (c) through (n) to the customer unless the sales presentation is terminated by the customer before the disclosures are completed. An ARES sales agent may disclose the items in any order, provided that all applicable items are explained to the customer prior to the agent obtaining the customer’s utility account number. An ARES may secure consent to obtain customer-specific usage information for the purposes of pricing a product through a verifiable customer consent or another Commission-approved process.

f) A copy of the UDS described in Section 412.115 and Appendix A is to be left with the customer at the conclusion of the visit, with an explanation that it is a summary of the contract terms, unless a customer refuses to accept a copy. Nothing in this subsection (f) prevents an ARES sales agent from providing the UDS electronically instead of in paper form to a customer upon that customer's request. The ARES sales agent shall also offer, at the time of the initiation of the solicitation, a business card or other material that lists the agent's name, identification number and title, and the ARES' name and contact information, including telephone number.

g) In-person solicitations that lead to an enrollment require a Letter of Agency or a third-party verification (TPV). The Letter of Agency or TPV shall be conducted in the same language that was used in the solicitation and shall include all of the items listed in Section 412.110(a) and (c) through (n). Each disclosure must be made individually to obtain clear acknowledgement of each disclosure. The ARES sales agent must be in a location where the agent cannot hear the customer while the TPV is conducted. The ARES shall not approach the customer after the TPV for a period of 24 hours unless contacted by the customer.

h) The contract shall be sent to the customer within three business days after the electric utility's confirmation to the ARES of an accepted enrollment.

i) The ARES sales agent shall not conduct any in-person solicitations at any building or premises where any sign, notice or declaration of any description whatsoever is posted that prohibits sales, marketing or solicitations; provided, however, that an ARES sales agent may meet with representatives of a small commercial customer and conduct an in-person solicitation at a building or premises where such a notice is posted if an authorized representative of the small commercial customer has previously scheduled an appointment to meet with an agent of the ARES at the building or premises.

j) The ARES sales agent shall obtain consent to enter multi-unit residential dwellings. Consent obtained to enter a multi-unit dwelling from one prospective customer or occupant of the dwelling shall not constitute consent to market to any other prospective customers in the dwelling without separate consent.

k) Upon a customer's request, the ARES shall not conduct any further marketing to that customer until the customer requests to receive further marketing. The ARES shall notify its agents of a customer's request.

History

• Source: Amended at 46 Ill. Reg. 19509, effective November 23, 2022

83 Ill. Adm. Code 412.130 Telemarketing

a) In addition to complying with the Telephone Solicitations Act [815 ILCS 413], an ARES sales agent who contacts customers by telephone for the purpose of selling electric power and energy service shall provide the agent's name and identification number. The ARES sales agent shall state that the agency represents an independent seller of electric power and energy service, certified by the Illinois Commerce Commission. An ARES sales agent shall not state or otherwise imply that the agent is employed by, representing, endorsed by, or acting on behalf of, a utility or a utility program, a consumer group or a consumer group program, unless the ARES is, through the consumer group, offering services at prices, terms and conditions that are available solely to members of that organization, or a governmental body or a program of a governmental body, unless the ARES has entered into a contractual arrangement with the governmental body and has been authorized by the governmental body to make the statements.

b) When it would be apparent to a reasonable person that a customer's language skills in the language of the solicitation are insufficient to allow the customer to understand a telephone solicitation in that language, or the customer or another person informs the agent of this circumstance, the agent must transfer the customer to a representative who speaks the customer's language, if such a representative is available, or terminate the call. When an interpreter is used, a form consistent with Section 2N of the Consumer Fraud and Deceptive Business Practices Act [815 ILCS 505] must be completed.

c) An ARES sales agent shall, during the sales presentation to the customer disclose the items listed in Section 412.110(a) and (c) through (o) and any information included in the UDS required by Section 412.115 that is not included in Section 412.110(a) and (c) through (n). An ARES sales agent may disclose the items in any order so long as all applicable items are explained to the customer during the sales presentation. An ARES may secure consent to obtain customer-specific usage information for the purposes of pricing a product through a verifiable customer consent or another Commission-approved process.

d) Any telemarketing solicitations that lead to a telephone enrollment must be recorded and retained for a minimum of two years. All telemarketing calls that do not lead to a telephone enrollment, but last at least two minutes, shall be recorded and retained for a minimum of six months. The recordings shall be provided upon request to Commission Staff or a customer who has completed a telephone enrollment.

e) For telemarketing that leads to a completed telephone enrollment, a third party verification must be used to authorize a customer's enrollment. The third party verification must require the customer to verbally acknowledge that the customer understands the disclosures required by Section 412.110(a) and (c) through (n). Each item must be disclosed to the customer individually to obtain clear acknowledgment of each disclosure. An ARES sales agent initiating a 3-way conference call or a call through an automated verification system shall drop off the call and shall not participate in or listen to the call, but shall not cause the call to be terminated once the 3-way connection has been established. The ARES shall not contact the customer after the TPV for a period of 24 hours unless contacted by the customer.

f) The UDS and contract shall be sent, in writing, to the customer within three business days after the electric utility's confirmation to the ARES of an accepted enrollment.

g) Upon a customer's request, the ARES shall refrain from any further marketing to that customer. The ARES shall notify its agents of a customer's request.

History

• Source: Amended at 46 Ill. Reg. 19509, effective November 23, 2022

83 Ill. Adm. Code 412.140 Inbound Enrollment Calls

a) An ARES sales agent shall state that the agent represents an independent seller of electric power and energy service certified by the Illinois Commerce Commission. An ARES sales agent shall not state or otherwise imply that agent is employed by, representing, endorsed by, or acting on behalf of, a utility or a utility program, a consumer group or consumer group program, unless the ARES is, through the consumer group, offering services at prices, terms and conditions that are available solely to members of that organization, or a governmental body or program of a governmental body, unless the ARES has entered into a contractual arrangement with the governmental body and has been authorized by the governmental body to make the statements;

b) When it would be apparent to a reasonable person that a caller's language skills are insufficient to allow the customer to understand and respond to a telephone conversation or solicitation in the language spoken by the sales agent, or the customer or another person informs the agent of this circumstance, the agent must transfer the customer to a representative who speaks the customer's language, if such a representative is available, or terminate the call. When an interpreter is used, a form consistent with Section 2N of the Consumer Fraud and Deceptive Business Practices Act [815 ILCS 505] must be completed.

c) The ARES sales agent shall verbally disclose the items listed in Section 412.110(a) and (c) through (n). An ARES sales agent may disclose the items in any order so long as all applicable items are explained to the customer during the sales presentation;

d) All inbound enrollment calls that lead to an enrollment shall be recorded, and the recordings shall be retained for a minimum of two years. An inbound enrollment call that does not lead to an enrollment but lasts at least two minutes shall be retained for a minimum of six months. The recordings shall be provided upon request to Commission Staff or a customer who has completed a telephone enrollment;

e) The ARES shall send the UDS and contract to the customer within three business days after the electric utility's confirmation to the ARES of an accepted enrollment.

History

• Source: Amended at 46 Ill. Reg. 19509, effective November 23, 2022

83 Ill. Adm. Code 412.150 Direct Mail

a) If an ARES sales agent contacts customers for enrollment for electric power and energy service by direct mail, the direct mail material shall include all the disclosures required in Section 412.110(a), (b), and (n) for the service being solicited.

b) Statements in direct mail material shall not claim that the ARES sales agent represents, is endorsed by, or is acting on behalf of, a utility or a utility program, a consumer group or consumer group program, unless the ARES is, through the consumer group, offering services at prices, terms and conditions that are available solely to members of that organization, or a governmental body or program of a governmental body, unless the ARES has entered into a contractual arrangement with the governmental body and has been authorized by the governmental body to make the statements. Statements in direct mail material shall not utilize false, misleading, materially inaccurate or otherwise deceptive language.

c) If a direct mail solicitation includes a written Letter of Agency ("LOA"), the direct mail solicitation shall include the items listed in Section 412.110(a) and (c) through (n) and also the UDS described in Section 412.115. The UDS shall be provided on a separate page from the other marketing materials included in the direct mail solicitation. If a written LOA is being used to authorize a customer's enrollment, the written LOA shall comply with Section 2EE of the Consumer Fraud and Deceptive Business Practices Act [815 ILCS 505] and shall contain a statement that the customer has read and understood each of the disclosures required by Section 412.110(a), (c), and (e) through (m). The LOA to be signed and returned to the ARES shall be separate from the documents containing the Section 412.110 disclosures and from the UDS, such that they can remain with the customer.

d) If the direct mail solicitation allows a customer to enroll by telephone, and the customer elects to do so, Section 412.140 shall apply. If the direct mail solicitation allows a customer to enroll online, and the customer elects to do so, Section 412.160 shall apply.

e) A copy of the contract must be sent to the customer within three business days after the electric utility's confirmation to the ARES of an accepted enrollment.

History

• Source: Amended at 46 Ill. Reg. 19509, effective November 23, 2022

83 Ill. Adm. Code 412.160 Online Marketing

a) Each ARES offering electric power and energy service to customers online shall make all disclosures in Section 412.110 for any services offered through online enrollment before requiring the customer to enter any personal information other than zip code, electric utility service territory, and type of service sought, unless the ARES secures consent to obtain customer-specific information for the purposes of pricing a product through a letter of agency or another Commission-approved method. The ARES' marketing material shall not make any statements that it is a representative of, endorsed by, or acting on behalf of, a utility or a utility program, a consumer group or consumer group program unless the ARES is, through the consumer group, offering services at prices, terms, and conditions that are available solely to members of that organization, or, a governmental body or program of a governmental body, unless the ARES has entered into a contractual arrangement with the governmental body and has been authorized by the governmental body to make the statements.

b) The UDS and contract must be printable in a PDF format and shall be available electronically to the customer.

c) The ARES shall obtain, in accordance with 83 Ill. Adm. Code 453 and Section 2EE(b) of the Consumer Fraud and Deceptive Business Practices Act [815 ILCS 505], an authorization to change ARES that confirms and includes appropriate verification data by encrypted customer input on the ARES website.

d) The enrollment website of the ARES shall, at a minimum, include:

1. All disclosures required by Section 412.110;

2. A statement that electronic acceptance of the terms is an agreement to initiate service and begin enrollment;

3. A statement that the customer should review the contract and/or contact the current supplier to learn if any charges or fees for devices, equipment or other services provided by the utility or ARES are applicable; and

4. An email address and toll-free phone number of the ARES where the customer can express a decision to rescind the contract.

History

• Source: Amended at 46 Ill. Reg. 19509, effective November 23, 2022

83 Ill. Adm. Code 412.165 Rate Notice to Customers

a) Each ARES shall make publicly available on its website, without need for customer login, rates currently available to residential customers, including but not limited to fixed periodic charges and per-kWh charges. The ARES must disclose the period to which the rates will apply. In addition, each ARES shall provide the rate information to its variable and time-of-use rate customers who request it through the ARES' toll-free number. The customer's contract shall contain the website address and toll-free phone number for the customer to obtain variable and time-of-use rate information in accordance with this Section. Additionally, when a customer's rates change during the term of an agreement or contract, the ARES shall make the new rates available to that customer on its website and, if applicable, through the customer's online account at least 30 days prior to the effective date of any rate change applicable for that billing cycle.

b) If the ARES's charges are for residential variable or time-of-use rate customers, the ARES shall use the allotted space on the bill to disclose the customer's variable or time-of-use rate that is in effect at the time the bill is received by the customer and the percentage change, if any, of the variable or time-of-use rate from one monthly billing period to the next. When there is insufficient available allotted space on the bill for the ARES to make these disclosures each month, the ARES shall ensure that no residential variable or time-of-use rate customer receives consecutive monthly bills that fail to disclose upcoming variable or time-of-use rates in the bill's message section.

c) If the ARES bills its residential variable or time-of-use rate customers directly, the ARES shall ensure that those customers' bills always contain the variable or time-of-use rate information described in this Section. Additionally, every ARES that issues a single bill for delivery and supply shall include the electric utility’s price to compare ("PTC") on the bill.

d) If the electric utility's implementation of Section 16-118(d) prevents an ARES from complying with this Section, the ARES shall include a bill message that contains the toll-free phone number and/or website address where the variable or time-of-use rate information can be obtained by the customer. The requirements of subsections (b) and (c) to provide notifications in customer bills do not apply if the ARES sends the notifications required by this subsection via a written communication sent at the same time as the customer's monthly bill.

e) If a residential variable rate customer's rate increases by more than 20% from one monthly billing period to the next, the ARES shall send a separate written, dated, notice to the customer, informing the customer of the upcoming rate change and shall include the electric utility’s PTC.

f) Subsections (a) through (e) shall not apply to contracts that disclose the formula that will allow a customer to determine the variable or time-of-use rate based on a publicly available index or benchmark. For contracts to which subsections (a) through (e) do not apply:

1. The ARES shall provide sufficient information on its website to identify the inputs to the formula used to calculate the variable or time-of-use rate, including the timing and location of the index or benchmark price and any other information necessary to calculate the rate;

2. The ARES shall provide clear and unambiguous information on the index or benchmark and any risks represented by the potential volatility (price spikes) involved in the rate calculations;

3. Notice of the rates shall be available on the ARES's website and by toll-free telephone as soon as reasonably practicable; and

4. For time-of-use rates, high price notifications shall be given when the rate meets or exceeds a level set by the customer; notice shall be given as soon as practicable by telephone, email, or text message, as authorized by the customer.

g) If a contract includes a provision that results in a change to the residential customer's rate plan, including a change from a fixed rate to a variable rate, the ARES shall send a separate written, dated, notice of the upcoming change at least 30 days, but no more than 60 days, prior to the switch. The separate written notice shall include:

1. A statement printed or visible from the outside of the envelope or in the subject line of the email (if customer has agreed to receive official documents by email) that states "Upcoming Rate Plan Change";

2. The bill cycle in which the changes to the rate plan will begin; and

3. A statement in bold lettering, in at least 12-point type, that the rate can change for the remainder of the contract. If the customer is on a plan that changes from a fixed price to a variable price at the end of the contract term or during the contract term, and the customer is eligible for one or more fixed rate offers from the ARES, the ARES shall include information about those offers, including information explaining how to enroll in the offers. The notice shall advise the customer as to whether the customer is subject to an early termination fee after the switch and, if so, the amount of the fee. If the customer is not subject to an early termination fee after the switch to a price that can change, the notice shall so advise the customer.

h) An ARES that currently (i) enrolls residential customers on a variable or time-of-use rate for three consecutive months in any electric utility's service territory , including products that automatically switch or convert to a variable rate during the term of the contract, and/or (ii) automatically renews customers on a variable rate product for three consecutive months in any electric utility’s service territory must, for a variable or time-of-use rate product, disclose on the ARES' website and through a toll-free number the one-year price history, or history for the life of the product if it has been offered less than one year and shall include the electric utility’s PTC. An ARES shall not rename a product in order to avoid disclosure of price history.

i) If the contract includes a rate that changes, or has the potential to change, more than once a month (i.e., time-of-use rate) and if the specific prices per kWh for the duration of the contract are not specified in the contract, subsections (a) through (h) apply, but:

1. The written notice in subsection (e) is required if a change in the time-of-use rate structure leads to a 20% or greater increase in an estimated bill for the customer's next billing cycle based on a reasonable proxy of that customer's usage pattern for the upcoming billing cycle without any modifications to the customer's consumption patterns.

2. The subsection (h) disclosures shall include an example of monthly bills paid by a reasonable proxy of the customer's usage pattern.

j) Subsections (a) through (f) and subsection (h) do not apply to time-of-use rates when the timing and price per kWh for the duration of the contract are clearly and unambiguously specified in the contract.

History

• Source: Amended at 46 Ill. Reg. 19509, effective November 23, 2022

83 Ill. Adm. Code 412.170 Conduct, Training and Compliance of ARES Sales Agents

a) Each ARES shall conduct or cause to be conducted training for individual representatives engaged in in-person solicitation and telemarketing to residential customers on behalf of that ARES prior to conducting any solicitations on the supplier’s behalf. Each ARES shall submit a copy of its training material to the Commission on an annual basis (on or before June 1) and the Commission shall have the right to review and require updates to the material. After initial training, each ARES shall be required to conduct refresher training for its individual representatives every 6 months.

b) Each ARES shall perform or cause to be conducted criminal background checks on all employees and ARES sales agents engaged in in-person solicitation. The ARES shall maintain a record confirming that a criminal background check has been performed on its employees or sales agents in accordance with this Section and shall produce that record on request to Commission Staff.

c) An ARES sales agent shall be knowledgeable of the requirements applicable to the marketing and sale of power and energy service to the customer class being targeted. In addition to this Part, requirements pertaining to the marketing and sales of power and energy service may be found in other rules, the Act and the Consumer Fraud and Deceptive Business Practices Act.

d) All ARES sales agents shall be familiar with electric power and energy services that they sell, including the rates, payment and billing options, the customers' right to cancel, and applicable termination fees, if any. In addition, the ARES sales agents shall have the ability to provide the customer with a toll-free number for billing questions, disputes and complaints, as well as the Commission's toll-free phone number for complaints.

e) ARES sales agents shall not utilize false, misleading, materially inaccurate or otherwise deceptive language or materials in soliciting or providing services. ARES sales agents shall also fully comply with the requirements of Section 412.100, governing Marketing Materials.

f) No ARES agent shall make a record of a customer's electric utility account number unless all applicable disclosures are made to the customer and the customer has agreed to enroll with the ARES; the ARES has secured consent from the customer to obtain customer-specific information for the purpose of pricing a product through a verifiable customer consent or other Commission approved method; or the "record" is a recording required by Sections 412.130 and 412.140.

g) All ARES sales agents shall complete a training program that covers the applicable Sections of this Part. The ARES shall document the training of its sales agents and provide a certification to the Commission, in a format to be specified by Staff, showing that an agent completed the training program prior to a sales agent being eligible to market or sell electricity in Illinois. The ARES shall maintain records of certificates for three years from the date the training was completed. Upon request by the Commission or Commission Staff, an ARES shall provide training materials and training records, including refresher training as described in (a), within seven business days.

h) When an ARES contracts with an independent contractor or vendor to solicit customers on the ARES' behalf, the ARES shall confirm that the contractor or vendor has provided training in accordance with this Section.

i) Each ARES shall monitor marketing and sales activities to ensure that its ARES sales agents are providing accurate and complete information and complying with all laws and regulations.

History

• Source: Amended at 46 Ill. Reg. 19509, effective November 23, 2022

Chapter I Illinois Commerce Commission

Subchapter c Electric Utilities

Part 412 Obligations of Retail Electric Suppliers

83 Ill. Adm. Code 412.180 Records Retention and Availability

a) An ARES must retain, for the longer of two years or the length of the contract, verifiable proof of authorization to change suppliers for each customer. Upon request by the Commission or Commission Staff, the ARES shall provide authorization records within seven business days.

b) Throughout the duration of the contract, and for two years thereafter, the ARES shall retain the customer's contract. Upon the customer's request, the ARES shall provide the customer a copy of the contract via email, U.S. mail or facsimile. The ARES shall send a copy of the contract within seven business days from receipt of the customer’s request if the customer is currently taking service under the contract or within fourteen business days if the customer is not currently taking service under the contract. The ARES shall not charge a fee for the copies if a customer requests fewer than three copies in a 12-month period.

History

• Source: Amended at 46 Ill. Reg. 19509, effective November 23, 2022

83 Ill. Adm. Code 412.190 Renewable Energy Product Descriptions

a) No ARES shall state or imply in any marketing or promotional material that any electric power and energy service marketed or sold by the ARES is "green", "renewable", or "environmentally friendly" or provide any description that conveys the impression that the electric power and energy service has a reduced impact on the environment, unless the ARES purchases and retires the appropriate number of RECs.

b) An ARES marketing "green", "renewable" or "environmentally friendly" electricity offers, or other offers of any description that convey the impression that the electric power and energy service has a reduced impact on the environment, in compliance with subsection (a), shall comply with the following:

1. disclose, on all materials used in the marketing of these offers and on its website, the following information:

A) the total electric power and energy used to supply customers pursuant to the offer, the percentage of electricity paired with RECs;

B) the renewable energy resource type mix (i.e., corresponding percentage of each resource, such as X% wind, X% solar, etc.) represented by the percentage of electricity in subsection (b)(1)(A), of the RECs that were paired with the electric power and energy used in supplying electricity to customers pursuant to each offer;

2. disclose on all materials used in the marketing of these offers and on its website the percentage of electricity paired with renewable energy resources through RECs generated in the State of Illinois that will be used in supplying the electricity to customers pursuant to each offer;

3. if an ARES cannot comply with subsections (b)(1)(C) and/or (b)(2) because it has not committed to particular renewable energy resources and/or has not committed to a particular location or locations of renewable energy resources at the time it markets the offers, the ARES shall disclose this fact in marketing materials and on its website. If the electricity product has been offered for 12 months or more, the ARES shall disclose the renewable energy resource mix (and corresponding percentages of each resource) and percentage of electricity paired with renewable energy resources through RECs generated in the State of Illinois for the electricity product for the previous year. If the electricity product has been offered for fewer than 12 months, the RES must disclose the renewable energy resource mix (and corresponding percentages of each resource) and percentage of electricity paired with renewable energy resources through RECs generated in the State of Illinois that it may purchase for the electricity product;

4. the disclosures required in subsections (b)(1) through (b)(3) shall also apply to offers posted by an ARES on the Commission's PlugInIllinois.org website;

5. within 14 months after enrolling a customer on a "green", "renewable" or "environmentally friendly" offer or offers of any description that convey the impression that the electric power and energy service has a reduced impact on the environment, and annually thereafter, the ARES shall:

A) provide the customer with a written disclosure of the following information for the customer's electric power and energy use:

i) of the customer's total electric power and energy usage, the percentage of electricity paired with;

ii) the renewable energy resource type mix (i.e., corresponding percentage of each resource, such as X% wind, X% solar, etc.) and locations (at a minimum by state) of the RECs that were paired with electricity used by the customer; and

B) upon request, provide Commission Staff with the disclosure referenced in subsection (b)(5)(A) for each offer. In addition, the ARES shall provide to Commission Staff, upon request, verification of the information submitted pursuant to this Section;

6. upon request of Commission Staff, the ARES shall provide verification that the renewable energy credits claimed have been retired; and

7. the annual disclosure requirement of subsection (5) shall apply to "green", "renewable", "environmentally friendly" or similarly phrased claims from ARES serving customers in municipal aggregation programs.

c) For any electric power or energy service marketed or sold by an ARES that is described as "green", "renewable" or "environmentally friendly", or by any term or descriptor of like or similar meaning, the ARES shall retire the appropriate number of RECs.

History

• Source: Amended at 46 Ill. Reg. 19509, effective November 23, 2022

Chapter I Illinois Commerce Commission

Subchapter c Electric Utilities

Part 412 Obligations of Retail Electric Suppliers

83 Ill. Adm. Code 412.200 Application of Subpart C

The provisions of this Subpart shall only apply to an ARES serving or seeking to serve residential or small commercial retail customers and only to the extent the ARES provides services to residential or small commercial retail customers. In addition, Section 412.210 shall apply to non-ARES electric utilities.

History

• Source: Amended at 46 Ill. Reg. 19509, effective November 23, 2022

83 Ill. Adm. Code 412.210 Rescission of Sales Contract

a) The customer may rescind a contract with an ARES without penalty before the ARES submits the enrollment request to the electric utility. Within one business day after processing a valid electronic enrollment request from the ARES, the electric utility shall notify the customer in writing of the scheduled enrollment and provide the name of the ARES that will be providing electric power and energy service. The customer may also rescind the contract with the ARES without penalty within 10 calendar days after the date of the electric utility's notice to the customer. The electric utility shall provide confirmation of an accepted enrollment to the ARES, including the date of the notice to the customer, at the same time that it provides a written enrollment notice to the customer. The written enrollment notice from the electric utility shall state the last day to make a request rescinding the enrollment and provide contact information for the ARES. The written enrollment notice from the electric utility shall also provide information regarding the customer's rights under this Section, including contact information for the utility and the Commission, if the enrollment has been made in error or without the customer's consent.

b) A customer wishing to rescind the pending enrollment with the ARES may do so by contacting either the ARES or the electric utility within 10 calendar days after the effective date of the enrollment shown on the electric utility notice to the customer.

c) If the 10th calendar day falls on a non-business day, the rescission period will be extended through the next business day.

d) In the event the customer provides notice of rescission to the electric utility, the electric utility shall notify the ARES within one business day after processing a valid rescission request from the customer.

History

• Source: Amended at 46 Ill. Reg. 19509, effective November 23, 2022

83 Ill. Adm. Code 412.215 Deposits

Any other provision of this Part notwithstanding, an ARES shall not require a customer deposit if the ARES is selling the receivables for electric power and energy for that customer to the electric utility pursuant to Section 16-118(c) of the Act.

History

• Source: Former Section 412.220 renumbered to Section 412.215 and amended at 46 Ill. Reg. 19509, effective November 23, 2022

83 Ill. Adm. Code 412.220 Termination of Sales Contract

a) Residential and small commercial customers shall have a right to terminate their contracts with alternative retail electric suppliers at any time without any termination fees or penalties. The contract shall disclose the right to terminate and provide a toll-free phone number that the customer may call in order to terminate the agreement. This requirement does not relieve the customer of obligations to pay for services rendered under the contract until service is terminated. The caps on early termination fees and penalties shall not apply to charges or fees for devices, equipment, or other services provided by the utility or alternative retail electric supplier. The ARES shall document and retain for a period of two years all such customer requests to terminate service with the ARES. If unforeseen circumstances delay the transmission of the request to the utility, the ARES must transmit the request to the utility within the following two (2) business days, provided, however, that the ARES must detail the reason for the delay in its records.

b) An ARES must process any Customer’s termination request by transmitting a termination request to the utility within one business day after receipt of the termination request from the customer. The ARES shall document and retain for a period of two years all such customer requests to terminate service with the ARES. If unforeseen circumstances delay the transmission of the request to the utility, the ARES must transmit the request to the utility within the following two business days, provided, however, that the ARES must detail the reason for the delay in its records.

History

• Source: Former Section 412.230 renumbered to Section 412.220 and amended at 46 Ill. Reg. 19509, effective November 23, 2022

83 Ill. Adm. Code 412.230 Contract Renewal

a) Non-Automatic Renewal. The ARES shall clearly and conspicuously disclose any renewal terms in its contracts, including any cancellation procedure. The ARES shall send a notice of contract expiration separate from the bill at least 30 but no more than 60 days prior to the date of contract expiration. Nothing in this Section shall preclude an ARES from offering a new contract to the customer at any other time during the contract period. If the customer enters into a new contract prior to the end of the contract expiration notice period, the notice of contract expiration under this Section is not required. The separate written notice of contract expiration shall include:

1. A statement printed or visible from the outside of the envelope or in the subject line of the email (if customer has agreed to receive official documents by email) that states "Contract Expiration Notice";

2. The anticipated bill cycle in which the existing contract will expire;

3. A full description of the renewal offer, including the date service would begin under the new offer, if a renewal offer was provided. If the new contract's terms differ from the existing contract, the ARES shall include a UDS that identifies the new terms, as well as a side-by-side comparison of the material changes between the existing contract and the new contract; and

4. A statement, in at least 12-point font, that the customer must provide affirmative consent to accept the renewal offer, that establishing service with another ARES can take up to 45 days, and that failure to renew the existing contract or switch to another ARES may result in the customer being reverted to the electric utility default service. The statement shall provide the length of the electric utility tariff minimum stay period, if applicable.

b) Automatic Renewal.

1. In addition to complying with the Illinois Automatic Renewal Act [815 ILCS 601], beginning January 1, 2020, an ARES shall not sell or offer to sell any products or services to a consumer pursuant to a contract in which the contract automatically renews, unless an alternative retail electric supplier provides to the consumer at the outset of the offer, in addition to other disclosures required by law, a separate written statement titled "Automatic Contract Renewal" that clearly and conspicuously discloses in bold lettering in at least 12-point font the terms and conditions of the automatic contract renewal provision, including:

A) the estimated bill cycle on which the initial contract term expires and a statement that it could be later based on when the Electric Utility accepts the initial enrollment;

B) the estimated bill cycle on which the new contract term begins and a statement that it will immediately follow the last billing cycle of the current term;

C) the procedure to terminate the contract before the new contract term applies; and

D) the cancellation procedure. [815 ILCS 505/2EE(c)(7)(A)]

Disclosures compliant with Section 2EE(c)(7)(A) of the Consumer Fraud and Deceptive Business Practices Act [815 ILCS 505] shall constitute compliance with this subsection (b)(1). Nothing in this subsection (b)(1) shall be construed to apply to contracts entered into before January 1, 2020.

2. If the ARES sells or offers to sell the products or services to a consumer during an in-person solicitation or telemarketing solicitation, the disclosures described in subsection (b)(1) shall also be made to the consumer verbally during the solicitation.

3. For contracts that automatically renew after the initial term, the ARES shall send a notice of contract renewal separately from the bill at least 30 days but no more than 60 days prior to the end of the contract term. Nothing in this Section shall preclude an ARES from offering a new contract to the customer at any other time during the contract period. If the customer enters into a new contract prior to the end of the contract renewal notice period, the notice of contract renewal under this subsection is not required. Disclosures compliant with Section 2EE(c)(7)(B) of the Consumer Fraud and Deceptive Business Practices Act, as in force and effect on January 1, 2020, shall constitute compliance with this subsection (b)(3).

c) The separate written notice of contract renewal referenced in subsection (b) shall include a clear and conspicuous disclosure of the contract terms, including a full description of any renewal offers available to the customer. If the new contract's terms differ from the existing contract, the ARES shall provide written notice of the new terms. The ARES shall include the phone number and email address (or internet address if no email address currently exists) to which a customer may submit a consumer inquiry or complaint to the Illinois Commerce Commission and the Office of the Attorney General. The ARES should also include, as is applicable:

1. for a fixed rate or flat bill contract, a side-by-side comparison of the current fixed rate or flat bill to the new fixed rate or flat bill;

2. for a variable rate contract or time-of-use product in which the first month's renewal price can be determined, a side-by-side comparison of the current price and the price for the first month of the new variable or time-of-use price; or

3. for a variable or time-of-use contract based on a publicly available index, a side-by-side comparison of the current formula and the new formula.

d) An alternative retail electric supplier shall not automatically renew a consumer's enrollment after the current term of the contract expires when the current term of the contract provides that the consumer will be charged a fixed rate and the renewed contract provides that the consumer will be charged a variable rate, unless:

1. the alternative retail electric supplier complies with subsection (b); and

2. the customer expressly consents to the contract renewal in writing or by electronic signature at least 30 days, but no more than 60 days, before the contract expires.

e) In addition to sending documentation required by subsection (b)(2) by U.S. Mail or email, an ARES must alert the customer to the information contained in subsection (c)(2) by one additional means of communication. The ARES may provide for the customer's choice one or more options for this additional notification. Permissible forms of notification an ARES may offer include email, text message/SMS, postcards, or phone calls; provided, however, that the policy preference of the Commission is that an ARES use phone calls when an ARES is able to obtain a customer's express written consent to give notice in this manner. An ARES may provide the additional notification by directing the customer to a website that contains the entirety of the information required by subsection (b). Each ARES shall maintain records that the additional notification was sent to the customer for the longer of two years or one year after the customer is no longer served by the ARES.

History

• Source: Former Section 412.240 renumbered to Section 412.230 and amended at 46 Ill. Reg. 19509, effective November 23, 2022

83 Ill. Adm. Code 412.240 Assignment

An ARES that is certified to serve residential or small commercial customers shall not assign an agreement with a customer to any different ARES unless:

a) The new supplier is an ARES certified by the Commission;

b) The new ARES is in compliance with all applicable requirements of the Commission and the electric utility to provide electric service;

c) The customer is given written notice by the ARES of the assignment no less than 30 days prior to the assignment.

d) The written notice shall include contact information for the new supplier, contact information for the default electric supplier should the customer not wish to take service with the new ARES, and contact information for the Commission’s Consumer Services Division; and

e) The Commission’s Customer Service Division and the Office of Retail Market Development are given written notice of the assignment no less than 30 days prior to the assignment. The ARES assigning the contract provides contact information that a customer can use to resolve a dispute.

History

• Source: Former Section 412.250 renumbered to Section 412.240 and amended at 46 Ill. Reg. 19509, effective November 23, 2022

83 Ill. Adm. Code 412.250 Assignment

If an RES is surrendering or otherwise cancelling its certificate of service authority or is no longer seeking to serve certain customers, the RES shall not assign the contract to a different RES unless:

a) The new supplier is an RES;

b) The new RES is in compliance with all applicable requirements of the Commission and the electric utility to provide electric service;

c) The rates, terms and conditions of the contract being assigned do not change during the remainder of the time period covered by the contract; provided, however, the assigned contract may be modified during the term of the contract if the new RES and the retail customer mutually agree to the changes or revisions of the contract after assignment of the contract and so long as the customer is provided the disclosures described in Section 412.110;

d) The customer is given 15 calendar days' prior written notice of the assignment by the current RES; and

e) Prior to the assignment, the new RES provides the customer with a toll-free phone number for billing questions, disputes and complaints.

History

• Source: Amended at 41 Ill. Reg. 13972, effective November 1, 2017

83 Ill. Adm. Code 412.300 Application of Subpart D

The provisions of this Subpart shall only apply to an ARES serving or seeking to serve residential or small commercial retail customers and only to the extent the ARES provides services to residential or small commercial retail customers. In addition, Section 412.320(c)(1)(B) and (c)(1)(E) shall apply to non-ARES electric utilities.

History

• Source: Amended at 46 Ill. Reg. 19509, effective November 23, 2022

83 Ill. Adm. Code 412.310 Required Ares Information

a) Prior to the ARES initiating marketing to residential and small commercial retail customers, and annually on or before June 1 thereafter, the ARES shall file electronically with the Chief Clerk of the Commission the following documents and information:

1. A copy of its bill formats (if it bills customers directly rather than using electric utility consolidated billing) (combined billing for RES services and electric utility services on the electric utility bill);

2. Standard customer contract;

3. Customer complaint and resolution procedures; and

4. The name, telephone number and email address of the company representative whom Commission employees may contact to resolve customer complaints and other matters.

b) If, at the time of its annual filing, there are no changes to the documents or information on file with the Commission in compliance with subsection (a) above, the ARES shall file a document that affirms there are no changes from the prior year’s filing.

c) The ARES must file updated information within 10 business days after changes in any of the documents or information required to be filed by this Section.

d) If the ARES has declared force majeure within the past 10 years on any contracts to deliver electric services, the ARES shall provide notice to the Commission Staff prior to marketing to residential and small commercial retail customers.

e) By May 31, 2020, and every June 30 thereafter, each ARES shall file with the Chief Clerk of the Commission, and provide a copy to the Commission's Consumer Services Division (CSD) and the Office of Retail Market Development (ORMD), the rates that it charged to residential customers in the prior year, including each distinct rate charged and whether the rate was a fixed or variable rate, the basis for the variable rate, and any fees charged in addition to the supply rate, including monthly fees, flat fees, or other service charges. [220 ILCS 5/16-115A(a)(iii)]

History

• Source: Amended at 46 Ill. Reg. 19509, effective November 23, 2022

83 Ill. Adm. Code 412.320 Dispute Resolution

a) The Commission has jurisdiction over any complaint alleging an ARES has violated or is in nonconformance with its obligations under Section 16-115 (Certification) and/or Section 16-115A (Obligation as an ARES), has violated or is in nonconformance with customer contracts, applicable tariffs, and applicable sections of the Act. [220 ILCS 5/16-115B]

b) Complaints may be filed by a consumer or by the Commission on its own motion when it appears that an ARES has provided service not in compliance with Section 2EE of the Consumer Fraud and Deceptive Practices Act [815 ILCS 505].

c) A prospective customer has the right to make a formal or informal complaint to the Commission. An ARES contract cannot impair this right.

d) A customer, including a prospective customer for electric power and energy service may submit a complaint by U.S. mail, facsimile transmission, email or telephone to an ARES. The ARES shall initiate an investigation and advise the complainant of the status or any results of the investigation within 14 calendar days. If the ARES responds to the customer's or prospective customer's complaint verbally, the ARES shall inform the customer or prospective customer of the ability to request and obtain the ARES's response in writing. When the ARES responds, a customer or prospective customer shall be informed of the right to file a complaint with the Commission and the Office of the Illinois Attorney General.

e) Complaints to the Commission

1. Informal Complaints (see 83 Ill. Adm. Code 200.160)

A) The ARES shall inform the complainant of the complainant's ability to file an informal complaint with the Commission's Consumer Services Division (CSD) and provide contact information for the CSD. Informal complaints may be filed with the CSD by phone, via the internet, by fax or by mail. Information required to process a customer's informal complaint includes:

i) The customer's name, mailing and service addresses, and telephone number;

ii) The name of the ARES;

iii) The customer's electric utility and ARES account numbers;

iv) An explanation of the facts relevant to the complaint;

v) The complainant's requested resolution; and

vi) Any documentation that supports the complaint, including copies of bills or terms of service documents.

B) The Commission's CSD may resolve an informal complaint via phone by completing a three-way call involving the customer, the CSD staff and the ARES. If no resolution is reached by phone and a dispute remains, an informal complaint may be sent to the ARES. In the case of the electric utility purchasing the ARES's receivables or electric utility consolidated billing, the ARES shall notify the electric utility of any informal complaint received and the electric utility shall follow the procedures outlined in its billing service agreement with the ARES to withhold collection activity on disputed ARES charges on the customer's bill.

C) The ARES shall investigate all informal complaints and advise the CSD in writing of the results of the investigation within 14 days after the informal complaint is forwarded to the ARES.

D) The CSD shall review the complaint information and the ARES'S response and notify the complainant of the results of the Commission's investigation.

E) While an informal complaint process is pending:

i) The ARES (or the electric utility in the case of the electric utility having purchased the ARES's receivables) shall not initiate collection activities for any disputed portion of the bill until the Commission Staff has closed the informal complaint; and

ii) A customer shall be obligated to pay any undisputed portion of the bill and the ARES (or the electric utility in the case of the electric utility purchasing the ARES's receivables or the utility presenting the ARES' charges on a consolidated bill) may pursue collection activity for nonpayment of the undisputed portion after appropriate notice.

F) The ARES shall keep a record for two years after closure by the CSD of all informal complaints. This record shall show the name and address of the complainant and the date and nature and adjustment or disposition of the informal complaint.

2. Formal Complaints. If the complainant is not satisfied with the results of the informal complaint process, the complainant may file a formal complaint with the Commission pursuant to Section 10-101 of the Act and 83 Ill. Adm. Code 200.170.

3. Disclosure of ARES Level of Customer Complaints. The Commission will, on at least a quarterly basis, prepare summaries of all formal and informal complaints received by it and publish those summaries on its website. The summaries will be in an easy-to-read and user friendly format.

History

• Source: Amended at 46 Ill. Reg. 19509, effective November 23, 2022

83 Ill. Adm. Code 412.330 Failure to Comply

Unless otherwise noted, a violation of this Part shall be subject to the fines and penalties set forth in the Act and in Section 2EE of the Consumer Fraud and Deceptive Business Practices Act [815 ILCS 505].

History

• Source: Amended at 46 Ill. Reg. 19509, effective November 23, 2022

83 Ill. Adm. Code 412.340 Severability

If any provision of this Part is found invalid by a court of competent jurisdiction, the remaining provisions shall remain in full force and effect.

History

• Source: Added at 41 Ill. Reg. 13972, effective November 1, 2017

83 Ill. Adm. Code 412.APPENDIX A Uniform Disclosure Statement

UNIFORM DISCLOSURE STATEMENT

Name:

Address:

Internet Address:

Phone and hours of operation:

Rates and Product Information

Price (in cents/kWh) and number of months this price stays in effect:

Utility Electric Supply Price to Compare (PTC)

(in cents/kWh):

Price:

Effective:

Expires:

(Name of the alternative retail electric supplier) is not the same entity as your electric delivery company. You are not required to enroll with (name of alternative retail electric supplier). Beginning on (effective date), the electric supply price to compare is (price in cents per kilowatt hour). The electric utility electric supply price will expire on (expiration date). The utility electric supply price to compare does not include the purchased electricity adjustment factor. For more information go to the Illinois Commerce Commission’s free website at www.pluginillinois.org. If applicable, the disclosure will also include the following statement: "The purchased electricity adjustment factor may range between +.5 cents and -.5 cents per kilowatt hour."

Other periodic charges:

Total Price (in cents/kWh) with other periodic charges:

500 kWh

1,000 kWh

1,500 kWh

Length of contract:

Price after the initial price:

Contract Renewal

Contract Renewal:

Right to Rescind and Terminate

Rescission:

You have a right to rescind (stop) your enrollment within 10 calendar days after the date on your electric utility's written notice confirming the switch of your supplier. You may call us at (toll-free number) or your utility at (toll-free number) to rescind.

Termination:

You have the right to terminate an agreement with an alternative retail electric supplier AT ANY TIME WITH NO TERMINATION FEES AND NO PENALTIES. You may call us at (insert ARES toll-free number) to terminate this contract. The limit on early termination fees and penalties shall not apply to charges or fees for devices, equipment, or other services provided by the alternative retail electric supplier.

This is a sales solicitation and the seller is (insert ARES Name), an independent retail electric supplier. If you enter into a contract with the seller, (insert ARES name) will be your retail electric supplier. The seller is not endorsed by, representing, or acting on behalf of, a utility or utility program, a consumer group or consumer group program, unless the ARES is, through the consumer group, offering services at prices, terms and conditions that are available solely to members of that organization, or a governmental body or program of a governmental body, unless the ARES has entered into a contractual arrangement with the governmental body and has been authorized by the governmental body to make the statements.

If you have any concerns or questions about this sales solicitation, you may contact the Illinois Commerce Commission's Consumer Services Division at 800-524-0795. For information about the price to compare (PTC)of your electric utility and offers from other retail electric suppliers, please visit PlugInIllinois.org.

Date:

Agent Name/ID:

History

• Source: Amended at 46 Ill. Reg. 19509, effective November 23, 2022

83 Ill. Adm. Code 415.10 Adoption of 18 CFR 101 by Reference

The Illinois Commerce Commission ("Commission") adopts 18 CFR 101, as of January 1, 2025, as its uniform system of accounts for electric utilities, subject to the exceptions set forth in Section 415.200 et seq. of this Part. No incorporation in this Part includes any later amendment or edition.

History

• Source: Amended at 50 Ill. Reg. 9821, effective July 6, 2026

Chapter I Illinois Commerce Commission

Subchapter c Electric Utilities

Part 415 Uniform System of Accounts for Electric Utilities

83 Ill. Adm. Code 415.20 Adoption of 18 Cfr 116 by Reference (repealed)

History

• Source: Repealed at 23 Ill. Reg. 1346, effective February 1, 1999

83 Ill. Adm. Code 415.200 Definitions

Definition 7, "Commission," is deleted and replaced by the following: "'Commission' means the Illinois Commerce Commission when not otherwise indicated in the context." References to "Commission" in relation to "licensed projects" under the provisions of the Federal Power Act shall be construed to refer to the Federal Energy Regulatory Commission.

83 Ill. Adm. Code 415.210 General Instruction 1

General Instruction 1, "Classification of Utilities," is deleted and replaced by the following:

"A. This system of accounts applies to all utilities; provided, however, if in the opinion of any utility having annual operating revenues of less than $10,000,000, this system of accounts should prove to be unduly burdensome, such utility may, with the approval of the Director of Accounting of the Commission, group or combine certain accounts herein in order that the accounting requirements for small utilities may conform more nearly to the nature and volume of business transacted. Requests to group or combine accounts shall be made in writing, including a statement of the proposed modifications. In determining whether this system of accounts is unduly burdensome with respect to a utility, the Director of Accounting shall consider, among other things, whether compliance will require additional resources. The Director of Accounting shall make this determination within six months of receiving the written request. Having obtained such approval, the utility shall continue to use the system as modified on a consistent basis.

B. For purposes of implementation, all electric utilities subject to Illinois Commerce Commission jurisdiction shall be regarded as "major" utilities. Account designations, instructions, interpretations, and references to "nonmajor" utilities will not apply.

C. The Commission does not commit itself to the approval or acceptance of any item set out in any account, for the purpose of fixing rates or in determining other matters before the Commission."

History

• Source: Amended at 22 Ill. Reg. 6647, effective April 1, 1998

83 Ill. Adm. Code 415.250 General Instruction 5

In General Instruction 5, "Submittal of Questions," the phrase "Director of Accounting of the" is added between "the" and "Commission."

History

• Source: Amended at 18 Ill. Reg. 10692, effective July 1, 1994

83 Ill. Adm. Code 415.270 General Instruction 7 (repealed)

History

• Source: Repealed at 18 Ill. Reg. 10692, effective July 1, 1994

83 Ill. Adm. Code 415.280 General Instruction 7.1 (repealed)

History

• Source: Repealed at 18 Ill. Reg. 10692, effective July 1, 1994

83 Ill. Adm. Code 415.330 General Instruction 12 (repealed)

History

• Source: Repealed at 9 Ill. Reg. 4016, effective April 1, 1985

83 Ill. Adm. Code 415.340 General Instruction 13

In General Instruction 13, "Accounting for Other Departments," the term "proper authority" is deleted and replaced by the phrase "the Commission."

83 Ill. Adm. Code 415.380 General Instruction 17

In General Instruction 17, "Long-Term Debt: Premium, Discount and Expense, and Gain or Loss on Reacquisition," in Paragraph J, "Alternate method," the phrase "Where a regulatory authority or group of regulatory authorities having prime rate jurisdiction over the utility" is deleted and replaced by the phrase "When the Commission."

83 Ill. Adm. Code 415.390 General Instruction 18

In General Instruction 18, "Comprehensive Interperiod Income Tax Allocation," in Paragraph B, the phrase "regulatory authority having rate jurisdiction over the utility" is deleted and replaced by the word "Commission".

83 Ill. Adm. Code 415.410 General Instruction 20

In General Instruction 20, "Accounting for leases" in paragraph A, second sentence the phrase which reads "is effective January 1, 1984" is replaced with "was effective August 15, 1985". In the third sentence of this paragraph, the phrase "reporting to the FERC," is amended to read "reporting to the Commission."

History

• Source: Amended at 22 Ill. Reg. 11553, effective August 1, 2007

83 Ill. Adm. Code 415.411 General Instruction 21

a) In Paragraph A, the following sentences are added:

"Allowances allocated from any authoritative regulatory agency held for operational purposes shall be recorded in Account 158.1, Allowance Inventory, and shall not be recorded in or later transferred to Account 124, Other Investments."

b) In Paragraph B, the following sentence is added:

"An emission allowance allocated from any authoritative agency held for speculative purposes initially recorded in Account 124, Other Investments, may not be later transferred to Account 158.1, Allowance Inventory."

c) In Paragraph C, the following sentence is added:

"The cost of allowances shall include any direct cost of acquisition, such as broker fees or sales commissions, but shall not include indirect expenses such as legal fees to draw up the allowance purchase contract."

d) Paragraph I is deleted and replaced by the following:

"I. Gains on dispositions of allowances and environmental credits, other than those held for speculative purposes, shall be accounted for as follows. First, if there is uncertainty as to the regulatory treatment, the gain shall be deferred in Account 254, Other Regulatory Liabilities, pending resolution of the uncertainty. Second, if there is certainty as to the existence of a regulatory liability, the gain will be credited to Account 254, with subsequent recognition in Account 411.8, Gains from Disposition of Allowances, which, at the utility's option, can be recognized in equal amounts over a period not to exceed twelve months. Third, all other gains will be credited to Account 411.8, Gains from Disposition of Allowances, or Account 411.11, Gains from Disposition of Environmental Credits. Losses on disposition of allowances and environmental credits, other than those held for speculative purposes, shall be accounted for as follows. Losses that qualify as regulatory assets shall be charged directly to Account 182.3, Other Regulatory Assets. All other losses shall be charged to Account 411.9, Losses from Disposition of Allowances, or Account 411.12, Losses from Disposition of Environmental Credits, which, at the utility's option, can be recognized in equal amounts over a period not to exceed twelve months. (See Definition No. 31.) Gains or losses on disposition of allowances and environmental credits held for speculative purposes shall be recognized in Account 421, Miscellaneous Nonoperating Income, or Account 426.5, Other Deductions, as appropriate."

History

• Source: Amended at 50 Ill. Reg. 9821, effective July 6, 2026

Chapter I Illinois Commerce Commission

Subchapter c Electric Utilities

Part 415 Uniform System of Accounts for Electric Utilities

83 Ill. Adm. Code 415.420 Electric Plant Instruction 2 (repealed)

History

• Source: Repealed at 18 Ill. Reg. 10692, effective July 1, 1994

83 Ill. Adm. Code 415.430 Electric Plant Instruction 3

In Electric Plant Instruction 3, "Components of Construction Cost," the changes set forth in the remainder of this Section are made.

a) In Paragraph (17)(b), the words "Federal Energy Regulatory" are added between "the" and "Commission's".

b) The following is added at the end of Paragraph (17)(b):

"If the balance for S (Short-term debt balances) exceeds the balance for W (Average balance in construction work in progress plus nuclear fuel in process of refinement, conversion, enrichment and fabrication), the maximum total AFUDC rate to be utilized will be the weighted average short-term debt rate. In instances where this occurs, the entire credit for AFUDC will be recorded in Account 432, Allowance for borrowed funds used during construction – credit."

c) The following is added as Paragraph (17)(c):

"(c) All deviations from the AFUDC formula shown in Electric Plant Instruction 3(17)(a) above must have approval from the Commission before implementation. In determining whether to approve such deviations, the Commission will consider the degree to which current securities issues have changed the embedded cost included in the annual computation provided in the formula."

History

• Source: Amended at 28 Ill. Reg. 334, effective December 31, 2003

83 Ill. Adm. Code 415.450 Electric Plant Instruction 5 (repealed)

History

• Source: Repealed at 18 Ill. Reg. 10692, effective July 1, 1994

83 Ill. Adm. Code 415.470 Electric Plant Instruction 7

In Electric Plant Instruction 7, "Land and Land Rights," in Paragraph E, the phrase "411.6, Gains from Disposition of Utility Plant, or 411.7, Losses from Disposition of Utility Plant when such property has been recorded in Account 105, Electric Plant Held for Future Use, otherwise to account" is deleted.

83 Ill. Adm. Code 415.500 Electric Plant Instruction 10

In Electric Plant Instruction 10, "Additions and Retirements of Electric Plant," in Paragraph E, the phrase "411.6, Gains from Disposition of Utility Plant, or 411.7, Losses from Disposition of Utility Plant when the property has been recorded in Account 105, Electric Plant Held for Future Use, otherwise to accounts" is deleted.

83 Ill. Adm. Code 415.940 Income Chart of Accounts

In the Income Chart of Accounts, Account 426.1, "Donations," is deleted.

83 Ill. Adm. Code 415.970 Operation and Maintenance Expense Chart of Accounts

In the Operation and Maintenance Expense Chart of Accounts, Account 914 and the caption "Revenues from merchandising, jobbing and contract work" are added, and Account 915 and the caption "Cost and expenses of merchandising, jobbing and contract work" are added.

83 Ill. Adm. Code 415.1020 Account 102 (repealed)

History

• Source: Repealed at 18 Ill. Reg. 10692, effective July 1, 1994

83 Ill. Adm. Code 415.1050 Account 105

In Account 105, "Electric plant held for future use," changes set forth in the remainder of this Section are made.

a) The last sentence of Paragraph D is deleted, and in the first sentence of Paragraph D, the phrase "411.6 or 411.7, as appropriate, except when determined to be significant by the Commission" is deleted and replaced by the following phrase: "421.1 or 421.2, as appropriate, except as otherwise authorized or determined by the Commission. In determining whether to allow such an exception, the Commission shall consider, among other things, the prior rate treatment of the asset involved, the purpose for which the asset is used, and the length of time the asset is held."

b) The following is added as Paragraph F: "F. Gains or losses from abandonment shall be recorded in Account 434 or 435 as may be appropriate unless otherwise directed by the Commission. In determining whether to direct alternate recording, the Commission shall consider, among other things, the history of the land parcel, and the reason for abandonment."

c) Paragraph C is deleted in its entirety.

History

• Source: Amended at 9 Ill. Reg. 4016, effective April 1, 1985

83 Ill. Adm. Code 415.1080 Account 108 (repealed)

History

• Source: Repealed at 18 Ill. Reg. 10692, effective July 1, 1994

83 Ill. Adm. Code 415.2010 Accounts 201, 202, 203, and 204

In Account 201, Common Stock Issued, Account 202, Common Stock Subscribed, Account 203, Common Stock Liability for Conversion, and Account 204, Preferred Stock Issued, the following changes are adopted:

a) Identify the NOTE as NOTE A.

b) Adopt the following as NOTE B:

"Records with respect to this account shall be maintained so as to identify the amount of discount, including underwriting discounts recorded in this account. The records shall be kept so as to show separately the amount of discount on common stock issuances and preferred issuances. Amounts which have been recovered through rates shall also be identified separately. The details of this account as to amounts of discount on common and preferred stock issuances and amounts recovered through rates shall be disclosed in the annual report to the Commission (ICC Form 21). This procedure may be followed for existing common stock expenses which have not been recovered through rates as of December 31, 1993."

History

• Source: Added at 18 Ill. Reg. 10692, effective July 1, 1994

83 Ill. Adm. Code 415.2070 Account 207

In Account 207, Premium on Capital Stock, add the following as NOTE A:

"Records with respect to this account shall be maintained so as to identify the amount of discount, including underwriting discounts recorded in this account. The records shall be kept so as to show separately the amount of discount on common stock issuances and preferred issuances. Amounts which have been recovered through rates shall also be identified separately. The details of this account as to amounts of discount on common and preferred stock issuances and amounts recovered through rates shall be disclosed in the annual report to the Commission (ICC Form 21). This procedure may be followed for existing common stock expenses which have not been recovered through rates as of December 31, 1993."

History

• Source: Added at 18 Ill. Reg. 10692, effective July 1, 1994

83 Ill. Adm. Code 415.2110 Account 211

In Account 211, Miscellaneous Paid In Capital, delete the word "all" in the last sentence of the first paragraph.

History

• Source: Added at 18 Ill. Reg. 10692, effective July 1, 1994

83 Ill. Adm. Code 415.2140 Account 214

In Account 214, Capital Stock Expense, add the following to NOTE B:

"The utility may elect to delay amortization of common stock expenses until the Commission determines the recoverability of such expenses through rates. In any case, only those common stock expenses which remain unrecovered through rates shall be recorded in this account. Common stock expenses, which have been recovered through rates, shall be amortized to Account 211, Miscellaneous Paid-In-Capital. This procedure may be followed for existing capital stock expenses which have not been recovered through rates as of December 31, 1993."

History

• Source: Added at 18 Ill. Reg. 10692, effective July 1, 1994

83 Ill. Adm. Code 415.4118 Account 411.8

The following is added to the last sentence in this Section:

"or in the appropriate deferred tax accounts such as Account 410.1 or 411.1 to recognize IRS tax requirements."

History

• Source: Added at 18 Ill. Reg. 17996, effective December 15, 1994

83 Ill. Adm. Code 415.4119 Account 411.9

The following is added to the last sentence in this Section:

"or in the appropriate deferred tax accounts such as Account 410.1 or 411.1 to recognize IRS tax requirements."

History

• Source: Added at 18 Ill. Reg. 17996, effective December 15, 1994

83 Ill. Adm. Code 415.4160 Account 416

In Account 416, "Costs and expenses of merchandising, jobbing and contract work," Note 1 is deleted and replaced by the following: "NOTE 1: Classification between operating and nonoperating functions will depend upon the nature of the revenues, costs and expenses. Refer to Accounts 914 and 915 for operating function classification."

83 Ill. Adm. Code 415.4261 Account 426.1 (repealed)

History

• Source: Repealed at 28 Ill. Reg. 334, effective December 31, 2003

83 Ill. Adm. Code 415.4390 Account 439

Account 439, "Adjustments to retained earnings." The phrase "Director of Accounting of the" is added before "Commission."

History

• Source: Amended at 18 Ill. Reg. 10692, effective July 1, 1994

83 Ill. Adm. Code 415.5180 Account 518

In Account 518, "Nuclear fuel expense," the following is added as Paragraph E: "E. This account shall also include provisions for storage and disposal of spent nuclear fuel including spent fuel disposal fees."

83 Ill. Adm. Code 415.9140 Accounts 914 and 915

Accounts 914 and 915 are added as set forth in Appendix G, Exhibit A.

83 Ill. Adm. Code 415.9302 Account 930.2 (repealed)

History

• Source: Repealed at 28 Ill. Reg. 334, effective December 31, 2003

83 Ill. Adm. Code 415.APPENDIX G Operation and Maintenance Expense Accounts

Section 415.EXHIBIT A Accounts 914 and 915

914 Revenues from merchandising, jobbing and contract work.

915 Costs and expenses of merchandising, jobbing and contract work.

A. These accounts shall include respectively all revenues derived from the sale of merchandise and jobbing or contract work and all expenses incurred in such activities.

B. Records in support of these accounts shall be so kept as to permit summarization of revenues, costs and expenses by major items.

ITEMS

Account 914:

1. Revenues from sale of merchandise and from jobbing and contract work.

2. Discounts and allowances made in settlement of bills from merchandise and jobbing work.

Account 915:

Labor:

1. Canvassing and demonstrating appliances in homes and other places for the purpose of selling appliances.

2. Demonstrating and selling activities in sales rooms.

3. Installing appliances on customer premises where such work is done only for purchasers of appliances from the utility.

4. Installing pipe, or other property work on a jobbing or contract basis.

5. Preparing advertising materials for appliance sale purposes.

6. Receiving and handling customer orders for merchandise for jobbing services.

7. Cleaning and tidying sales rooms.

8. Maintaining display counters and other equipment used in merchandising.

9. Arranging merchandise in sales rooms and decorating display windows.

10. Reconditioning repossessed appliances.

11. Bookkeeping and other clerical work in connection with merchandise and jobbing activities.

12. Supervising merchandising and jobbing operations.

Materials and Expenses:

13. Advertising in newspapers, periodicals, radio, television, etc.

14. Cost of merchandise sold and of materials used in jobbing work.

15. Stores expenses on merchandise and jobbing stocks.

16. Fees and expenses of advertising and commercial artists' agencies.

17. Printing booklets, dodgers, and other advertising data.

18. Premiums given as inducement to buy appliances.

19. Light, heat, and power.

20. Rent of sales rooms or of equipment.

21. Transportation expense in delivery and pick-up of appliances by utility's facilities or by others.

22. Stationery and office supplies and expenses.

23. Taxes directly assignable to merchandising and jobbing operations.

24. Losses from uncollectible merchandising and jobbing accounts.

Note A: Classification between operating and nonoperating functions will depend upon the nature of the revenues, costs and expenses. Refer to Accounts 415 and 416 for non-operating function classification.

Part 416 Accounting for Non-Public Utility Business of Electric Utilities

83 Ill. Adm. Code 416.10 Maintenance of Books and Records and Commission Access

a) Electric utilities shall maintain all accounts, irrespective of whether the activity, transaction, or other matter being accounted for constitutes public utility business, in accordance with 83 Ill. Adm. Code 415, Uniform System of Accounts for Electric Utilities.

b) Activities, transactions and other matters pertaining to business other than public utility business shall be recorded in subaccounts of the accounts established in 83 Ill. Adm. Code 415. Allocations of revenues and charges made between the operations of the public utility business and the business other than public utility business shall be made to the principal utility account and to a subaccount created specifically for the non-public utility business. If an electric utility uses a method other than subaccounts to identify revenues and expenses related to certain functions, activities, or projects of the public utility business, it is appropriate for the electric utility to use the same method to identify revenues and expenses related to each non-utility business.

83 Ill. Adm. Code 416.20 Cost Allocation Guidelines

a) Written guidelines for allocating revenues and charges between the public utility business and the business other than public utility business shall be submitted to the Director of Accounting of the Commission for approval by February 12, 1998 unless the public utility conducts public utility business only or unless the public utility previously has submitted such guidelines.

b) When a public utility that does not conduct any business other than public utility business as of January 13, 1998 begins to conduct such other business after January 13, 1998, the public utility shall submit the guidelines for allocating revenues and charges between the public utility business and such other business prior to the initiation of such other business. These guidelines shall be submitted to the Director of Accounting of the Comission. If the Director of Accounting finds that the cost allocation guidelines provide a subsidy to the non-public utility business, the Director of Accounting will notify the electric utility in writing, and the electric utility will have 45 days to respond.

83 Ill. Adm. Code 416.30 Internal Audits

a) Public utilities shall conduct biennial internal audits, or internal audits conducted by independent public accountants, of the accounting for the business other than public utility business. These audits shall test compliance with this Part, with the cost allocation guidelines submitted to the Director of Accounting of the Commission, with any applicable Commission orders, and with 83 Ill. Adm. Code 415. The audits shall include written reports of conclusions and associated workpapers which shall be available to the Commission Staff for review. The audit reports shall be submitted to the Commission's Director of Accounting within 30 days of completion.

b) The first such internal audit report shall be submitted to the Director of Accounting of the Commission on or before December 1, 1998. Succeeding audit reports shall be submitted to the Director of Accounting of the Commission on or before December 1 of each succeeding even numbered year.

Part 418 Municipal Electric Tax Rates

83 Ill. Adm. Code 418.10 Purpose

Section 8-11-2 of the Illinois Municipal Code (Code) [65 ILCS 5/8-11-2] has been amended by Public Act 90-561. The amendment takes effect August 1, 1998 and, over the period from August 1, 1998 to the end of 2000, changes the municipal tax on electric utility gross receipts to a tax on end-users imposed on the basis of kilowatt-hours of electricity used or consumed within the municipality. The purpose of this Part is to establish rules governing requests for Illinois Commerce Commission (Commission) promulgation of alternative maximum municipal electric tax rates under Section 8-11-2 of the Code, and to clarify the obligations of electric utilities with respect to the amendments to that Section of the Code. The Commission seeks to provide municipalities with a method of designing tax rates that will match the tax revenues that could have been derived from classes of customers, defined on the basis of the usage categories set forth in Section 8-11-2 of the Code, under the percentage of purchase price tax in place in 1997. Mindful of the substantial variation in the customer profiles of the municipalities that impose an electricity tax, the Commission also wishes to allow for the consideration of alternative rates that are consistent with Section 8-11-2 of the Code and that address local conditions.

83 Ill. Adm. Code 418.15 Partial Suspension of 83 Ill. Adm. Code 200

Given the potential for numerous requests pursuant to this Part, the need to provide tax rates for municipal use as expeditiously as possible, and the 90-day deadline for Commission action set forth in Section 8-11-2 of the Code, the Commission hereby determines that good cause exists for the suspension of its Rules of Practice (83 Ill. Adm. Code 200) for purposes of considering municipal requests filed under Section 8-11-2 of the Code, except as specifically made applicable by this Part.

83 Ill. Adm. Code 418.20 Definitions

"Bill distribution" means a calculation, based on bills issued for 1997, that provides the total kilowatt-hours of electric energy distributed, supplied, furnished or sold for use or consumption within the corporate limits of a municipality, and not for resale, by an electric utility for the year of 1997. Such total kilowatt-hours shall be set forth by the class selected, and distributed within each of the 10 categories set forth in Section 8-11-2(3) of the Code (see Public Act 90-561), as those kilowatt-hours were billed to the customers during each month or billing cycle of the year.

"Bill frequency" means a calculation, based on bills issued for 1997, that provides the total kilowatt-hours of electric energy distributed, supplied, furnished or sold for use or consumption within the corporate limits of a municipality, and not for resale, by an electric utility for the year of 1997. Such total kilowatt-hours shall be set forth in terms of actual usage within each of the 10 categories set forth in Section 8-11-2(3) of the Code (see Public Act 90-561), as those kilowatt-hours were billed to the customers during each month or billing cycle of the year.

"Declining block tax rate" means a set of rates for the 10 usage categories established in Section 8-11-2(3) of the Code in which the rate for the first 2,000 kilowatt-hours used or consumed within a month is the highest rate, and the rate for each other category is greater than zero but less than the rate for the category immediately preceding it.

"Electric utility" means an individual, firm, trust, estate, partnership, association, joint stock company, joint venture, corporation, limited liability company, municipal corporation or political subdivision of the State of Illinois, or a receiver, trustee, guardian or other representative appointed by order of any court, that was, during calendar 1997, engaged in the business of distributing, supplying, furnishing, or selling electricity for use or consumption within the corporate limits of the municipality, and not for resale.

"Gross receipts" has the same meaning as that set forth in Section 8-11-2 of the Code immediately prior to December 16, 1997, the effective date of Public Act 90-561.

83 Ill. Adm. Code 418.100 Requirements Applicable to All Requests for Promulgation of Rates

a) All requests for the promulgation of alternate rates under Section 8-11-2 of the Code shall be submitted to: The Chief Clerk, Illinois Commerce Commission, 527 East Capitol Avenue, Springfield, Illinois 62706. For purposes of the deadline specified in Section 8-11-2 of the Code, receipt of the request shall be deemed to have occurred when the request arrives in the Chief Clerk's Springfield office. Upon request and submission of a copy for return, along with a postage prepaid self-addressed envelope, a date-stamped copy will be returned to the requesting municipality.

b) All requests shall include the following documents and information:

1. A copy of the ordinance, resolution, or minutes of a meeting of the corporate authorities, reflecting a vote specifically authorizing the request;

2. For calendar 1997, the municipality's tax revenues under Section 8-11-2(3) of the Code as in effect during 1997, as billed at the tax rate in effect during 1997 by the electric utility providing service within the corporate limits of the municipality (or, if the tax rate changed during 1997, calculated as though the rate in effect on December 31, 1997 had been in effect for the entire year), which amount shall not include the additional 3% charge permitted by Section 9-221 of the Public Utilities Act [220 ILCS 5/9-221];

3. A statement of the method of calculation requested by the municipality, which shall be one of the methods described in Section 418.110 or 418.120, as well as the information required by the Section the municipality chooses;

4. The name, address, telephone number, and facsimile telephone number of the person to be contacted under Section 418.130, both for the requesting municipality and for the relevant electric utility;

5. If the municipality intends to apply tax rates that recover an amount at a percentage equivalent different from the actual percentage tax rate in effect on December 31, 1997, the desired percentage tax rate equivalent; and

6. A bill frequency for the residential customer class, defined by reference to Account 440 of the Uniform System of Accounts for Electric Utilities (83 Ill. Adm. Code 415), and a bill frequency for a class consisting of all other customers.

c) All requests shall be verified and all data used in the calculations required by this Part shall be supported by affidavit or other form of verification establishing that the information was derived from records the municipality received from the electric utility providing service within its corporate limits.

d) A municipality, electric utility, or customer may request confidential treatment for information filed with the Commission pursuant to this Part. The information shall be maintained on a confidential basis unless a request is challenged and the challenge is upheld by the Commission.

83 Ill. Adm. Code 418.110 Ten Consumption Block Method

A municipality seeking rates set under this method shall supply the following information with its filing:

a) A bill frequency showing the usage or consumption of electricity within the corporate limits of the municipality within each of the 10 categories set forth in Section 8-11-2(3) of the Code billed during 1997;

b) Tax revenues for 1997, either as billed or as estimated, in accordance with the following:

1. The greater of total tax revenue billed for 1997 or the tax revenue that could have been billed at the tax rate in effect on December 31, 1997, allocated among each of 10 classes of purchasers established by reference to the usage categories set forth in Section 8-11-2(3) of the Code; or

2. For a municipality that did not have an electric tax in effect on December 31, 1997, estimated tax revenues based upon the 1997 gross receipts billed within the municipality multiplied by the tax rate requested under Section 418.100(b)(5), not to exceed 5%, allocated among each of 10 classes of purchasers established by reference to the usage categories set forth in Section 8-11-2(3) of the Code;

c) A declining block tax rate for each of the 10 categories that reflects, as closely as reasonably practical for the municipality, the distribution of the tax among the 10 classes of purchasers, based on 1997 usage or consumption, as if the tax were based on a uniform percentage of the purchase price of electricity, making adjustments as necessary to provide a rate for all kilowatt-hour categories and to maintain the declining block structure; and

d) Brief documentary or narrative support for the recommended tax rates, which shall include a bill distribution for the method used if different from subsection (a).

83 Ill. Adm. Code 418.120 Other Method

A municipality seeking Commission promulgation of rates other than in accordance with Section 418.110 shall include with its request a bill frequency calculated on the basis of the classes of purchasers reflected in the requested rates, and all other information necessary to show the derivation of the requested tax rates, along with testimony and exhibits establishing that the requested rates reflect, as closely as reasonably practical for the municipality, the distribution of the tax among classes of purchasers as if the tax were based on a uniform percentage of the purchase price of electricity. As required by Section 8-11-2(3) of the Code, the requested rates shall be stated on the basis of the kilowatt-hour categories set forth in that Section. The testimony and exhibits may include a demonstration of the impacts of the rates on customer classes and individual customers within the municipality as compared to impacts of the rates calculated under different methods.

83 Ill. Adm. Code 418.130 Procedures for Promulgating Rates

a) If a rate request is based on Section 418.110, the Commission staff shall review the filing to determine whether it complies with Sections 418.100 and 418.110. Within 30 days after the Chief Clerk receives a rate request, the staff shall make a determination as follows:

1. If the staff determines that the filing complies with the applicable Sections of this Part, it shall so inform the Commission in a Staff Report filed with the Chief Clerk and served upon the municipality and the electric utility from which the municipality received the information upon which the request is based. The Hearing Examiner shall present an order for Commission action promulgating the rates requested by the municipality as soon as is practicable.

2. If the staff determines that the filing does not comply with the applicable Sections of this Part, it shall provide written notification to the municipality and the electric utility from which the municipality received the information upon which the request is based of each reason for its determination and shall file a copy of the notification with the Chief Clerk. The notification shall include, if practicable, rate corrections necessary to bring the request into compliance with the applicable Sections. The municipality shall have the option of correcting its filing, withdrawing its filing (in which case it may submit another request), or requesting a hearing on the merits of its request under subsection (b). If a corrected filing is made, the Commission staff shall act on the corrected request within 30 days in the manner provided by this subsection.

b) If the request is based upon Section 418.120, or if the municipality so requests under subsection (a)(2), the Hearing Examiner shall set the matter for a prehearing conference pursuant to the Commission's Rules of Practice (83 Ill. Adm. Code 200). Once notice of the prehearing conference is issued, the Rules of Practice shall apply to the proceeding.

c) At any time during the pendency of the request, on motion of any party or on the Commission's own motion, the Commission may enter an interim order that promulgates rates on an interim basis and reserves outstanding issues for resolution in further proceedings.

83 Ill. Adm. Code 418.140 Subsequent Tax Rate Adjustments

A municipality may, without requesting further action by the Commission, adjust the rates promulgated by the Commission under this Part by multiplying the cents per kilowatt-hour rate for each of the 10 usage categories by a fraction equal to (the desired new equivalent percentage tax rate) divided by (the equivalent percentage tax rate at which the Commission promulgated rates), provided that the new equivalent tax rate does not exceed 5%. For example, if the Commission has promulgated a municipality's kilowatt-hour (kWh) tax rates at the equivalent of a 2% gross receipts tax, and at a later date the municipality decides to increase the tax to the equivalent of a 4% gross receipts tax, each of the 10 category tax rates that were determined assuming a 2% rate can be multiplied by 2 (4% divided by 2%) to derive the 10 category tax rates assuming a 4% gross receipt tax. If the municipality wishes to spread the change in taxes over the 10 categories using a different approach, however, the municipality will be required to file the requested changed tax rates with the Commission, in accordance with Section 418.120.

83 Ill. Adm. Code 418.200 Assistance to Municipalities and Retention of Information

Each electric utility subject to the jurisdiction of the Commission shall provide all reasonable assistance requested by a municipality in order to comply with Section 8-11-2 of the Code. In addition to the requirements of 83 Ill. Adm. Code 420, each electric utility shall maintain, through the end of 2007, for every municipality within its service area irrespective of whether the municipality imposes a municipal electric tax, all information required to be filed by a municipality under Sections 418.100 and 418.110.

83 Ill. Adm. Code 418.210 Tariff Filings

Pursuant to Section 9-201 of the Public Utilities Act, if the Commission determines that good cause exists for the filing, by any electric utility that is also a "public utility" as defined in Section 3-105 of the Public Utilities Act, of tariff sheets that set forth the rates of taxes on the use or consumption of electricity it is required by Section 8-11-2 of the Illinois Municipal Code (see Public Act 90-561), to collect from those subject to the tax. Such tariff sheets shall also include, as factored into each of the charges established pursuant to the ordinance, the percentage amount added to the gross charge to reimburse the electric utility for expenses incurred in keeping records, billing customers, preparing and filing returns, remitting the tax and supplying data to the municipality upon request, as authorized by Section 8-11-2 of the Code. Special permission is hereby granted for the filing of tariff sheets that comply with this Section, provided that such tariff sheets are accompanied by a certified copy of the municipal ordinance imposing the tax.

Part 420 The Preservation of Records of Electric Utilities (general Order 186)

83 Ill. Adm. Code 420.10 Scope of This Part

a) This Part applies to all books of account and other records prepared by or on behalf of the public utility. See Item 73 of Appendix A for those records which come into possession of the public utility in connection with the acquisition of property, such as purchase, consolidation, merger, etc.

b) This Part shall not be construed as excusing compliance with any other lawful requirement for the preservation of records for periods longer than those prescribed herein.

c) This Part shall not be construed as requiring the preparation of accounts, records or memoranda not required to be prepared by other Parts, such as the Uniform System of Accounts, prescribed by the Illinois Commerce Commission (83 Ill. Adm. Code 415, 505, 605 and 710 – General Orders 179, 180, 183 and 199).

d) Records other than those listed in the annexed Appendix A may be destroyed at the option of the public utility; provided, however, that records which are used in lieu of those listed shall be preserved for the periods prescribed for the records used for substantially similar purposes; and, provided further, that retention of records pertaining to added services, function, plant, etc., the establishment of which cannot be presently foreseen, shall conform to the principles embodied herein.

83 Ill. Adm. Code 420.20 Designation of Supervisory Official

Each public utility subject to this Part shall designate one or more persons with official responsibility to supervise the utility's program for the preservation and the authorized destruction of its records.

83 Ill. Adm. Code 420.30 Protection and Storage of Records

The public utility shall provide reasonable protection for records subject to this Part from damage by fires, floods and other hazards; and, in the selection of storage spaces, safeguard the records from unnecessary exposure to deterioration from excessive humidity, dryness or lack of proper ventilation.

83 Ill. Adm. Code 420.40 Index of Records

All records which are herein required to be preserved shall be so arranged, filed and currently indexed by the utility that they may readily be identified and made available to representatives of the Illinois Commerce Commission.

83 Ill. Adm. Code 420.50 Preservation of Records on Microfilm

a) Certain records indicated in Appendix A may be microfilmed and such film retained in lieu of the original records, provided the procedures prescribed herein are followed.

b) Indicators are used in Appendix A to designate those records for which microfilm will be accepted in lieu of original records. These indicators, listed following the retention period, are as follows:

M – Indicates that microfilms may be substituted for retention of the original records at any time after use of the records for current recording purposes.

M – (with a numeral following) Indicates that microfilms may be substituted for retention of the original records only after the original records have been retained in their original form for at least the number of years corresponding to the numeral following the "M." Thus, "M-10" indicates that a microfilm copy may be made of and substituted for the original record only after the original record has been retained for at least ten years.

ME – Indicates records for which microfilms may be substituted for retention of the original records only for the period subsequent to the expiration, cancellation, supersedure or other condition shown in the column "Period to be Retained." Thus, for Item 9(e) of Appendix A, microfilms are not acceptable for current contracts; however, they are acceptable for expired or cancelled contracts, the retention period for which is three years after expiration or cancellation.

c) Absence of an "M" indicator, as explained above, indicates that microfilms may not be substituted for retention of the records described.

d) Prior to photographing, the records shall be so prepared, arranged, classified and identified as to readily permit the subsequent location, examination and reproduction of the photographs thereof. Any significant characteristic, feature or other attribute of the original records which photography would not reflect clearly (e.g., that the record is a copy or that certain figures thereon are red) shall be so indicated on the records at the time of such arrangement, classification and identification. When a number of the records to be microfilmed have in common such a characteristic or attribute, an appropriate notation identifying the characteristic or attribute may be indicated in a statement at the beginning of the roll of film instead of on each individual record.

e) Each roll of film shall include a microfilm of a certificate or certificates stating that the photographs are direct and facsimile reproductions of the original records and that they have been made in accordance with prescribed instructions. Such certificate or certificates shall be executed by a person or persons having personal knowledge of the facts covered thereby.

f) The photographic matter on each roll shall commence and end with a statement as to the nature and arrangement of the records reproduced, the name of the photographer, and the date. The film shall not be cut between statements. Supplemental or retaken film, whether of misplaced or omitted documents or of portions of a film found to be spoiled or illegible or of other matter, shall be attached to the beginning of the roll; and, in such event, the aforementioned certificate or certificates shall cover also such supplemental or retaken film and shall state the reasons for taking such films.

g) The film stock used and the processing thereof shall comply with the minimum standards of quality required by the Illinois State Records Commission. The utility shall be prepared to furnish, at its own expense, appropriate standard facilities for reading the microfilm; and, if the Illinois Commerce Commission so directs, furnish a facsimile of any record the original of which has been destroyed prior to the expiration of the retention period prescribed in Appendix A.

h) The microfilm shall be indexed and retained in such manner as will render them readily accessible and identifiable. They shall be stored in such manner as to provide reasonable protection from hazards such as fire, flood, theft, etc. The films should be cared for in such manner as to prevent cracking, breaking, splitting, etc.

i) Photographic reproduction is not limited to the microfilm process. With Illinois Commerce Commission approval, other reproduction techniques, comparable or better in quality than microfilming, may be used.

83 Ill. Adm. Code 420.60 Destruction of Records

The destruction of the records permitted to be destroyed under the provisions of this Part may be performed in any manner elected by the public utility concerned. Precautions should be taken, however, to macerate or otherwise destroy the legibility of records, the content of which is forbidden by law to be divulged to unauthorized persons.

83 Ill. Adm. Code 420.70 Premature Destruction or Loss of Records

When any records are destroyed before the expiration of the prescribed period of retention, a certified statement listing, as far as may be determined, the records destroyed and describing the circumstances of accidental or other premature destruction shall be filed with the Illinois Commerce Commission within ninety (90) days from the date of discovery of such destruction. Discovery of loss of records is to be treated in the same manner as in the case of premature destruction.

83 Ill. Adm. Code 420.80 Retention Periods Designated "destroy at Option"

Use of the retention period "Destroy at option" in this Part constitutes authorization for such optional destruction under the conditions specified for the particular types of records, unless such records are necessary to satisfy pending regulatory actions or directives.

83 Ill. Adm. Code 420.90 Schedule of Records and Periods of Retention

Appendix A annexed hereto shows the periods of time that designated records shall be preserved, and the records for which microfilms may be substituted therefor, in accordance with the foregoing instructions. It is not intended that more than one copy of any record be retained. See Item 74 of Appendix A for authority to destroy duplicates.

83 Ill. Adm. Code 420.100 "commission"

"Commission," as used hereafter in Appendix A, refers to the Illinois Commerce Commission.

83 Ill. Adm. Code 420.APPENDIX A Schedule of Records and Periods of Retention

Description of Records

Period to be Retained

CORPORATE AND GENERAL

Capital stock records:

(a)

Capital stock ledgers or other records showing the same information.

7 years after the stockholder's account is closed. (See NOTE 1.)

(M)

(b)

Capital stock subscription accounts, warrants, requests for allotments and other essential papers related thereto.

3 years after settlement.

(M)

(c)

Stubs or similar records of capital stock certificate issuance where not used as capital stock ledger records.

7 years after cancellation of certificate. If this record serves the purpose of a capital stock ledger, 1(a) is applicable.

(M)

(d)

Stock transfer registers.

7 years after last entry on page or sheet of the record.

(M)

(e)

Papers pertaining to or supporting transfers of capital stock.

3 years after transfer.

(M)

(f)

Cancelled capital stock certificates, where not used as capital stock ledger records.

7 years after cancellation. If this record serves the purpose of a capital stock ledger, 1(a) is applicable.

(M)

(g)

Change of address notices of stockholders.

Destroy at option after changes are recorded.

(M)

(h)

Bonds of indemnity and affidavits covering issuances of stock certificates to replace lost certificates.

7 years after expiration of bonds.

(M)

(i)

Letters, notices, reports, statements and other communications distributed to all stock holders of a particular class:

(1)

Formal communications addressed to all stockholders of a particular class, including notices of annual and special meetings of stockholders, and other notices, letters, reports or statements relating to corporate or stockholder actions.

10 years.

(M)

(2)

Interim reports of operations, speeches of corporate officers, notices of change of corporate address or telephone numbers, etc.

Destroy at option.

(M)

(j)

Dividend check registers, lists or similar records.

3 years.

(M)

(k)

Dividend checks.

3 years.

(M)

(l)

Third party dividend orders.

6 years after rescission order.

(M)

NOTE 1

For the purposes of this Part, a stockholder's account may be treated as a closed account at the time that such stockholder ceases to be a holder of record of the particular class of stock of the utility and the 7-year retention period prescribed herein shall run from that date. If such person subsequently acquires shares of capital stock of the utility and thus again becomes a stockholder of the utility, the record of such acquisition shall be treated as a new stockholder account.

Description of Records

Period to be Retained

Debt security records: (See NOTE 2.)

(a)

Registered bond and debenture ledgers.

3 years after redemption.

(M)

(b)

Bond and debenture subscription accounts, warrants, subscription notices, requests for allotment and essential papers related thereto.

3 years after settlement.

(M)

(c)

Stubs or similar records of bond and debenture certificates issued.

3 years after redemption.

(M)

(d)

Bond transfer registers and papers pertaining to or supporting transfers of registered bonds and debentures.

3 years after transfer.

(M)

(e)

Records of bond and debenture interest coupons paid and unpaid.

Destroy at option in compliance with NOTE 3.

(M)

(f)

Cancelled bonds and debentures and paid and unpaid interest coupons pertaining thereto.

Destroy at option in compliance with NOTE 3.

(g)

Authorization of holder to convert into other securities.

7 years after conversion

(M)

(h)

Trust indentures, loan agreements or other contracts or agreements securing debt securities issued.

7 years after redemption.

(ME)

(i)

Copy of reports, statements, letters or memoranda filed with Trustee(s) pursuant to provisions of trust indenture or other security instrument or agreement securing debt securities issued.

7 years after redemption, but see NOTE 4.

(M)

(j)

Paid or cancelled debt securities evidencing temporary borrowings.

Destroy at option.

(M)

(k)

Interest checks

3 years.

(M)

NOTE 2

The terms "bonds" and "debentures," as used in this Item, shall include all debt securities, such as bonds, debentures or notes other than debt securities which evidence temporary borrowings and which are expected to be repaid out of the proceeds of the sale of longer term securities. Typical of such temporary debt securities as described in Item 2(j) would be notes issued to banks evidencing temporary working capital and construction loans.

NOTE 3

Cancelled bonds and debentures and interest coupons pertaining thereto, and records of bond and debenture interest coupons, may be destroyed; provided that a certificate of destruction giving full descriptive reference to the destroyed, cancelled bonds and debenture and interest coupons pertaining thereto, and to the records of bond and debenture interest coupons, shall be made by the person or persons authorized to perform such destruction, and such certificate of destruction shall be retained by the utility for the period herein prescribed.

The certificate evidencing the destruction of interest coupons pertaining to bonds or debentures need not contain a listing of the bond or debenture serial numbers pertaining to such interest coupons.

When documents represent debt secured by mortgage, the certificate of destruction shall also be authorized by a representative of the Trustee(s) acting in conjunction with the person or persons destroying the documents or shall have the Trustee(s') acceptance thereon.

While the certificate of destruction above described may not be destroyed earlier than seven (7) years after the payment and discharge of the bonds, debentures or interest coupons described in such certificate, it may be microfilmed at the option of the utility and such microfilm substituted for the original document.

NOTE 4

Destroy at option provided that the Trustee(s) under such indenture or security instrument is a National Bank, a member of the Federal Reserve System or a subsidiary of any such National Bank or Federal Reserve System member bank; and, provided further, that the Trustee(s) has certified to the utility that copies of all such documents will be available in the offices of the trustee(s) for inspection at any time prior to redemption by holders of debt securities to which such documents relate and for inspection by an Federal or State regulatory authority prior to redemption and for an additional period of seven (7) years after redemption.

Description of Records

Period to be Retained

Authorizations from regulatory bodies for issuance of securities:

(a)

Copy of applications to regulatory bodies for authority to issue stocks, bonds and other securities, including a copy of exhibits in support of such applications.

Until all securities covered by a specific authorization are retired.

(M-10)

(b)

Official copy of opinions and orders of regulatory bodies granting authorize to issue securities.

Until all securities covered by a specific authorization are retired.

(M-10)

(c)

Reports filed with regulatory bodies in compliance with authorizations to issue securities, including supporting papers. (Reports of sales of securities, application of proceeds, etc.)

Until all securities covered by a specific authorization are retired.

(M-10)

Copy of registration statements and other data filed with the Securities and Exchange Commission:

(a)

In connection with offerings of securities for sale to the public, or the listing of securities on exchanges, including supporting papers.

Until all securities covered by a specific authorization are retired.

(M-10)

(b)

Copy of periodic reports and supporting papers filed in compliance with either the Securities Act of 1933 (15 U.S.C. 77a et seq.) or the Securities Exchange Act of 1934 (15 U.S.C. 78a et seq.).

Permanently.

(M-10)

Proxies and voting lists:

(a)

Proxies of holders of voting securities.

1 year.

(M)

(b)

Corporate charters or certificates of incorporation.

1 year.

(M)

Minute books of stockholders', directors', and directors' committee meetings.

Permanently.

(M-25)

Titles, franchises and licenses:

(a)

Deeds and other title (including abstracts of title and supporting data).

6 years after property is disposed of unless surrendered to transferee.

(b)

Corporate charters or certificates of incorporation.

Permanently.

(c)

Legal documents in connection with mergers, consolidations, reorganizations, receiverships, and similar actions, affecting the identity or organization of the utility.

Permanently.

(d)

By-laws.

Permanently.

(e)

Franchises and certificates authorizing operations as a public utility.

Permanently.

(f)

Licenses (including amendments thereof) granted by Federal of State authorities for construction and operation of utility plant.

Permanently.

(g)

Copy of formal orders of regulatory commissions served upon the utility.

Permanently.

Permits:

(a)

Permits and granted applications for the use of facilities of others.

6 years after expiration or cancellation.

(ME)

(b)

Copy of permits and applications granted others for the use of the utility's facilities.

6 years after expiration or cancellation.

(ME)

(c)

Applications for the use of facilities not granted and copy of such applications.

Destroy at option.

(M)

(d)

Permits, and applications therefore, of a temporary nature from municipalities or others to perform specific work, such as permits to open streets.

Destroy at option.

(M)

Contracts and agreements (except contracts provided for elsewhere):

(a)

Service contracts, such as for management, accounting, financial, legal and other such services.

6 years after expiration or cancellation.

(ME)

(b)

Contracts with other electric utilities for the purchase, sale or interchange of electricity.

6 years after expiration or cancellation.

(ME)

(c)

Leases pertaining to rentals of property to or from others.

6 years after expiration or cancellation.

(ME)

(d)

Contracts and agreements with individual employees, labor unions, company unions, and other employee organizations relative to wage rates, hours and similar matters.

3 years after expiration or cancellation.

(ME)

(e)

Contracts, agreements and/or other essential records necessary to the carrying out of the functions of an employee's stock purchase or other type of employee's savings plan or pension plan.

3 years after expiration or cancellation.

(ME)

(f)

Memoranda essential to clarify or explain provisions of contracts and agreements.

For same periods as contacts to which they relate.

(ME)

(g)

Card or book records of contracts, leases and agreements made, showing dates of expirations and of renewals, memoranda of receipts and payments under such contacts, etc.

Destroy at option.

(M)

(h)

Summaries and abstracts of contracts, leases and agreements.

Destroy at option.

(M)

(i)

Contracts or agreements for the acquisition or disposal of investments. (Excluding temporary cash investments.)

6 years after expiration or cancellation.

(ME)

(j)

Contracts, agreements and records related thereto pertaining to patents, copyrights and licensing thereof.

6 years after expiation or cancellation.

(ME)

General and Subsidiary ledgers:

(a)

General ledgers and ledgers subsidiary or auxiliary to general ledgers, except ledgers provided for elsewhere.

Permanently.

(M-20)

(b)

Indexes to general ledgers and subsidiary ledgers except ledgers provided for elsewhere.

Permanently.

(M-20)

(c)

Trial balance sheets of general and subsidiary ledgers or equivalent records.

1 year.

(M)

Journals:

General and subsidiary journals, including departmental and divisional journals.

Permanently.

(M-20)

Journal vouchers and journal entries:

(a)

General, departmental, divisional and petty journal vouchers.

Permanently.

(M-20)

(b)

Materials and supplies disbursement, labor distribution, and other detail summarization and distribution records supporting journal vouchers journal entries: (See NOTE 5.)

(1)

Charging plant accounts.

7 years prior to date as of which original cost of plant has been unconditionally determined or approved by the Commission in

(a) an order entered in proceedings initiated for the purpose of making such determination or seeking such approval; or

(b) in an order entered in proceedings initiated pursuant to the provisions of Section 36, 41 or 64 of "An Act concerning public utilities", (Ill. Rev. Stat. 1981, ch. 111⅔, par. 1 et seq.); and, further, that continuing plant inventory records are maintained, and distributions appear in work order records or cost ledger; otherwise, permanently.

(2)

Charging all other accounts.

7 years.

(M)

(c)

Papers forming a part of or necessary to explain journal vouchers or journal entries except as covered in Item 12(b) above.

See Item 12(b)(1) and (2).

(d)

Schedules for recurring journal entries

Destroy when superseded.

(M)

(e)

Lists of standard journal entry numbers.

Destroy when superseded.

(M)

NOTE 5

Time tickets and material issued and material returned tickets may be destroyed at option if the basic information contained thereon is transcribed to other records, if such other records are retained in accordance with Item 12 of this Appendix. Basic information as regards time tickets includes, as a minimum, for the purposes of Item 12, hours worked and distribution of time to proper job or account. For material issued and material returned tickets, basic information includes, as a minimum, for the purposes of Item 12, identification of material by code or otherwise, quantity and distribution to proper job or account.

Description of Records

Period to be Retained

Cash books:

(a)

Treasurers' and auditors' general cash books.

3 years.

(M)

(b)

Cash books subsidiary or auxiliary to general cash books except those showing solely collections from customers.

3 years.

(M)

(c)

Subsidiary cash records showing solely customers' collections.

2 years.

(M)

(d)

Other cash records of a memorandum nature.

6 months.

(M)

Voucher registers of similar records showing the account distribution of payments made by voucher

See Items 12(b)(1) and (2).

Vouchers:

(a)

Paid and cancelled vouchers, analysis sheets showing detailed distribution of charges on individual vouchers and other supporting papers.

See Item 12 (b)(1) and (2).

(b)

Original bills and invoices for materials, services, etc., paid by voucher or otherwise.

See Item 12(b)(1) and (2).

(c)

Checks and receipts for payments by voucher or otherwise.

3 years.

(M)

(d)

Authorizations for the payment of specific vouchers.

See Item 12(b)(1) and (2).

(e)

Lists of unaudited bills (accounts payable), lists of vouchers transmitted, memoranda regarding changes in unaudited bills.

Destroy at option.

(M)

(f)

Voucher indexes

6 years.

(M)

Accounts receivable: (See Items 42 and 43 for accounts with customers for electric service and for merchandise sales.)

(a)

Records, registers, detail ledgers, related indexes thereto and summaries of distribution, including accounts receivable records pertaining to sales of utility plant.

6 years.

(M)

(b)

Accounting department copy of invoices issued and supporting papers which do not accompany the original invoices and authorizations for charges including supporting papers.

3 years.

(M)

(c)

Periodic statements of unsettled accounts and trial balances.

1 year.

(M)

(d)

Schedule of invoices to be issued.

Destroy at option.

(M)

Records of securities owned, in treasury, or with custodians.

6 years.

(M)

Insurance records:

(a)

Records of insurance policies in force, showing coverage, premiums paid and expiration dates.

Destroy at option after expiration of such policies.

(M)

(b)

Records of self-insurance against losses from fire or other casualty, and damages to property of others or to persons.

Destroy at option.

(M)

(c)

Detailed schedules or spread sheets of monthly insurance charges to operating expenses and other accounts.

Destroy at option.

(M)

(d)

Detailed schedules of monthly accruals for self-insurance.

Destroy at option.

(M)

(e)

Insurance policies.

Until liability of insurance company has expired.

(ME)

(f)

Records of amounts recovered from insurance companies in connection with losses and of claims against insurance companies, including reports of losses and supporting papers.

1 year after settlement or recovery.

(M)

(g)

Inspectors' reports and records of condition of property.

1 year after supersedure.

(ME)

(h)

Reports of minor losses not covered by insurance or less than minimum amount collectable.

Destroy at option.

(M)

(i)

Insurance maps of property and structures erected thereon.

Until superseded or property is disposed of.

(ME)

(j)

Records and statements relating to insurance requirements.

Destroy at option.

(M)

Tax Records:

(a)

Copy of schedules, returns and supporting working papers to taxing authorities and records of appeals:

(1)

Federal income, excess profits, undistributed income, and capital stock taxes.

10 years after settlement.

(ME)

(2)

State income taxes and state or local property taxes.

10 years after settlement.

(ME)

(3)

Other taxes.

10 years after settlement.

(ME)

(4)

Schedule of allocation of consolidated federal income taxes to subsidiary companies.

10 years after allocation.

(ME)

(5)

Records of annual determinations of deferred taxes on income, annual determinations of accounting adjustments for "reserve deferrals" of deferred taxes on income together with basic computations and records of annual plant additions and retirements and adjustments on which deferred tax accounting entries are based. (See NOTE 6.)

6 years after absorption of deferred credits.

(ME)

(b)

Tax bills from taxing authorities and receipts for payment.

See Item 12(b)(1) and (2).

(c)

Summaries of taxes paid by classes of taxes and by location.

6 years.

(M)

(d)

Summaries of taxes paid by taxing districts.

6 years.

(M)

(e)

Schedules of monthly accruals by classes of taxes and supporting papers showing how estimates of taxes to be paid were determined.

Destroy at option.

(M)

(f)

Restatements of schedules of taxes paid after giving effect to refunds and additional assessments.

6 years.

(M)

NOTE 6

For the purposes of this Part, "deferred taxes" and "deferred tax accounting" embrace provision for "future taxes on income," "prepaid taxes on income," or any other accounting procedure which attributes a tax on income to a year or years other than that of the specific year's tax return determining the tax liability.

Description of Records

Period to be Retained

Accountants' and auditors' reports:

(a)

Reports of examinations and audits by accountants and auditors not in the regular employ of the utility. (Including reports of public accounting firms and Commission accountants.)

25 years.

(M-10)

(b)

Internal audit reports and working papers.

3 years.

(M)

Tabulating machine and automatic data processing records (not including billing machine records):

(a)

Printed sheets or tapes showing the details and summaries of accounting data indicated on punched cards or tapes.

See Item 12(b)(1) and (2).

(b)

Punched cards or tapes including instructions and wiring diagrams used in assembling figures to be posted to an account.

Destroy at option if printed sheets or tapes are preserved; otherwise, see Item 12(b)(1) and (2).

PLANT AND ACCUMULATED PROVISION FOR

DEPRECIATION, DEPLETION AND AMORTIZATION

Plant ledgers:

(a)

Ledgers of utility plant accounts, including land and other ledgers, showing the cost of utility plant by prime accounts.

Permanently.

(M-20)

(b)

Continuing plant inventory records showing description, location, quantity, cost, etc., of physical units (or items) of utility plant owned.

Until record is superseded or 6 years after plant is retired, provided mortality data are retained as provided in Item 31.

(M)

Construction work in progress ledgers, work orders and supplemental records:

(a)

Construction work in progress ledgers.

See Item 12(b)(1) and (2).

(b)

Work order sheets to which are posted, in summary form or in detail, the entries for labor, materials and other charges for utility plant additions and the entries closing the work orders to utility plant in service at completion.

See Item 12(b)(1) and (2).

(c)

Authorizations for expenditures for additions to utility plant, including memoranda showing the detailed estimates of cost and the bases therefore. (Including original and revised or subsequent authorizations.)

10 years.

(M)

(d)

Requisitions and registers authorizations for utility plant expenditures.

10 years.

(M)

(e)

Completion or performance reports showing comparison between authorized estimates and actual expenditures for utility plant additions.

10 years.

(M)

(f)

Analysis or cost reports showing quantities of materials used, unit costs, number of man-hours, etc., in connection with completed construction projects.

See Item 12(b)(1) and (2).

(g)

Records and reports pertaining to progress of construction work, the order in which jobs are to be completed, and similar records which do not form a basis of entries to the accounts.

Destroy at option.

(M)

Retirement work orders and supplemental records:

(a)

Work order sheets to which are posted the entries for removal cost, materials recovered, and credits to utility plant accounts for cost of plant retired (see Item 31).

See Item 12(b)(1) and (2).

(b)

Authorizations for retirement of utility plant, including memoranda showing the basis for determination of cost of plant to be retired and estimates of salvage and removal costs.

10 years.

(M)

(c)

Registers of retirement work orders.

10 years.

(M)

Summary sheets, distribution sheets, reports, statements, and papers directly supporting debits and credits to utility plant accounts not covered by construction or retirement work orders and their supporting records.

25 years after clearance to plant account, provided continuing plant inventory records are maintained; otherwise, 6 years after plant is retired.

(M-15)

Appraisals and valuations made of the utility's property or investments, or of the property or investments of associated companies. (Including all records essential thereto.)

Until appraisal is superseded or property is disposed of.

(M)

Maps or map reproductions showing the location and physical characteristics of production, transmission and distribution systems of the utility.

Until map is superseded or 6 years after plant is retired, provided mortality data are retained as provided in Item 31.

(M)

Engineering records in connection with construction projects:

(a)

Maps or map reproductions, diagrams, profiles, plans, photographs, records of engineering studies, and similar records in connection with proposed construction projects:

(1)

If construction of project results wholly or in part.

Until record is superseded or 1 year after plant is retired, provided mortality data are retained as provided in Item 31.

(M)

(2)

If construction of project does not result.

Destroy at option after completely accounting for expenses incurred.

(M)

Contracts and other agreements relating to utility plant:

(a)

Contracts or agreements relating to acquisition, sale, or other disposition of operating units or system of utility plant.

Permanently.

(M-15)

(b)

Contracts or agreements relating to services performed in connection with construction or removal of utility plant (including contracts for the construction of plant by others for the utility, and for supervision and engineering relating to construction work).

6 years after plant is retired.

(M-15)

(c)

Contracts or agreements relating to maintenance of plant.

6 years after termination or cancellation of contract or agreement.

(ME)

Records pertaining to reclassification of utility plant accounts to conform to prescribed Uniform System Accounts, including supporting papers showing the bases for such reclassification.

See Item 12(b)(1).

Records supporting computations of depreciation, depletion and amortization expense of utility plant, including accumulated provisions therefore, and such data as life and salvage studies.

See Item 12(b)(1) and (2).

TREASURY

Statements of working funds and deposits:

(a)

Summaries and periodic statements of cash balances on hand and with depositories.

Destroy at option after funds have been returned or accounted for.

(M)

(b)

Statements of managers' and agents' cash balances on hand and with depositories.

Destroy at option after funds have been returned or accounted for.

(M)

(c)

Authorizations for and statements of transfer of funds from one depository to another.

Destroy at option after funds have been returned or accounted for.

(M)

(d)

Requisitions and receipts for funds furnished managers, agents and others.

Destroy at option after funds have been returned or accounted for.

(M)

(e)

Records of fidelity bonds of employees and others responsible for funds of the utility.

Until liability of bonding company has expired.

(M)

Records of deposits with banks and others:

(a)

Bank deposit books.

1 year.

(M)

(b)

Copy of bank deposit slips.

1 year.

(M)

(c)

Advice of deposits made when information thereon is shown on other records which are retained.

Destroy at option.

(M)

(d)

Statements from depositories showing the details of funds received, disbursed, transferred, and balances on deposit.

Destroy at option.

(M)

(e)

Bank reconcilement papers.

1 year.

(M)

(f)

Statements from banks of interest credits.

1 year.

(M)

(g)

Check stubs, registers or other records of checks issued.

3 years.

(M)

(h)

Correspondence and memoranda relating to the stopping of payment of bank checks and to the issuance of duplicate checks.

Destroy at option.

(M)

Records of receipts and disbursements:

(a)

Daily or other periodic statements of receipts or disbursements of funds.

2 years.

(M)

(b)

Records or periodic statements of outstanding vouchers, checks, drafts, etc., issued and not presented.

2 years.

(M)

(c)

Reports showing working funds transactions and summaries thereof.

Destroy at option.

(M)

(d)

Reports of revenue collections by field cashiers, pay stations, etc.

Destroy at option.

(M)

REVENUE ACCOUNTING AND COLLECTING

Customers' service applications and contracts:

(a)

Applications for electric service for which contracts have been executed.

Destroy at option.

(M)

(b)

Applications for electric service used in lieu of contacts.

1 year.

(M)

(c)

Contracts and card files or other records thereof with customers for electric service. (See also Item 9(b).)

1 year after expiration or cancellation.

(ME)

(d)

Applications for electric service which were withdrawn by applicant or not granted by the utility.

1 year.

(M)

(e)

Contracts for the lease of equipment to customers, including receipts for same.

1 year after expiration or cancellation.

(M)

(f)

Applications and contracts for extension of facilities covered by refundable deposits or guarantees of revenue, also records pertaining to such contracts.

1 year after entire amount is refunded.

(M)

(g)

Applications and contracts for extension of facilities for which donations or contributions are made by customers or others.

Permanently.

(M-15)

Rate schedules:

Official file copy of published rate sheets and schedules for electric service.

6 years after supersedure, suspension or expiration.

(ME)

Customers' guarantee deposits:

(a)

Customers' deposit ledgers or card records.

6 years after refund.

(ME)

(b)

Customers' deposit certificate books.

6 years after refund.

(ME)

(c)

Receipts for customers' deposits refunded.

6 years after refund.

(ME)

(d)

Receipts for interest on customers' deposits.

6 years after refund.

(ME)

(e)

Records of customers' deposits unclaimed.

7 years.

(M)

Meter reading sheets and records:

(a)

Superseded meter reading sheets.

Destroy at option if data are recorded on customers' ledger and retained as provided in Item 42(a) and (b); otherwise, 2 years.

(M)

(b)

Superseded indexes to meter books.

Ditto

(c)

Meter reread sheets (special readings to check high or low consumption).

Ditto

(d)

Customers' reading cards.

Destroy at option if data are recorded on customers' ledger and retained as provided in 42(a) and (b); otherwise, 2 years.

(M)

(e)

Meter reading documents used in lieu of meter reading sheets.

Ditto.

(f)

Connection and disconnection orders.

1 year.

(M)

Maximum demand charts and demand meter record cards.

2 years, except where charts are exchanged with the customer and the basic chart information is transferred to another record the charts need only be retained 1 year provided the record containing the basic data is retained 2 years.

(M)

Miscellaneous billing data:

(a)

Billing department's copy of contracts with customers (in addition to contracts in general file).

Destroy at option.

(M)

(b)

Service and inspection orders on which customers are charged and sundry charge advices.

1 year.

(M)

(c)

Authorizations for charges under electric service contracts.

1 year after expiration of contract.

(ME)

(d)

Standard billing sheets or schedules (showing computed bills of varying consumption according to rates).

Destroy at option.

(M)

Revenue summaries:

(a)

Summaries of monthly operating revenues according to classes of service of entire electric utility.

3 years.

(M)

(b)

Summaries of monthly operating revenues according to classes of service by towns, districts or divisions. (Including summaries of forfeited discounts and penalties.)

3 years.

(M)

Customers' ledgers and other records used in lieu thereof:

(a)

Customers' ledgers.

2 years.

(M)

(b)

Records used in lieu of customers' ledgers, such as bill summaries, registers, bill stubs, meter reading books, etc.

2 years.

(M)

(c)

Copy of large bills:

(1)

If details are transcribed to ledgers covered by Item 42(a) above.

Destroy at option.

(M)

(2)

If details are not transcribed to ledgers.

2 years.

(M)

(d)

Trial balances of ledgers referred to above.

1 year.

(M)

(e)

Indexes to customers' accounts.

2 years.

(M)

(f)

Change of address notices from customers.

Destroy at option after changes are recorded.

(M)

(g)

Cards and other records relating to forfeited discounts.

2 years.

(M)

Merchandise sales – accounting and collecting:

(a)

Contracts or sales agreements with customers and others for the sale or lease of merchandise.

1 year after expiration or cancellation.

(M)

(b)

Merchandise sales tickets and charge slips for work done.

Destroy at option.

(M)

(c)

Merchandise sales journals or registers and summaries of sales.

2 years.

(M)

(d)

Merchandise ledgers, installment records, and indexes thereto.

1 year after completion of payment.

(ME)

(e)

Merchandise sales return and adjustment tickets.

Destroy at option.

(M)

(f)

Cashiers' stubs for merchandise collections.

6 months.

(M)

(g)

Cashiers' periodic reports and statements of collections on merchandise accounts.

1 year.

(M)

(h)

Records of monthly statements to customers

Destroy at option.

(M)

(i)

Reports relating to status of merchandise accounts receivable.

1 year.

(M)

(j)

Job orders and supporting details of charges to customers for work done.

1 year.

(M)

(k)

Trial balances of merchandise ledgers.

1 year.

(M)

Collection reports and records:

(a)

Periodic reports, lists and summaries of collections of operating revenues by collectors, agents and general, local, divisional or district offices. (See Item 34(d).)

Destroy at option.

(M)

(b)

Bill stubs, copy of bills, collection slips and other records pertaining to collections, summarized or detailed in daily or periodic cash reports.

6 months.

(M)

(c)

Memorandum records of remittances from local or branch offices. (See Item 33 which pertains to all bank accounts, whether at general, local, divisional or district offices.)

1 year.

(M)

Customers' account adjustments:

(a)

Detailed records pertaining to adjustments of customers' accounts for overcharges, undercharges, and other errors, results of which have been transcribed to other records.

1 year.

(M)

(b)

Detailed records of high-bill complaints whether or not resulting in adjustments to customers' accounts.

1 year.

(M)

Uncollectible accounts and customers' credit records:

(a)

Records of ratings, credit classifications, and investigations of customers.

Destroy at option.

(M)

(b)

Ledger accounts and supporting details of customers' accounts considered to be uncollectible.

For period legally collectible.

(M)

(c)

Reports and statements showing age and status of customer's accounts.

1 year.

(M)

(d)

Data on unpaid final bills.

1 year.

(M)

(e)

Authorizations for writing off customers' accounts.

3 years.

(M)

PAYROLL AND PERSONNEL RECORDS

Payroll Records:

(a)

Payroll sheets or registers of payments of salaries and wages to individual officers and employees. (See Item 47(k), below, for pension or annuity payrolls, and Item 23(b) for construction payrolls.)

4 years.

(M)

(b)

Records showing the distribution of salaries and wages paid to officers and employees for each payroll period and summaries or recapitulation statements of such distribution.

See Item 12(b)(1) and (2).

(c)

Time tickets, time sheets, time books, time cards, workmen's reports and other records showing hours worked, description of work, and accounts to be charged.

See Item 12(b)(1) and (2).

(d)

Payroll checks, receipts for wages paid in cash, and other evidences of payment for services rendered by employees.

1 year.

(M)

(e)

Receipts for payrolls and pay checks delivered to paymasters or other employees for distribution.

Destroy at option.

(M)

(f)

Applications and authorizations for changes in wage and salary rates, summaries and reports of changes in payrolls, and similar records.

3 years.

(M)

(g)

Applications for payroll changes not authorized.

Destroy at option.

(M)

(h)

Payroll authorizations and records of authorized positions.

3 years.

(M)

(i)

Records of authorizations for deductions from payroll.

1 year after expiration or supersedure.

(ME)

(j)

Comparative or analytical statements of payrolls.

Destroy at option.

(M)

(k)

Pension or annuity payrolls.

4 years.

(M)

(l)

Pension or annuity pay checks.

1 year.

(M)

(m)

Employee's individual earnings record.

4 years.

(M)

Assignments and wage deduction orders:

(a)

Record of assignments and wage deduction orders, including files of orders, notices, etc., pertaining thereto.

Destroy at option.

(M)

(b)

Minor's salary releases.

Destroy at option.

(M)

Personnel records:

(a)

Employee's service records, length of service, and other pertinent data.

3 years after termination of employment.

(ME)

(b)

Applications for employment, requests for medical examination, medical examiner's report, photographs, and other identification records and other miscellaneous records pertaining to the hiring of employees.

Destroy at option.

(M)

Employees' welfare and pension records:

(a)

Records pertaining to costs of employees' recreational, educational, hospital benefit, accident prevention, and similar activities.

3 years.

(M)

(b)

Detailed records showing computations of accruals for pension liabilities.

25 years.

(M-3)

Instructions to employees and others:

(a)

Bulletins or memoranda of general instructions issued by the utility to employees pertaining to changes in accounting, engineering, operating, maintenance and construction policies, methods and procedures.

6 years after expiration or supersedure.

(ME)

(b)

Notices to employees on matters of discipline, deportment, and other similar subjects.

Destroy at option.

(M)

Organization diagrams and charts.

Destroy at option.

(M)

PURCHASES AND STORES

Purchases:

(a)

Advices or requisitions from storekeeper and others for the purchase of materials and supplies or services.

Destroy at option.

(M)

(b)

Bids received from vendors in connection with the purchase of materials and supplies.

3 years.

(M)

(c)

Purchase orders and specifications of materials ordered.

3 years.

(M)

(d)

Contracts for the purchase of materials and supplies:

(1)

Contracts for materials directly charged to plant accounts.

See Item 12(b)(1).

(2)

Contracts for other material.

See Item 12(b)(2).

(e)

Purchasing department copy of invoices for materials and supplies.

Destroy at option.

(M)

(f)

Registers or similar records of invoices.

3 years.

(M)

(g)

Price records or indexes of purchases.

Destroy at option.

(M)

(h)

Advices from vendors acknowledging receipt of orders for materials and supplies, notices of shipment, packing slips and copy of bills of lading.

Destroy at option.

(M)

(i)

Receipts or delivery tickets issued for materials and supplies received in installments and subsequently surrendered with and in support of invoices or bills covering complete purchases.

Destroy at option.

(M)

(j)

Demurrage or car records showing periods freight cars as held on company sidings.

Destroy at option.

(M)

(k)

Copy of notices to vendors for materials and supplies returned for credit or repair.

Destroy at option.

(M)

(l)

Lists or records of invoices transmitted to or from storekeepers.

Destroy at option.

(M)

(m)

Records and reports used for checking and tracing materials and supplies covered by invoices provided for in Item 53(e) above.

Destroy at option.

(M)

Material ledgers:

(a)

Ledger sheets and card records of materials and supplies received, issued, and on hand.

3 years, except that material account distributions are to be preserved in accordance with Item 12(b)(1) and (2).

(M)

(b)

Statements of materials and supplies on hand, per ledgers.

3 years.

(M)

Materials and supplies received and issued:

(a)

Records and reports pertaining to receipt of materials and supplies.

3 years.

(M)

(b)

Records of inspecting and testing materials and supplies.

Destroy at option.

(M)

(c)

Records showing the detailed distribution of materials and supplies issued during accounting periods.

See Item 12(b)(1) and (2).

(d)

Material disbursement tickets showing quantities, unit prices, and accounts to be charged for materials and supplies issued from stores for use.

See Item 12(b)(1) and (2).

(e)

Materials returned credit slips, showing details of materials returned to stock.

See Item 12 (b)(1) and (2).

(f)

Requisitions and receipts for materials and supplies issued, the details of the issue being set forth in the material disbursement tickets.

Destroy at option.

(M)

(g)

Records and reports of materials and supplies transferred from one department, storeroom or division to another.

Destroy at option.

(M)

(h)

Records and reports of materials recovered and returned to stock if transcribed to records covered by Item 55(c) above.

Destroy at option.

(M)

(i)

Records and reports of materials and supplies issued to individuals or gangs of employees to be accounted for when used or returned to stock.

Destroy at option after being accounted for.

(M)

(j)

Minor records and reports pertaining to materials and supplies not involving costs or final disposition, such as reports of unfilled requisitions, authorizations for additions to stock and similar records; also, storeroom copy of purchase orders and price records, other copies being retained in files of purchasing department.

Destroy at option.

(M)

Records of sales of scrap and materials and supplies:

(a)

Authorizations for sale of scrap and materials and supplies.

3 years.

(M)

(b)

Contracts for sale of scrap and materials and supplies.

3 years.

(M)

(c)

Memoranda pertaining to sale of scrap and materials and supplies.

Destroy at option.

(M)

Inventories of materials and supplies:

(a)

General inventories of materials and supplies on hand with records of adjustments of accounts required to bring stores records into agreement with physical inventories.

3 years.

(M)

(b)

Stock cards, inventory cards, and other detailed records pertaining to the taking of inventories if abstracted into records covered by Item 57(a) above.

Destroy at option.

(M)

(c)

Minor inventories of materials and supplies on hand if not reflected in adjustments of accounts.

Destroy at option.

(M)

OPERATIONS

Production:

(a)

Boiler room, condenser room, turbine room and pump room logs, including supporting data.

3 years.

(M)

(b)

Boiler room and turbine room reports of equipment in service and performance.

3 years.

(M)

(c)

Boiler-tube failure report.

3 years.

(M)

(d)

Generation and output logs with supporting data.

3 years.

(M)

(e)

Station and system generation reports.

3 years.

(M)

(f)

Generating high-tension and low-tension load records.

3 years.

(M)

(g)

Oil and waste reports.

3 years.

(M)

(h)

Load curves, temperature logs, coal and water logs.

3 years.

(M)

(i)

Gage-reading reports.

3 years.

(M)

(j)

Recording instrument charts.

3 years, except that where the basic chart information is transferred to another record, the charts need only be retained one year provided the record containing the basic data is retained 3 years.

(M)

(k)

Load dispatchers' and station permits.

Ditto

Transmission and distribution:

(a)

Sub-station and transmission line logs.

3 years.

(M)

(b)

System operator's daily logs and reports of operation.

3 years.

(M)

(c)

Storage battery and other equipment logs and records.

3 years.

(M)

(d)

Interruption logs and reports.

3 years.

(M)

(e)

Records of sub-station general inspections and operation tests.

3 years.

(M)

(f)

Apparatus failure reports.

3 years.

(M)

(g)

Line trouble reports and records.

3 years.

(M)

(h)

Lightning and storm data.

3 years.

(M)

(i)

Insulator test records.

3 years.

(M)

(j)

Reports on inspections and repairs of all street openings.

3 years.

(M)

(k)

Customer meter test records.

2 years.

(M)

(l)

Meter shop reports (monthly reports summarizing tests, repairs, etc.).

3 years.

(M)

(m)

Customer meter history records:

(1)

Customer meter test records.

2 years.

(M)

(2)

Records of meter location, including date of installation.

Until superseded.

(M)

(3)

Meter repair records.

2 years.

(M)

(4)

Records of meter type and capacity.

For the life of the meter.

(M)

(5)

Other meter history record data such as purchase date, source, final disposition, etc.

Destroy at option provided mortality data are retained as provided in Item 31.

(M)

(n)

Transformer history records.

For the life of the transformer.

(M)

(o)

Records of transformer inspections, oil tests, etc.

Destroy at option.

(M)

(p)

Pole, tower, structure, equipment and other history records.

For the life of the equipment.

(M)

Not applicable.

Customers' service:

(a)

Reports of inspecting and testing on customer's premises.

3 years.

(M)

(b)

Records and reports of customers' service complaints.

3 years.

(M)

(c)

Survey of customers' premises to determine type of service and equipment to be installed.

Destroy at option.

(M)

(d)

Records of installed customers' appliances.

Destroy at option.

(M)

Records of auxiliary and other operations:

Records of operations other than electric utility operations.

For the same periods as prescribed in this Part for similar records pertaining to electric operations.

STATISTICS

Statistics and Miscellaneous:

(a)

Periodic financial, operating and statistical reports regularly prepared in the course of business for internal administrative or operating purposes (and not used as the basis for entries to the accounts of the utility) to show the results of electric operations and the financial condition of the utility.

3 years.

(M)

(b)

All other statistical reports (not covered elsewhere in this Part) prepared for internal administrative or operating purposes only and not used as the basis for entries to the accounts of the utility.

Destroy at option.

(M)

Reports to stockholders:

(a)

Annual reports or statements to stockholders and essential supporting papers.

Permanently.

(b)

Written acknowledgments of receipts of reports to stockholders and written requests for copies of such reports.

Destroy at option.

(M)

Reports to Federal and State regulatory commissions:

(a)

Annual financial, operating and statistical reports and essential supporting papers.

Permanently.

(b)

Monthly and quarterly reports of operating revenues, expenses and statistics and essential supporting papers.

3 years after current year.

(M)

(c)

Special or periodic reports and essential supporting papers on the following subjects:

(1)

Transactions with associated companies.

3 years.

(M)

(2)

Budgets of expenditures.

3 years.

(M)

(3)

Accidents.

3 years.

(M)

(4)

Employees and wages.

3 years.

(M)

(5)

Loans to officers and employees.

3 years after fully paid.

(ME)

(6)

Issues of securities.

Until all securities covered are retired.

(M)

(7)

Purchases and sales of electric properties.

Permanently

(M)

(8)

Service interruptions.

6 years.

(M)

Tabulating cards, tapes, etc., used only in compilation of statistics, when the results are transcribed to other records covered by this Part. (See Item 21.)

Destroy at option after appropriate summaries have been made.

(M)

MISCELLANEOUS

Maintenance work orders and job orders:

(a)

Authorizations for expenditures for maintenance work to be covered by work orders, including memoranda showing the estimates of costs to be incurred.

3 years.

(M)

(b)

Work order sheets to which are posted in detail the entries for labor, material and other changes in connection with maintenance and other work pertaining to the utility's operations.

3 years.

(M)

(c)

Summaries of expenditures on maintenance work orders and job orders and clearances to operating and other accounts (exclusive of plant accounts).

3 years.

(M)

Budgets and other forecasts of estimated future income, receipts and expenditures in connection with financing, construction, operations, and acquisitions or dispositions of properties or investments by the utility and its associated companies, prepared for internal administrative or operating purposes, including revisions of such estimates and memoranda showing reasons for revisions; also records showing comparison of actual income and receipts and expenditures with estimates.

Destroy at option.

(M)

Injuries and damages:

(a)

Claim registers, card or book indexes and similar records in connection with claims presented against the utility in connection with accidents resulting in damage to the property of others or personal injuries.

2 years after settlement.

(M)

(b)

Papers, reports, statements of witnesses, etc., necessary to support or rejection of individual claims against the utility.

2 years after settlement.

(M)

(c)

Other papers, reports or statements pertaining to accidents, resulting in property damages or personal injuries, not necessary to the support or rejection of claims.

Destroy at option.

(M)

(d)

Detailed schedules or spread sheets of payments to others for personal injuries or for property damages.

2 years after settlement.

(M)

(e)

Detailed schedules of periodic accruals to reserves for injuries and damages or for self-insurance.

Destroy at option.

(M)

Correspondence:

(a)

Correspondence and indexes thereto relating to subjects covered by other items of this Part.

For the period prescribed for the item to which it relates where necessary to a proper explanation of same; otherwise, destroy at option.

(M)

(b)

Stenographers' notebooks and dictaphone or other mechanical device records.

Destroy at option.

(M)

(c)

Mailing lists of prospects for appliance sales, securities, etc.

Destroy at option.

(M)

Legal opinions and advice, pleadings, briefs, etc., relating to judicial proceedings; information furnished pursuant to subpoena or other legal requirements; copy of applications, complaints, etc., and other legal papers in proceedings before regulatory, taxing and other governmental authorities.

For the period prescribed for the item to which it relates.

Other miscellaneous records:

(a)

Reports of unclaimed items such as customers' deposits, employees' wages, dividends, etc., paid to the State of Illinois.

3 years.

(M)

(b)

Copy of advertisements by the utility in behalf of itself or any associated company in newspapers, magazines and other publications including records thereof. (Excluding advertising of product, appliances, employment opportunities, services, territory, routine notices and invitations for bids for securities, all of which may be destroyed at option.)

3 years.

(M)

(c)

Receipts and records pertaining to delivery of articles to employees, such as badges, keys and material receipt books.

Destroy at option.

(M)

(d)

Records of building space occupied by various departments of the utility.

Destroy at option.

(M)

(e)

Indexes of forms used by the utility.

Destroy at option.

(M)

(f)

Transmittal lists or forms used for indicating papers and records forwarded from one department to another, provided such lists do not contain data affecting the accounts of the utility.

Destroy at option.

(M)

Records of predecessors and former associates.

For the same periods as prescribed elsewhere in this Part for similar records of the utility, except that all such records may be destroyed at option after:

(a) Records of utility plant acquired have been established.

(b) Original cost of the acquired plant has been unconditionally approved by the Commission.

(c) Acquisition adjustment entries, including proposed or required amortizations, have been approved by the Commission.

Duplicate accounts, records and memoranda:

Duplicates, either in whole or in part, of accounts, forms, reports, correspondence and other records listed herein, when all significant information on the duplicate is shown on the original or other copy or on other records retained for the period prescribed in this Part.

Destroy at option.

(M)

Part 421 Environmental Disclosure

83 Ill. Adm. Code 421.10 Applicability

This Part shall apply to all electric utilities and alternative retail electric suppliers. Unless otherwise required pursuant to a contract or a tariff governed by Section 16-118(b) of the Public Utilities Act [220 ILCS 5/16-118(b)], a utility shall not be required to provide the information required by this Part to those customers to whom the utility provides only delivery services for power that is provided and billed by a different utility or alternative retail electric supplier. Unless otherwise required pursuant to a contract or a tariff governed by Section 16-118(b) of the Public Utilities Act, a utility is not required to provide to the Illinois Commerce Commission the information required by this Part as such information relates to power that the utility only delivers and does not generate and/or sell itself.

83 Ill. Adm. Code 421.20 Definitions

For purposes of this Part, the following definitions shall apply:

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

"Alternative retail electric supplier" or "ARES" has the same meaning as defined in Section 16-102 of the Act [220 ILCS 5/16-102].

"Biomass power" means any resource that derives its power primarily from the combustion of dedicated crops grown for energy production and organic wastes.

"Carbon dioxide" means the chemical compound with each single carbon atom combined with two oxygen atoms.

"Coal-fired power" means any resource that derives its power primarily from the combustion of coal.

"Commission" means the Illinois Commerce Commission.

"Electric utility" or "utility" means a public utility as defined in Section 3-105 and Section 16-102 of the Act [220 ILCS 5/3-105, 16-102].

"High-level nuclear waste" means nuclear fuel that has been removed from a nuclear reactor.

"Hydro power" means any resource that derives its power primarily from the flow or falling of water.

"Low-level nuclear waste" means radioactive waste not classified as high-level radioactive waste, transuranic waste, spent nuclear fuel, or byproduct materials as defined in Section 11e(2) of the Atomic Energy Act (42 USC 2021). This definition shall apply notwithstanding any declaration by the federal government or any state that any radioactive material is exempt from any regulatory control.

"Natural gas-fired power" means any resource that derives its power primarily from the combustion of natural gas.

"Nitrogen oxides" are chemical compounds with each single nitrogen atom combined with one or more oxygen atoms.

"Nuclear power" means any resource that derives its power primarily from the fission of atoms.

"Oil-fired power" means any resource that derives its power primarily from the combustion of oil.

"Other resources" means any known resource that derives its power primarily from sources or processes not described in this Section.

"Solar power" means any resource that derives its power primarily from the sun.

"Sulfur dioxide" means the chemical compound with each single sulfur atom combined with two oxygen atoms.

"Unknown resources purchased from other companies" means any resource that is neither owned nor operated by the utility or ARES and that derives its power from a source or process that cannot be identified by the utility or ARES, after making all efforts to the maximum extent practicable to identify the source or process that produces the power. This maximum extent practical standard is beyond a good faith showing and requires an electric utility or ARES to be prepared to make a compelling showing that it is absolutely not practical to obtain and provide the information in question. Such a compelling showing may be made by demonstrating that all reasonable steps to obtain and provide the information have been made.

"Wind power" means any resource that derives its power primarily from the flow of wind.

83 Ill. Adm. Code 421.30 Disclosure Statements Provided to the Commission

a) The following information shall be submitted to the Commission from every utility and ARES, to the maximum extent practicable, on at least a quarterly basis:

1. A break-down, on a percentage basis, of the known sources of electricity supplied in Illinois. This break-down shall provide percentages of biomass power, coal-fired power, hydro power, natural gas-fired power, nuclear power, oil-fired power, solar power, wind power, other resources and unknown resources purchased from other companies, respectively.

A) The percentage used shall be rounded to the nearest whole number.

B) Any source of electricity in subsection (a)(1) that is not used shall be listed in the table and depicted as "0%".

C) This table shall be as depicted in Exhibit A.

2. A pie-chart, which graphically depicts the information in subsection (a)(1), shall also be provided.

A) Any source of electricity in subsection (a)(1) that is not used shall not be depicted in the pie-chart.

B) Each segment in the pie-chart shall be depicted in the following colors: biomass power − light brown; coal-fired power − black; hydro power − blue; natural gas-fired power − grey; nuclear power − red; oil-fired power − dark brown; solar power − yellow; wind power − green; other resources − white; and unknown resources purchased from other companies − purple.

C) This pie-chart shall be as depicted in Exhibit B.

3. A table shall be provided that depicts the amounts of carbon dioxide, nitrogen oxides and sulfur dioxide emissions and high-level and low-level nuclear waste attributable to the aggregate known sources of electricity identified in subsection (a)(1).

A) The carbon dioxide emissions, nitrogen oxide emissions, and sulfur dioxide emissions shall be stated in pounds per 1,000 kilowatt-hours (lbs/1,000 kWh).

B) The high-level nuclear waste shall be stated in pounds of high-level nuclear waste per 1,000 kilowatt-hours (lbs/1,000 kWh).

C) The low-level nuclear waste shall be stated in cubic feet of low-level nuclear waste per 1,000 kilowatt-hours (ft3/1,000 kWh).

D) Any high-level nuclear waste that is less than "0.0001" shall be depicted as "<0.0001".

E) The table shall include a footnote to disclose the percentage of total electrical power supplied for which the utility or ARES does not know the amount of emissions in subsection (a)(3)(A) or nuclear waste in subsections (a)(3)(B) and (C).

F) This table and footnote shall be as depicted in Exhibit C.

4. Any other information the utility or ARES believes to be relevant to the information required may be provided.

5. A utility or ARES submitting information shall identify itself on such information.

b) Information timetable

1. Information in subsection (a) for the 12 month period ending March 31 of each year shall be provided to the Commission on July 1 of that year; information for the 12 month period ending June 30 of each year shall be provided on October 1 of that year; information for the 12 month period ending September 30 of each year shall be provided on January 1 of the following year; and information for the 12 month period ending December 31 of each year shall be provided on April 1 of the following year.

2. For disclosure during calendar year 1999, utilities and ARES shall provide information for the preceding 12 month period, to the extent such information is available. Utilities and ARES shall explicitly state the period on which the disclosure is based.

c) Filing requirements

1. The information required to be filed by this Part shall be submitted to the Commission in both printed and electronic form. The printed version shall be the same as that submitted in mailings to customers pursuant to Section 16-127(a) and (b) of the Act [220 ILCS 5/16-127(a) and (b)] and shall be the official version filed with the Commission's Chief Clerk. The computerized version of the data and information shall be in a clearly legible 12 point font size in the format described in subsections (a)(1), (2), and (3) of this Section and provided electronically in PDF (Adobe Acrobat Portable Document Format) and delivered to the Commission's offices on CDs (Compact Discs) or DVDs (Digital Video Discs and Digital Versatile Discs). If the computerized version is scanned from paper, it shall be saved in a PDF that includes both image and text to allow indexing. The computerized version of the data and information shall be included in the Commission's World Wide Web site (www.icc.illinois.gov).

2. Subsection (c)(1) notwithstanding, entities required to file information pursuant to this Part may do so entirely electronically without having to provide a CD or DVD upon notification by the Chief Clerk of the Commission on the Commission's website of the availability of electronic filing for submissions pursuant to this Part.

3. The information filed with the Commission pursuant to this Section shall be signed by an officer, agent or attorney for the utility or ARES. The contents of the filing shall be verified by the filing party before a notary public.

History

• Source: Amended at 43 Ill. Reg. 9950, effective August 27, 2019

83 Ill. Adm. Code 421.40 Customer Billing Disclosure Statements

a) Every utility and ARES shall, on at least a quarterly basis, provide their customers the following information, in a clearly legible manner, to the maximum extent practicable:

1. A break-down, on a percentage basis, of the known sources of electricity supplied in Illinois. This break-down shall provide percentages of biomass power, coal-fired power, hydro power, natural gas-fired power, nuclear power, oil-fired power, solar power, wind power, other resources and unknown resources purchased from other companies, respectively.

A) The percentage used shall be rounded to the nearest whole number.

B) Any source of electricity in subsection (a)(1) that is not used shall be listed in the table and depicted as "0%".

C) This table shall be as depicted in Exhibit A.

2. A pie-chart that graphically depicts the information in subsection (a)(1).

A) Any source of electricity in subsection (a)(1) that is not used shall not be depicted in the pie-chart.

B) Each segment in the pie-chart shall be depicted in the following colors: biomass power – light brown; coal-fired power – black; hydro power – blue; natural gas-fired power – grey; nuclear power – red; oil-fired power – dark brown; solar power – yellow; wind power – green; other resources – white; and unknown resources purchased from other companies – purple.

C) This pie-chart shall be as depicted in Exhibit B.

3. A table that depicts the amounts of carbon dioxide, nitrogen oxides and sulfur dioxide emissions and high-level and low-level nuclear waste attributable to the aggregate known sources of electricity identified in subsection (a)(1).

A) The carbon dioxide emissions, nitrogen oxide emissions, and sulfur dioxide emissions shall be stated in pounds per 1,000 kilowatt-hours (lbs/1,000 kWh).

B) The high-level nuclear waste shall be stated in pounds of high-level nuclear waste per 1,000 kilowatt-hours (lbs/1,000 kWh).

C) The low-level nuclear waste shall be stated in cubic feet of low-level nuclear waste per 1,000 kilowatt-hours (ft3/1,000 kWh).

D) Any high-level nuclear waste that is less than "0.0001" shall be depicted as "<0.0001".

E) The table shall include a footnote to disclose the percentage of total electrical power supplied for which the utility or ARES does not know the amount of emissions in subsection (a)(3)(A) or nuclear waste in subsections (a)(3)(B) and (C).

F) A note shall be placed below the table and footnote and read as follows: "Additional information on companies selling electrical power in Illinois may be found at the Illinois Commerce Commission's World Wide Web site (www.icc.state.il.us)".

G) This table and footnote shall be as depicted in Exhibit C with the addition of the note in subsection (a)(3)(F).

4. After May 31, 2017, every electric utility shall also include a pie-chart that graphically depicts the quantity of zero emission credits from zero emission facilities procured under Section 1-75 of the Illinois Power Agency Act [20 ILCS 3855] as a percentage of the actual load of retail customers within its service area. The pie-chart shall be in a format approved by the Commission.

b) Any other information the utility or ARES believes to be relevant to the information required may be provided to the customer, but outside of the box surrounding the information required by subsection (a).

c) A utility or ARES that has received the permission of the Commission to use postcard billing as of January 1, 1998 may disclose the required information to customers on a postcard sent at the same time as a customer's bill so long as that utility or ARES continues to use postcard billing.

d) The information may be provided in a separate billing insert and, if so, shall be displayed with the following notation: "The disclosure of this information is required under Section 16-127 of the Electric Service Customer Choice and Rate Relief Law of 1997 and the rules of the Illinois Commerce Commission, 83 Ill. Adm. Code 421."

e) A utility or ARES mailing a separate billing insert shall identify itself on the insert.

f) The separate billing inserts shall be clearly printed in a font no smaller than 12 point and shall be at least 6" x 9" in size.

g) The information in subsection (a) shall be provided to customers to coincide with customer bill mailings beginning with the first billing cycle of April, July, October, and January.

1. Information for the 12 month period ending March 31 of each year shall be included in July bills issued that year; information for the 12 month period ending June 30 of each year shall be included in October bills issued that year; information for the 12 month period ending September 30 of each year shall be included in bills issued in January of the following year; and information for the 12 month period ending December 31 of each year shall be included in bills issued in April of the following year.

2. All the information required in subsection (a) shall be made available by the electric utilities or alternative retail electric suppliers either in an electronic medium, such as via a bill message or electronic mail, or through the U.S. Postal Service. If customers are directed to a website at which they can find the information required in subsection (a), the web address provided by the utility or ARES shall take the customer directly to the information required in subsection (a).

History

• Source: Amended at 43 Ill. Reg. 9950, effective August 27, 2019

83 Ill. Adm. Code 421.EXHIBIT A Sources of Electricity Table

Sources of Electricity Supplied for the 12 months ending mm dd yy

Percentage of Total

Biomass power

Coal-fired power

Hydro power

Natural gas-fired power

Nuclear power

Oil-fired power

Solar power

Wind power

Other resources

Unknown resources purchased from other companies

TOTAL

83 Ill. Adm. Code 421.EXHIBIT B Sources of Electricity Supplied Pie-Chart

Sources of Electricity Supplied for the 12 months ending mm dd yy

83 Ill. Adm. Code 421.EXHIBIT C Emissions and Nuclear Waste Table

AVERAGE AMOUNTS OF EMISSIONS

and

AMOUNT OF NUCLEAR WASTE

per 1000 kilowatt-hours (kWh)

PRODUCED from KNOWN1 SOURCES

for the 12 months ending mm dd yy

Carbon Dioxide

YY lbs

Nitrogen Oxides

YY lbs

Sulfur Dioxide

YY lbs

High-Level Nuclear Waste

YY lbs

Low-Level Nuclear waste

YY ft3

FOOTNOTE

1 xx% of the total electricity supplied was purchased from other suppliers and the amounts of emissions and amount of nuclear waste attributable to producing this electricity is not known and is not included in this table.

Part 425 Uniform Electric Fuel Adjustment

83 Ill. Adm. Code 425.10 Applicability

The uniform fuel adjustment charge (FAC) will be applied either to each KWH of energy billed during the effective month or each KWH of energy delivered during the effective month to all service classifications subject to fuel adjustment in the filed rate schedules of all electric public utilities operating in the State of Illinois. The utility shall elect whether a billed or a delivered method shall be used and shall revise its tariffs accordingly, if necessary, under Section 9-201 of the Public Utilities Act.

History

• Source: Amended at 19 Ill. Reg. 13882, effective October 1, 1995

83 Ill. Adm. Code 425.20 Cost Basis

Costs passed through the FAC are required to represent estimates of actual costs to be incurred, with adjustment to actual costs as they become available. The fuel charge passed through the FAC is the total amount of allowable fuel and fuel related charges as identified herein.

History

• Source: Amended at 13 Ill. Reg. 16730, effective January 1, 1990

83 Ill. Adm. Code 425.30 Fuel Adjustment Formula

The fuel adjustment clause shall be of the following form:

FAC

=

(CF + CPP - CNS) X 100

• BFC + Ra + Ro + D

S

where:

FAC

=

Fuel adjustment charge per KWH. The amount in cents per KWH, rounded to the nearest .001¢, to be charged for each applicable KWH billed or delivered in the billing period, in excess of that amount included in Base Fuel Costs. The FAC is subject to refunds or increases due to overcollection or undercollection, depending on the results of the automatic reconciliation factor (Ra) and the ordered reconciliation factor (Ro) as defined under Section 425.50 "Administration".

CF

=

Allowable fuel cost associated with company owned generating plants. Fuel cost shall be interpreted in accordance with Section 425.40 "Interpretation" to include all fossil and nuclear fuel to be consumed in the utility's own plants or in plants owned by wholly-owned subsidiaries of the utility and/or the utility's share of fossil and nuclear fuel to be consumed in jointly owned or leased plants during the period for which the FAC is being determined.

CPP

=

Allowable energy cost associated with purchased power. Purchased power shall be interpreted to include emergency, contract, and economy purchases. Except for power purchased for economy reasons, only the energy portion of the power to be purchased during the period for which the FAC is being determined is to be included. All other associated charges are specifically excluded. The demand charges for power to be purchased for economy reasons are allowable energy cost.

CNS

=

Energy costs associated with sales not subject to FAC. Energy costs associated with non-jurisdictional sales, interdepartmental sales, energy furnished without charge, and other sales not subject to FAC shall be included in factor CNS on the basis of average CNS energy cost during the period for which the FAC is being determined, except in the case of energy costs associated with interchange power sales, and except in the case of energy costs associated with sales made to retail customers as a "competitive service", as that time is defined in Section 16-102 of the Public Utilities Act [220 ILCS 5/16-102]. Energy costs associated with interchange power sales and sales made to retail customers as a competitive service shall be included in factor CNS on an incremental cost basis.

S

=

Applicable estimated KWHs subject to FAC either to be billed or delivered during the period for which the FAC is being determined.

BFC

=

Base fuel cost in cents/KWH.

Ra

=

Automatic Reconciliation factor in cents/KWH.

Ro

=

Ordered Reconciliation factor in cents/KWH.

D

=

Desulfurization fee in cents/KWH.

History

• Source: Amended at 25 Ill. Reg. 10182, effective August 1, 2001

83 Ill. Adm. Code 425.40 Interpretation

a) Economic dispatch. Economic dispatch means the operation of the electric utility's system, utilizing the source of available power to achieve minimum overall costs, taking into consideration the utility's voltage, frequency, reliability, environmental, safety and service quality requirements, as well as the utility's existing contractual obligations. The utility shall adhere to the principles of economic dispatch unless under unusual circumstances the prudent operation of the utility's system dictates otherwise. If there is a deviation from economic dispatch or any use of less than 100% of the fuel cost of any resource in the dispatch, the deviation shall be fully explained in the initial monthly filing after the facts giving rise to such deviation first occur. Subsequent filings which continue to be affected by facts previously explained need not be accompanied by such explanation.

b) Billing period. The billing period is defined as the period beginning with the first billing cycle of the month for which the FAC is being determined and ending with the last billing cycle thereof.

c) Allowable fuel and fuel related charges (CF).

1. The cost of fuel shall include the direct cost of fuel delivered at the generating plants. The direct fossil fuel costs are limited to costs entered into fuel expense Accounts #501 and #547 which have been cleared upon consumption from Fuel Stock Account #151, or in the case of gas fuel the amount which is charged directly to Accounts #501 or #547. Costs cleared from Fuel Stock Accounts #152 and #153 are specifically excluded. The cost of fuel used in the generation or production of electric power shall not include transportation costs of coal (this exclusion includes items 2, 4, and 5 of Fuel Stock Account #151) except as otherwise provided in this subsection. Such costs of fuel shall, when requested by a utility or at the conclusion of the utility's next general electric rate proceeding, whichever shall first occur, include transportation costs of coal purchased under existing coal purchase contracts. For purposes of this subsection "existing coal purchase contracts" means contracts for the purchase of coal in effect on August 27, 1991, as such contracts may thereafter be amended, but only to the extent that any such amendment does not increase the aggregate quantity of coal to be purchased under such contract (Section 9-220 of the Public Utilities Act ("Act") [220 ILCS 5/9-220]).

2. The cost of nuclear fuel shall be that as expensed in Account #518, including provisions for storage and disposal of spent nuclear fuel including spent fuel disposal fees, except that handling costs for nuclear fuel assemblies or any expense for fossil fuel which has already been included in the costs of fossil fuel, are specifically excluded.

3. The consumed fuel costs associated with test generation shall be included in allowable fuel and fuel related charges to the extent they are equal to or less than the average fuel costs of the utility's other units operated during the period for which the FAC is being determined. Average fuel costs equal total fuel costs of a utility's generating facilities less the cost of test generation, divided by total net generation less test generation.

4. Where the cost of fuel includes fuel and/or transportation costs from company owned or controlled services (in whole or in part), that fact shall be noted and described as part of any filing.

5. With respect to the price of fuel purchases or transportation services from company or controlled sources pursuant to contracts which are not subject to regulatory authority, the utility company shall file such contracts and amendments thereto annually with the Commission.

6. Fuel or transportation charges by affiliated companies which do not appear to be reasonable may result in the suspension of the fuel adjustment clause or cause an investigation thereof to be made by the Commission on its own motion. Any suspension of the fuel adjustment clause may occur if, after a hearing, a finding is made that such charges of a utility are unreasonable.

7. The cost of fuel shall include the direct cost of purchasing or otherwise acquiring, for utility operations purposes, emission allowances, created under the Federal Clean Air Act Amendments of 1990 (Pub. L. 101-549) including the emission allowances allocated to the utility by the United States Environmental Protection Agency, limited to the following:

A) The costs cleared from Account #158.1 – Allowance Inventory, and charged to Account #509 – Allowances, concurrent with the monthly emission of sulfur dioxide;

B) The gains cleared from Account #254 – Other Regulatory Liabilities, and credited to Account #411.8 - Gains from Disposition of Allowances; and

C) The losses charged to Account #411.9 – Losses from Disposition of Allowances.

d) Allowable Energy Costs Associated with Purchased Power (CPP) represents only the energy cost portion of emergency and contract purchases. It represents the energy and demand cost portions of economy purchases. Non-monetary exchanges of power are not included. Mt. Carmel Public Utility Co., and South Beloit Water, Gas and Electric Company are permitted to include in their computation of purchased power cost (CPP) the demand charges associated with such purchases.

e) Base Fuel Cost (BFC). The base fuel costs in cents per KWH rounded to the nearest .001 included in the energy charges of the utility's rates.

f) Non-jurisdictional sales. Sales not subject to the jurisdiction of the Commission.

g) Desulfurization Cost. Payment for professional services, licenses, etc. for the implementation and operation of a process for the desulfurization of the flue gas when burning high sulfur coal at any location within the state of Illinois irrespective of the attainment status designation of such location, except for any fees or costs related to a service contract to the extent that recovery of comparable costs would not be permitted through the FAC if incurred directly by a utility owning and operating such a facility (Section 9-220 of the Act). If fees are more than 10% of the estimated fuel cost for the month (CF + CPP - CNS) excluding the desulfurization fees, they shall be deferred (Account #186, Miscellaneous Deferred Debits) and amortized at a rate which will permit the charge off of the deferred amount in the shortest time frame, while conforming to the 10% restraint.

h) CNS Energy Cost. Energy cost associated with CNS, consisting of generation fuel cost (CF) and purchased power cost (CPP).

i) Average CNS Energy Cost. Average cost associated with CNS energy cost per kWh shall be computed as a fraction, the numerator of which equals the total energy cost, less costs attributable to interchange power sales and energy costs associated with sales made to retail customers as a "competitive service", as that term is defined in Section 16-102 of the Act. The denominator of the fraction shall equal the number of kWh of electricity, the costs of which are included in total energy cost, less the number of kWh the costs of which are excluded from the numerator of this fraction.

j) Incremental Energy Cost. The incremental cost of a transaction is the additional energy cost incurred by the utility as a direct result of the transaction.

History

• Source: Amended at 25 Ill. Reg. 10182, effective August 1, 2001

83 Ill. Adm. Code 425.50 Administration

a) Reporting. Utilities are to report monthly in a format designated by the Commission.

b) In conjunction with a docketed reconciliation proceeding, the company shall file with the Commission a statement showing the determination of the reconciliation balance for the reconciliation year. This annual reconciliation shall be accompanied by the opinion of the company's outside public accountants on the reconciliation and verified by an officer of the company.

c) Ordered Reconciliation. Costs and revenues associated with the clause shall be subject to an ordered reconciliation factor (Ro) as required by the Commission.

d) Automatic Reconciliation. The automatic reconciliation factor (Ra) will consist of the difference between actual allowable costs incurred and FAC recoveries for each month so identified in the second month prior to the billing month. This difference shall be divided by the appropriate KWHs subject to FAC as provided under "S" in Section 425.30.

History

• Source: Amended at 19 Ill. Reg. 13882, effective October 1, 1995

Part 430 Purchase and Sale of Electric Energy from Cogeneration and Small Power Production Facilities (general Order 214)

83 Ill. Adm. Code 430.10 Applicability

This Part applies to each electric utility under the ratemaking jurisdiction of the Illinois Commerce Commission.

83 Ill. Adm. Code 430.20 Availability of Benefits

To any facility which is a qualifying facility and which enters into an agreement with a public utility subject to this Part to provide electric energy. Each qualifying facility must provide to the utility the information required under Section 292.207, Subpart B, Subchapter K, Chapter I, Title 18, of the Code of Federal Regulations (18 CFR 292.207).

83 Ill. Adm. Code 430.30 Definitions

"Avoided costs" means the incremental costs to the electric utility of electric energy or capacity or both which, but for the purchase from the qualifying facility or qualifying facilities, the utility would generate itself or purchase from another source (18 CFR 292).

"Avoided energy costs" are the avoided variable costs associated with the production of electric energy (kilowatt-hours). These costs represent the avoided costs of fuel and some operating and maintenance expenses or the cost of purchased energy. Identifiable capacity charges included in purchase power agreements shall not be included in the calculation of avoided energy costs.

"Avoided total costs" means the total avoided system energy and new capacity costs (and not the average embedded system cost of capacity) or the avoided cost of a capacity purchase which result from the purchase of energy and capacity from a qualifying facility.

"Capacity costs" are the costs associated with providing the capability to deliver energy; they consist primarily of the capital costs of facilities used to generate and transmit electricity.

"Costs of interconnection" means the costs (initial installation and future) of transmission, distribution, metering, service and other physical facilities necessary under good engineering practices to permit interconnected operations with a qualifying facility, plus the engineering and administrative expenses incurred by the utility for the installation and maintenance of such physical facilities, to the extent that such costs are in excess of the corresponding interconnection costs which the electric utility would have incurred if it had not engaged in interconnected operations, but instead generated an equivalent amount of electric energy itself or purchased an equivalent amount of electric energy or capacity from other sources. Costs of interconnection shall not include any costs incurred in the calculations of avoided costs, and shall be assessed against a qualifying facility on a nondiscriminatory basis with respect to other customers with similar load characteristics or other cost-related characteristics, without regard as to whether the customer generates all or some of his own electricity (18 CFR 292).

"Customer" means any entity who receives service from a utility irrespective of its qualifying status under this Part.

"Interruptible power" means electric energy or capacity supplied by the utility to the qualifying facility subject to interruption by the utility under certain specified conditions (18 CFR 292).

"Maintenance power" means electric energy or capacity supplied by the utility during scheduled outages of the qualifying facility (18 CFR 292).

"Qualifying facility" means a cogeneration facility or a small power production facility which meets the criteria for qualification set forth in Subpart B of 18 CFR 292.

"Standby power" means electric energy or capacity supplied by the utility to replace energy ordinarily generated by a qualifying facility's own generation equipment during an unscheduled outage of the facility (18 CFR 292).

"Supplementary power" means electric energy or capacity supplied by the utility and regularly used by a qualifying facility in addition to that which the facility generates itself (18 CFR 292).

"System emergency" means a condition on a utility's system which is likely to result in imminent disruption of service to customers or is imminently likely to endanger life or property.

83 Ill. Adm. Code 430.40 Terms and Conditions of Service

Each electric utility shall file with the Illinois Commerce Commission such terms and conditions of service as are necessary to adequately insure quality of service, safety and minimum total cost. These terms and conditions shall apply to all qualifying facilities served under this Part and shall include, but are not limited to, the following:

a) Subject to the provisions of paragraphs (g) and (i) of this Section, the utility shall purchase energy and/or usable capacity (i.e., capacity which would allow the utility to avoid costs) from any qualifying facility that offers to sell energy and/or capacity to the utility and agrees to the conditions set forth in this Part.

b) The owner or operator of the qualifying facility shall be billed for energy and/or capacity sold by the utility to the qualifying facility under the applicable rate schedule and under any applicable conditions set forth in this Section.

c) The owner or operator of the qualifying facility shall execute a contractual agreement with the utility. The contractual arrangements between utilities and qualifying facilities shall be nondiscriminatory with relation to contracts entered into between a utility and a nonqualifying customer with similar load characteristics or other cost-related characteristics regardless of whether the customer generates some or all of his own electricity.

d) The qualifying facility shall comply with such requirements of the National Electric Safety Code, the National Electrical Code and the interconnecting utility's Electric General Terms and Conditions as specified by the interconnecting utility.

e) The qualifying facility shall furnish, install, operate and maintain in good order and repair and without cost to the utility such relays, locks and seals, breakers, automatic synchronizer and other control and protective apparatus as specified and approved by the utility as necessary for the operation of the qualifying facility in parallel with the utility's system and to permit the utility's facilities to operate in a normal manner. The utility shall have the right to specify, approve, establish minimum standards for, or require advance consultation on any or all of the above equipment.

f) Switching equipment capable of isolating the qualifying facility from the utility shall be accessible to and under the exclusive control of the utility at all times.

g) At its option, the utility may choose to operate the switching equipment described in (f) above if, in the sole opinion of the utility, continued operation of the qualifying facility in connection with the utility's system may create or contribute to a system emergency, unsafe condition or interference with the service of other customers. The utility shall endeavor to minimize any adverse effects of such operation on the qualifying facility and shall not utilize such switching equipment in a manner which would treat the qualifying facility as an interruptible customer unless such utilization was agreed upon as specified in the contract between the utility and the qualifying facility. Conditions resulting in utility action under this paragraph are subject to verification by the Illinois Commerce Commission if either party requests such verification. The utility shall maintain and make available sufficient documentation to aid the Commission with verification proceedings.

h) All costs of interconnection determined in accordance with the definitions in Section 430.30 – "Costs of interconnection" – shall be the responsibility of the owner or operator of the qualifying facility. To the extent practicable, the utility shall furnish to the qualifying facility, prior to installation, an estimate of the costs of interconnection. If the utility incurs any of the costs of interconnection that are the responsibility of the owner or operator of the qualifying facility, the utility shall be reimbursed for such costs (including all carrying costs) by the owner or operator of the qualifying facility over a period of time not greater than the length of the contract between the utility and the owner or operator of the qualifying facility.

i) The utility may discontinue purchases from the qualifying facility during any period in which, due to operational circumstances, purchases from qualifying facilities will result in costs greater than those which the utility would incur if it did not make such purchases, but instead generated an equivalent amount of energy itself. A claim by an electric utility that such a period has occurred or will occur is subject to verification by the Commission.

j) The utility may discontinue sales to the qualifying facility during a system emergency or unsafe condition provided that such discontinuance is on a nondiscriminatory basis.

k)

1. The utility shall offer to provide maintenance, supplemental and standby power to the qualifying facility. The utility shall offer to provide interruptible power if a standard rate schedule for interruptible power has been approved by the Commission. Charges for interruptible power, maintenance power, standby power and supplemental power imposed on the qualifying facility for electricity or reserve capability furnished by the utility shall be at the utility's standard rates, unless the load or other cost characteristics related to the provision of such services justifies different charges. Any such different charges for the provision of such services must be approved by the Commission and shall be applicable to all jurisdictional customers without regard to whether or not they operate qualified facilities hereunder.

2. Nothing in this subsection (k) shall limit the authority of a utility and qualifying facility to agree to any rate or terms or conditions relating to the provision of interruptible, maintenance, standby, and supplemental power.

83 Ill. Adm. Code 430.50 Data to Be Provided by Utilities

The purpose of this Section is to describe the data which utilities must provide to the Illinois Commerce Commission, make available for public inspection, and provide to interested parties at a reasonable copying charge. Data required under Section 430.50 will assist the Illinois Commerce Commission in its review of the standard rate described in Section 430.60 of this Part.

a) The data required under this subsection (a) applies to each utility whose total sales of electric energy for purposes other than resale exceed 500 million kilowatt-hours during any calendar year beginning after December 31, 1975.

A) On June 30, 1984, and not less than every two years thereafter, each electric utility shall file with the Illinois Commerce Commission the data described in 18 CFR 292.302(b). Costing periods shall be designed to include a minimum of four periods. The periods shall include summer peak, summer off-peak, winter peak, and winter off-peak.

B) Data described in 18 CFR 292.302(b)(1) shall be indicative of increments of capacity of 10 MW up to a total of 50 MW and increments of capacity of 50 MW up to a total 200 MW below projected demands. Any utility that can demonstrate that its avoided energy costs are insensitive (to 5% of the costs) to these capacity increments may submit data for blocks of capacity other than the ones required in this paragraph (Section 430.50(a)(1)(B)). Data submission under this subsection (a) shall include a statement of explanation of the following factors:

i) The method of calculating future avoided energy costs, including assumptions;

ii) The increments of capacity for which avoided energy costs are calculated;

iii) The time periods for which avoided energy costs are averaged.

C) In addition, each electric utility shall examine and report anticipated cogeneration levels and anticipated avoidable capacity costs.

2. On June 30, 1982, and not less often than every two years thereafter, each electric utility shall file with the Illinois Commerce Commission the data described in 18 CFR 290.

3. On June 30, 1983, and each June 30 thereafter, each electric utility shall provide the following to the Commission:

A) Estimates of coal, oil and gas usage on a BTU per year basis for the next five years from the current year.

B) Estimates of coal, oil and gas usage on a BTU per year basis for the current year made five years ago pursuant to the requirements of the Illinois Commerce Commission.

C) Actual oil and gas usage on a BTU per month basis for the twelve calendar months ending at least at the end of the first quarter of the current year.

4. On June 30, 1983, and not less often than every two years thereafter, each electric utility shall examine and update the data required under subparagraphs (a)(1) of this Section. This data shall be filed with the Illinois Commerce Commission and be made available to all qualifying facilities.

b) On June 30, 1984, and not less often than every two years thereafter, each electric utility not covered by Section 430.50(a) shall provide the data described in 18 CFR 292.302(c).

History

• Source: Amended at 7 Ill. Reg. 8234, effective June 30, 1983

83 Ill. Adm. Code 430.60 Standard Energy Rates

a) Purchases by Utilities:

1. Each electric utility shall file, and any qualifying facility may elect to accept, a standard rate for all energy purchased by the utility from the qualifying facility. This rate shall be based on the utility's avoided energy cost determined in accordance with this Part. The standard rate shall contain a minimum of four rating periods. These rating periods shall include summer peak, summer off-peak, winter peak and winter off-peak.

2. The procedures for metering and billing qualifying facilities who elect this standard rate shall be in accordance with Section 430.70.

b) Purchases by Qualifying Facilities: Subject to the provisions of Section 430.40(k), all electricity purchased by the qualifying facility from the utility shall be at the applicable rate schedule for nonqualifying customers with similar load characteristics or other cost-related characteristics without regard as to whether the customer generates some or all of his own electricity.

83 Ill. Adm. Code 430.70 Metering Arrangement for the Standard Rate

In each standard rate offered by a utility for purchases of energy from a qualifying facility, the electrical registration for billing purposes can be accomplished by two options.

a) Option I

Under this metering configuration (see ILLUSTRATION A), each meter, with detents, will register the cumulative noncoincident energy and/or demand over the billing period. Whenever the qualifying facility generates electricity the coincident generation is consumed on-site, thus reducing the energy and/or demand registered by meter M1. Any excess energy and/or capacity not required by the qualifying facility will be delivered to the utility and registered by meter M2. The individual meters will separately record all energy delivered to the utility by the qualifying facility and delivered to the qualifying facility by the utility.

b) Option II

1. This metering arrangement consists of three meters with detents (see ILLUSTRATION B). Meter M1 is the pre-existing meter and meters M2 and M3 are added to record the energy and/or demand requirements to and from the qualifying facility.

2. Any other metering arrangement shall be the subject of negotiations consistent with Sections 430.40 and 430.80 of this Part.

83 Ill. Adm. Code 430.80 Contractual Arrangements Between Qualifying Facilities and Utilities

All qualifying facilities and utilities shall enter into a contractual arrangement regarding the terms and conditions of service and the rates for purchase and sale. A qualifying facility may elect one of the three contractual arrangements described in paragraphs (a), (b) and (c) below.

a) Standard Energy Rate. The utility's standard rate, required by Section 430.60, and the associated terms and conditions described in Section 430.40 shall constitute the basic contractual arrangement between a qualifying facility and a utility.

b) Negotiated Energy Rate.

1. Any qualifying facility and utility may negotiate a rate for purchase from the qualifying facility and other terms and conditions of service consistent with this Part. The contractual arrangements under a negotiated energy rate shall be nondiscriminatory with respect to service contracts entered into between the utility and its customers with similar load characteristics, without regard to whether such customers generate some or all of their own electricity.

2. Energy payments to the qualifying facility under a negotiated energy rate shall be adjusted, to the extent practicable, for the following items if it can be reasonably expected that the qualifying facility will produce, on the average, more than 73,000 kwh per month:

A) line losses – the contract shall take into account the costs or savings resulting from variations in line losses from those that would have existed in the absence of purchases from the qualifying facility if the utility generated or purchased an equivalent amount of energy;

B) reasonable scheduling of maintenance at the convenience of the utility;

C) the availability of energy during system daily and seasonal peak periods;

D) the willingness of the qualifying facility to allow the utility to dispatch the qualifying facility's generated energy at any given time and the ability of the utility to utilize such dispatching capability;

E) the historical and predicted reliability of the qualifying facility to provide energy during the periods described in (C) and (D) above;

F) agreement between the utility and the qualifying facility related to changes in ability of the qualifying facility and/or the utility to carry out the terms of the contract.

3. Each qualifying facility providing energy under this Section shall have the option of receiving avoided costs:

A) calculated at the time of delivery; or

B) estimated to occur during the contract term.

4. This election shall be made prior to the beginning of the contract term.

c) Negotiated Energy and Capacity Rate.

1. Any qualifying facility and utility may negotiate a rate for purchase from the qualifying facility which is based on the avoidance of capacity and energy costs by the utility. To qualify for this rate, the qualifying facility must enter into a legally enforceable contract to provide capacity that:

A) allows the utility to defer a capacity purchase from another source;

B) allows the utility to defer acquisition of a facility or delay construction;

C) allows the downsizing of an anticipated future addition; or

D) allows for the temporary sale of a portion of an anticipated future addition in capacity.

2. The payment for the capacity and energy purchases from the qualifying facility shall reflect the utility's total avoided cost for the capacity and energy supplied by the qualifying facility. Any qualifying facility who requests a negotiated energy and capacity rate shall provide to the utility that information necessary to allow the utility to determine the amount of capacity and energy avoidance which may occur. The utility shall inform the qualifying facility, after receipt of the necessary information, of the value to the utility of the capacity and energy to be supplied by the qualifying facility.

3. The following items shall, to the extent practicable, be taken into account in the determination of the negotiated rate for energy and capacity purchases:

A) the length of any contract term;

B) reasonable scheduling of maintenance;

C) the willingness and ability of the qualifying facility to provide firm capacity during system emergencies, and the historical performance of the qualifying facility in providing firm capacity during system emergencies;

D) the willingness and ability of the qualifying facility to provide firm capacity during system peaks and the historical performance of the qualifying facility in providing firm capacity during system peaks;

E) the historical and predicted reliability of the qualifying facility to provide capacity during the periods described in (C) and (D) above;

F) agreements between the utility and the qualifying facility related to changes in the ability of the qualifying facility and/or the utility to carry out the terms of the contract;

G) the date the qualifying facility first began providing capacity;

H) the historical and predicted reliability of qualifying facilities as a class or group to provide capacity during the periods described in (C) and (D) above;

I) on an annual basis, capacity payments to a qualifying facility shall not exceed the utility's actual avoided costs;

J) those items listed in Section 430.80(b)(2)(A-F).

4. Each qualifying facility providing energy and capacity under this Section shall have the option of receiving avoided costs:

A) calculated at time of delivery; or

B) estimated to occur during the contract term.

5. This election shall be made prior to the beginning of the contract term.

6. The contractual arrangements under a negotiated energy and capacity rate shall be nondiscriminatory with respect to service contracts entered into between the utility and its customers with similar load characteristics, without regard to whether such customers generate some or all of their own electricity.

d) The owner or operator of the qualifying facility shall be billed for all energy sold by the utility according to the applicable rate schedule, in accordance with the provisions of Sections 430.40(k) and 430.60(b).

e) In the case in which a rate for purchase from a qualifying facility is based upon estimates of avoided costs over the specific term of the contract, such rate does not violate this Part if the rate for such purchase differs from avoided costs at the time of delivery.

83 Ill. Adm. Code 430.90 Limitations

a) Nothing in this Part relieves the utility from carrying out its responsibilities as described in Section 201 and 210 of the Public Utility Regulatory Policies Act of 1978 (PURPA) or in the rules promulgated pursuant to said Act.

b) Nothing in this Part:

1. limits the authority of the utility or a qualifying facility to agree to a rate for any purchase, or terms or conditions relating to any purchase, which differ from the rate or terms or conditions which would otherwise be provided by this Part provided such rate

A) is just and reasonable to the electric customer of the electric utility and in the public interest, and

B) does not discriminate against qualifying cogeneration and small power production facilities;

2. affects the validity of any contract entered into between a qualifying facility and a utility for any purchase.

83 Ill. Adm. Code 430.100 Remedy

In the event of an impasse in negotiations between the utility and the qualifying facility, either party may request a determination of the issues by the Commission. This determination may be requested either formally or informally. If either party requests a formal determination with the Commission, said party shall file a petition with the Commission naming the other party as a respondent. Any petition filed pursuant to this Section shall comply with the Rules of Practice of the Illinois Commerce Commission (83 Ill. Adm. Code 200).

83 Ill. Adm. Code 430.110 Tariff and Rules to Be Filed

a) Within 60 days of the adoption of this Part, each electric utility shall file with the Commission tariffs, rules and regulations implementing this Part. On each June 30 thereafter, each electric utility shall file revised standard rates as described in Section 430.60.

b) Any agreement negotiated pursuant to Sections 430.80(b), 430.80(c), or 430.90 of this Part shall be filed by the utility with the Illinois Commerce Commission. Upon filing by the utility, notice shall be given to the qualifying facility.

c) Any electric utility which becomes subject to this Part after the effective date of this Part shall file with the Commission tariffs, rules and regulations implementing this Part 180 days after the end of the calendar year the utility becomes subject to this Part.

History

• Source: Amended at 7 Ill. Reg. 8234, effective June 30, 1983

83 Ill. Adm. Code 430.ILLUSTRATION A Option I Metering

83 Ill. Adm. Code 430.ILLUSTRATION B Option Ii Metering

Part 445 Purchase and Sale of Electric Energy from Qualified Solid Waste Energy Facilities

83 Ill. Adm. Code 445.10 Applicability

This Part applies to each electric utility, as defined in Section 3-105 of The Public Utilities Act (Ill. Rev. Stat. 1987, ch. 111 2/3, par. 3-105).

83 Ill. Adm. Code 445.20 Definitions

"Act" means The Public Utilities Act (Ill. Rev. Stat. 1987, ch. 111⅔, pars. 1-101 et seq.).

"Avoided Costs" means the incremental costs to the electric utility of electric energy which, but for the purchase from the qualified solid waste energy facility, the utility would generate itself or purchase from another source.

"Commission" means the Illinois Commerce Commission.

"Economic Losses" means an increase in the electric utility's revenue requirements as a result of electric energy purchases from a qualified solid waste energy facility that is not recovered either from tax credits pursuant to this Part or from ratepayers.

"Electric Energy" refers to both the energy and capacity purchased by an electric utility from a qualified solid waste energy facility.

"Fuel Loading" means the total fuel consumed at a qualified solid waste energy facility during the reported or projected period in terms of million Btus.

"Qualified Solid Waste Energy Facility" means a facility that meets the criteria set forth in 18 CFR 292 in effect on January 1, 1989 (hereinafter referred to as 18 CFR 292), and the Local Solid Waste Disposal Act (Ill. Rev. Stat. 1987, ch. 85, par. 5901 et seq.), hereinafter referred to as the "Local Solid Waste Disposal Act," or an electric generating facility which uses methane gas generated from landfills and meets such requirements of 18 CFR 292. No incorporation of 18 CFR 292 in this Part includes any later amendment or edition.

"Qualifying Facility" means a cogeneration facility or a small power production facility which meets the criteria for qualification set forth in 18 CFR 292, Subpart B.

"Solid Waste" means "waste," as defined in Section 3.53 of the Environmental Protection Act (Ill. Rev. Stat. 1987, ch. 111⅔, par. 1003.53), which is in solid or semi-solid form, provided that "solid waste" does not include that portion of material that is intended or collected to be recycled.

"Solid Waste Throughput Volume" means the yearly design capacity of a qualified solid waste energy facility when only solid waste is consumed as fuel.

83 Ill. Adm. Code 445.30 Availability of Benefits

a) The benefits of this Part shall apply to any qualified solid waste energy facility. The owner(s) or operator of such a facility shall petition the Commission for a determination that the facility meets the requirements and criteria specified in the Act and this Part. These requirements include complying with the procedures for obtaining qualifying status set forth in 18 CFR 292 and with the Local Solid Waste Disposal Act.

b) In demonstrating compliance with 18 CFR 292, the owner(s) or operator of a facility must file with the Commission a copy of:

1. the notice filed with the Federal Energy Regulatory Commission pursuant to 18 CFR 292.207, or

2. certification as a qualifying facility issued by the Federal Energy Regulatory Commission or a successor agency.

c) In demonstrating compliance with the Local Solid Waste Disposal Act, the owner(s) or operator must file with the Commission evidence that a solid waste management plan or Solid Waste Energy Facility Plan provided for in Section 3.1 of the Local Solid Waste Disposal Act has been filed with and approved by the Illinois Environmental Protection Agency.

83 Ill. Adm. Code 445.40 Terms and Conditions of Service

a) The electric utility shall negotiate terms and conditions of service with the owner(s) or developer(s) of a qualified solid waste energy facility in accordance with the utility's standard terms and conditions of service for small power producers compiled pursuant to 83 Ill. Adm. Code 430.40.

b) Electric utilities shall be required to enter into long-term contracts to purchase electric energy from qualified solid waste energy facilities located in the electric utility's service area for a period beginning on the date the qualified solid waste energy facility begins generating electric energy, and continuing for a minimum of twenty years thereafter, including qualified solid waste energy facilities fueled by landfill-generated methane gas which are located at landfills owned by a forest preserve district or ten years in the case of qualified solid waste energy facilities fueled by landfill-generated methane gas which are not located at landfills owned by a forest preserve district.

History

• Source: Amended at 16 Ill. Reg. 2535, effective February 1, 1992

83 Ill. Adm. Code 445.50 Reporting Requirements

a) The owner(s) or operator of a qualified solid waste energy facility (excluding facilities fueled by methane gas generated from landfills) shall annually report to the Commission that the facility has met the requirements of the Illinois Environmental Protection Agency pursuant to the Local Solid Waste Disposal Act.

b) The owner(s) or operator of a qualified solid waste energy facility (excluding facilities fueled by methane gas generated from landfills) shall certify to the Commission, on an annual basis following the date of commercial operation of the facility, that solid waste is expected to comprise, at the minimum, 95 percent of the annual fuel loading for the following twelve months. In December of each year following the year of the facility's commercial operation date, the owner(s) or operator shall report the actual fuel loading for the twelve month period ending on November 30th of the same year. The use of natural gas, oil, or other fuels in connection with ignition, start-up, testing, flame stabilization and control, maintenance of minimum combustion temperatures, and during unanticipated outages of the solid waste sources shall not be included in any calculation of annual fuel loading.

c) The owner(s) or operator of a qualified solid waste energy facility (excluding facilities fueled by methane gas generated from landfills) shall certify to the Commission, on an annual basis following the date of commercial operation of the facility, that the solid waste throughput volume for the following twelve months shall, at a minimum, be 66 percent of the yearly design capacity of the facility. In December of each year following the year of the facility's commercial operation date, the owner(s) or operator shall report the throughput volume for the twelve month period ending on November 30th of the same year.

d) The owner(s) or operator of a qualified solid waste energy facility shall notify the Commission and all electric utilities to which the facility sells electric energy within 30 days of the date of a decision by a court or agency of competent jurisdiction in which the facility loses its status under the Act or this Part. The notification shall state that the facility no longer qualifies, the reasons therefor, and the anticipated date when the facility shall again qualify under the Act or this Part.

e) Displacement reports

1. Each electric utility shall report to the Commission in December of each year an estimate of the amounts and types of fuels displaced pursuant to Section 8-403.1(g) of the Act. Each utility also shall report an estimate of additional costs it incurred to alter its economic dispatch procedures pursuant to Section 8-403.1(g) of the Act. These costs may include added fuel costs caused by deviating from economic dispatch, computer software costs to alter plant dispatching, monitoring and control costs, as well as any other costs incurred to comply with Section 8-403.1(g) of the Act.

2. In the event that an electric utility is constrained from displacement of fuels by existing technical, contractual or other circumstances, the utility shall report such circumstances and show why displacement is not practicable. The Commission will weigh the practicability of displacement against the general requirement of displacement pursuant to Section 8-403.1(g) of the Act. In case of a successful showing of cause for exemption from displacement, the utility need not comply with the reporting requirements of subsection (e).

f) Each electric utility shall report to the Commission in December of each year any economic loss it incurred during the twelve month period ending on November 30th of the same year in complying with the requirements of Section 8-403.1 of the Act and this Part.

g) Within 60 days of the signing of a contract with a qualified solid waste energy facility, each electric utility shall report to the Commission the amounts of electric energy contracted for each year of the contract period.

h) Each electric utility shall list separately in its monthly reports of tax credits to the Commission and the Illinois Department of Revenue:

1. any reasonable and necessary costs incurred in displacing electric energy from qualifying facilities because of purchases made pursuant to Section 8-403.1 of the Act, and

2. its avoided total costs from electric energy purchases from qualified solid waste energy facilities and a breakdown of these costs into energy and capacity as defined by 83 Ill. Adm. Code 430.30.

i) Each utility shall provide to all qualified solid waste energy facilities from which the utility purchases electric energy the information submitted to the Commission under subsections (e), (f), (g), (h), and a detailed breakdown of costs described in Section 8-403.1(d)(ii) of the Act assigned to the qualified solid waste energy facility specified. A facility may file a petition with the Commission under Section 445.80 contesting the validity of the information.

j) In the event that a qualified solid waste facility fails to comply with the certification requirements of subsections (a), (b) or (c), or in the event that for an annual reporting period as referred in the above sections (b) and (c) the facility ceases to be in compliance with the qualifying requirements of this Part or Section 8-403.1 of the Act, provided that the owner(s) or operator of the facility makes efforts to remedy noncompliance, the facility shall have 90 days in which to cure its noncompliance. If at the end of the 90-day cure period the facility has failed to comply with the said requirements, the purchase rate provided in Section 445.60(b) shall be suspended until such time as the facility certifies that it has complied with this Part, which in the case of subsection (a) shall be at any time, and in the case of subsection (b) or (c) shall be for the latest 12 months of facility operation. If the facility continues to maintain its status as a qualifying facility, it shall receive during the suspension period the rate that the utility would have paid for purchases of electric energy from a qualifying facility pursuant to 83 Ill. Adm. Code 430.80.

History

• Source: Amended at 16 Ill. Reg. 2535, effective February 1, 1992

83 Ill. Adm. Code 445.60 Purchase Rates

a) Within 60 days of the effective date of this Part, each electric utility shall file and at all times thereafter have on file with the Commission tariffs or riders applicable to purchases of electric energy generated from qualified solid waste energy facilities.

b) Each tariff or rider shall at a minimum include:

1. the billing period;

2. a reconciliation procedure; and

3. the methodology for determining purchase rates, including the methodology for determining the rate at which free service would have been billed had it not been provided free of charge. The purchase rate contained in tariffs and riders shall be equal to the average price of electricity per kilowatt-hour (excluding amounts paid for street lighting and pumping) paid for by a unit or units of local government to the electric utility during the latest twelve month period, including free service electricity, if any, at the rate that the unit or units of local government would have been billed had the electricity not been provided free of charge.

c) In the event that the purchase rate pursuant to Section 8-403.1(c) of the Act applicable to all electric energy purchased by a utility from qualified solid waste energy facilities is expected to result in monthly tax credits for a utility which will exceed its tax obligations under The Public Utilities Revenue Act (Ill. Rev. Stat. 1987, ch. 120, pars. 468 et seq.), qualified solid waste energy facilities shall be paid the purchase rate specified in Section 8-403.1(c) of the Act on a "first come, first served" basis determined from the date that the facility has obtained, and continues to hold, a valid development permit under Section 39 of the Environmental Protection Act (Ill. Rev. Stat. 1987, ch. 111½, par. 1039) and, for facilities other than those fueled by methane gas generated from landfills, a service agreement with a unit or units of local government. Notice of said approval shall be provided to the Commission. After all available tax credits are used, remaining electric energy purchases from qualified solid waste energy facilities shall be paid at the elected rate under 83 Ill. Adm. Code 430.80, notwithstanding the contracted for purchase rate.

83 Ill. Adm. Code 445.70 Tax Credits

a) Calculation of monthly tax credit

1. Each utility shall calculate tax credits using the following formula to assure compliance with Section 8-403.1(d) of the Act.

C

=

P-(R-0), where

C

=

Public utility tax credit.

P

=

Actual total dollar amount paid for purchases from a qualified solid waste energy facility applying the price specified in Section 445.60(b).

R

=

The total amount that the utility would have paid a qualified solid waste energy facility pursuant to 83 Ill. Adm. Code 430.80.

O

=

Any amounts in the form of reasonable and necessary costs incurred by a utility in displacing electric energy from qualifying facilities because of purchases made pursuant to Section 8-403.1(c) of the Act. Such costs shall include those incremental costs of system operation reasonably incurred by a utility (excluding those resulting from Section 445.60 of this Part) as a direct result of having to purchase electric energy from qualified solid waste energy facilities in lieu of purchasing equivalent amounts of electric energy from other qualifying facilities.

2. At the time the owner(s) or developer(s) of a qualified solid waste energy facility enters into a contract with an electric utility for the sale of electric energy to the electric utility, the owner(s) or developer(s) of a qualified solid waste energy facility may elect one of the methodologies specified in 83 Ill. Adm. Code 430.80. In the event of an impasse in negotiations between the utility and the facility, either party may request a determination of the issues by the Commission, based on the criteria in 83 Ill. Adm. Code 430.80

b) Reimbursement by qualified solid waste energy facility

1. The owner(s) or operator of a qualified solid waste energy facility shall file with the Commission and the Illinois Department of Revenue a proposed reimbursement schedule. The schedule shall be filed no later than one year prior to the start of the reimbursement period. The schedule shall state the anticipated annual repayments over the reimbursement period.

2. The starting date of reimbursement to the General Revenue Fund of tax credits accumulated for a qualified solid waste energy facility or an electric generating facility fueled by landfill generated methane gas located at a landfill owned by a forest preserve district shall not exceed twenty years from the date the facility begins commercial operation, after all operational and acceptance testing has been completed. For an electric generating facility fueled by methane gas generated from landfills, the starting date of reimbursement shall not exceed ten years from the date the facility begins commercial operation, after all operational and acceptance testing has been completed.

3. The reimbursement payments of a qualified solid waste energy facility shall equal the sum of the tax credits accumulated under Section 8-403.1(d) of the Act.

4. All tax credits accumulated for a qualified solid waste energy facility shall be fully reimbursed by that facility to the General Revenue Fund by the end of the actual useful life of the facility.

5. In no event shall a utility be required to reimburse the General Revenue Fund for tax credits received under Section 8-403.1 of the Act or this Part.

c) Tax credit disputes

1. The Illinois Department of Revenue, the owner(s) or operator of any qualified solid waste energy facility, or the involved unit or units of local government may request a decision by the Commission concerning any costs relating to tax credits claimed by the utility, or any other tax credit dispute with a utility, in accordance with the Act or this Part.

2. Any petition by the Illinois Department of Revenue or a qualified solid waste energy facility requesting a decision pursuant to subsection (c)(1) shall comply with the Commission's Rules of Practice (83 Ill. Adm. Code 200).

History

• Source: Amended at 16 Ill. Reg. 2535, effective February 1, 1992

83 Ill. Adm. Code 445.80 Remedy

A utility or a qualified solid waste energy facility may file a petition with the Commission alleging violation of the Act or this Part. Any petition filed pursuant to this Section shall comply with the Commission's Rules of Practice (83 Ill. Adm. Code 200).

Part 450 Non-Discrimination in Affiliate Transactions for Electric Utilities

83 Ill. Adm. Code 450.10 Definitions

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

"Affiliated interest" has the same meaning as in Section 7-101(2) of the Act.

"Affiliated interests in competition with alternative retail electric suppliers" shall include affiliated alternative retail electric suppliers that provide services to customers within the service territory of the utility with which it is affiliated, as well as affiliated interests that broker, sell, or market electricity to customers within the service territory of the utility with which it is affiliated, or that provide consulting services directly related to the sale of electricity to the customers within the service territory of the utility with which it is affiliated.

"Alternative retail electric supplier" or "ARES" has the same meaning as in Section 16-102 of the Act.

"Competitive services" has the same meaning as in Section 16-102 of the Act.

"Corporate support" means corporate oversight and governance involving administrative services (including travel administration, security, printing, graphics, custodial services, secretarial support, mail services, and records management), financial management services (including accounting, treasury, internal audit, tax, and financial reporting and planning), data processing, shareholder services, human resources, employee benefits, regulatory affairs, legal services, lobbying, and non-marketing research and development activities. Corporate support also includes strategic planning.

"Delivery services" has the same meaning as in Section 16-102 of the Act.

"Electric utility" has the same meaning as in Section 16-102 of the Act.

"Emergency support" means the temporary provision of personnel and other resources when consumer safety is at risk or to help maintain service during emergencies where interruption of service can only be avoided or reduced through the sharing of employees.

"Unaffiliated entity" means any entity other than either the electric utility or any of the electric utility's affiliated interests.

83 Ill. Adm. Code 450.20 Non-Discrimination

a) Electric utilities shall not provide affiliated interests or customers of affiliated interests preferential treatment or advantages relative to unaffiliated entities or their customers in connection with services provided under tariffs on file with the Illinois Commerce Commission (Commission). This provision applies broadly to all aspects of service, including, but not limited to, responsiveness to requests for service, the availability of firm versus interruptible services, the imposition of special metering requirements, and all terms and conditions and charges specified in the tariff.

b) Except for corporate support transactions and services that have been declared competitive pursuant to Section 16-113 of the Act, transactions between an electric utility and one or more of its affiliated interests in competition with alternative retail electric suppliers that are not governed by tariff sheets on file with the Commission shall not discriminate in relation to unaffiliated alternative retail electric suppliers.

c) Electric utilities and affiliated interests shall not notify potential or actual customers, either directly or indirectly, advertise to the public, or otherwise communicate that the electric utility provides any advantages relating to the scheduling, transmission or distribution of electricity to affiliated interests or their customers relative to unaffiliated entities and their customers.

d) A utility shall process requests for similar services provided by the utility in the same manner and within the same time period for its affiliated interests in competition with alternative retail electric suppliers and for all similarly situated unaffiliated alternative retail electric suppliers and their respective customers.

e) If discretion is permitted in application of a tariff provision, electric utilities shall maintain a log detailing each instance in which it exercised discretion, as required in Section 450.140(d).

f) If an electric utility offers affiliated interests or customers of affiliated interests a discount, rebate, fee waiver or waivers of its ordinary terms and conditions for services provided under tariffs on file with the Commission, it shall contemporaneously offer the same discount, rebate, fee waiver or waivers of its ordinary terms and conditions to all unaffiliated entities and customers of unaffiliated entities, to the extent consistent with the tariffs, provided, however, that this subsection shall not apply to billing experiments under Section 16-106 of the Act or competitive services under Sections 16-102 and 16-116(b) of the Act. Electric utilities shall maintain a log of such instances, as required in Section 450.140(d).

g) A customer's eligibility for participation in any billing experiments under Section 16-106 of the Act or contracts for competitive service under Sections 16-102 and 16-116(b) of the Act, except for those competitive services that have been declared competitive pursuant to Section 16-113 of the Act, shall not be conditioned on, nor tied to, the taking of any goods and services from the utility's affiliated interests. Electric utilities shall inform customers of this prohibition in writing before customers begin taking such service.

h) When providing delivery services as a component of any bundled service, an electric utility shall not offer affiliated interests or the customers of affiliated interests a discount, rebate, fee waiver or waivers of its ordinary terms and conditions for delivery services on file with the Commission unless delivery services have been declared competitive service pursuant to Section 16-113 of the Act or the electric utility contemporaneously offers the same discount, rebate, fee waiver or waivers of its ordinary terms and conditions to all unaffiliated entities and customers of unaffiliated entities.

83 Ill. Adm. Code 450.25 Marketing and Advertising

a) An electric utility shall neither jointly advertise nor jointly market its services or products with those of an affiliated interest in competition with ARES.

b) Nothing in subsection (a) shall be construed as prohibiting an affiliated interest in competition with ARES from using the corporate name or logo of an electric utility or electric utility holding company.

83 Ill. Adm. Code 450.30 Non-Discrimination Concerning Services Provided Pursuant to Section 16-118 of the Public Utilities Act

In providing any service or engaging in any activity pursuant to Section 16-118 of the Act, whether such service or activity is governed by tariffs filed with the Commission or by other agreements, electric utilities shall not discriminate in favor of or provide preferential treatment to their affiliated interests. Offers to provide service pursuant to Section 16-118 of the Act, whether through tariffs or agreements, shall be made concurrently to all similarly situated alternative retail electric suppliers or electric utilities other than the electric utility in whose service area retail customers are located.

83 Ill. Adm. Code 450.40 Tying

Electric utilities shall not tie, as defined by State and federal anti-trust laws, the provision of any delivery services to the taking of any goods and services from the electric utilities' affiliated interests in competition with alternative retail electric suppliers.

83 Ill. Adm. Code 450.50 Release, Assignment, Transfer, and Brokering of Capacity

Except to the extent as reserved to the sole and exclusive jurisdiction of the Federal Energy Regulatory Commission (FERC), electric utilities shall not grant preferences regarding the release, assignment, transfer, or brokering of electric transmission system capacity to affiliated interests or their customers.

83 Ill. Adm. Code 450.60 Nondiscriminatory Provision of Information to Unaffiliated Entities

a) Any ARES may submit, to an electric utility, a written standing request for information related to the electric utility's transmission or distribution systems that is provided by the utility to the electric utility's affiliated interests. Standing requests made pursuant to this Section shall expire one year after being received by the utility unless renewed in writing by the ARES.

b) Employees of the electric utility's affiliated interests shall not have preferential access to any information about the electric utility's transmission or distribution systems that is not contemporaneously and in the same form and manner available to an unaffiliated alternative retail electric supplier that has submitted a request pursuant to subsection (a) of this Section.

83 Ill. Adm. Code 450.70 Customer Information

a) Customer information shall be made available in accordance with Section 16-122 of the Public Utilities Act [220 ILCS 5/16-122], without preference to affiliated interests or their customers. Electric utilities shall not provide any preferences to affiliated interests in requesting authorization for the release of customer information.

b) An unaffiliated ARES may submit, to an electric utility, a written standing request for any generic customer information concerning the usage, load shape curve or other general characteristics of customers by rate classification that the electric utility provides to its affiliated interests in competition with ARES. A standing request made pursuant to this Section shall expire one year after being received by the utility unless renewed in writing by the ARES.

c) The electric utility shall contemporaneously, and in the same form and manner, make available to any unaffiliated alternative retail electric suppliers that have submitted a standing request, pursuant to subsection (b) of this Section, any generic customer information concerning the usage, load shape curve or other general characteristics of customers by rate classification that the utility makes available to its affiliated interests in competition with alternative retail electric suppliers.

d) Any unaffiliated ARES that receives generic customer information pursuant to a standing request made under this Section or any affiliated interest in competition with ARES that receives generic customer information concerning the usage, load shape curve or other general characteristics of customers by rate classification from the electric utility shall, in accordance with Section 16-122(b) of the Act, pay the electric utility a reasonable fee in each instance that such information is provided.

83 Ill. Adm. Code 450.80 Exception for Corporate Support Information

Except as proscribed by Sections 450.60 and 450.70, electric utilities may share information concerning corporate support with affiliated interests without being required to share such information with unaffiliated entities.

83 Ill. Adm. Code 450.85 Affiliate Information Sharing

The affiliated interests of an electric utility shall neither directly nor indirectly provide preferential access to information to any of the utility's affiliated interests in competition with ARES where the utility's direct sharing of such information with an affiliated interest in competition with ARES would violate any Section of the Public Utilities Act or any Section of this Part.

83 Ill. Adm. Code 450.90 Confidentiality of Alternative Retail Electric Supplier (ares) Information

Electric utilities shall treat all information obtained from an ARES as confidential information, and shall not provide such information to its affiliated interests or to unaffiliated entities unless the alternative retail electric supplier provides authorization to do so.

83 Ill. Adm. Code 450.100 Independent Functioning

Except in relation to corporate support and emergency support, electric utilities and affiliated interests in competition with ARES that provide services to customers within the utility's service territory shall function independently of each other and shall not share services or facilities.

83 Ill. Adm. Code 450.110 Employees

a) Except in relation to corporate support and emergency support, electric utilities and their affiliated interests in competition with alternative retail electric suppliers shall not jointly employ or otherwise share the same employees.

b) Electric utilities shall not jointly employ or otherwise share employees engaged in providing delivery services with their affiliated interests in competition with alternative retail electric suppliers.

c) Subsections (a), (b) and (d) of this Section shall not apply to any employee covered by a collective bargaining agreement subject to federal labor law, including the Labor Management Relations Act and the National Labor Relations Act.

d) Each electric utility that has an affiliated interest in competition with ARES shall maintain a log detailing the transfer of employees: from the utility to its affiliated interests in competition with ARES; from the utility to its other affiliated interests; and from the utility's other affiliated interests to its affiliated interests in competition with ARES. This subsection shall not apply to employee transfers to or from corporations that are affiliated interests of the electric utility solely because they share a common director. The log shall be made available to the Commission upon request.

83 Ill. Adm. Code 450.120 Transfer of Goods and Services

a) Transactions between an electric utility and its affiliated interests shall not be allowed to subsidize the affiliated interests.

b) In connection with an application for a certificate of service authority filed by an affiliated interest of an electric utility, pursuant to Section 16-115 of the Act, the affiliated interest shall provide a copy of a Commission approved services and facilities or affiliated interest agreement that explicitly addresses the cost allocation and valuation methodology to be applied to any transfer of goods and services: between the electric utility and its affiliated interests in competition with ARES; between the utility and its other affiliated interests; and between the utility's other affiliated interests and its affiliated interests in competition with ARES. In the event that there is no Commission approved agreement addressing these issues, the applicant shall submit such an agreement for approval as part of its application.

c) Costs associated with the transfer of goods and services between an electric utility and its affiliated interests, including affiliated interests in competition with ARES, shall be priced as specified in, and allocated pursuant to, the Commission approved services and facilities agreement or affiliated interests agreement presented in the affiliated ARES certification proceeding. Any transfer of goods and services between an electric utility and its affiliated interests, including affiliated interests in competition with ARES, that is not explicitly addressed in a Commission approved services and facilities or affiliated interests agreement is prohibited unless the transfer has been otherwise specifically approved by the Commission pursuant to Section 7-101 of the Act or approval has been waived by statute or Commission rule.

83 Ill. Adm. Code 450.130 Lists of Affiliated Interests and Ares

a) Each electric utility shall maintain an accurate list of all its affiliated interests. Such list shall include the name and address of each affiliated interest and the name and business telephone number of at least one officer of each affiliated interest. The electric utility shall make this list available to the public upon request.

b) The electric utility shall file this list and any subsequent changes to the list with the Chief Clerk of the Commission. The electric utility shall also send copies of the list and subsequent changes to the Director of the Accounting Department and the Manager of the Consumer Services Division of the Commission. The Chief Clerk of the Commission shall make the most recent list of each electric utility available to the public upon request.

c) All ARES, including any utility affiliated ARES, shall, upon certification, but prior to commencing marketing operations, provide to each electric utility in each area of the ARES' certification, notice of the ARES' certification, its trade name, local address and address for service of process, local telephone number and telephone number of its parent company, local fax number and fax number of its parent company and Internet address, if any, of it and its parent company.

d) The electric utility shall receive and compile all information submitted under subsection (c) above and shall make this information available to the public upon request.

83 Ill. Adm. Code 450.140 Maintenance of Books and Records and Commission Access

a) An electric utility shall maintain books, accounts, and records separate from those of its affiliated interests.

b) In connection with an application for a certificate of service authority filed by an affiliated interest of an electric utility, pursuant to Section 16-115 of the Act, the affiliated interest shall provide a copy of a Commission approved services and facilities or affiliated interest agreement that explicitly sets forth both the cost allocation guidelines and the accounting conventions to be applied to any transactions: between the electric utility and its affiliated interests in competition with ARES; between the utility and its other affiliated interests; and between the utility's affiliated interests in competition with ARES and its other affiliated interests. In the event that there is no Commission approved agreement addressing cost allocation and accounting conventions, the applicant shall submit such an agreement for approval as part of its application.

c) Upon the request of the Commission, electric utilities shall make personnel available who are competent to respond to the Commission's inquiries regarding the nature of any transactions that have taken place between the electric utility and its affiliated interests, including but not limited to the goods and services provided, the prices, terms and conditions, and other considerations given for the goods and services provided.

d) Each electric utility shall maintain a log detailing: each instance in which it exercised discretion in the application of tariff provisions; each instance in which it offered affiliated interests or customers of affiliated interests services not governed by tariffs, except for corporate support transactions and services that have been declared competitive pursuant to Section 16-113 of the Act; and each instance in which it offered affiliated interests or customers of affiliated interests a discount, rebate, fee waiver or waivers of the electric utility's ordinary terms and conditions in connection with services provided under tariffs on file with the Commission. The electric utility shall make such log available to the Commission upon request. The log shall contain the following information:

1. the names of the affiliated interests and unaffiliated entities involved in the transaction;

2. a description of the transaction;

3. the time period over which the transaction applies; and

4. the quantities and locations involved in the transaction.

83 Ill. Adm. Code 450.150 Internal Audits

a) Electric utilities shall conduct biennial internal audits on transactions with affiliated interests. These audits shall test compliance with this Part, with any applicable Commission orders, with the electric utility's affiliated interest operating agreement(s) and/or guidelines, with 83 Ill. Adm. Code 415, and with 83 Ill. Adm. Code 420. The audits shall include written reports of conclusions and associated workpapers that shall be available to the Commission Staff for review. The audit reports shall be submitted to the Commission's Director of Accounting within 30 days after completion. Any audit performed pursuant to this Section may be designated as confidential with the Commission's Director of Accounting.

b) The first such internal audit report shall be submitted on or before December 1, 1998. Succeeding audit reports shall be submitted on or before December 1 of each even numbered succeeding year.

c) Subsections (a) and (b) of this Section shall not apply to transactions with corporations that are affiliated interests of the electric utility solely because they share a common director or transactions with individuals that are affiliated interests of the electric utility solely because they are an elective officer or director of the electric utility.

83 Ill. Adm. Code 450.160 Complaint Procedures

a) Complaints alleging violations of this Part shall be filed pursuant to 83 Ill. Adm. Code 200.

b) Pursuant to Section 16-121 of the Act, after notice and hearing held on complaint or on the Commission's own motion, the Commission may:

1. Order the affiliated alternative retail electric supplier to cease and desist, or correct, any violation of or non-conformance with the provisions of 83 Ill. Adm. Code 450;

2. Impose financial penalties for violations of or non-conformance with the provisions of 83 Ill. Adm. Code 450, not to exceed $10,000 per occurrence or $30,000 per day for those violations or the non-conformance that continue after the Commission issues a cease-and-desist order; and

3. Alter, modify or suspend the certificate of service authority of an electric utility's affiliated alternative retail electric supplier for substantial or repeated violations of or non-conformance with the provisions of 83 Ill. Adm. Code 450.

Part 451 Certification of Alternative Retail Electric Suppliers

83 Ill. Adm. Code 451.10 Definitions and Incorporations

"Accountant's report" has the same meaning as in 17 CFR 210.1-02 and 210.2-02 as of April 1, 2001. No incorporation of the Code of Federal Regulations in this Section 451.10 includes any later amendment or edition.

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

"Alternative retail electric supplier" or "ARES" has the same meaning as in Section 16-102 of the Act.

"Applicant" means an entity that files an application with the Illinois Commerce Commission to provide electric service as an alternative retail electric supplier under Section 16-115 of the Act.

"Best's financial size category" refers to a numerical value that A.M. Best or its successor assigns to an insurance company based on the amount of that insurance company's policyholders' surplus and reserve funds.

"Best's rating" refers to a rating from A.M. Best or its successor that provides an overall opinion of an insurance company's ability to meet its obligations to policyholders.

"Business enterprise" means a commercial enterprise or establishment.

"Certified", when used in regard to financial statements, has the same meaning as in 17 CFR 210.1-02 as of April 1, 2001. No incorporation of the Code of Federal Regulations in this Section 451.10 includes any later amendment or edition.

"Commercial general liability insurance" means insurance that covers suits against the insured for personal injury and property damages.

"Commission" means the Illinois Commerce Commission.

"Electric cooperative" means the same as that term is defined in Section 3.4 of the Electric Supplier Act [220 ILCS 30/3.4].

"Financial statements" has the same meaning as in 17 CFR 210.3-01 to 210.3-05 as of April 1, 2001. No incorporation of the Code of Federal Regulations in this Section 451.10 includes any later amendment or edition.

"Guarantee" means an undertaking by a guarantor to pay or fulfill the obligation upon failure of the principal obligor to fulfill its contractual obligations. A guarantee shall contain the following provisions:

The guarantee is one of payment and not of collection;

The guarantor's obligations under the guarantee are weighed equally with other guarantees;

The obligations from transactions entered into under the original guarantee must be the subject of an ongoing guarantee;

The guarantee reinstates if any guaranteed payment made by the primary obligor is recaptured as a result of bankruptcy or insolvency; and

The guarantee is binding on successors of the guarantor.

"Letter of credit" means an instrument issued by a bank guaranteeing the payment of a customer's (i.e., the applicant or ARES) drafts in favor of a third party up to a stated amount for a specified period.

"License bond" means an obligation of a surety to pay the monies that the licensee owes the State of Illinois for violations of the duties and obligations imposed on it as an ARES.

"Management position" means an employed position whereby an individual is responsible for directing, supervising, or administering the activities of a group of two or more people with fiscal responsibility and authority over that group.

"Material" has the same meaning as in 17 CFR 210.1-02 as of April 1, 2001. No incorporation of the Code of Federal Regulations in this Section 451.10 includes any later amendment or edition.

"Municipal system" means any public utility owned and operated by any political subdivision or municipal corporation of the State of Illinois, or owned by such an entity and operated by any lessee or agent thereof.

"Parent" has the same meaning as in 17 CFR 210.1-2 as of April 1, 2001. No incorporation of the Code of Federal Regulations in this Section 451.10 includes any later amendment or edition.

"Payment bond" means an obligation of a surety to pay the monies that the principal (i.e., the applicant or ARES) owes another party in the event that the applicant fails for whatever reason to perform its contract or contracts.

"Permit bond" has the same meaning as "license bond".

"Qualifying surety" means a surety or insurer that is authorized by the U.S. Department of Treasury pursuant to 31 USC 9305. A qualifying surety or insurer may not underwrite more than the amount specified by the U.S. Department of Treasury on a single bond.

"Ratings agency" means Standard & Poor's or its successor, Moody's Investors Service or its successor, or Fitch Ratings or its successor.

"Retail customer", as used in this Part, means the same as the term is defined in Section 16-102 of the Act.

"RTO" means a Regional Transmission Organization.

"Segment" refers to a component of an entity whose activities represent a separate major line of business or class of customer.

"Small commercial retail customer" means the same as the term is defined in Section 16-102 of the Act.

"Surplus Line Association of Illinois" is an organization of Illinois surplus line producers as defined in Section 445.1 of the Illinois Insurance Code [215 ILCS 5/445.1].

"Technical staff" means a staff of trained technical experts in electric power and energy supply, including persons who have completed an accredited or otherwise recognized apprenticeship program or a formal education program and persons who possess no less than four years of experience working in a similar position with a utility, ARES or related business. This shall also include those persons registered as professional engineers as required by the Professional Engineering Practice Act of 1989 [225 ILCS 325].

"Unconditional guarantee" has the same meaning as "guarantee" with these additional provisions:

The guarantor has subjected itself to jurisdiction and service of process in accordance with the laws of the State of Illinois, and the guarantee will be construed in accordance with the laws of the State of Illinois without reference to conflict of laws principles; and

The guaranteed obligations are unconditional, irrespective of value, genuineness, validity, waiver, release, alteration, amendment, and enforceability of the guaranteed obligations.

History

• Source: Amended at 34 Ill. Reg. 15283, effective September 25, 2010

83 Ill. Adm. Code 451.20 Requirements for All Applicants Under Section 16-115(d) of the Act

Each applicant, except electric cooperatives or municipal systems making an election under Section 17-300 of the Act to become an ARES and applicants filing under Section 16-115(e) of the Act, for certification as an ARES must include with its application the following items, as required by Section 16-115(d) of the Act:

a) The applicant shall certify that it will comply with all applicable Federal, State, regional and industry rules, policies, practices, procedures and tariffs for the use, operation, maintenance, safety, integrity, and reliability of the interconnected electric transmission system and shall agree to submit good faith schedules of transmission and energy in accordance with applicable tariffs.

b) The applicant shall certify that it will comply with informational and reporting requirements that the Commission may by rule establish and provide for review by Staff on a confidential and proprietary basis data related to contracts for the purchase and sale of electric power and energy (see 220 ILCS 5/16-115(d)(4)).

c) The applicant shall provide the following:

1. Applicant's name and street address; and

2. Applicant's Federal Employer Identification Number (FEIN).

d) The applicant shall demonstrate that:

1. The applicant is licensed to do business in the State of Illinois; and

2. The employees of the applicant that will be installing, operating, and maintaining generation, transmission, or distribution facilities within the State of Illinois, or any entity with which the applicant has contracted to perform those functions within the State of Illinois, have the requisite knowledge, skills, and competence to perform those functions in a safe and responsible manner in order to provide safe and reliable service in accordance with the criteria stated in Section 16-128(a) of the Act [220 ILCS 5/16-128(a)].

e) The applicant shall certify compliance with all other applicable laws and regulations and Commission rules and orders.

f) The applicant shall certify it will procure renewable energy resources as required by Section 16-115D and Section 16-115(d) of the Act, or shall certify that Section 16-115D and Section 16-115(d) do not apply to it pursuant to Section 16-115D(h).

g) The applicant shall certify that it will source electricity from clean coal facilities, as required by Section 16-115(d)(5) of the Act.

History

• Source: Amended at 34 Ill. Reg. 15283, effective September 25, 2010

83 Ill. Adm. Code 451.30 Required Filings and Procedures

a) The applicant shall publish, as provided by the Notice by Publication Act [715 ILCS 5], notice of its application for certification in the Official State Newspaper within 10 days following the filing of the application for certification. The applicant shall file proof of publication with the Clerk of the Commission within 5 days after publication.

b) All applications for certification under this Part shall be verified as required by Section 200.130 of the Commission's "Rules of Practice" (83 Ill. Adm. Code 200.130).

c) The applicant shall identify the geographic area or geographic areas in which the applicant seeks to be authorized to offer service and the types of services it intends to offer. The applicant shall provide the following:

1. Description of the applicant's business;

2. Description of the characteristics of customer group or groups applicant proposes to serve; and

3. Proof that notification of intent to serve in any utility's service area has been previously provided to the agent designated by the electric utility pursuant to 83 Ill. Adm. Code 215.10 of each electric utility in whose service area the applicant intends to serve.

d) Itemized filing requirements

1. At the time an ARES files an application for certification under this Part, the applicant shall also file its statement in support of application, supporting documents, and schedules containing information showing that the applicant meets the requirements of Section 16-115 of the Act; and

2. The applicant shall certify compliance with all terms and conditions required by Sections 16-115A(a), (b), and (f), 16-119, 16-123, 16-125(b) and (c), 16-127, and 16-128(a) of the Act, to the extent those Sections have application to the services being offered by the alternative electric supplier.

e) Documents shall include the full name, address, telephone number and, unless the applicant has no facsimile number or e-mail address, facsimile number and e-mail address of the applicant. An applicant shall state whether it agrees to accept service by electronic means as provided for in Section 200.1050 of the Commission's "Rules of Practice" (83 Ill. Adm. Code 200.1050). In addition, documents shall be typewritten or printed on white paper 8½ inches by 11 inches or capable of being printed on white paper 8½ inches by 11 inches and shall have inside text margins of not less than one inch.

f) The foregoing requirements of this Section shall apply to neither electric cooperatives or municipal systems making an election under Section 17-300 of the Act to become an ARES nor to applicants filing under Section 16-115(e) of the Act.

History

• Source: Amended at 34 Ill. Reg. 15283, effective September 25, 2010

83 Ill. Adm. Code 451.40 Customer Records and Information

a) The applicant shall agree to adopt and follow rules and procedures ensuring that authorizations received from customers, customer billing records, and requests for delivery service transmitted to utilities are retained for a period of not less than two calendar years after the calendar year in which they were created. In addition to other lawful means of discovery, these records shall be made available by request to the Commission or its Staff on a confidential and proprietary basis, as necessary to carry out the Commission's obligations under the Act.

b) The applicant shall preserve the confidentiality of its customers' data and shall agree to adopt and follow rules and procedures to preserve the confidentiality of its customers' data.

c) The foregoing requirements of this Section shall apply to neither electric cooperatives nor municipal systems making an election under Section 17-300 of the Act to become an ARES nor to applicants filing under Section 16-115(e) of the Act.

History

• Source: Amended at 24 Ill. Reg. 15971, effective October 15, 2000

83 Ill. Adm. Code 451.50 License or Permit Bond Requirements

a) The applicant shall execute and maintain a license or permit bond issued by a qualifying surety or insurance company authorized to transact business in the State of Illinois in favor of the People of the State of Illinois. The amount of the bond shall equal $30,000 if the applicant seeks to serve only nonresidential retail customers with maximum electrical demands of one megawatt or more, $150,000 if the applicant seeks to serve nonresidential retail customers with annual electrical consumption greater than 15,000 kWh, or $300,000 if the applicant seeks to serve all eligible retail customers. The bond shall be conditioned upon the full and faithful performance of all duties and obligations of the applicant as an ARES and shall be valid for a period of not less than one year. The cost of the bond shall be paid by the applicant. The applicant shall file a copy of this bond, with a notarized verification page from the issuer, as part of its application for certification.

b) In the event that a license or permit bond is cancelled, expires or is drawn upon, the ARES shall execute and maintain an additional or replacement bond such that the cumulative value of all outstanding bonds never falls below the amount required in subsection (a) of this Section. The ARES shall file a copy of the additional or replacement bond with the Chief Clerk of the Commission and provide a copy to the Financial Analysis Division − ARES or its successor at least 15 days in advance of the effective date of the bond. The filing shall include a cover letter that explains the purpose of the filing and shall be identified by the name of the ARES as it appears in the most recent Commission order granting the ARES certification.

c) In the event that a license or permit bond is modified, the ARES shall file a copy of the modified bond with the Chief Clerk of the Commission and provide a copy of that bond to the Financial Analysis Division − ARES or its successor at least 15 days in advance of the effective date of the modification. The filing shall include a cover letter titled "Part 451 License or Permit Bond" that explains the purpose of the filing and shall be identified by the name of the ARES as it appears in the most recent Commission order granting the ARES certification.

d) The requirements of this Section shall apply to neither electric cooperatives nor municipal systems making an election under Section 17-300 of the Act to become an ARES nor to applicants filing under Section 16-115(e) of the Act.

History

• Source: Amended at 34 Ill. Reg. 15283, effective September 25, 2010

83 Ill. Adm. Code 451.60 Confidential Documentation

If an applicant or ARES believes any of the information to be disclosed by an applicant or ARES is privileged or confidential, the applicant or ARES should request that the Commission enter an order to protect the confidential, proprietary or trade secret nature of any data, information or studies pursuant to 83 Ill. Adm. Code 200.430. The applicant or ARES shall designate which information is privileged and confidential. Such information shall be marked as "confidential" and submitted separately under seal to the Chief Clerk of the Commission. The applicant or ARES is required to explain why that information is entitled to that protection in a supporting document pursuant to Section 451.30(d)(1).

History

• Source: Added at 24 Ill. Reg. 15971, effective October 15, 2000

83 Ill. Adm. Code 451.100 Applicability of Subpart B

This Subpart shall apply only to the certification of all alternative retail electric suppliers that seek to serve only nonresidential retail customers with maximum electrical demands of one megawatt or more as required by Section 16-115(f) of the Act except as noted. The requirements of this Subpart are in addition to the requirements of Subpart A. This Subpart applies to neither electric cooperatives nor municipal systems making an election under Section 17-300 of the Act to become an alternative retail electric supplier.

History

• Source: Amended at 34 Ill. Reg. 15283, effective September 25, 2010

83 Ill. Adm. Code 451.110 Financial Qualifications Under Subpart B

a) An applicant shall be deemed to possess sufficient financial capabilities to serve non-residential retail customers with maximum electrical demand of one megawatt or more if the applicant meets any of the following criteria:

1. The applicant maintains at least one of the following commercial paper ratings: A-2 or higher from Standard & Poor's or its successor, P-2 or higher from Moody's Investors Service or its successor, or F-2 or higher from Fitch Ratings or its successor; or at least one of the following long-term credit ratings: BBB- or higher from Standard & Poor's or its successor, Baa3 or higher from Moody's Investors Service or its successor, or BBB- or higher from Fitch Ratings or its successor. The applicant shall provide with its application a copy of the ratings agency reports that present the ratings of the applicant.

2. The applicant maintains one or more lines of credit with RTOs and/or unaffiliated wholesale suppliers for electric energy for delivery to the service territories of the utilities for which the applicant is seeking a certificate.

A) The amount of credit available to the applicant under the credit agreements shall, in aggregate, be no less than the greater of $500,000 or 5% of the amount of the applicant's revenue for its most recently completed 12-month fiscal year. That amount of revenue must appear in the applicant's certified financial statements, or those of the applicant's parent, that have received an accountant's report that certifies those financial statements to be free of material misstatement. If the applicant is using the certified financial statements of its parent, the minimum required amount of credit available under the credit agreements shall be determined using the applicable revenue amount from the segment information section of the certified financial statements of the applicant's parent as follows:

i) If the applicant is listed separately in the segment information section, the applicant's revenue shall be used; or

ii) If the segment information section is broken down by operation, or other means, the revenue for the entire segment of which the applicant is part shall be used, unless a certified breakdown of the segment by company is provided.

iii) In the alternative, the applicant's revenue from sales to Illinois retail customers may be used. In these circumstances, the revenue from sales to Illinois retail customers must be provided in the certified financial statements or in internal documents accompanied by a verified statement from a company officer.

B) The credit agreement shall be valid for a period of not less than one year.

C) The applicant shall provide a copy of the following:

i) A schedule, with references to each input of the calculation, showing the currently available amount of each line of credit, including all deductions resulting from any covenants or other limitations governing each agreement;

ii) The credit agreements;

iii) The applicant's certified financial statements, including the accountant's report, or those of the applicant's parent, as applicable;

iv) If the applicant's revenue from sales to Illinois retail customers is to be used, the applicant must submit certified financial statements that present this information, or internal documents that present this information and a verified statement from a company officer attesting to the accuracy of those internal documents; and

v) A schedule showing the 5% of revenue calculation, with a reference to the applicant's certified financial statements, certified letter from an officer of the applicant verifying Illinois revenue, or internal documents, as applicable, provided for the revenue input of the calculation.

3. The applicant demonstrates and certifies it is a member of one or more RTOs and purchases 100% of its physical electric energy from the RTOs for delivery to the service territories of the utilities for which the applicant is seeking a certificate.

4. The applicant shall execute and maintain an unconditional guarantee, payment bond, or letter of credit that upon failure to comply with its contractual obligations to supply energy to its customers, shall be payable to the People of the State of Illinois. Any dollar limitation on the unconditional guarantee, payment bond, or letter of credit shall equal not less than the product of 1080 times the applicant's expected peak hourly demand expressed in MWs over the next 12 months times the average of the 45 highest daily market prices of electric energy traded during the previous year. Each February, the Commission shall choose a published price index for electricity for use in this subsection (a)(4). The daily market price of electric energy shall equal the published price index for electricity traded in Illinois, except in the event that no price index for electricity traded in the State of Illinois is published, then the daily market price of electricity shall be determined by the use of a published price index for electricity traded at the nearest location to the State of Illinois. The unconditional guarantee, payment bond, or letter of credit shall be valid for a period of not less than one year. All payments to be made through the unconditional guarantee, payment bond, or letter of credit under this Section shall be paid in accordance with a Commission Order authorizing such payment.

A) Unconditional Guarantee. The guarantor shall maintain at least one of the following commercial paper ratings: A-2 or higher from Standard & Poor's or its successor, P-2 or higher from Moody's Investors Service or its successor, or F-2 or higher from Fitch Ratings or its successor; or at least one of the following long-term credit ratings: BBB- or higher from Standard & Poor's or its successor, Baa3 or higher from Moody's Investors Service or its successor, or BBB- or higher from Fitch Ratings or its successor. The applicant shall provide a copy of the following:

i) The unconditional guarantee;

ii) The ratings agency report that presents the applicable rating of the guarantor; and

iii) A good faith estimate of the applicant's expected peak hourly demand expressed in MWs over the next 12 months.

B) Payment Bond. The payment bond or payment bonds shall be issued by a qualifying surety authorized to transact business in the State of Illinois or by a surety whose Best's rating is A- or better and whose Best's financial size category is VII or larger, and whose contract of insurance is issued pursuant to Section 445 or 445a of the Illinois Insurance Code [215 ILCS 5/445 or 445a] and countersigned by the Surplus Line Association of Illinois or its successor. The applicant shall provide a copy of the following:

i) The payment bonds or the contract of insurance with the countersignature of the Surplus Line Association of Illinois or its successor as applicable;

ii) Documentation demonstrating that the surety issuing the payment bond is a qualified surety authorized to transact business in the State of Illinois or a surety with a satisfactory Best's rating and financial size category, as applicable; and

iii) A good faith estimate of the applicant's expected peak hourly demand expressed in MWs over the next 12 months.

C) Letter of Credit. The letter of credit shall be irrevocable and issued by a financial institution with a long-term obligation rating of A- or higher from Standard & Poor's or its successor, A3 or higher from Moody's Investors Service or its successor, or A- or higher from Fitch Ratings or its successor. The applicant shall provide a copy of the following:

i) The letter of credit;

ii) The ratings agency report that presents the long-term obligation rating of the financial institution extending the credit; and

iii) A good faith estimate of the applicant's expected peak hourly demand expressed in MWs over the next twelve months.

5. The applicant maintains a line of credit or revolving credit agreement.

A) The line of credit or revolving credit agreement must be from a financial institution with a long-term obligation rating of A- or higher from Standard & Poor's or its successor, A3 or higher from Moody's Investors Service or its successor, or A- or higher from Fitch Ratings or its successor.

B) The amount of the line of credit or revolving credit agreement shall be no less than the greater of $500,000 or 5% of the amount of revenue for the most recently completed 12-month fiscal year. That amount of revenue must appear in the applicant's certified financial statements, or those of the applicant's parent, that have received an accountant's report that certifies those financial statements to be free of material misstatement. If the applicant is using the certified financial statements of its parent, the minimum required amount of credit available under the line of credit or revolving credit agreement shall be determined using the applicable revenue amount from the segment information section of the certified financial statements of the applicant's parent.

i) If the applicant is listed separately in the segment information section, the applicant's revenue shall be used.

ii) If the segment information section is broken down by operation, or other means, the revenue for the entire segment of which the applicant is part shall be used, unless a certified breakdown of the segment by company is provided.

C) The line of credit or revolving credit agreement shall be valid for a period of not less than one year.

D) The applicant shall provide a copy of the following:

i) The line of credit or revolving credit agreement;

ii) The ratings agency report that presents the long-term obligation rating of the financial institution extending the credit;

iii) The certified financial statements, including the accountant's report, of the applicant or those of the applicant's parent, as applicable; and

iv) A schedule showing the 5% of revenue calculation, with a reference to the applicant's certified financial statements provided for the revenue input of the calculation.

b) An applicant that will provide electric power and energy with property, plant, and equipment that it owns, controls, or operates shall have in force, and provide proof that it has in force, general liability insurance that shall remain in effect for a period of not less than one year.

1. The applicant shall be deemed to have sufficient commercial general liability insurance if that coverage is in the amount of at least $100,000,000. The commercial general liability insurance must be maintained with insurance companies assigned Best's ratings of A- or better and Best's financial sizes of VII or larger.

2. The applicant shall provide a certificate of insurance as part of its application for certification. If the applicant or ARES renews or makes changes in its insurance coverage, the insurance coverage must be continuous and without interruption. The certificate of insurance and the insurance policies shall contain a provision that coverage afforded under the policies shall not be cancelled, allowed to expire, or subjected to a reduction in the limits in any manner unless at least 30 days prior written notice (10 days notice in the case of nonpayment of premium) has been given to the Commission.

History

• Source: Amended at 34 Ill. Reg. 15283, effective September 25, 2010

83 Ill. Adm. Code 451.120 Technical Qualifications Under Subpart B

a) An applicant that uses electric generation, transmission or distribution facilities that it owns, controls, or operates in serving customers shall be deemed to possess sufficient technical capabilities to serve retail customers identified in this Subpart if it maintains a technical staff on duty or on call 24 hours each day to operate and maintain applicant's facilities as needed. The applicant must have at least two individuals on its staff with at least two years operational experience working with an electric generation, transmission or distribution facility that is substantially similar to the facility that the applicant owns, controls or operates in serving customers, and one individual on its staff with at least two years experience buying or selling power and energy in wholesale markets.

b) Any other applicant shall be deemed to possess sufficient technical capabilities to serve retail customers identified in this Subpart if it has at least one individual on its staff with at least two years experience buying or selling power and energy in wholesale markets.

c) The applicant shall include in its application an exhibit that identifies, by name and job title, the persons on its staff, and agents or contractors utilized pursuant to Section 451.140, with the technical experience required under Subpart B. The exhibit shall provide a description of the relevant occupational experience for each person, including a description of the duties and the duration of the duties being used to meet each experience requirement of this Section.

History

• Source: Amended at 34 Ill. Reg. 15283, effective September 25, 2010

83 Ill. Adm. Code 451.130 Managerial Qualifications Under Subpart B

An applicant shall be deemed to possess sufficient managerial capabilities to serve retail customers identified in this Subpart if it has at least one person in a management position with three or more years of experience with a business enterprise.

a) The applicant shall include in its application an exhibit that identifies, by name and job title, the persons on its staff, and agents or contractors utilized pursuant to Section 451.140, with the managerial experience required under Subpart B. The exhibit shall provide a description of the relevant occupational experience for each person, including a description of the duties and the duration of the duties being used to meet each experience requirement of this Section.

b) The applicant shall include in its application an exhibit containing a corporate organizational chart and indicate the position of the persons or agents who are being used to meet the requirements of this Section.

History

• Source: Amended at 34 Ill. Reg. 15283, effective September 25, 2010

83 Ill. Adm. Code 451.140 Qualifications of Agents and Contractors Under Subpart B

An applicant may meet the requirements of Sections 451.120 and 451.130 by entering into one or more contracts with others to provide the required experience levels, provided that:

a) Each agent and contractor on whom the applicant relies to meet Section 451.120 or 451.130 is disclosed in the application;

b) The applicant shall certify that the agent or contractor will comply with all Sections of Part 451 applicable to the function or functions to be performed by the respective agent or contractor.

History

• Source: Amended at 34 Ill. Reg. 15283, effective September 25, 2010

83 Ill. Adm. Code 451.150 Commission Order in Proceedings Under Subpart B

The Commission shall issue an order granting or denying an application filed under this Subpart B within 45 days after the date on which a complete application has been filed with the Commission and notice of the application's filing is published in the Official State Newspaper as provided by the Notice by Publication Act [715 ILCS 5].

History

• Source: Amended at 34 Ill. Reg. 15283, effective September 25, 2010

83 Ill. Adm. Code 451.160 Confidential Documentation (Repealed)

History

• Source: Repealed at 24 Ill. Reg. 15971, effective October 15, 2000

Chapter I Illinois Commerce Commission

Subchapter c Electric Utilities

Part 451 Certification of Alternative Retail Electric Suppliers

83 Ill. Adm. Code 451.200 Applicability of Subpart C

This Subpart shall apply to the certification of all alternative retail electric suppliers that seek to serve nonresidential retail customers with annual electrical consumption greater than 15,000 kWh. The requirements in this Subpart are in addition to the requirements of Subpart A. Sections 451.220 through 451.260 do not apply to electric cooperatives or municipal systems making an election under Section 17-300 of the Act to become an alternative retail electric supplier.

History

• Source: Amended at 34 Ill. Reg. 15283, effective September 25, 2010

83 Ill. Adm. Code 451.210 General Qualifications Under Subpart C

Applicant shall certify compliance with all terms and conditions required by Section 16-115A(c) of the Act [220 ILCS 5/16-115A(c)].

History

• Source: Added at 23 Ill. Reg. 13820, effective December 1, 1999

83 Ill. Adm. Code 451.220 Financial Qualifications Under Subpart C

a) An applicant shall be deemed to possess sufficient financial resources to be certified as an ARES able to serve only nonresidential retail customers with annual electrical consumption in excess of 15,000 kWh if it meets any of the following criteria:

1. The applicant maintains at least one of the following commercial paper ratings: A-2 or higher from Standard & Poor's or its successor, P-2 or higher from Moody's Investors Service or its successor, or F-2 or higher from Fitch Ratings or its successor; or at least one of the following long-term credit ratings: BBB- or higher from Standard & Poor's or its successor, Baa3 or higher from Moody's Investors Service or its successor, or BBB- or higher from Fitch Ratings or its successor. The applicant shall provide with its application a copy of the ratings agency reports that present the ratings of the applicant.

2. The applicant maintains one or more lines of credit with RTOs and/or unaffiliated wholesale suppliers for electric energy for delivery to the service territories of the utilities for which the applicant is seeking a certificate.

A) The amount of credit available to the applicant under the credit agreements shall in aggregate be no less than the greater of $750,000 or 7.5% of the amount of the applicant's revenue for its most recently completed 12-month fiscal year. That amount of revenue must appear in the applicant's certified financial statements, or those of the applicant's parent, that have received an accountant's report that certifies those financial statements to be free of material misstatement. If the applicant is using the certified financial statements of its parent, the minimum required amount of credit available under the credit agreements shall be determined using the applicable revenue amount from the segment information section of the certified financial statements of the applicant's parent, as follows:

i) If the applicant is listed separately in the segment information section, the applicant's revenue shall be used; or

ii) If the segment information section is broken down by operation, or other means, the revenue for the entire segment of which the applicant is part shall be used, unless a certified breakdown of the segment by company is provided.

iii) In the alternative, the applicant's revenue from sales to Illinois retail customers may be used. In these circumstances, the revenue from sales to Illinois retail customers must be provided in the certified financial statements or in internal documents accompanied by a verified statement from a company officer.

B) The credit agreement shall be valid for a period of not less than one year.

C) The applicant shall provide a copy of the following:

i) A schedule with references to each input of the calculation, showing the currently available amount of each line of credit, including all deductions resulting from any covenants or other limitations governing each agreement;

ii) The credit agreements;

iii) The certified financial statements, including the accountant's report, of the applicant or those of the applicant's parent, as applicable;

iv) If the applicant's revenue from sales to Illinois retail customers is to be used, the applicant must submit certified financial statements that present this information, or internal documents that present this information and a verified statement from a company officer attesting to the accuracy of those internal documents; and

v) A schedule showing the 7.5% of revenue calculation, with a reference to the applicant's certified financial statements, certified letter from an officer of the applicant verifying Illinois revenue, or internal documents, as applicable, provided for the revenue input of the calculation.

3. The applicant demonstrates and certifies it is a member of one or more RTOs and purchases 100% of its physical electric energy from the RTOs for delivery to the service territories of the utilities for which the applicant is seeking a certificate.

4. The applicant shall execute and maintain an unconditional guarantee, payment bond, or letter of credit that, upon failure to comply with its contractual obligations to supply energy to its customers, shall be payable to the People of the State of Illinois. Any dollar limitation on the unconditional guarantee, payment bond, or letter of credit shall equal not less than the product of 1080 times the applicant's expected peak hourly demand expressed in MWs over the next 12 months times the average of the 45 highest daily market prices of electric energy traded during the previous year. Each February, the Commission shall choose a published price index for electricity for use in this subsection (a)(4). The daily market price of electric energy shall equal the published price index for electricity traded in Illinois, except in the event that no price index for electricity traded in the State of Illinois is published, then the daily market price of electricity shall be determined by the use of a published price index for electricity traded at the nearest location to the State of Illinois. The unconditional guarantee, payment bond, or letter of credit shall be valid for a period of not less than one year. All payments to be made through the unconditional guarantee, payment bond, or letter of credit under this Section shall be paid in accordance with a Commission Order authorizing the payment.

A) Unconditional Guarantee. The guarantor shall maintain at least one of the following commercial paper ratings: A-2 or higher from Standard & Poor's or its successor, P-2 or higher from Moody's Investors Service or its successor, or F-2 or higher from Fitch Ratings or its successor; or at least one of the following long-term credit ratings: BBB- or higher from Standard & Poor's or its successor, Baa3 or higher from Moody's Investors Service or its successor, or BBB- or higher from Fitch Ratings or its successor. The applicant shall provide a copy of the following:

i) The unconditional guarantee;

ii) The ratings agency report that presents the applicable ratings of the guarantor; and

iii) A good faith estimate of the applicant's expected peak hourly demand expressed in MWs over the next twelve months.

B) Payment Bond. The payment bond or payment bonds shall be issued by a qualifying surety authorized to transact business in the State of Illinois or by a surety whose Best's rating is A- or better and whose Best's financial size category is VII or larger, and whose contract of insurance is issued pursuant to Section 445 or 445a of the Illinois Insurance Code [215 ILCS 5/445 or 445a] and countersigned by the Surplus Line Association of Illinois or its successor. The applicant shall provide a copy of the following:

i) The payment bonds or the contract of insurance with the countersignature of the Surplus Line Association of Illinois or its successor as applicable;

ii) Documentation demonstrating that the surety issuing the payment bond is a qualified surety authorized to transact business in the State of Illinois or a surety with a satisfactory Best's rating and financial size category, as applicable; and

iii) A good faith estimate of the applicant's expected peak hourly demand expressed in MWs over the next 12 months.

C) Letter of Credit. The letter of credit shall be irrevocable and issued by a financial institution with a long-term obligation rating of A- or higher from Standard & Poor's or its successor, A3 or higher from Moody's Investors Service or its successor, or A- or higher from Fitch Ratings or its successor. The applicant shall provide a copy of the following:

i) The letter of credit;

ii) The ratings agency report that presents the long-term obligation rating of the financial institution extending the credit; and

iii) A good faith estimate of the applicant's expected peak hourly demand expressed in MWs over the next 12 months.

5. The applicant maintains a line of credit or revolving credit agreement.

A) The line of credit or revolving credit agreement must be from a financial institution with a long-term obligation rating of A- or higher from Standard & Poor's or its successor, A3 or higher from Moody's Investors Service or its successor, or A- or higher from Fitch Ratings or its successor.

B) The amount of the line of credit or revolving credit agreement shall be no less than the greater of $750,000 or 7.5% of the amount of the applicant's revenue for the most recently completed 12-month fiscal year. That amount of revenue must appear in the applicant's certified financial statements, or those of the applicant's parent, that have received an accountant's report that certifies those financial statements to be free of material misstatement. If the applicant is using the certified financial statements of its parent, the minimum required amount of credit available under the line of credit or revolving credit agreement shall be determined using the applicable revenue amount from the segment information section of the certified financial statements of the applicant's parent.

i) If the applicant is listed separately in the segment information section, the applicant's revenue shall be used.

ii) If the segment information section is broken down by operation, or other means, the revenue for the entire segment of which the applicant is part shall be used, unless a certified breakdown of the segment by company is provided.

C) The line of credit or revolving credit agreement shall be valid for a period of not less than one year.

D) The applicant shall provide a copy of the following:

i) The line of credit or revolving credit agreement;

ii) The ratings agency report that presents the long-term obligation rating of the financial institution extending the credit;

iii) The certified financial statements, including the accountant's report, of the applicant or those of the applicant's parent, as applicable; and

iv) A schedule showing the 7.5% of revenue calculation, with a reference to the applicant's certified financial statements provided for the revenue input of the calculation.

b) An applicant that does not either meet or qualify for certification under any of the criteria set forth in subsection (a) shall describe its financial resources and explain why those financial resources are sufficient for the goods and services it seeks to provide. If the applicant's financial resources are not sufficient for the services it seeks to provide or if the financial documents do not otherwise establish that the applicant possesses adequate financial resources to provide the service for which it seeks a certificate of service authority, the Commission shall deny granting that certificate of service authority. In its application, the applicant shall provide the following:

1. An explanation of how its supporting documentation demonstrates that its financial resources are sufficient for the goods and services it seeks to provide; and

2. The applicant's certified financial statements, or those of its parent if the segment information contained in the parent's financial statements is sufficiently detailed to establish the adequacy of the applicant's financial resources, and accountant's report. If the applicant does not have certified financial statements and an accountant's report, the applicant shall provide all of the following:

A) A balance sheet that reflects the applicant's current financial condition and includes a statement of assets, liabilities and owner's equity;

B) An income statement that reflects the applicant's current earnings. If the applicant has not yet started operations, it shall provide a projected income statement;

C) A listing of shareholders, owners, partners or proprietors with ownership interests in excess of 5% and the amount of their respective ownership interests;

D) A listing of any entities with which the applicant expects to enter into a contract within the next 12 months concerning the provision of electric power or energy, or the delivery or furnishing of electric power or energy, to retail customers;

E) Copies of all contracts with outside contractors and with all affiliated entities concerning the provision of electric power or energy, or the delivery or furnishing of electric power or energy, to retail customers;

F) A projected budget for the next three fiscal years following the current year; and

G) If available:

i) Unaudited financial statements (for the most recent period available) including any compilation or review opinions;

ii) The most recent federal and state income tax return;

iii) General ledgers for the most recent 12 month period available; and

iv) The applicant's Dun & Bradstreet Business Information Report.

History

• Source: Amended at 34 Ill. Reg. 15283, effective September 25, 2010

83 Ill. Adm. Code 451.230 Technical Qualifications Under Subpart C

a) An applicant that uses electric generation, transmission or distribution facilities that it owns, controls, or operates in serving customers shall be deemed to possess sufficient technical capabilities to serve retail customers identified in this Subpart if it maintains at least two technical staff on duty or on call 24 hours each day to operate and maintain applicant's facilities as needed. The technical staff must have at least two years of technical operational experience working with an electric generation, transmission or distribution facility that is substantially similar to the facility that the applicant owns, controls or operates in serving customers, and meet the criteria in subsections (b) and (c) of this Section.

b) An applicant shall be deemed to possess sufficient technical capabilities to serve retail customers identified in this Subpart if it has at least one individual on its staff with two years experience buying and selling power and energy in wholesale markets, and six months of scheduling experience working for an entity that is either a member of PJM, a market participant in the Midwest ISO, or has a system operator certificate from NERC, or has earned Certified Energy Procurement Professional status by the Association of Energy Engineers or equivalent certification.

c) The applicant shall designate in its application, and shall agree thereafter to maintain, a telephone number, fax number and address where its staff can be directly reached at all times. Maintenance of an answering service or machine, pager or similar message-taking procedure does not satisfy this requirement.

d) The applicant shall include in its application an exhibit that identifies, by name and job title, the persons on its staff, and agents or contractors utilized pursuant to Section 451.250, with the technical experience required under this Subpart C. The exhibit shall provide a description of the relevant occupational experience for each person, including a description of the duties and the duration of the duties being used to meet each experience requirement of this Section.

e) In the event the applicant does not meet length of experience qualifications set forth in this Section, the applicant shall demonstrate the extent its technical resources and abilities match the services that it intends to provide to its customers. The Commission may impose such terms and conditions as it deems necessary in order to insure the applicant is technically qualified, commensurate with the anticipated scope of the service to be provided and customers to be served.

History

• Source: Amended at 34 Ill. Reg. 15283, effective September 25, 2010

83 Ill. Adm. Code 451.240 Managerial Qualifications Under Subpart C

An applicant shall be deemed to possess sufficient managerial capabilities to serve customers identified in this Subpart if it has at least one person in a management position with four or more years experience with enterprise financial and administration responsibilities including profit and loss responsibilities and provides the information required in subsections (a) and (b) of this Section.

a) The applicant shall include in its application an exhibit that identifies, by name and job title, the persons on its staff, and agents or contractors utilized pursuant to Section 451.250, with the managerial experience required under this Subpart C. The exhibit shall provide a description of the relevant occupational experience for each person, including a description of the duties and the duration of the duties being used to meet each experience requirement of this Section.

b) The applicant shall include in its application an exhibit containing a corporate organizational chart and indicating the position of the persons or agents who are being used to meet the requirements of this Section.

c) In the event the applicant does not meet the managerial qualifications set forth in this Section, the applicant shall demonstrate the extent its managerial resources and abilities match the services that it intends to provide to its customers. The Commission may impose such terms and conditions as deemed necessary in order to insure the applicant is managerially qualified, commensurate with the anticipated scope of the service to be provided and customers to be served.

History

• Source: Amended at 34 Ill. Reg. 15283, effective September 25, 2010

83 Ill. Adm. Code 451.250 Qualifications of Agents and Contractors Under Subpart C

An applicant may meet the requirements of Sections 451.230 and 451.240 by entering into one or more contracts with others to provide the required experience levels, provided that:

a) Each agent and contractor on whom the applicant relies to meet Section 451.230 or 451.240 is disclosed in the application; and

b) The applicant shall certify that the agent or contractor will comply with all Sections of Part 451 applicable to the function or functions to be performed by the respective agent or contractor.

History

• Source: Amended at 34 Ill. Reg. 15283, effective September 25, 2010

83 Ill. Adm. Code 451.260 Commission Order in Proceedings Under Subpart C

The Commission shall issue an order granting or denying an application filed under this Subpart C within 45 days after the date on which a complete application has been properly filed with the Commission and notice of the application's filing is published in the Official State Newspaper as provided by the Notice by Publication Act [715 ILCS 5].

History

• Source: Amended at 24 Ill. Reg. 15971, effective October 15, 2000

83 Ill. Adm. Code 451.270 Confidential Documentation Under Subpart C (repealed)

History

• Source: Repealed at 24 Ill. Reg. 15971, effective October 15, 2000

83 Ill. Adm. Code 451.300 Applicability of Subpart D

Subpart D shall apply to applicants who seek to serve all retail customers. The requirements of this Subpart are in addition to the requirements of Subpart A. Sections 451.320 through 451.360 do not apply to electric cooperatives or municipal systems making an election under Section 17-300 of the Act to become an alternative retail electric supplier.

History

• Source: Amended at 34 Ill. Reg. 15283, effective September 25, 2010

83 Ill. Adm. Code 451.310 General Provisions of Subpart D

a) Applicant shall certify compliance with all terms and conditions required by Section 16-115A(c) of the Act.

b) An applicant that seeks to serve customers within a geographic area that is smaller than an electric utility's service area shall demonstrate that the designation of this smaller area does not violate any part of Section 16-115A of the Act. Applicant shall state in its application for certification any limitations that will be imposed on the number of customers or maximum load to be served and certify that it will not deny service to a customer or group of customers nor establish any differences as to prices, terms, conditions, services, products, facilities, or in any other respect, whereby such denial or differences are based upon race, gender or income nor deny service to a customer or group of customers based on locality nor establish any unreasonable difference as to prices, terms, conditions, services, products, or facilities as between localities.

c) The applicant shall submit as part of its application a statement indicating:

1. Whether the applicant has been denied an electric supplier license in any state in the United States, and for affirmative responses, provide details identifying the name, case number, and jurisdiction of each such action.

2. Whether the applicant has had an electric supplier license suspended or revoked by any state in the United States, and for affirmative responses, provide details identifying the name, case number, and jurisdiction of each such action.

3. Where, if any, other electric supplier license applications are pending in the United States.

4. Whether the applicant is the subject of any lawsuits filed in a court of law or formal complaints filed with a regulatory agency alleging fraud, deception or unfair marketing practices, or other similar allegations, identifying the name, case number, and jurisdiction of each such lawsuit or complaint. For the purposes of this Section, formal complaints include only those complaints that seek a binding determination from a state or federal regulatory body.

d) The applicant shall certify that it will comply with the following requirements with respect to the marketing, offering and provision of products or services to residential and small commercial retail customers:

1. Any marketing materials that make statements concerning prices, terms and conditions of service shall contain information that adequately discloses the prices, terms and conditions of the products or services that the alternative retail electric supplier is offering or selling to the customer.

2. Before any customer is switched from another supplier, the alternative retail electric supplier shall give the customer written information that adequately discloses, in plain language, the prices, terms and conditions of the products and services being offered and sold to the customer.

3. An alternative retail electric supplier shall provide documentation to the Commission and to customers that substantiates any claims made by the alternative retail electric supplier regarding the technologies and fuel types used to generate the electricity offered or sold to customers.

4. The alternative retail electric supplier shall provide to the customer itemized billing statements that describe the products and services provided to the customer and their prices and provide an additional statement, at least annually, that adequately discloses the average monthly prices and the terms and conditions of the products and services sold to the customer.

e) The applicant shall certify that it will provide the Commission's electric education internet address to all residential and small commercial retail customers pursuant to Section 16-117(g)(2) of the Act.

f) The applicant shall certify that it will provide to residential and small commercial retail customers, on a semiannual basis, information on how to obtain a list of alternative retail electric suppliers that have been found in the last 3 years by the Commission (pursuant to Section 10-108 of the Act) to have failed to provide service in accordance with the terms of their contracts (pursuant to Section 16-117(g)(4)(C) of the Act).

History

• Source: Amended at 43 Ill. Reg. 10450, effective September 3, 2019

83 Ill. Adm. Code 451.320 Financial Qualifications Under Subpart D

a) An applicant shall be deemed to possess sufficient financial resources to be certified as an ARES able to serve all retail customers if it meets any of the following criteria:

1. The applicant maintains at least one of the following commercial paper ratings: A-2 or higher from Standard & Poor's or its successor, P-2 or higher from Moody's Investors Service or its successor, or F-2 or higher from Fitch Ratings or its successor; or at least one of the following long-term credit ratings: BBB- or higher from Standard & Poor's or its successor, Baa3 or higher from Moody's Investors Service or its successor, or BBB- or higher from Fitch Ratings or its successor. The applicant shall provide with its application a copy of the ratings agency reports that present the ratings of the applicant.

2. The applicant maintains one or more lines of credit with RTOs and/or unaffiliated wholesale suppliers for electric energy for delivery to the service territories of the utilities for which the applicant is seeking a certificate.

A) The amount of credit available to the applicant under the credit agreements shall in aggregate be no less than the greater of $1,000,000 or 10% of the amount of the applicant's revenue for its most recently completed 12-month fiscal year. That amount of revenue must appear in the applicant's certified financial statements, or those of the applicant's parent, that have received an accountant's report that certifies those financial statements to be free of material misstatement. If the applicant is using the certified financial statements of its parent, the minimum required amount of credit available under the credit agreements shall be determined using the applicable revenue amount from the segment information section of the certified financial statements of the applicant's parent.

i) If the applicant is listed separately in the segment information section, the applicant's revenue shall be used; or

ii) If the segment information section is broken down by operation, or other means, the revenue for the entire segment of which the applicant is part shall be used, unless a certified breakdown of the segment by company is provided; or

iii) In the alternative, the applicant's revenue from sales to Illinois retail customers may be used. In these circumstances, the revenue from sales to Illinois retail customers must be provided in the certified financial statements or in internal documents accompanied by a verified statement from a company officer.

B) The credit agreements shall be valid for a period of not less than one year.

C) The applicant shall provide a copy of the following:

i) A schedule, with references to each input of the calculation, showing the currently available amount of each line of credit, including all deductions resulting from any covenants or other limitations governing each agreement;

ii) The credit agreements;

iii) The certified financial statements, including the accountant's report, of the applicant or those of the applicant's parent, as applicable;

iv) If the applicant's revenue from sales to Illinois retail customers is to be used, the applicant must submit certified financial statements that present this information, or internal documents that present this information and a verified statement from a company officer attesting to the accuracy of those internal documents; and

v) A schedule showing the calculation of 10% of revenue with a reference to the applicant's certified financial statements or internal documents, as applicable, provided for the revenue input of the calculation.

3. The applicant demonstrates and certifies it is a member of one or more RTOs and purchases 100% of its physical electric energy from the RTOs for delivery to the service territories of the utilities for which the applicant is seeking a certificate.

4. The applicant shall execute and maintain an unconditional guarantee, payment bond, or letter of credit that, upon failure to comply with its contractual obligations to supply energy to its customers, shall be payable to the People of the State of Illinois. Any dollar limitation on the unconditional guarantee, payment bond, or letter of credit shall equal not less than the product of 1080 times the applicant's expected peak hourly demand expressed in MWs over the next twelve months times the average of the 45 highest daily market prices of electric energy traded during the previous year. Each February, the Commission shall choose a published price index for electricity for use in this subsection (a)(4). The daily market price of electric energy shall equal the published price index for electricity traded in Illinois, except in the event that no price index for electricity traded in the State of Illinois is published, then the daily market price of electricity shall be determined by the use of a published price index for electricity traded at the nearest location to the State of Illinois. The unconditional guarantee, payment bond, or letter of credit shall be valid for a period of not less than one year. All payments to be made through the unconditional guarantee, payment bond, or letter of credit under this Section shall be paid in accordance with a Commission Order authorizing the payment.

A) Unconditional Guarantee. The guarantor shall maintain at least one of the following commercial paper ratings: A-2 or higher from Standard & Poor's or its successor, P-2 or higher from Moody's Investors Service or its successor, or F-2 or higher from Fitch Ratings or its successor; or at least one of the following long-term credit ratings: BBB- or higher from Standard & Poor's or its successor, Baa3 or higher from Moody's Investors Service or its successor, or BBB- or higher from Fitch Ratings or its successor. The applicant shall provide a copy of the following:

i) The unconditional guarantee;

ii) The ratings agency report that presents the applicable ratings of the guarantor; and

iii) A good faith estimate of the applicant's expected peak hourly demand expressed in MWs over the next 12 months.

B) Payment Bond. The payment bond or payment bonds shall be issued by a qualifying surety authorized to transact business in the State of Illinois or by a surety whose Best's rating is A- or better, whose Best's financial size category is VII or larger, and whose contract of insurance is issued pursuant to Section 445 or 445a of the Illinois Insurance Code and countersigned by the Surplus Line Association of Illinois or its successor. The applicant shall provide a copy of the following:

i) The payment bonds or the contract of insurance with the countersignature of the Surplus Line Association of Illinois or its successor as applicable;

ii) Documentation demonstrating that the surety issuing the payment bond is a qualified surety authorized to transact business in the State of Illinois or a surety with a satisfactory Best's rating and financial size category, as applicable; and

iii) A good faith estimate of the applicant's expected peak hourdly demand expressed in MWs over the next 12 months.

C) Letter of Credit. The letter of credit shall be irrevocable and issued by a financial institution with a long-term obligation rating of A- or higher from Standard & Poor's or its successor, A3 or higher from Moody's Investors Service or its successor, or A- or higher from Fitch Ratings or its successor. The applicant shall provide a copy of the following:

i) The letter of credit;

ii) The ratings agency report that presents the long-term obligation rating of the financial institution extending the credit; and

iii) A good faith estimate of the applicant's expected peak hourly demand expressed in MWs over the next twelve months.

5. The applicant maintains a line of credit or revolving credit agreement.

A) The line of credit or revolving credit agreement must be from a financial institution with a long-term obligation rating of A- or higher from Standard & Poor's or its successor, A3 or higher from Moody's Investors Service or its successor, or A- or higher from Fitch Ratings or its successor.

B) The amount of the line of credit or revolving credit agreement shall be no less than the greater of $1,000,000 or 10% of the amount of the applicant's revenue for the most recently completed 12-month fiscal year. That amount of revenue must appear in the applicant's certified financial statements, or those of the applicant's parent, that have received an accountant's report that certifies those financial statements to be free of material misstatement. If the applicant is using the certified financial statements of its parent, the minimum required amount of credit available under the line of credit or revolving credit agreement shall be determined using the applicable revenue amount from the segment information section of the certified financial statements of the applicant's parent.

i) If the applicant is listed separately in the segment information section, the applicant's revenue shall be used.

ii) If the segment information section is broken down by operation, or other means, the revenue for the entire segment of which the applicant is part shall be used, unless a certified breakdown of the segment by company is provided.

C) The line of credit or revolving credit agreement shall be valid for a period of not less than one year.

D) The applicant shall provide a copy of the following:

i) The line of credit or revolving credit agreement;

ii) The ratings agency report that presents the long-term obligation rating of the financial institution extending the credit;

iii) The certified financial statements, including the accountant's report, of the applicant or those of the applicant's parent, as applicable; and

iv) A schedule showing the 10% of revenue calculation, with a reference to the applicant's certified financial statements provided for the revenue input of the calculation.

b) An applicant that does not either meet or qualify for certification under any of the criteria set forth in subsection (a) shall describe its financial resources and explain why those financial resources are sufficient for the goods and services it seeks to provide. If the applicant's financial resources are not sufficient for the services it seeks to provide or if the financial documents do not otherwise establish that the applicant possesses adequate financial resources to provide the service for which it seeks a certificate of service authority, the Commission shall deny granting that certificate of service authority. In its application, the applicant shall provide the following:

1. An explanation of how its supporting documentation demonstrates that its financial resources are sufficient for the goods and services it seeks to provide; and

2. The applicant's certified financial statements, or those of its parent if the segment information contained in the parent's financial statements is sufficiently detailed to establish the adequacy of the applicant's financial resources, and accountant's report. If the applicant does not have certified financial statements and an accountant's report, the applicant shall provide all of the following:

A) A balance sheet that reflects the applicant's current financial condition and includes a statement of assets, liabilities and owner's equity;

B) An income statement that reflects the applicant's current earnings. If the applicant has not yet started operations, it shall provide a projected income statement;

C) A listing of shareholders, owners, partners or proprietors with ownership interests in excess of 5% and the amount of their respective ownership interests;

D) A listing of any entities with which the applicant expects to enter into a contract within the next 12 months concerning the provision of electric power or energy, or the delivery or furnishing of electric power or energy, to retail customers;

E) Copies of all contracts with outside contractors and with all affiliated entities concerning the provision of electric power or energy, or the delivery or furnishing of electric power or energy, to retail customers;

F) A projected budget for the next three fiscal years following the current year; and

G) If available:

i) Unaudited financial statements (for the most recent period available) including any compilation or review opinions;

ii) The most recent federal and state income tax return;

iii) General ledgers for the most recent 12 month period available; and

iv) The applicant's Dun & Bradstreet Business Information Report.

History

• Source: Amended at 34 Ill. Reg. 15283, effective September 25, 2010

83 Ill. Adm. Code 451.330 Technical Qualifications Under Subpart D

a) An applicant that uses electric generation, transmission or distribution facilities that it owns, controls, or operates in serving customers shall be deemed to possess sufficient technical capabilities to serve retail customers identified in this Subpart if it maintains at least two technical staff on duty or on call 24 hours each day to operate and maintain applicant's facilities as needed. The technical staff must have at least two years of technical operational experience in an electric generation, transmission or distribution facility substantially similar to the facility that the applicant owns, controls or operates in serving customers, and meets the criteria in subsections (b) and (c) of this Section.

b) An applicant shall be deemed to possess sufficient technical capabilities to serve retail customers identified in this Subpart if it has at least one individual on its staff with at least four years experience buying and selling power and energy in wholesale markets and one year of scheduling experience working for an entity that is either a member of PJM, a market participant in the Midwest ISO, or has a system operator certificate from NERC, or has earned Certified Energy Procurement Professional status by the Association of Energy Engineers or equivalent certification.

c) The applicant shall designate in its application, and shall agree thereafter to maintain, a telephone number, fax number and address where its staff can be directly reached at all times. Maintenance of an answering service or machine, pager or similar message-taking procedure does not satisfy this requirement.

d) The applicant shall include in its application an exhibit that identifies, by name and job title, the persons on its staff, and agents or contractors utilized pursuant to Section 451.350, with the technical experience required under Subpart D. The exhibit shall provide a description of the relevant occupational experience for each person, including a description of the duties and the duration of the duties being used to meet each experience requirement of this Section.

e) In the event the applicant does not meet length of experience qualifications set forth in this Section, the applicant shall demonstrate the extent its technical resources and abilities match the services that it intends to provide to its customers. The Commission may impose such terms and conditions as deemed necessary in order to insure the applicant is technically qualified, commensurate with the anticipated scope of the service to be provided and customers to be served.

History

• Source: Amended at 34 Ill. Reg. 15283, effective September 25, 2010

83 Ill. Adm. Code 451.340 Managerial Qualifications Under Subpart D

An applicant shall be deemed to possess sufficient managerial capabilities to serve retail customers identified in this Subpart if it has three or more individuals in management positions with four or more years experience with enterprise financial and administration responsibilities including profit and loss responsibilities, four years experience buying and selling power and energy in wholesale markets, and four years electric system operational experience and provides the information required in subsections (a) and (b) of this Section.

a) The applicant shall include in its application an exhibit that identifies, by name and job title, the persons on its staff, and agents or contractors utilized pursuant to Section 451.350, with the managerial experience required under this Subpart D. The exhibit shall provide a description of the relevant occupational experience for each person, including a description of the duties and the duration of the duties being used to meet each experience requirement of this Section.

b) The applicant shall include in its application an exhibit containing a corporate organizational chart and indicating the position of the persons or agents who are being used to meet the requirements of this Section.

c) In the event the applicant does not meet the managerial qualifications set forth in this Section, the applicant shall demonstrate the extent its managerial resources and abilities match the services that it intends to provide to its customers. The Commission may impose such terms and conditions as deemed necessary in order to insure the applicant is managerially qualified, commensurate with the anticipated scope of the service to be provided and customers to be served.

d) With respect to serving residential and small commercial retail customers, an alternative retail electric supplier must maintain sufficient managerial resources and abilities to provide the service for which it has a certificate of authority. In determining the level of managerial resources and abilities that the alternative retail electric supplier must demonstrate, the Commission shall consider the following:

1. complaints to the Commission by consumers regarding the alternative electric supplier, including those that reflect on the alternative electric supplier's ability to properly manage solicitation and authorization; and

2. the alternative electric supplier's involvement in the Commission's consumer complaint process, including the resources the alternative electric supplier dedicates to the process and the alternative electric supplier's ability to manage the issues raised by complaints, and the resolutions of the complaints.

History

• Source: Amended at 34 Ill. Reg. 15283, effective September 25, 2010

83 Ill. Adm. Code 451.350 Qualifications of Agents and Contractors Under Subpart D

An applicant may meet the requirements of Sections 451.330 and 451.340 by entering into one or more contracts with others to provide the required experience levels, provided that:

a) Each agent and contractor on whom the applicant relies to meet Section 451.330 or 451.340 is disclosed in the application;

b) The applicant shall certify that the agent or contractor will comply with all Sections of Part 451 applicable to the function or functions to be performed by the respective agent or contractor.

History

• Source: Amended at 34 Ill. Reg. 15283, effective September 25, 2010

83 Ill. Adm. Code 451.360 Commission Order in Proceedings Under Subpart D

The Commission shall issue an order granting or denying an application filed under this Subpart D within 45 days after the date on which a complete application has been filed with the Commission and notice of the application's filing is published in the Official State Newspaper as provided by the Notice by Publication Act [715 ILCS 5], provided that the Commission can extend the time for considering an application filed under this Subpart D by up to 90 days, and can schedule a hearing on such an application. The Commission shall extend the time for considering an application and schedule a hearing if:

a) The applicant has proposed limitations on the number of customers or the amount of load to be served;

b) A party to the application proceeding has formally requested that the Commission hold hearings in a pleading that contains a verified prima facie showing that one or more of the allegations or certifications in the application is false or misleading; or

c) Other facts or circumstances exist that will necessitate additional time or evidence in order to determine whether a certificate should be issued.

History

• Source: Amended at 24 Ill. Reg. 15971, effective October 15, 2000

83 Ill. Adm. Code 451.370 Confidential Documentation under Subpart D (Repealed)

History

• Source: Repealed at 24 Ill. Reg. 15971, effective October 15, 2000

Chapter I Illinois Commerce Commission

Subchapter c Electric Utilities

Part 451 Certification of Alternative Retail Electric Suppliers

83 Ill. Adm. Code 451.400 Applicability of Subpart E

This Subpart shall apply to a retail customer that seeks certification as an ARES to provide electric power and energy exclusively to itself (i.e., the applicant), or to subsidiaries or other corporate affiliates of the applicant that are at separate locations. This includes, but is not limited to, applicants seeking certification pursuant to Section 16-115(e) of the Act.

History

• Source: Amended at 34 Ill. Reg. 15283, effective September 25, 2010

83 Ill. Adm. Code 451.410 Required Filings and Procedures Under Subpart E

a) The applicant shall publish, as provided by the Notice of Publication Act [715 ILCS 5], notice of its application for certification in the Official State Newspaper within 10 days following the filing of the application for certification. The applicant shall file proof of publication with the Clerk of the Commission within five days following publication.

b) All applications for certification under this Part shall be verified as required by Section 200.130 of the Commission's "Rules of Practice" (83 Ill. Adm. Code 200.130).

c) The applicant shall provide the following:

1. Applicant's name, street address and phone number.

2. Description and location of cogeneration or self-generation facilities within the State of Illinois that applicant owns, if any.

3. Descriptions and locations of retail customers to be serviced by applicant and shall provide a description of the relationship between applicant and retail customers.

d) The applicant shall verify that it has entered into an agreement with the relevant electric utilities pursuant to Section 16-118.

e) The applicant shall comply with the requirements of Section 451.20(a).

f) Contents of documents shall be consistent with Subpart B of the Commission's "Rules of Practice" (83 Ill. Adm. Code 200: Subpart B).

History

• Source: Amended at 34 Ill. Reg. 15283, effective September 25, 2010

83 Ill. Adm. Code 451.420 Technical Qualifications Under Subpart E

a) Applicant shall be deemed to possess sufficient technical capabilities to serve nonresidential retail customers under this Subpart if it maintains a technical staff on duty or on call 24 hours each day to operate and maintain applicant's facilities as needed.

b) The applicant shall designate in its application, and shall agree thereafter to maintain, a telephone number, fax number, and address where its staff can be directly reached at all times. Maintenance of an answering service or machine, pager, or similar message-taking procedure does not satisfy this requirement.

c) The applicant shall include in its application an exhibit that identifies, by name and job title, the persons on its staff, and agents or contractors utilized pursuant to Section 451.430, with the technical experience required under this Subpart E. The exhibit shall provide a description of the relevant occupational experience for each person, including a description of the duties and duration of the duties being used to meet each experience requirement of this Section.

History

• Source: Amended at 34 Ill. Reg. 15283, effective September 25, 2010

83 Ill. Adm. Code 451.430 Qualifications of Agents and Contractors Under Subpart E

An applicant may meet the requirements of Section 451.420 by entering into one or more contracts with others to provide the required experience levels, provided that:

a) Each agent and contractor on whom the applicant relies to meet Section 451.420 is disclosed in the application; and

b) The applicant shall certify that the agent or contractor will comply with all Sections of Part 451 applicable to the function or functions to be performed by the respective agent or contractor.

History

• Source: Amended at 34 Ill. Reg. 15283, effective September 25, 2010

83 Ill. Adm. Code 451.440 Commission Order in Proceedings Under Subpart E

The Commission shall issue an order granting or denying an application filed under this Subpart E within 45 days after the date on which a complete application has been properly filed with the Commission and notice of the application's filing is published in the Official State Newspaper as provided by the Notice by Publication Act [715 ILCS 5].

History

• Source: Amended at 24 Ill. Reg. 15971, effective October 15, 2000

83 Ill. Adm. Code 451.450 Confidential Documentation under Subpart E (Repealed)

History

• Source: Repealed at 24 Ill. Reg. 15971, effective October 15, 2000

Chapter I Illinois Commerce Commission

Subchapter c Electric Utilities

Part 451 Certification of Alternative Retail Electric Suppliers

83 Ill. Adm. Code 451.500 Applicability of Subpart F

The requirements of this Subpart are in addition to the requirements of Subpart A. This Subpart does not apply to electric cooperatives or municipal systems making an election under Section 17-300 of the Act to become an alternative retail electric supplier.

History

• Source: Amended at 24 Ill. Reg. 15971, effective October 15, 2000

83 Ill. Adm. Code 451.510 Financial Qualifications Under Subpart F

An applicant may request authorization from the Commission to provide single billing services at the time it seeks certification as an ARES or at any time thereafter. However, under no circumstances may an ARES provide single billing services without authorization from the Commission. An applicant that seeks to provide single billing services shall demonstrate an ability to establish and maintain sufficient financial resources to satisfy the obligation to remit to utilities monies that the ARES collects under single billing tariffs adopted pursuant to Section 16-118(b) of the Act. The applicant for single billing services may demonstrate this credit worthiness in one of four ways:

a) The applicant may undertake to post and maintain a bond or bonds issued by a qualifying surety or financial institution chartered by the United States or the State of Illinois in favor of any Illinois utility in whose service territory the applicant will serve retail customers. The bond or bonds shall be in an amount equal to 15% of a good faith estimate of the total amount that the applicant expects to be obliged to pay to the utility under single billing tariffs adopted pursuant to Section 16-118(b) of the Act during the next twelve months. The applicant shall provide a copy of the bonding agreements and the bonds to the Commission with the application to provide single billing service. The bonds shall be conditioned on the full and timely payment of all amounts due to the utility in accordance with the terms specified in the single billing tariffs and shall be valid for a period of not less than one year.

b) The applicant may deliver an irrevocable letter of credit issued by a financial institution with a long-term obligation rating of A- or higher from Standard & Poor's or its successor, A3 or higher from Moody's Investors Service or its successor, or A- or higher from Fitch Ratings or its successor in the same amount and in favor of the same parties as the bond that would otherwise be required. The letter of credit shall provide that a draft will be honored in accordance with the terms specified in the single billing tariffs. The letter of credit shall be valid for a period of not less than one year. The applicant shall provide a copy of the letter of credit and the ratings agency reports that present the long-term obligation ratings of the issuer of the letter of credit to the Commission with the application to provide single billing service.

c) The applicant maintains at least 2 of the following commercial paper ratings: A-2 or higher from Standard & Poor's or its successor, P-2 or higher from Moody's Investors Service or its successor, or F-2 or higher from Fitch Ratings or its successor; or at least two of the following long-term credit ratings: BBB- or higher from Standard & Poor's or its successor, Baa3 or higher from Moody's Investors Service or its successor, or BBB- or higher from Fitch Ratings or its successor. The applicant shall provide a copy of the ratings agency reports that present applicant's ratings to the Commission with its application to provide single billing service.

d) All obligations of the applicant to Illinois utilities are unconditionally guaranteed by a counterparty that maintains at least two of the following commercial paper ratings: A-2 or higher from Standard & Poor's or its successor, P-2 or higher from Moody's Investors Service or its successor, or F-2 or higher from Fitch Ratings or its successor; or at least two of the following long-term credit ratings: BBB- or higher from Standard & Poor's or its successor, Baa3 or higher from Moody's Investors Service or its successor, or BBB- or higher from Fitch Ratings or its successor. The unconditional guarantee shall be valid for a period of not less than one year. The applicant shall provide a copy of the ratings agency reports that presents these ratings of the counterparty and a copy of the guarantee to the Commission with its application.

History

• Source: Amended at 34 Ill. Reg. 15283, effective September 25, 2010

83 Ill. Adm. Code 451.700 Applicability of Subpart H

The requirements of this Subpart are in addition to the requirements of Subpart A. This Subpart does not apply to electric cooperatives or municipal systems making an election under Section 17-300 of the Act to become an alternative retail electric supplier.

History

• Source: Added at 24 Ill. Reg. 15971, effective October 15, 2000

83 Ill. Adm. Code 451.710 General Provisions

a) All ARES shall, at all times, continue to remain in compliance with the provisions of the Act and this Part, as now or hereafter amended. If an ARES received a certificate before the effective date of any provision of this Part that applies to applicants seeking certification to serve customers with the same electrical demand or usage characteristics as the ARES, the ARES must demonstrate that it has come into compliance with that provision no later than April 30 of the year following the year during which the amendment took effect.

b) No later than April 30 of each year, each ARES shall file all reports required under this Subpart. Reports shall be under oath, contain a cover letter title "Part 451 Continuing Compliance" and be filed with the Chief Clerk of the Commission with copies provided to the Energy Division-ARES and the Financial Analysis Division-ARES or their successors. The reports shall be identified with the name of the ARES as it appears in the most recent Commission order granting the ARES certification, as well as any post-certification name changes. Entities required to file reports and to submit copies under this subsection (b) may do so electronically upon notification by the Chief Clerk of the Commission, on the Commission's website, of the availability of electronic filing for reports filed under this Part 451.

c) For each supporting piece of documentation the ARES provides, it shall specifically state how this information complies with each applicable subsection of this Part 451.

d) All reports shall provide the name, telephone number, email address and mailing address of at least one person to address questions from Commission Staff pertaining to that report.

e) All reports made to the Commission by any ARES, other than ARES certified under Subpart E, and the contents of the reports shall be open to public inspection, unless otherwise ordered by the Commission. The reports shall be preserved in the office of the Commission.

f) Any ARES acquiring customers from another ARES shall report any such purchase or transfer of customer accounts no later than 30 days after the execution of the transaction. Any ARES receiving customer accounts from another ARES shall be responsible to demonstrate its ability to meet the applicable financial, managerial and technical requirements.

g) The compliance filing shall include the applicant's name and street address and the names and addresses of all the ARES's affiliated companies involved in electric retail sales or purchases in North America.

History

• Source: Amended at 43 Ill. Reg. 10450, effective September 3, 2019

83 Ill. Adm. Code 451.720 Erroneous or Defective Reports

a) When any report is erroneous or defective or appears to the Commission to be erroneous or defective, the Commission may notify the ARES to amend that report within 30 days after that notice, and before or after the termination of the period the Commission may examine the officers, agents, or employees, and books, records, accounts, vouchers, plant, equipment and property of the ARES, and correct items in the report the Commission finds defective or erroneous.

b) Any ARES that fails to make and file any report required by the Commission within the time specified, or to specifically answer any question propounded by the Commission within 30 days after the time it is lawfully required to do so, or within such further time, not to exceed 90 days, as may in its discretion be allowed by the Commission, shall, after notice and hearing forfeit its certificate.

History

• Source: Amended at 34 Ill. Reg. 15283, effective September 25, 2010

83 Ill. Adm. Code 451.730 Certification of Compliance with Section 16-115(d)(5) of the Act (repealed)

History

• Source: Repealed at 32 Ill. Reg. 17126, effective November 1, 2008

83 Ill. Adm. Code 451.740 Financial Reporting Requirements

The ARES shall provide a copy of only those documents that the ARES requires to demonstrate that it continues to possess sufficient financial resources to serve the retail customers for which it has received a certificate of service authority. The applicable documents shall be submitted at the times specified below:

a) An ARES that seeks to demonstrate that it maintains sufficient financial resources to provide the services for which it has received a certificate of service authority using the criteria set forth in subsection (a)(1), (a)(4) or (a)(5) of Section 451.110, 451.220 or 451.320 or Section 451.510(b), (c) or (d) shall submit a copy of the latest ratings report presenting the commercial paper or long-term credit or obligation ratings of the ARES, creditors or guarantors, as applicable, from the ratings agencies between April 1 and April 30 of each year and within 15 days following any downgrade of such ratings previously filed with the Commission to a rating below A-1 or A-, if issued from Standard & Poor's or its successor, P-1 or A3, if issued from Moody's Investors Service or its successor, or F-1 or A-, if issued from Fitch Ratings or its successor. Within 30 days after a downgrade of the commercial paper or long-term credit or obligation ratings of the ARES or its creditors, affiliates, or guarantors, as applicable, to a level below the minimum required under this Part, the ARES shall submit a report that identifies the subsection under which the ARES is seeking to demonstrate that its financial resources remain sufficient for providing the services for which it has received a certificate of service authority and includes the information and documents that subsection requires.

b) An ARES that seeks to demonstrate that it maintains sufficient financial resources to provide the services for which it has received a certificate of service authority using the criteria set forth in subsection (a)(2), (a)(4) or (a)(5) of Section 451.110, 451.220 or 451.320 or Section 451.510(a) or (b) shall submit a copy of any modified, replacement or additional credit agreements; unconditional guarantees; lines of credit; revolving credit agreements; payment bonds; and letters of credit, as applicable. This documentation shall be submitted at least 15 days in advance of any modification, cancellation or expiration of the financial agreements.

c) Between April 1 and April 30 of each year, an ARES that seeks to use the criteria specified in Section 451.110(a)(4), 451.220(a)(4), or 451.320(a)(4) to demonstrate that it maintains sufficient financial resources to provide the services for which it has received a certificate of service authority shall provide the peak hourly demand expressed in MWsscheduled during the previous calendar year and the date on which that amount was scheduled, as well as the applicant's expected peak hourly demand expressed in MWs over the next 12 months.

d) Between April 1 and April 30 of each year, an ARES that seeks to demonstrate that it maintains sufficient financial resources to provide single billing services under Section 451.510(a) or (b) shall submit an updated good faith estimate of the amount the ARES expects to be obligated to remit to the utility under single billing tariffs adopted pursuant to Section 16-118(b) of the Act between April 1 and April 30 of each year.

e) An ARES that seeks to demonstrate that it maintains sufficient financial resources to provide the services for which it has received a certificate of service authority using the criteria set forth in subsection (a)(2) or (a)(5) of Section 451.110, 451.220, or 451.320 shall submit a copy of its certified financial statements, or those of its parent, and accountant's report, as applicable, within 120 days after the close of its fiscal year.

f) An ARES that seeks to maintain its certificate of service authority under Section 451.220(b) or 451.320(b) shall submit an updated version of the annual financial statements and accountant's report, if available, within 120 days after the close of its fiscal year.

g) An ARES that seeks to demonstrate that it maintains sufficient financial resources to provide the services for which it has received a certificate of service authority using the criteria set forth in subsection (a)(2) of Section 451.110, 451.220 or 451.320 shall provide

1. A copy of the security or agreement that was provided and approved by the RTO used to serve as collateral for the energy the applicant procures from generation asset owners directly through the RTO, including any updates, revisions or modifications that may occur, within 15 days after filing the document with the RTO.

2. Using the alternative method, the applicant's revenue from sales to Illinois retail customers may be used. In these circumstances, the revenue from sales to Illinois retail customers must be provided in the certified financial statements or in internal documents accompanied by a verified statement from a company officer.

h) An ARES that seeks to demonstrate that it maintains sufficient financial resources to provide the services for which it has received a certificate of service authority using the criteria set forth in subsection (a)(3) of Section 451.110, 451.220 or 451.320 shall demonstrate and certify it is a member of one or more RTOs and purchases 100% of its physical electric energy from the RTOs for delivery to the service territories of the utilities for which the applicant is seeking a certificate.

i) Each ARES is required to certify that the most recent copy of its license or permit bond on file with the Commission is current and in full effect. In the event the original license or permit bond on file with the Commission is replaced or modified, the ARES shall submit the new copy of its license or permit bond pursuant to Section 451.50.

j) Insurance. Between April 1 and April 30 of each year, an ARES required to have in force commercial general liability insurance pursuant to Section 451.110(b) shall submit proof of that insurance in an amount not less than that in force when the ARES was granted its certificate of service authority. In addition, the ARES shall demonstrate that its commercial general liability insurance is effective for a period of not less than one year.

History

• Source: Amended at 34 Ill. Reg. 15283, effective September 25, 2010

83 Ill. Adm. Code 451.750 Managerial Reporting Requirements

a) An ARES shall certify during April of each year that it continues to maintain the required managerial qualifications for the service authority granted in its certificate. An ARES that meets the managerial qualifications requirements by entering into one or more contracts with others to provide the required services must identify each agent or contractor on whom the ARES relies to meet the requirements of this Part and must certify that the agent or contractor will comply with all Sections of this Part applicable to the function or functions to be performed by the respective agent or contractor.

b) Any changes in personnel, agents or contractors in the past calendar year that were used to meet the managerial qualifications shall be addressed in the annual compliance filing by providing evidence showing how the ARES is continuing to meet the managerial qualifications.

History

• Source: Amended at 34 Ill. Reg. 15283, effective September 25, 2010

83 Ill. Adm. Code 451.760 Technical Reporting Requirements

a) An ARES shall certify during April of each year that it continues to maintain the required technical qualifications for the service authority granted in its certificate. An ARES that meets the technical qualifications requirements by entering into one or more contracts with others to provide the required services must identify each agent or contractor on whom the ARES relies to meet the requirements of this Part and must certify that the agent or contractor will comply with all Sections of this Part applicable to the function or functions to be performed by the respective agent or contractor.

b) Any changes in personnel, agents or contractors in the past calendar year that were used to meet the technical qualifications shall be addressed in the annual compliance filing by providing evidence showing how the ARES is continuing to meet the technical qualifications.

History

• Source: Amended at 34 Ill. Reg. 15283, effective September 25, 2010

83 Ill. Adm. Code 451.770 Kilowatt-Hour Reporting Requirement

No later than March 1 of every year, each ARES shall file with the Chief Clerk of the Commission, and provide to the Energy Division − ARES and the Financial Analysis Division – ARES or their successors, a report stating the total annual kilowatt-hours delivered and sold to retail customers within each utility service territory and the total annual kWh delivered and sold to retail customers in all utility service territories in the preceding calendar year.

History

• Source: Amended at 34 Ill. Reg. 15283, effective September 25, 2010

Part 452 Standards of Conduct and Functional Separation

83 Ill. Adm. Code 452.10 Applicability

An electric utility shall be subject to Subpart A or Subpart B of this Part. Subpart A shall apply to each electric utility conducting operations in Illinois that is not otherwise approved to operate as an Integrated Distribution Company pursuant to Subpart B. Any electric utility subject to Subpart A whose principal service area is not in Illinois shall be exempt from Sections 452.30, 452.35, 452.40, 452.60 and any other Section of Subpart A in which exemption is expressly provided. Subpart B of this Part is an option available to electric utilities that elect to become subject to Subpart B and that are approved to operate as an Integrated Distribution Company pursuant to Subpart B.

83 Ill. Adm. Code 452.20 Definitions

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

"Administrative support" means employees and other persons, equipment and systems used to provide administrative support to both the transmission and distribution system and the generation function of the electric utility. Administrative support includes administrative services (including travel administration, security, printing, graphics, custodial services, secretarial support, mail services, and records management), financial management services (including accounting, treasury, internal audit, tax, and financial reporting and planning), data processing, shareholder services, human resources, employee benefits, regulatory affairs, legal services, lobbying, strategic planning and similar administrative support items.

"Affiliated interest" has the same meaning as in Section 7-101(2) of the Act [220 ILCS 5/7-101(2)].

"Alternative Retail Electric Supplier" or "ARES" has the same meaning as in Section 16-102 of the Act [220 ILCS 5/16-102]. ARES may be singular or plural.

"Ancillary services" means those services specified as ancillary services in each electric utility's delivery services tariff as approved by the Illinois Commerce Commission (Commission).

"Company leadership" means officers, directors, and managers with senior level oversight or governance responsibility (i.e., executive functions) for both the T&D function and the generation function of the electric utility.

"Delivery services" has the same meaning as in Section 16-102 of the Act [220 ILCS 5/16-102].

"Delivery services employee" means any transmission and distribution function employee or other person who operates, directs, organizes or plans the provision of delivery services, administers the delivery services tariff, processes or executes delivery services transactions, or performs system design or configuration, system operations or business planning for the provision of delivery services.

"Electric utility" has the same meaning as in Section 16-102 of the Act [220 ILCS 5/16-102].

"Generation function" means all divisions, departments, sections, parts, units and facilities (other than transmission and distribution facilities) used by the electric utility to provide generation services. The generation function includes both the mandatory generation function and the merchant generation function.

"Generation services" or "generating services" means the production, purchase, or marketing for retail sale; or the retail sale, of electric power or energy. Generation services include mandatory generation service and merchant generation service.

"Generation function employee" means any electric utility employee or other person performing work for the generation function.

"Mandatory generation function" means all divisions, departments, sections, parts, units and facilities of the electric utility's generation function engaged in the marketing and retail sale of mandatory generation services.

"Mandatory generation function employee" means any electric utility employee or other person performing work for the mandatory generation function.

"Mandatory generation services" means any services that an electric utility must offer pursuant to Section 16-103(a) and (c), Section 16-107 and Section 16-110 of the Act [220 ILCS 5/16-103(a) and (c), 16-107 and 16-110] and shall not be construed to include any services provided pursuant to tariffs or contracts authorized by Section 9-102.1 of the Act [220 ILCS 5/9-102.1] or services provided pursuant to contracts filed with, and approved by, the Commission under Section 9-201 of the Act [220 ILCS 5/9-201].

"Merchant generation function" means all divisions, departments, sections, parts, units and facilities of the electric utility's generation function engaged in the marketing and retail sale of merchant generation services.

"Merchant generation function employee" means any electric utility employee or other person performing work for the merchant generation function.

"Merchant generation services" means any generation service offered by an electric utility at retail to its customers that is not a mandatory generation service. Merchant generation services include, but is not limited to:

generation services provided pursuant to Sections 9-102.1, 16-106, and 16-116 of the Act [220 ILCS 5/9-102.1, 16-106, and 16-116]; and

any contracts filed with and approved by the Commission pursuant to Section 9-201 of the Act [220 ILCS 5/9-201].

"Non-affiliated ARES" means an ARES that is not an affiliated interest of the electric utility.

"Power purchase option" means the power purchase options set out in Section 16-110 of the Act [220 ILCS 5/16-110] for delivery services customers.

"Principal service area" means the geographic area in which, or customers for which, an electric utility directly uses its transmission or distribution facilities to accomplish the delivery of retail power or energy. An electric utility shall be deemed to have its principal service area in Illinois if either a majority (i.e., more than 50.0%) of the geographic area in which, or a majority of the customers for which, it directly uses its transmission or distribution facilities to accomplish the delivery of retail power or energy is located in Illinois. Notwithstanding any other portion of this definition, this Part shall also apply to any successor of any electric utility subject to the requirements of Section 16-119A of the Act as of December 16, 1997 and to any electric utility that subsequently provides transmission and distribution directly to the geographic area or the retail customers of any electric utility subject to Section 16-119A of the Act as of December 16, 1997.

"Transmission and distribution function" or "T&D function" means all divisions, departments, sections, parts, units, and personnel of the electric utility responsible for transmission and distribution facilities or delivery services. This function includes, without limitation, the provision to any entity of services that are necessary for the transmission and distribution system to function in order to effect the delivery or sale of power and/or energy to retail consumers.

"Transmission and distribution function employee" means any electric utility employee or other person performing work for the transmission and distribution function.

83 Ill. Adm. Code 452.30 Independent Functioning

a) Except as necessary under Section 452.50 of this Part or required by an order of a state or federal court or administrative agency, an electric utility's transmission and distribution function and its generation function providing generation to Illinois customers shall operate independently of each other.

b) Except as necessary under Section 452.50 of this Part, no generation function employee of an electric utility providing generation services to Illinois customers shall provide delivery services. No transmission and distribution function employee of the electric utility shall provide generation services.

c) Except as necessary under Section 452.50 of this Part, the transmission and distribution function employees and generation services function employees of an electric utility providing generation services to Illinois customers shall not be jointly employed by both the transmission and distribution function and the generation services function.

d) Company leadership and administrative support may be jointly employed by an electric utility's transmission and distribution function and generation function and may provide leadership and support for both functions. However, company leadership and administrative support shall not be used, or allowed, by the electric utility to circumvent any provision of Section 452.80, 452.90, 452.100, or 452.110 of this Part.

83 Ill. Adm. Code 452.35 Physical Separation

a) Delivery services employees shall be physically separated from merchant generation function employees who provide generation services to Illinois customers. This physical separation requirement may be met by:

1. locating delivery services employees in separate secured access office buildings; or

2. constructing and maintaining secured access areas and secured access facilities for delivery services employees within shared office buildings.

b) Physical separation of delivery services employees from mandatory generation function employees shall not be required. In no event, however, shall mandatory generation services employees be used, or allowed, by the electric utility to circumvent any provision of Sections 452.80, 452.90, 452.100, or 452.110 of this Part. The Commission may require the physical separation of delivery services employees from mandatory generation function employees if the Commission, taking into account Section 16-119A(c) and (d) of the Act [220 ILCS 5/16-119A(c) and (d)], determines after a hearing upon complaint or on its own motion that:

1. An electric utility has violated any provision of Section 452.80, 452.90, 452.100, or 452.110 of this Part; and

2. Such physical separation would better accomplish the non-discrimination and efficient competition goals of Section 16-119A of the Act [220 ILCS 5/16-119A].

c) Physical separation of transmission and distribution function employees other than delivery services employees from any generation function employees shall not be required. In no event, however, shall such other transmission and distribution function employees be used, or allowed, by the utility to circumvent any provision of Section 452.80, 452.90, 452.100 or 452.110 of this Part. The Commission may require the physical separation of such other transmission and distribution function employees from any or all generation function employees if the Commission, taking into account Section 16-119A(c) and (d) of the Act [220 ILCS 5/16-119A(c) and (d)], determines after hearing upon complaint or on its own motion that:

1. An electric utility has violated any provision of Section 452.80, 452.90, 452.100, or 452.110 of this Part; and

2. Such physical separation would better accomplish the non-discrimination and efficient competition goals of Section 16-119A of the Act [220 ILCS 5/16-119A].

83 Ill. Adm. Code 452.40 Restricted Physical Access

a) Except as necessary under Section 452.50, or as required by an order of a state or federal court or administrative agency, and in addition to the requirements of Section 452.35(a), no merchant generation function employee who provides generation services to Illinois customers shall be permitted physical access to the electric utility's system control center, system communications facilities, computer systems, information systems, data storage, office space, file cabinets, office equipment or any other facilities, equipment or systems used by the transmission and distribution function that differs in any way from the access available to non-affiliated ARES. The requirement of this subsection shall work in conjunction with Section 452.35(a) through physical separation or secured access facilities or mechanisms.

b) Physical access by mandatory generation function employees to the electric utility facilities, equipment or systems described in subsection (a) that differs from the physical access provided by the electric utility to non-affiliated ARES shall be permitted. In no event, however, shall mandatory generation function employees circumvent, or be used or allowed by the electric utility to circumvent, any provision of Section 452.80, 452.90, 452.100, or 452.110 of this Part. The Commission may limit or prohibit such physical access if the Commission, taking into account Section 16-119A(c) and (d) of the Act [220 ILCS 5/16-119A(c) and (d)], determines after hearing upon complaint or on its own motion that:

1. An electric utility has violated any provision of Section 452.80, 452.90, 452.100, or 452.110 of this Part; and

2. Such limited or prohibited physical access would better accomplish the non-discrimination and efficient competition goals of Section 16-119A of the Act [220 ILCS 5/16-119A].

c) Physical access by company leadership or administrative support to the electric utility facilities, equipment or systems described in subsection (a) shall not be restricted. In no event, however, shall company leadership or administrative support circumvent, or be used or allowed by the utility to circumvent, any provision of Section 452.80, 452.90, 452.100, or 452.110 of this Part.

83 Ill. Adm. Code 452.50 Emergency Exception

a) In anticipation of impending emergencies and in times of actual emergency affecting the public health and safety or electric system integrity and reliability, electric utilities may take any actions necessary to protect the public and the electric system. If under normal non-emergency circumstances, those actions would constitute violations of this Part, the utility shall file written reports as specified in this Section.

b) An electric utility shall file an initial written report with the Commission within 24 hours after reliance on the authority in subsection (a) notifying the Commission of such action.

c) Within 24 hours after notifying the Commission, the utility shall notify non-affiliated ARES on the Internet site described in Section 452.80(d) of this Part.

d) Within seven days after initiating reliance on the authority in subsection (a), or within two days after terminating reliance on the authority in subsection (a), whichever is later, the electric utility shall file a full written report with the Commission. The full written report shall explain the nature and extent of the emergency, including how and why the emergency arose. This report shall also list and describe each action the electric utility took that, under normal non-emergency circumstances, would constitute a violation of this Part. The initial and full written reports shall be available to the public on an appropriate Internet site.

83 Ill. Adm. Code 452.60 Identification of Systems Functions and Employee Positions

a) Each electric utility shall designate and specifically identify every division, department, section, part, or unit of the electric utility responsible for its transmission and distribution function. Every such division, department, section, part, unit or portion thereof engaged exclusively in delivery services shall be identified as such.

b) Each electric utility shall designate and specifically identify every division, department, section, part, or unit of the electric utility responsible for its generation function.

c) Each electric utility shall maintain a current list of all transmission and distribution function employee positions by job title and job description. Delivery services employee positions shall be identified as such on the list. Delivery services employees and their direct supervisors shall be identified on the list by name. The current list of transmission and distribution function employee positions shall be available for Commission inspection and shall be made available to the public with names encoded upon written request.

d) Each electric utility shall maintain a current list of all generation function employee positions by job title and job description. Mandatory generation function employee positions and merchant generation function employee positions shall be identified as such on the list. Merchant generation function employees and their direct supervisors shall be identified on the list by name. The current list of generation function employee positions shall be available for Commission inspection and shall be made available to the public, with names encoded, upon written request.

e) Each electric utility shall maintain a current list of all company leadership identifying each employee thereon by name, job title and job description. The current list of company leadership employees shall be available for Commission inspection and shall be made available to the public, with names encoded, upon written request.

f) Each electric utility shall maintain a current list of all administrative support positions by job title and job description. The current list of administrative support positions shall be available for Commission inspection and shall be made available to the public upon written request.

g) Each electric utility shall maintain a current organizational chart of the transmission and distribution function that shall show the official relationship among all transmission and distribution function employee positions, including delivery services employee positions, company leadership positions, and administrative support positions. The current transmission and distribution function organizational chart shall be available for Commission inspection and shall be made available to the public upon written request.

h) Each electric utility shall maintain a current organizational chart of the generation function that shall show the official relationship among all generation function employee positions, including mandatory generation function employee positions, merchant generation function employee positions, company leadership positions, and administrative support positions. The current generation function organizational chart shall be available for Commission inspection and shall be made available to the public upon written request.

83 Ill. Adm. Code 452.70 Employee Transfers

a) Electric utility employees engaged in either the transmission and distribution function or the generation function are not precluded from transferring between these organizations provided that the transfer is not used, or allowed, to circumvent any provision of Section 452.80, 452.90, 452.100, or 452.110 of this Part.

b) A transmission and distribution function employee who transfers to the electric utility's generation function shall not provide to the generation function any information that the generation function would otherwise be prohibited from obtaining from the transmission and distribution function under this Part.

c) Employee transfers from the electric utility's transmission and distribution function to its generation function must be recorded in a log. The information to be logged shall include the name of the transferring employee, all job titles involved in the transfer, and the effective date of the transfer. Plural transfers by an employee within a 12-month period, and the reasons for those transfers, shall be entered in a separate section of the log. The entry in the log shall be made within 24 hours after the effective date of the transfer. Entries in the log shall be retained for three years. The log shall be available for Commission inspection and shall be made available to the public, with names encoded, upon written request.

83 Ill. Adm. Code 452.80 Access To, Disclosure Of, or Receipt Of, Electric Utility Transmission and Distribution Information

a) The information covered by this Section shall include transmission or distribution construction plans, transmission or distribution abandonment plans, planned transmission or distribution system upgrades, downgrades, or modifications, planned transfer or sale of transmission or distribution facilities, transmission or distribution maintenance or outage plans or schedules, transmission or distribution forced outage data, historic transmission or distribution outage and restoration data, availability of transmission capacity, transmission or distribution facilities ratings, availability of ancillary services, forecasted or scheduled new customer interconnection information, customer emergency curtailment information and any other information that is directly related to the availability or quality of delivery services or the transmission and distribution system.

b) Except as necessary under Section 452.50, or as required by regulatory or judicial order, no electric utility merchant generation function employee providing services to Illinois customers shall have access to or receive any information described in subsection (a) that is not equally accessible and available to non-affiliated ARES.

c) If any information described in subsection (a) is accessible to or received by a merchant generation function employee in violation of subsection (b), the electric utility shall immediately post that information on the Internet site described in subsection (d). The electric utility shall keep a log listing and describing all such instances. The log shall be available for Commission inspection and shall be made available to the public upon request. Entries in the log shall be retained for three years.

d) Each electric utility subject to this Part shall maintain a public Internet site for the dissemination of information required by this Part. Prior to the commencement of the operation of its Internet site, each such utility shall file with the Clerk of the Comission, and shall serve upon all ARES then certified pursuant to Section 16-115 of the Act [220 ILCS 5/16-115], the address (uniform resource locator) of such site.

83 Ill. Adm. Code 452.90 Information Provided to the Transmission and Distribution Function by a Non-Affiliated Ares, Another Electric Utility, Customer of Non-Affiliated Ares or Another Electric Utility, or Retail Customer

a) The information covered by this Section shall include any data or information provided to the electric utility's transmission and distribution function by a non-affiliated ARES, another electric utility, a customer of a non-affiliated ARES or another electric utility, or a retail customer.

b) No electric utility generation function employee shall have access to or receive any information described in subsection (a) unless verifiably authorized to do so by the non-affiliated ARES, other electric utility, customer of non-affiliated ARES or other electric utility, or retail customer, or unless required by tariff or by regulatory or judicial order. Nothing in this subsection (b) shall be construed as prohibiting mandatory generation function employees from accessing or receiving information furnished to the transmission and distribution function by an existing customer that is necessary to the continued provision of mandatory generation services to that customer.

c) If any information described in subsection (a) is accessible to or received by a generation function employee of the electric utility in violation of subsection (b), the electric utility shall notify the non-affiliated ARES, other electric utility, customers of non-affiliated ARES or other utility, or retail customer, whose data or information was disclosed, and the Commission's Energy Division Manager or his/her delegate, within 24 hours. The electric utility shall keep a log of all such instances. The log and entries in the log shall be kept confidential unless the Commission, after notice and hearing, determines that the data or information is not entitled to confidentiality. Entries in the log shall be retained for three years. The Commission or the electric utility shall inform the public, upon request, of the number of entries in the log.

83 Ill. Adm. Code 452.100 Customer Information

a) No electric utility merchant generation function employee shall have access to or receive any customer-specific billing, usage, or load shape data except as permitted in subsection (b).

b) Upon the verifiable request of a retail customer or of the electric utility's merchant generation function, if it provides verifiable authorization and is acting as the customer's agent, an electric utility merchant generation function shall receive customer-specific billing, usage, or load shape data in the same form and fashion as such information would be provided to non-affiliated ARES in similar circumstances. The merchant generation function shall be charged the same type of reasonable fee for the provision of customer-specific data that the electric utility charges to any non-affiliated ARES for similar customer-specific information under Section 16-122(a) of the Act [220 ILCS 5/16-122(a)].

c) An electric utility's merchant generation function may receive generic information concerning the usage, load shape or other general characteristics of customers by rate classification. Generic information by rate classification, however, shall not be provided to the electric utility's merchant generation function in a discriminatory manner. No preference shall be provided to the electric utility's merchant generation function over non-affiliated ARES that make requests for such generic information by rate class under Section 16-122(b) of the Act [220 ILCS 5/16-122(b)]. The merchant generation function shall be charged the same type of reasonable fee for the provision of generic information by rate classification that the electric utility charges to any non-affiliated ARES for similar generic information by rate classification under Section 16-122(b) of the Act [220 ILCS 5/16-122(b)].

83 Ill. Adm. Code 452.110 Marketing and Advertising

a) No electric utility shall allow joint advertising or joint marketing by its transmission and distribution function employees and generation function employees, nor may any product or service offered by its merchant generation function be advertised or marketed with any product or service offered by its transmission and distribution function. However, the advertising of mandatory generation services is not prohibited by this Part so long as there is no direct or indirect involvement in such advertising by transmission and distribution function employees.

b) Upon written request by a customer or potential customer, an electric utility's transmission and distribution function employees may accompany generation function employees at a meeting with the customer or potential customer; provided that transmission and distribution function employees are prohibited from requesting the customer's or potential customer's patronage for any generation service. An electric utility's transmission and distribution function shall process all requests for, and schedule and participate in, joint meetings under this subsection in the same manner as it would upon written request from a customer or potential customer of a non-affiliated ARES or another electric utility. Upon violation of the requirements or prohibitions in this subsection, the Commission may prohibit transmission and distribution function employees from accompanying generation function employees at meetings with customers or potential customers. The penalty shall be in addition to or in lieu of any penalty imposed by the Commission pursuant to Section 452.160 of this Part.

c) Nothing in subsection (a) shall be construed as prohibiting an electric utility's generation function from using the corporate name or logo of the electric utility or electric utility holding company.

d) Every electric utility shall distribute a copy of Section 452.130 of this Part or such other notice as the Commission may require to each of its customers. The distribution shall occur on the effective date of this Part, or on or before the date on which a customer becomes eligible to take delivery services, whichever is later.

83 Ill. Adm. Code 452.120 Tying

No electric utility shall tie, as defined by State and federal anti-trust laws:

a) the provision of any delivery services to the taking of any goods and services from the electric utility's generation function; or

b) the provision of any mandatory generation service to the taking of any other product or service offered by the utility.

83 Ill. Adm. Code 452.130 Non-Discriminatory Provision of Delivery Services and Ancillary Services in Transactions Involving the Generation Function

a) Electric utility transmission and distribution function employees shall strictly enforce all tariff provisions relating to delivery services (regardless of whether dealing with the electric utility's generation function, affiliated interests, or non-affiliated ARES) if these tariff provisions do not provide for the use of discretion.

b) If provisions of delivery services tariffs allow for discretion, electric utility transmission and distribution function employees shall apply these tariff provisions in a fair, impartial and non-discriminatory manner. Similarly situated users and potential users of delivery services shall be treated equally.

c) An electric utility shall not, through its tariffs or otherwise, give preference to retail power sales made on behalf of the customers of its generation function over the interests of any other retail customer in matters relating to delivery services or tariffed ancillary services. These matters shall include, but not be limited to, delivery services price, delivery services quality, curtailments, interconnections, service restoration, scheduling, priority, balancing, and ancillary services availability. All requests for delivery services shall be processed in a non-discriminatory manner.

d) If an electric utility offers or attributes a rate discount, rebate, or fee waiver on delivery services or delivery-service related, tariffed ancillary services to its generation function or retail customers of its generation function, then, at the same time, it shall offer the same discount, rebate, or fee waiver to all similarly situated ARES or customers of similarly situated ARES. The electric utility shall maintain a log of all discounts, rebates, or fee waivers granted to its generation function or for retail customers of its generation function. The entry in the log shall be made within 24 hours after the delivery services or ancillary services transaction commences. The entry in the log shall be maintained for one year after the discount, rebate, or fee waiver expires. The log shall be available for Commission inspection. The log shall be made available to the public upon written request.

e) Merchant generation function employees shall not state or imply to any person or entity unaffiliated with the electric utility that they have access to, or information about, delivery services that is unavailable to ARES or retail customers, nor shall any utility employee state or imply that delivery services provided in conjunction with the utility's generation services will be superior to the delivery services provided to the customers of ARES.

83 Ill. Adm. Code 452.135 Cross-Subsidization

a) No electric utility shall use public utility business to subsidize non-public utility business. Accordingly, the electric utility shall comply with the requirements of the Commission's rule regarding accounting for non-public utility business of electric utilities (83 Ill. Adm. Code 416), the Uniform System of Accounts (83 Ill. Adm. Code 415), and orders of the Commission under Section 7-102 of the Act [220 ILCS 5/7-102] that may be applicable.

b) No electric utility shall use delivery services to subsidize generation services. For this purpose, each electric utility shall submit to the Manager of Accounting of the Commission, as part of its implementation plan required under Section 452.170 of this Part, written guidelines for allocating revenues and charges between delivery services and generation services. Each electric utility shall maintain books and records for generation services and delivery services consistent with the form specified in 83 Ill. Adm. Code 416.10(b).

c) Each electric utility shall conduct a biennial internal audit of the transactions addressed in subsection (b). These audits shall test the compliance with that subsection with the written guidelines submitted to the Manager of Accounting of the Commission, with any applicable Commission orders, and with 83 Ill. Adm. Code 415. The audits shall include written reports of conclusions and associated workpapers that shall be available to the Commission Staff for review. The first internal audit shall be submitted to the Manager of Accounting of the Commission on or before December 1, 2002. Succeeding audit reports shall be submitted to the Manager of Accounting of the Commission on or before December 1 of each succeeding even numbered year.

83 Ill. Adm. Code 452.140 Waivers

a) Any electric utility subject to this Part that uses its transmission or distribution system to directly provide generation services to 50,000 or fewer retail customers in Illinois may petition the Commission for waiver of Section 452.30, 452.35(b) and (c), 452.40, 452.60, 452,70, 452.80, 452.90, 452.100 or 452.170 of this Part. The petition must include a demonstration of the following:

1. that the electric utility does not own, operate, or control power generation resources;

2. that no affiliate of the electric utility owns, operates, or controls power generation resources;

3. that the electric utility provides only mandatory generation services;

4. that any power and energy provided to customers in the electric utility's Illinois service area is obtained entirely through wholesale purchases at tariffs approved, or allowed into effect, by the Federal Energy Regulatory Commission;

5. that no power and energy provided to customers in the electric utility's Illinois service area is obtained from an affiliated interest; and

6. that the electric utility employs a Commission-approved fuel adjustment clause or similar mechanism to recover costs of providing mandatory generation services.

b) In evaluating any petition, the Commission shall assess the effect of the provisions of this Part for which a waiver is requested on the cost and reliability of service of the electric utility and the objective of Section 16-119A of the Act [220 ILCS 5/16-119A] to prevent undue discrimination and create or promote efficient competition. The continued effectiveness of any waiver obtained under this Section shall be conditioned upon the electric utility's continual compliance with subsections (a)(1) through (a)(6). At any time that the Commission finds, upon complaint or on its own motion, that the electric utility no longer satisfies the requirements of subsections (a)(1) through (a)(6), the Commission may rescind the waiver granted.

83 Ill. Adm. Code 452.150 Complaint Procedures

Complaints alleging violations of this Part shall be filed pursuant to 83 Ill. Adm. Code 200.

83 Ill. Adm. Code 452.160 Penalty Provisions

a) Upon complaint or on the Commission's own motion, the Commission may conduct an investigation of an electric utility's actions under any Section of this Part. The Commission may, after notice and hearing:

1. order an electric utility to cease and desist or correct any violation of, or nonconformance with, any provision of this Part;

2. require an electric utility to make due reparations or refunds as permitted by statute;

3. impose financial penalties for violations of, or non-conformance with, the provisions of this Part as permitted by statute;

4. take other remedial and preventive action as permitted by statute, including any action described in other Sections of this Part.

b) The remedies shall be cumulative and may be imposed in addition to other remedies described in this Part.

83 Ill. Adm. Code 452.170 Implementation Plans

a) Each electric utility shall file with the Commission, before May 31, 2002, written plans and procedures describing how the electric utility will implement, and achieve compliance with, this Subpart.

b) Within 45 days after an electric utility files its implementation plans and procedures with the Commission pursuant to subsection (a), the Commission shall approve the implementation plans and procedures as filed or initiate a hearing to investigate modifications to the implementation plans and procedures. If the Commission takes no such action within 45 days, the implementation plans and procedures filed by the electric utility shall be deemed approved. If the Commission initiates a hearing to investigate modifications to the implementation plans and procedures filed by the electric utility, intervention in accordance with 83 Ill. Adm. Code 200 shall be permitted. After the hearing, the Commission shall approve the implementation plans and procedures as filed or as modified by the Commission. In any order entered pursuant to this subsection, the Commission shall set forth its reasons for approving or modifying implementation plans and procedures. Within 60 days from the date of a final Commission order approving its implementation plans or procedures and modified plans and procedures, each electric utility shall be in full compliance with that order.

c) At least 45 days before the effective date of a proposed revision to its approved implementation plans and procedures, an electric utility shall file the proposed revision with the Commission for approval. Within 45 days after an electric utility files revisions to its approved implementation plans and procedures with the Commission, the Commission shall approve the revisions as filed or initiate a hearing to investigate modifications to the revisions. If the Commission takes no action within 45 days, the revisions filed by the electric utility shall be deemed approved. If the Commission initiates a hearing to investigate modifications to the revisions filed by the electric utility, intervention in accordance with 83 Ill. Adm. Code 200 shall be permitted. After the hearing, the Commission shall approve the revisions as filed or as modified by the Commission. In any order entered pursuant to this subsection, the Commission shall set forth its reasons for approving or modifying any revisions filed by the electric utility.

83 Ill. Adm. Code 452.200 Definitions

"Advertising" means any communication through any medium, except direct (e.g., in-person or telephonic) contact, for the purpose of requesting or retaining patronage from a customer or prospective customer.

"Delivery services" has the same meaning as in Section 16-102 of the Act [220 ILCS 5/16-102].

"Retail Electric Supply Service" means the retail sale of electricity, whether bundled or unbundled.

"Integrated Distribution Company" or "IDC" means an electric utility that has completed implementation of an approved implementation plan pursuant to Section 452.220 of this Subpart B.

"Marketing" means direct contact with a customer or a prospect for the purpose of requesting or retaining patronage.

"Permissible Integrated Distribution Company Service" means any service that an Integrated Distribution Company is allowed to offer pursuant to Subpart B of this Part.

"Transmission and distribution service" means any service provided by an electric utility's transmission and distribution system.

"Transmission and distribution system" has the same meaning as in Subpart A of this Part.

"Value-added transmission and distribution services" means services provided by the electric utility's transmission and distribution function that are not necessary to the operation of that function.

83 Ill. Adm. Code 452.220 Integrated Distribution Company Implementation Plan

a) To seek Commission approval to operate as an Integrated Distribution Company, an electric utility shall file a written plan by which it will implement, and affirm its commitment to comply with, the provisions of Subpart B before May 31, 2002. The implementation plan shall be sufficiently detailed so that the Commission can reasonably ascertain the systems, policies and practices that the electric utility will use to satisfy each of the requirements in Subpart B.

b) Within 45 days after an electric utility files an implementation plan with the Commission pursuant to subsection (a), the Commission shall approve, reject, or initiate a hearing to investigate the implementation plan. If the Commission takes no action within 45 days, the implementation plan shall be deemed approved. If the Commission initiates a hearing to investigate the implementation plan, intervention in accordance with 83 Ill. Adm. Code 200 shall be permitted. After the hearing, the Commission shall approve the implementation plan as filed or as modified by the Commission, or reject the implementation plan. In any order entered pursuant to this subsection, the Commission shall set forth its reasons for approving or rejecting an implementation plan.

c) In any order rejecting an implementation plan, the Commission shall specify the date by which an electric utility shall be in compliance with Subpart A. Within 45 days after the entry of a final order approving an implementation plan, or within 45 days after the implementation plan is permitted to go into effect without a Commission order pursuant to subsection (b), an electric utility shall be in full compliance with all requirements of Subpart B.

d) If the utility rejects any modifications made to an implementation plan by the Commission, it shall notify the Commission of its rejection within 10 days after the entry of the final order and submit an implementation plan pursuant to Section 452.170 within 45 days after the entry of a final order or within 45 days after a denial of any applications for rehearing, whichever is later.

e) An electric utility may at any time elect to no longer qualify as an Integrated Distribution Company. An electric utility making such an election shall immediately file an implementation plan pursuant to Section 452.170 for Commission approval. Upon the filing of such a plan, an electric utility shall be subject to all requirements of Subpart A of this Part.

f) Each IDC shall file with the Commission revisions to an approved implementation plan within 7 days after revision or at such time as designated by the Commission. The Commission may initiate a proceeding to disallow or modify any revision; in that proceeding, the burden shall be upon the IDC to demonstrate that the revision is consistent with the provisions of this Subpart B.

83 Ill. Adm. Code 452.230 Permissible and Impermissible Integrated Distribution Company Services

a) An Integrated Distribution Company shall provide all tariffed transmission and distribution services, including delivery services, and all tariffed retail electric supply services required by the Act. An IDC may initiate experiments for transmission and distribution services and enter into contracts for load curtailment and interruption, provided that the experiments and contracts are entered into pursuant to a tariff filed with the Commission. An IDC also may enter into contracts for value-added transmission and distribution services and for the provision of start-up and auxiliary services to qualifying facilities, as defined and required by 83 Ill. Adm. Code 430.

b) An IDC shall not offer or provide any non-tariffed retail electric supply services or any non-tariffed transmission and distribution services, except as provided in subsection (a) of this Section. An IDC shall not, notwithstanding Sections 16-102, 16-106, 16-116(b), and 9-102.1 of the Act [220 ILCS 5/16-102, 16-106, 16-116(b), and 9-102.1], offer or enter into contracts for the provision of any retail electric supply service, unless required by tariff, or engage in any non-tariffed billing and pricing experiments beyond those contracts and experiments in existence on February 1, 2002. An IDC shall not renew, extend, or renegotiate any existing contract for any retail electric supply service, unless the IDC is required by tariff to renew or extend or the IDC is contractually bound to renew, extend, or renegotiate at the customer's option and the customer has exercised its option. At the request of the Commission, an IDC shall make available for inspection by the Commission any or all existing contracts for the provision of any retail electric supply service for verification purposes. The Commission shall treat all such contracts confidentially and shall enter the contracts into the record in any proceeding before the Commission subject to a reasonable confidentiality agreement. An IDC also shall not offer an experiment in existence on February 1, 2002 to any customer after February 1, 2002.

83 Ill. Adm. Code 452.240 Advertising, Marketing, and Customer Retention Efforts

a) An Integrated Distribution Company shall not promote, advertise or market with regard to the offering or provision of any retail electric supply service.

b) The advertising and marketing prohibition of subsection (a) shall not preclude an IDC from:

1. advertising or marketing permissible IDC services other than retail electric supply services;

2. using the electric utility company corporate name and logo in connection with the offering or provision of permissible IDC services;

3. engaging in advertising or marketing generally promoting the public image and good will of the IDC as a provider of transmission and distribution services;

4. meeting its obligations for consumer education programs as set forth in Section 16-117 of the Act [220 ILCS 5/16-117], or otherwise engaging in legitimate consumer education efforts; or

5. meeting the customer notification requirements specified in Section 16-110 [220 ILCS 5/16-110] for the power purchase option.

c) No IDC employee or agent shall state or imply that access to or quality of service for delivery of electricity is, or will be, better if the customer retains, switches to, or otherwise obtains any retail electric supply service from the IDC.

d) No IDC employee or agent shall affirmatively prompt customer inquiries about the quality of the IDC's retail electric supply services. No IDC shall disparage the quality of an alternative retail electric supplier's services.

e) No IDC employee or agent shall affirmatively act to retain or obtain a customer for any retail electric supply service offered or provided by the IDC.

83 Ill. Adm. Code 452.250 Integrated Distribution Company Rate and Price Conditions

An Integrated Distribution Company shall not change its price for any tariffed services allowed in Section 452.230(a) pursuant to Section 16-111(f) of the Act [220 ILCS 5/16-111(f)], but may change prices for services in the manner provided in Article IX of the Act [220 ILCS 5/Art. IX], and as provided in Section 16-111(a) of the Act [220 ILCS 5/16-111(a)].

83 Ill. Adm. Code 452.260 Information Provided to the Integrated Distribution Company by an Affiliated or Non-Affiliated Alternative Retail Electric Supplier, Another Electric Utility, Customer of Affiliated or Non-Affiliated Alternative Retail Electric Supplier or Another Electric Utility, or Retail Customer of the Integrated Distribution Company

a) The information covered by this Section shall include any data or information provided to the IDC in its role as a provider of transmission and distribution services by an affiliated or non-affiliated alternative retail electric supplier, another electric utility, or the customer of an affiliated or non-affiliated alternative retail electric supply or another electric utility, or retail customer of the IDC.

b) No IDC employee shall use the information described in subsection (a) to sell, promote, market or advertise any retail electric supply service or to attempt to obtain or retain any customer for any retail electric supply service; provided that information received from a retail customer of the IDC that is necessary to the continued provision of retail electric supply service to that customer may be used by the IDC for that purpose.

83 Ill. Adm. Code 452.270 Tying

An Integrated Distribution Company shall not tie, as defined by state and federal anti-trust laws, the provision of any tariffed service to the taking of any other product or service offered or provided by the IDC.

83 Ill. Adm. Code 452.280 Integrated Distribution Company Transmission and Distribution Services

a) All requests for transmission and distribution services shall be processed in a non-discriminatory manner.

b) An Integrated Distribution Company shall strictly enforce all tariff provisions relating to transmission and distribution services if these tariff provisions do not provide for the use of discretion.

c) If provisions of transmission and distribution services tariffs allow for discretion, an IDC shall apply these tariff provisions in a fair, impartial and non-discriminatory manner. Similarly situated transmission and distribution services users or potential transmission and distribution services users shall be treated equally.

d) An IDC shall not discriminate in matters relating to curtailment, interconnection, service restoration, repair work, distribution upgrading, scheduling, priority, balancing, or transmission and distribution services availability, price or service quality.

e) If an IDC offers or attributes a rate discount, rebate, or fee waiver on delivery services or other transmission and distribution services to customers of its permissible retail electric supply services, it shall also offer the same discount, rebate, or fee waiver to all alternative retail electric suppliers or customers of alternative retail electric suppliers. The IDC shall maintain a log of all discounts, rebates, or fee waivers granted. The entry in the log shall be made within 24 hours after the transmission and distribution services transaction commences. The entry in the log shall be maintained for one year after the discount, rebate, or fee waiver expires. The log shall be available for Commission inspection. The log shall be made available to the public upon written request.

83 Ill. Adm. Code 452.290 Emergency Exception

a) In anticipation of impending emergencies and in times of actual emergency affecting the public health and safety or electric system integrity and reliability, an Integrated Distribution Company may take any actions necessary to protect the public and the electric system. If under normal non-emergency circumstances, those actions would constitute violations of this Subpart, the IDC shall file written reports as specified in this Section.

b) Within 24 hours after initiating reliance on the authority in subsection (a), an IDC shall:

1. file an initial written report with the Commission, describing, and stating the general reasons for, the action; and

2. notify non-affiliated ARES on the Internet site described in Section 452.80(d) of this Part.

c) Within seven days after initiating reliance on the authority in subsection (a), or within two days after terminating reliance on the authority in subsection (a), whichever is later, the IDC shall file a full written report with the Commission, explaining the nature and extent of the emergency and how and why the emergency arose. This report shall also list and describe each action the electric utility took that, under normal non-emergency circumstances, would constitute a violation of this Subpart. The initial and full written reports shall be available to the public on the Internet site described in Section 452.80(d) of this Part.

d) Nothing in this Section shall preclude the Commission from investigating, upon its own motion, or upon complaint by any person pursuant to Section 452.310 of this Part, whether the actions or omissions of an IDC pursuant to subsection (a) were reasonably related to an impending or actual emergency affecting the public health and safety or electric system integrity or reliability. If, after a hearing, no reasonable relationship is found, the Commission may impose one or more penalties as authorized by Section 452.320 of this Part.

83 Ill. Adm. Code 452.300 Cross-Subsidization

No Integrated Distribution Company shall use public utility business to subsidize non-public utility business. Accordingly, the IDC shall comply with the requirements of the Commission's rules regarding accounting for non-public utility business of electric utilities (83 Ill. Adm. Code 416), the Uniform System of Accounts (83 Ill. Adm. Code 415), and orders of the Commission under Section 7-102 of the Act [220 ILCS 5/7-102] as may be applicable.

83 Ill. Adm. Code 452.310 Formal Complaint Procedures

Complaints alleging violation by an Integrated Distribution Company, its employees or agents of any provision of Subpart B shall be filed pursuant to 83 Ill. Adm. Code 200.

83 Ill. Adm. Code 452.320 Enforcement and Penalty Provisions

a) Upon complaint pursuant to Section 452.310 of this Part, or on the Commission's own motion, the Commission may, after notice and hearing:

1. order an Integrated Distribution Company to cease and desist, or correct, any violation of, or nonconformance with, any provision of Subpart B;

2. require an IDC to make due reparations or refunds as permitted by statute;

3. impose financial penalties for violations of, or non-conformance with, any provision of Subpart B as permitted by statute;

4. take other remedial and preventive action as permitted by statute.

Such remedies shall be cumulative.

b) Upon finding that an IDC has committed, within any five year period, three violations of any provision of Subpart B, the Commission may determine that the electric utility no longer qualifies as an IDC. The Commission may direct the electric utility to immediately file with the Commission an implementation plan to comply with Subpart A. The Commission shall evaluate any such implementation plan under the provisions of Section 452.170(b).

c) Multiple violations arising from the same facts shall be regarded as a single violation for purposes of reaching the three-violation threshold established in subsection (b). Each violation arising from different facts shall be regarded as a single violation for purposes of reaching the three-violation threshold established in subsection (b). Plural factual allegations may be included in a single complaint or investigation.

d) The remedies set forth in subsections (a) and (b) shall be cumulative.

83 Ill. Adm. Code 452.330 Integrated Distribution Company Instruction

An Integrated Distribution Company shall instruct its affected employees and agents about the requirements of Subpart B and how to apply Subpart B in the work place.

Part 453 Internet Enrollment Rules

83 Ill. Adm. Code 453.10 Definitions

"Electronic Signature" shall mean a digitized recording of the handwritten signature of the executing person, an electronic sound, symbol, or process attached to or logically associated with a Letter of Agency (LOA) and executed by a person with the intent to sign the LOA. A recording of oral assent is not an electronic signature.

"Encryption" shall mean to convert information (especially a message) from one system of communication into another in a manner that allows the information to later be converted back into its original form.

"Internet Enrollment" means any electronic record except a recording of an oral assent, of a customer's authorization to change electric service providers, which satisfies the disclosure requirements of the LOA prescribed in 815 ILCS 505/2EE.

"Letter of Agency" or "LOA" shall mean the document described in Section 2EE of the Consumer Fraud and Deceptive Business Practices Act [815 ILCS 505/2EE] and referenced in Section 16-115A of the Public Utilities Act [220 ILCS 5/16-115A].

"Retail Electric Supplier" or "RES" shall mean either:

an Alternative Retail Electric Supplier (ARES) certified by the Illinois Commerce Commission pur­suant to Section 16-115 of the Public Utilities Act [220 ILCS 5/16-115], meeting all obligations of an ARES pursuant to Section 16-115A of the Public Utilities Act [220 ILCS 5/16-115A], and authorized to provide electric power and energy supply services in an Illinois electric utility's service territory; or

an Illinois electric utility as defined in Section 16-102 of the Public Utilities Act [220 ILCS 5/16-102] meeting all obligations provided in Sections 16-115A and 16-116 of the Public Utilities Act [220 ILCS 5/16-115A and 16-116].

"Retail Customer" or "Customer" shall have the same meaning as that stated in Section 16-102 of the Public Utilities Act [220 ILCS 5/16-102].

History

• Source: Amended at 41 Ill. Reg. 14013, effective November 1, 2017

83 Ill. Adm. Code 453.20 Criteria by Which to Judge the Validity of an Electronic Signature

a) An electronic signature shall indicate who signed the LOA.

b) An electronic signature shall be unique to the signer.

1. A digitized version of the handwritten signature of the executing person shall be self-authenticating.

2. Other Forms of Electronic Signature

A) For any other form of electronic signature, a security procedure shall require unique and private information from the signer. This information shall include:

i) Algorithms or codes;

ii) Identifying words or numbers previously established or sent to signer's e-mail account provided by the signer to the RES; or

iii) Credit card verification.

B) An internet protocol (IP) address alone will not satisfy the requirements of this subsection (b)(2). This information shall not include the customer's account number.

3. No party shall use a signer's unique information disclosed under this Section for any marketing or billing purposes without specific separate consent from the signee.

4. The security procedure shall be provided on a securely encrypted web page.

c) An electronic signature shall reliably indicate the date of the signature.

d) Affixing an electronic signature to an LOA shall be a separate affirmative act.

e) The LOA shall be conspicuously displayed on a separate screen or web page.

History

• Source: Amended at 41 Ill. Reg. 14013, effective November 1, 2017

83 Ill. Adm. Code 453.30 Method by Which the Authenticity of Electronic Signatures May Be Proven

a) The electronically signed LOA shall provide:

1. The unique information used to sign the LOA; and

2. The date signed.

b) The party seeking to prove the authenticity of an LOA must demonstrate:

1. That the LOA was signed by the customer on the date claimed by demonstrating that the unique identifier used to sign the LOA and the date it was signed is embedded in the LOA; and

2. The electronically signed LOA has not been altered since signing.

History

• Source: Amended at 41 Ill. Reg. 14013, effective November 1, 2017

83 Ill. Adm. Code 453.40 Additional Requirements for an Electronic Letter of Agency (loa)

a) In addition to the requirements set forth in Section 2EE of the Illinois Consumer Fraud and Deceptive Business Practices Act [815 ILCS 505/2EE], by virtue of being in electronic form, an electronic LOA shall provide the following additional information:

1. The means by which any future correspondence between the customer and RES will be sent;

2. Whether the customer has the option to receive correspondence by United States Mail or electronic means; and

3. A disclosure stating that the customer may opt to receive a written copy of the contract.

b) In addition to the requirements set forth in Section 2EE of the Consumer Fraud and Deceptive Business Practices Act, the RES shall comply with the following procedures when utilizing electronic LOAs:

1. Ensure that the customer provides all information necessary to complete the electronic LOA through a securely encrypted input procedure that meets or exceeds current industry practices;

2. Ensure that the customer indicates by a separate affirmative act that he or she has the authority to execute the electronic LOA;

3. Ensure that the customer understands and assents to the LOA;

4. Include a version number in the body of the electronic LOA in order to permit verification of the LOA to which the customer assents;

5. Prompt the customer to print or electronically save a copy of the electronic LOA;

6. Immediately send a message to the e-mail account provided by the customer to the RES acknowledging receipt of the electronic LOA;

7. Retain the electronic LOA for a period of at least five years after execution or the length of time that the customer takes service with the RES, whichever is longer; and

8. Upon request, provide to the Commission, Commission Staff, or the customer a written and/or electronic copy of the LOA, including information to support adherence to Section 453.20(b).

c) In the event of any conflict between this Section and the requirements for RESs and LOAs provided in electric utility tariffs on file with the Commission July 1, 2003, this Section shall control.

History

• Source: Amended at 41 Ill. Reg. 14013, effective November 1, 2017

Part 454 Licensure of Retail Electric Agents, Brokers and Consultants

83 Ill. Adm. Code 454.10 Purpose

The purpose of this Part is to adopt licensing and code of conduct requirements pursuant to Section 16-115C of the Public Utilities Act.

83 Ill. Adm. Code 454.20 Definitions

"ABC" means agents, brokers, and consultants engaged in the procurement or sale of retail electricity supply for third parties and has the same meaning as defined in Section 16-115C(b) of the Public Utilities Act [220 ILCS 5/16-115C(b)].

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

"Aggregate billing demand" means the total of the highest monthly billed demand of each of the retail customer's affiliated electric accounts during the past calendar year.

"Alternative retail electric supplier" or "ARES" has the same meaning as in Section 16-102 of the Act [220 ILCS 5/16-102].

"Applicant" means a person or entity that seeks a license from the Illinois Commerce Commission pursuant to the Section 16-115C of the Act.

"Attempts to procure" means a third-party individual or entity that takes a substantial step to Procure electric power and energy, such as but not limited to preparing solicitations, notifying potential bidders of the solicitation, or determining the results of a solicitation; except, it shall not include an individual or entity providing professional services incidental to the procurement of retail service, such as but not limited to legal, accounting or engineering services.

"Attempts to sell" means a third-party individual or entity that takes a substantial step to sell electric power and energy to end user customers, such as but not limited to soliciting customers, making offers or preparing contracts; except, it shall not include an individual or entity providing professional services incidental to the sale of retail service, such as but not limited to legal, accounting or engineering services.

"Commission" means the Illinois Commerce Commission.

"Licensee" means an applicant that has applied for and received a license under this Part.

"License bond" or "permit bond" means an obligation of a surety to pay the monies that the licensee owes the State of Illinois for violations of the duties and obligations imposed on it as an ABC.

"Procure" means purchasing or entering into a contract to purchase the services of a RES on behalf of a retail electric customer.

"Qualifying surety" means a surety or insurer that is authorized by the U.S. Department of the Treasury pursuant to 31 USC 9305. A qualifying surety or insurer may not underwrite more than the amount specified by the U.S. Department of Treasury on a single bond. (Department of the Treasury's Listing of Approved Sureties (Department Circular 570; http://www.fms.treas.gov/c570/c570.html))

"Retail customer", as used in this Part, has the same definition as in Section 16-102 of the Act.

"Retail Electric Supplier" or "RES" means an ARES or an electric utility providing electric power and energy to retail customers outside the utility's service area pursuant to Section 16-116 of the Act.

Chapter I Illinois Commerce Commission

Subchapter c Electric Utilities

Part 454 Licensure of Retail Electric Agents, Brokers and Consultants

83 Ill. Adm. Code 454.30 Applicability

a) The requirements of this Section shall apply to each ABC that:

1. sells or attempts to sell electric power and energy on behalf of a RES; and/or

2. procures or attempts to procure electric power and energy on behalf of a retail customer.

b) The requirements of this Section shall not apply to the following:

1. The Illinois Power Agency or any of its employees;

2. Any RES offering retail electric service on its own behalf;

3. Any person or entity acting exclusively on behalf of a single RES on condition that exclusivity is disclosed to the customer;

4. Any person or entity representing a municipal power agency, as defined in Section 11-119.1-3 of the Illinois Municipal Code [65 ILCS 5/11-119.1-3];

5. Any person or entity that attempts to procure retail electric service on behalf of, or sell retail electric service to, a third party that has an aggregate billing demand of all of its affiliated electric service accounts in Illinois of greater than 1,500 kW;

6. A retail customer that operates or manages, either directly or indirectly, any facilities, equipment or property used or contemplated to be used to distribute electric power or energy if that retail customer is a political subdivision or public institution of higher education of this State; or

7. Any corporation, company, limited liability company, association, joint-stock company or association, firm, partnership or individual, or their lessees, trusts or receivers appointed by any court whatsoever that are owned or controlled by the political subdivision, or public institution of higher education, or are operated by any of its lessees or operating agents.

History

• Source: Amended at 35 Ill. Reg. 17602, effective November 1, 2011

83 Ill. Adm. Code 454.40 Required Application Filings and Procedures

a) The Commission shall issue an order granting or denying an application filed under this Section within 90 days (or 180 days if extended by the assigned Administrative Law Judge) after the date on which a complete application has been filed. The assigned Administrative Law Judge may extend the time for considering an application filed under this Section by up to 90 days and can schedule a hearing on the application if:

1. A party to the application proceeding has formally requested that the commission hold hearings in a pleading that contains a verified prima facie showing that one or more of the allegations or certifications in the application is false or misleading; or

2. Other facts or circumstances exist that will necessitate additional time or evidence in order to determine whether a license should be issued.

b) All applications for licensing under this Part shall be verified as required by Section 200.130 of the Commission's "Rules of Practice" (83 Ill. Adm. Code 200.130).

c) The applicant shall provide the following:

1. Description of the applicant's business;

2. A certification that the applicant is licensed to do business in the State of Illinois and is in compliance with all other applicable laws, regulations and Commission rules and orders; and

3. The name, address, telephone number, any facsimile number and any e-mail address of the agent registered with the Illinois Secretary of State. This information shall be kept current and any change regarding the licensee shall be reported within 15 days after the change occurs. The required information shall be filed with the Chief Clerk of the Commission at its Springfield office.

d) Itemized Filing Requirements; the application for licensing under this Part shall include:

1. a statement in support of application, supporting documents, and schedules containing information showing that the applicant meets the requirements of Section 16-115C of the Act;

2. a certification that the applicant will comply with all terms and conditions required by Section 16-115C of the Act; and

3. a certification that any person who acts on behalf of the entity will comply with all Sections of this Part applicable to the function or functions to be performed.

e) Contents of documents shall be consistent with Subpart B of the Commission's Rules of Practice (83 Ill. Adm. Code 200)

83 Ill. Adm. Code 454.50 General Licensing Requirements

An ABC shall remain in compliance with the provisions of the Act and this Part.

83 Ill. Adm. Code 454.60 Managerial Licensing Requirements

a) An applicant shall be deemed to possess sufficient managerial capabilities to provide agency, brokering or consulting services if the applicant can demonstrate that it has had at least one year of management experience with a business enterprise.

b) The applicant shall include in its application an exhibit containing occupational background information on the persons who are being used to satisfy the requirements of this Section.

c) The applicant shall include in its application an exhibit containing a corporate organizational chart and indicating the position of persons indicated in subsection (a) of this Section.

83 Ill. Adm. Code 454.70 Technical Licensing Requirements

a) An applicant shall be deemed to possess sufficient technical capabilities to provide agency, brokering or consulting services if the applicant can demonstrate that it has had experience in the electric industry of at least one year.

b) The applicant shall include in its application an exhibit containing occupational background information on the persons who are being used to satisfy the requirements of this Section.

83 Ill. Adm. Code 454.80 Financial Licensing Requirements

a) The applicant shall execute and maintain a license or permit bond issued by a qualifying surety or insurance company authorized to transact business in the State of Illinois in favor of the People of the State of Illinois. The amount of the bond shall equal $5,000. The bond shall be conditioned upon the full and faithful performance of all duties and obligations of the applicant as an ABC and shall be valid for a period of not less than one year. The cost of the bond shall be paid by the applicant. The applicant shall file this bond as part of its application for certification.

b) In the event that a license or permit bond is cancelled, expires or is drawn upon, the ABC shall execute and maintain an additional or replacement bond such that the cumulative value of all outstanding bonds never falls below the amount required in subsection (a) of this Section. The ABC shall file a copy of the additional or replacement bond with the Chief Clerk of the Commission and provide a copy to the Manager of the Financial Analysis Division or his or her successor at least 15 days in advance of the effective date of the bond. The filing shall include a cover letter that explains the purpose of the filing and shall be identified by the name of the ABC as it appears in the most recent Commission order granting the ABC certification.

c) In the event that a license or permit bond is modified, the ABC shall file a copy of the modified bond with the Chief Clerk of the Commission and provide a copy of that bond to the Manager of the Financial Analysis Division or his or her successor at least 15 days in advance of the effective date of the modification. The filing shall include a cover letter that explains the purpose of the filing and shall be identified by the name of the ABC as it appears in the most recent Commission order granting the ABC certification.

83 Ill. Adm. Code 454.90 Code of Conduct

Any person or entity required to be licensed pursuant to this Part shall:

a) Disclose in plain language in writing the nature of the services offered by the ABC;

b) Prior to the customer signing a contract, disclose that they are not employed by the electric utility operating in the applicable service territory;

c) Disclose in plain language in writing to all persons it solicits:

1. before July 1, 2011, the total anticipated remuneration to be paid to it by any third party over the period of the proposed underlying customer contract and

2. on or after July 1, 2011, the total price per kilowatt-hour, and the total anticipated cost, inclusive of all fees or commissions received by the licensee, to be paid by the customer over the period of the proposed underlying customer contract. In the event a person or entity required to be licensed pursuant to this Part uses an electric supply usage estimate for a particular customer, the person or entity required to be licensed pursuant to this Part must use the same electric supply usage estimate for all service offers it presents to that particular customer;

d) Any disclosure required by subsection (c) must be made prior to entering into the contract and signed by the customer;

e) Disclose if applicable, to all customers, prior to the customer signing a contract the fact that they will be receiving compensation from the supplier;

f) Not hold itself out as independent or unaffiliated with any RES, or both, or use words calculated to give that impression, unless the person or entity offering service under Section 16-115C of the Act has no contractual relationship with any RES or its affiliates regarding retail electric service in Illinois;

g) Not utilize false, misleading, materially inaccurate, defamatory or otherwise deceptive language or materials in the soliciting or providing of its services;

h) Maintain copies of all marketing materials disseminated to third parties for a period of not less than three years;

i) Maintain copies of all disclosure statements required in subsections (a) and (b) for a period of not less than three years;

j) Not present electricity pricing information in a manner that favors one supplier over another, unless a valid pricing comparison is made utilizing all relevant costs and terms; and

k) Comply with the requirements of Sections 2EE, 2FF, 2GG and 2HH of the Consumer Fraud and Deceptive Business Practices Act [815 ILCS 505/2EE, 2FF, 2GG and 2HH].

History

• Source: Amended at 35 Ill. Reg. 17602, effective November 1, 2011

83 Ill. Adm. Code 454.100 Customer Records and Information

a) The licensee shall ensure that authorizations received from customers, and all other applicable records, are retained for a period of not less than three calendar years after the calendar year in which they were created.

b) The licensee shall preserve the confidentiality of its customers' data.

83 Ill. Adm. Code 454.110 Reporting Requirements

a) By March 31 of each year, each licensee shall submit a report identified with the name of the ABC as it appears in the most recent Commission order granting the ABC a license and shall be titled "ABC Annual (year) Recertification Report under 83 Ill. Adm. Code 454". All reports required under this Section shall be under oath and shall be filed with the Chief Clerk of the Commission with copies to the Director of the Commission's Energy Division, the Director of the Financial Analysis Division, and the Director of the Consumer Services Division.

b) The annual report required by subsection (a) of this Section shall list each RES the licensee had any contractual relationship with during the prior calendar year, and shall contain the following information:

1. The type of contractual relationship (such as subcontractor, affiliate, commission compensated);

2. The number of non-residential customers to which the licensee sold retail electric supply on behalf of each RES;

3. The number of residential customers to whom the licensee sold retail electric supply on behalf of each RES;

4. The number of non-residential customers for which the licensee procured retail electric service on behalf of the customer; and

5. The number of residential customers on whose behalf the licensee procured retail electric service.

c) The verified report under this Section shall not contain customer identifying information.

d) A public redacted version of the verified report may be submitted to the Commission along with a proprietary version. The public redacted version may redact from the verified report the name or names of every certified electricity supplier contained in the report to protect against disclosure of competitively sensitive market share information. The information shall be afforded proprietary treatment for two years after the date of the filing of the verified report.

e) The licensee shall file with its annual verified report a verified statement of any changes to the original licensure qualifications and notice of continuing compliance with all requirements.

History

• Source: Amended at 35 Ill. Reg. 17602, effective November 1, 2011

83 Ill. Adm. Code 454.120 Erroneous or Defective Reports

When any report is erroneous or defective or appears to the Commission to be erroneous or defective, the Commission shall notify the ABC to amend the report within 30 days and correct deficiencies or errors.

83 Ill. Adm. Code 454.130 Complaint Procedures

Complaints shall be filed in conformance with 83 Ill. Adm. Code 200.160, 200.170 and 280.170. The complaint shall comply with the Commission's Rules of Practice (83 Ill. Adm. Code 200).

83 Ill. Adm. Code 454.140 Commission Oversight

a) Upon complaint or on the Commission's own motion, the Commission may conduct an investigation of a licensee's actions under any Section of this Part. The Commission's findings of a violation of this Section after notice and hearing shall result in a progressive disciplinary scale as specified in Section 16-115C(g) of the Act.

b) For a first violation, the Commission may, in its discretion, suspend the license of the licensee so disciplined for a period of no less than one month. In determining whether to suspend the license of the licensee and the length of any suspension to be imposed the Commission shall consider whether the violation was deliberate or inadvertent, the harm or potential for harm to customers, and the effect or potential effect on competition. For a second violation within a 5-year period, the Commission shall suspend the license of the disciplined licensee for a period of not less than 6 months. For a third or subsequent violation within a 5-year period, the Commission shall suspend the license of the disciplined licensee for a period of not less than 2 years. [220 ILCS 5/16-115C(g)]

History

• Source: Amended at 35 Ill. Reg. 17602, effective November 1, 2011

Part 455 Renewable Portfolio Standard and Clean Coal Standard for Alternative Retail Electric Suppliers and Utilities Operating Outside Their Service Areas

83 Ill. Adm. Code 455.10 Definitions and Incorporations

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

"ACP" means alternative compliance payments.

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

"Agency" means the Illinois Power Agency created by 20 ILCS 3855.

"Alternative retail electric supplier" or "ARES" means every person, cooperative, corporation, municipal corporation, company, association, joint stock company or association, firm, partnership, individual, or other entity, their lessees, trustees, or receivers appointed by any court whatsoever, that offers electric power or energy for sale, lease or in exchange for other value received to one or more retail customers, or that engages in the delivery or furnishing of electric power or energy to such retail customers, notwithstanding the exceptions listed in Section 16-102 of the Act. [220 ILCS 5/16-102]

"Clean coal facility" or "CCF" means an electric generating facility that uses primarily coal as a feedstock and that captures and sequesters carbon dioxide emissions and meets the requirements of Section 1-10 of the IPA Act.[20 ILCS 3855/1-10]

"Clean coal standard" means the various requirements imposed by Sections 16-115(d)(5) and 16-116(c) of the Act on ARES and electric utilities serving retail customers outside their service areas to source electricity from clean coal facilities.

"Commission" means the Illinois Commerce Commission.

"Compliance period" or "compliance year" means each 12-month period beginning June 1 and ending May 31, commencing June 1, 2009, and the comparable 12-month period in each succeeding year.

"Covered amount of energy supplied" or "covered amount" or "CAES" refers to the amount of energy supplied (megawatt-hours) by an RES that is covered by the electric utility's renewable energy resources procurement obligations pursuant to Section 1-75(c)(1)(B) of the IPA Act. For the compliance year ending May 31, 2018, the CAES equals 50% of the energy supplied by the RES to Illinois retail customers during the compliance year. For the compliance year ending May 31, 2019, the CAES equals 75% of the energy supplied by the RES to Illinois retail customers during the compliance year (see Section 16-115D(a)(3.5) of the Act). For the compliance year ending May 31, 2020 and thereafter, the CAES equals 100% of the energy supplied by the RES to Illinois retail customers during the compliance year.

"Delivery services" means those services provided by the electric utility that are necessary in order for the transmission and distribution systems to function so that retail customers located in the electric utility's service area can receive electric power and energy from suppliers other than the electric utility, and shall include, without limitation, standard metering and billing services. [220 ILCS 5/16-102]

"Electric Cooperative" means:

any not-for-profit corporation or other person that owns, controls, operates or manages, directly or indirectly, within this State, any plant, equipment or property for the production, transmission, sale, delivery or furnishing of electricity; and

that has been financed in whole or in part under the federal Rural Electrification Act of 1936 (7 USC 909 et seq.) and its successors or created directly or indirectly by an entity that was financed under that Act. [220 ILCS 30/3.4]

"Electric utility" means a public utility, as defined in Section 3-105 of the Act, that has a franchise, license, permit or right to furnish or sell electricity to retail customers within a service area. [220 ILCS 5/16-102]

"IPA Act" means the Illinois Power Agency Act [20 ILCS 3855].

"M-RETS" means the Midwest Renewable Energy Tracking System or its successor.

"Municipal system" means any public utility owned and operated by any political subdivision or municipal corporation of the State of Illinois, or owned by such an entity and operated by its lessee or agent.

"PJM-GATS" means the PJM Environmental Information System Generation Attribute Tracking System or its successor.

"Renewable energy credit" or "REC" means a tradable credit that represents the environmental attributes of a certain amount of energy produced from a renewable energy resource. [20 ILCS 3855/1-10]

"Renewable energy resources" includes energy and its associated renewable energy credit or renewable energy credits from wind, solar thermal energy, photovoltaic cells and panels, biodiesel, anaerobic digestion, crops and untreated and unadulterated organic waste biomass, tree waste, hydropower that does not involve new construction or significant expansion of hydropower dams, and other alternative sources of environmentally preferable energy. For purposes of the Act, landfill gas produced in the State is considered a renewable energy resource. "Renewable energy resources" does not include the incineration or burning of tires, garbage, general household, institutional, and commercial waste, industrial lunchroom or office waste, landscape waste other than tree waste, railroad crossties, utility poles, or construction or demolition debris, other than untreated and unadulterated waste wood. [20 ILCS 3855/1-10] For compliance years that ended on or before May 31, 2017, renewable energy resources also include energy and its associated renewable energy credit or renewable energy credits from other alternative sources of environmentally preferable energy.

"Renewable portfolio standard" or "RPS" means the various requirements imposed by Section 16-115D of the Act on ARES and electric utilities serving retail customers outside their service area.

"Retail customer" has the same meaning as in Section 16-102 of the Act.

"Retail electric supplier" or "RES" includes both ARES and electric utilities serving or seeking to serve retail customers outside their service area.

"Self-Generation Certification" means the Renewable Energy Facility Self-Generation Certification required by Section 455.160.

"Service area" means the geographic area within which an electric utility was lawfully entitled to provide electric power and energy to retail customers on or before December 16, 1997 and includes the location of any retail customer to which the electric utility was lawfully providing electric utility services on that date. [220 ILCS 5/16-102]

"Supplied", in relation to a quantity of energy, means energy obtained by an RES and delivered to a retail customer by an electric utility providing delivery services to the retail customer, with the quantity of energy measured at the customer meter; provided, however, that only with respect to determining whether a combined heat and power system in Illinois supplies electricity primarily to or for the benefit of facilities identified in Section 16-115 D(h) of the Act. "Supplied" also includes energy generated by a combined heat power system used at those facilities, regardless of whether it passes through the customer meter, provided that only with respect to determining the requirements of Section 16-115D of the Act for electric utilities serving retail customers outside their service area, "supplied" includes energy obtained by the utility and delivered to retail customers outside of the utility's service area.

"Uncovered amount of energy supplied" or "uncovered amount" or "UAES" refers to the amount of energy supplied (in megawatt-hours (MWh)) by an RES that is not covered by the electric utility's renewable energy resources procurement obligations pursuant to Section 1-75(c)(1)(B) of the IPA Act. For the compliance year ending May 31, 2018, the UAES equals 50% of the energy supplied by the RES to Illinois retail customers during the compliance year. For the compliance year ending May 31, 2019, the UAES equals 25% of the energy supplied by the RES to Illinois retail customers during the compliance year. For compliance years ending May 31, 2020 and after, the UAES equals 0% of the energy supplied by the RES to Illinois retail customers during the compliance year.

History

• Source: Amended at 41 Ill. Reg. 13580, effective October 26, 2017

83 Ill. Adm. Code 455.20 Record Retention, Additional Documentation, and Confidential Information

a) In addition to any other requirements of this Part or of any other applicable law, a RES shall maintain original records of all contracts and bills associated with Illinois retail customers who received electricity for at least 36 months beyond the end of the compliance period during which the electricity was supplied. All these records and any other documentation or information regarding the compliance by a RES with the renewable portfolio standard and clean coal standard shall be made available to the Commission or its Staff upon written request. The requirement to maintain original records pursuant to this Section may be satisfied by the retention of electronic rather than paper records, provided these are electronic business records that would otherwise be admissible under Illinois law.

b) If information contained in any report filed pursuant to this Part or provided to the Commission or Staff upon written request contains or reflects commercially or financially sensitive information or trade secrets, the RES may file that information with the Commission on a confidential basis. To be filed confidentially, the information shall be accompanied by an affidavit that sets forth both the reasons for the confidentiality and a public synopsis of the information as required by Section 16-115D(e) of the Act. If a report contains information filed on a confidential basis, the RES shall file both a "confidential" and a "public" version of the report and attached documentation, with all confidential information marked "Confidential". Commission Staff is authorized to publicly disclose documentation and information provided pursuant to this Part without a confidential designation pursuant to Section 5-108 of the Act.

83 Ill. Adm. Code 455.30 Waivers

a) A RES may request a waiver of any of the provisions of this Part. A request for a waiver shall be made by petition. The petition shall be verified by a person or persons having knowledge of the facts and shall set forth a full statement of the reasons for the requested waiver. A waiver shall not be granted if the provision from which a waiver is sought is statutorily mandated, or if the request for a waiver is otherwise contrary to law.

b) The burden of proof in any request for a waiver shall be upon the RES requesting the waiver. A request for waiver shall be granted upon good cause being shown by the RES. While other factors may be considered, and shall be mentioned if considered, the following factors shall be considered in determining whether good cause exists for the requested waiver:

1. Whether the rule from which the waiver is granted would, as applied to the particular case, be unreasonable or unnecessarily burdensome.

2. Whether the granting of a waiver would provide a competitive advantage to the requesting party.

3. If the waiver relates to an information filing requirement, whether other information the RES would provide if the waiver is granted permits an assessment of compliance with applicable requirements in a complete and timely manner.

4. The expense to the RES in providing the information or otherwise complying with the provision that is the subject of the waiver request.

83 Ill. Adm. Code 455.100 Applicability of Subpart B

This Subpart applies to RES and electric utilities, as applicable. This Subpart does not apply to electric cooperatives or municipal systems making an election under Section 17-300 of the Act to become an ARES or, except as provided in Section 455.140, to an ARES that is exempt from the requirements of Section 16-115D of the Act.

History

• Source: Amended at 41 Ill. Reg. 13580, effective October 26, 2017

83 Ill. Adm. Code 455.110 Obligation to Procure Renewable Energy Resources

a) Each RES shall procure cost-effective renewable energy resources in accordance with the requirements of Section 16-115D of the Act.

b) For an RES, the obligation to procure renewable energy resources is expressed in units of electricity (megawatt-hours) and is measured as a percentage of the actual amount of metered electricity supplied to the RES' Illinois retail customers during each compliance year, pursuant to contracts executed or extended after March 15, 2009 (see 220 ILCS 5/16-115D(a)(2), (a)(6), and (g)).

c) For compliance years ending on or before May 31, 2017, the minimum quantity of renewable energy resources to be procured for each compliance year shall be calculated based on the annual percentages set forth in Section 1-75(c)(1) of the IPA Act (see 220 ILCS 5/16-115D(a)(3)). For compliance years ending on or before May 31, 2017, renewable energy resources also includes energy and its associated renewable energy credit or renewable energy credits from other alternative sources of environmentally preferable energy. For the compliance year ending on May 31, 2018, the minimum quantity of renewable energy resources to be procured shall be equal to 13% of the uncovered amount of energy supplied during the compliance year. For the compliance year ending on May 31, 2019, the minimum quantity of renewable energy resources to be procured shall be equal to 14.5% of the uncovered amount of energy supplied during the compliance year. For compliance years ending on or after May 31, 2020, RES do not have an obligation pursuant to Section 16-115D of the Act to procure renewable energy resources. For an ARES that meets the requirements of Section 1-75(c)(1)(H) of the IPA Act, the ARES obligation to purchase renewable energy resources shall be reduced in accordance with Section 455.160.

d) For compliance years ending on or before May 31, 2017, at least 60% and at least 6% of the RES obligation to procure renewable energy resources shall come from wind and solar photovoltaic generation, respectively. For compliance years ending on or before May 31, 2017, renewable energy resources also includes energy and its associated renewable energy credit or renewable energy credits from other alternative sources of environmentally preferable energy. For compliance years ending on May 31, 2018 and May 31, 2019, at least 32% of the RES obligation to procure renewable energy resources shall come from wind or photovoltaic generation.

e) For compliance years ending on or before May 31, 2017, at least 50% of the obligation to procure renewable energy resources must be satisfied by making alternative compliance payments, and the balance of the obligation to procure renewable energy resources may be satisfied by generating electricity using renewable energy resources, purchasing electricity generated using renewable energy resources, purchasing renewable energy credits from renewable energy resources, or making alternative compliance payments (see Section 16-115D(b)(1) and (3) of the Act). For compliance years ending on or before May 31, 2017, renewable energy resources also includes energy and its associated renewable energy credit or renewable energy credits from other alternative sources of environmentally preferable energy. For compliance years ending on May 31, 2018 and May 31, 2019, the obligation to procure renewable energy resources may be satisfied by generating electricity using renewable energy resources, purchasing electricity generated using renewable energy resources, purchasing renewable energy credits from renewable energy resources, making alternative compliance payments, or a combination thereof (see Section 16-115D(b)(2) and (3) of the Act).

f) Alternative compliance payment rate. The "maximum alternative compliance payment rate" for each compliance year shall be equal to the maximum allowable annual estimated average net increase due to the costs of the utility's purchase of renewable energy resources included in the amounts paid by eligible retail customers in connection with electric service, as described in Section 1-75(c)(2) of the IPA Act for the compliance period, as established in the approved procurement plan. The "actual alternative compliance payment rate" will be equal to the lower of the maximum alternative compliance payment rate or the total amount of dollars the utility actually spent on renewable energy resources for the compliance period divided by the forecasted load of retail customers for which the utility is procuring renewable energy resources in a given compliance year, at the customers' meters, as previously established in the Commission-approved procurement plan for that compliance year. (See Section 16-115D(d)(1) of the Act.)

g) To the extent to which a RES seeks to meet its obligation to procure renewable energy resources by generating electricity using renewable energy resources, purchasing electricity generated using renewable energy resources, or purchasing renewable energy credits, those resources or the resources generating the renewable energy credits must be located within Illinois, Wisconsin, Indiana, Iowa, Kentucky, Michigan or Missouri, or within portions of the PJM and MISO footprint in the United States (see 220 ILCS 5/16-115D(a)(4)). Renewable energy credits used toward compliance for a compliance year must be generated during that compliance year or during the two previous compliance years. (See 220 ILCS 5/16-115D(c)(1).) Under no circumstances shall renewable energy credits from other alternative sources of environmentally preferable energy be used toward compliance for a compliance year ending after May 31, 2017.

h) For a compliance year, an RES' obligation to procure renewable energy resources by generating electricity using renewable energy resources, purchasing electricity generated using renewable energy resources, or purchasing renewable energy credits from renewable energy resources is determined according to the following formula:

RRu = [Applicable Supplyu – (Paymentu/ACPRateu)] x Requirement

where:

RRu is the RES' obligation to procure renewable energy resources by generating electricity using renewable energy resources, purchasing electricity generated using renewable energy resources, or purchasing renewable energy credits from renewable energy resources (in megawatt-hours) in utility service area u;

Applicable Supplyu is, for compliance years ending on or before May 31, 2017, the amount of metered electricity supplied to the RES' Illinois retail customers in utility service area u during the compliance year (in megawatt-hours) and is, for compliance years ending on May 31, 2018 and May 31, 2019, the uncovered amount of energy supplied to the RES' Illinois retail customers in utility service area u during the compliance year (in megawatt-hours).

Paymentu is the amount of the alternative compliance payment (in $) made by the RES in utility service area u, including, for compliance years ending on or before May 31, 2017, mandatory ACP payments made in compliance with subsection (e);

ACPRateu is the actual alternative compliance payment rate (in $/MWh) in utility service area u;

Requirement is the annual renewable requirement percentages specified or referenced in subsection (c) (expressed in decimal form).

i) Alternative compliance payments may be used to reduce the wind and/or photovoltaic requirements identified in subsection (d).

History

• Source: Amended at 41 Ill. Reg. 13580, effective October 26, 2017

Chapter I Illinois Commerce Commission

Subchapter c Electric Utilities

Part 455 Renewable Portfolio Standard and Clean Coal Standard for Alternative Retail Electric Suppliers and Utilities Operating Outside Their Service Areas

83 Ill. Adm. Code 455.120 Annual Report of Compliance with Renewable Energy Portfolio Standard

By September 1, 2010, and by September 1 of each succeeding year through September 1, 2019, each RES shall file with the Chief Clerk of the Commission a compliance report for the compliance year ending May 31 of that year, showing compliance with the renewable portfolio standard of Section 16-115D of the Act for the applicable compliance period. The report shall be titled "Annual Report of Compliance with Renewable Portfolio Standard". By October 1 of each year through October 1, 2019, an RES may file with the Chief Clerk of the Commission an updated compliance report based on finalized settlements with MISO.

a) At a minimum, the compliance report shall provide, contain or show, for the applicable compliance year, and for each utility service area within which the RES serves Illinois retail customers, the following:

1. The total quantity of metered electricity supplied to Illinois retail customers by the RES. The report shall show this information, in megawatt-hours, by service area for each electric utility that is subject to Section 1-75(c) of the IPA Act;

2. The quantity of metered electricity supplied to Illinois retail customers by the RES, pursuant to contracts executed or extended after March 15, 2009. The report shall show this information, by utility service territory, in megawatt-hours;

3. The quantity of RECs (in megawatt-hours), whether directly purchased or arising from generating electricity or purchasing electricity generated from renewable energy resources, that were retired for purposes of meeting the requirements of the renewable portfolio standard for the compliance period in each utility service area. The report shall also show the quantity and percentage of these RECs that were derived from each renewable energy source type. All REC quantities reported shall be categorized by regional REC tracking system: PJM-GATS and M-RETS; and

4. The alternative compliance payments that were made for purposes of meeting the requirements of the renewable portfolio standard for the compliance period by utility service area.

b) Documentation requirements for compliance methods other than alternative compliance payments

1. If a RES seeks to comply with the RPS by generating electricity using renewable energy resources, purchasing electricity generated using renewable energy resources, or purchasing renewable energy credits, the only acceptable proof of compliance shall be in the form of verifiable documentation from PJM-GATS or M-RETS of the retirement of renewable energy credits associated with the production of electricity using renewable energy resources in accordance with Section 16-115D(a)(4) of the Act. The RES shall clearly indicate the PJM-GATS and M-RETS account names and sub-account names that are included in the documentation.

2. Documentation from PJM-GATS and M-RETS shall show, at a minimum:

A) the generating facility associated with the RECs;

B) the location of each of the generating facilities associated with the RECs;

C) the quantity of RECs associated with each of those generating facilities and the month and year that the electricity associated with the RECs was generated;

D) the retirement status of the RECs; and

E) the State RPS and compliance period for which the RECs were retired.

3. If PJM-GATS and M-RETS only allow account holders to designate calendar year compliance periods, the RES shall designate the year at the end point of the Illinois compliance period. For example, for Illinois' June 2016-May 2017 compliance period, the RES shall designate 2017 if the option to designate 2016-2017 is not available.

4. For compliance periods ending on or after May 31, 2018, a certification that RECs used for compliance for the compliance period were not produced by facilities whose costs were being recovered through rates regulated by any state or states on or after January 1, 2017.

A) If the generating facility responsible for the RECs is listed by a recognized REC tracking system as an eligible supplier of RECs, the certification shall state the generating facility's presence on the REC tracking system's list is the basis for certification under this subsection (b)(4).

B) If the generating facility responsible for the RECs is not listed by a recognized REC tracking system as an eligible supplier of RECs, the RES shall provide other suitable documentation demonstrating the eligibility of the RECs under this subsection (b)(4) for purposes of supporting the IPA or ICC Staff's determination of facility eligibility. The certification required under this subsection (b)(4) shall also include the statement by an RES executive officer that the REC generating facility has been investigated and, to the best of the officer's belief, the RECs used for compliance were not produced by facilities whose costs were being recovered through rates regulated by any state or states on or after January 1, 2017. This certification shall only be considered sufficient for compliance if, after review, the generating facility is deemed IL ARES RPS compliant by the IPA or ICC Staff.

C) All RES are encouraged to submit the generating facilities that they intend to use to comply with the Illinois RPS to the IPA and ICC Staff well in advance of the September 1 deadline for filing compliance reports. In situations in which the IPA, ICC Staff and an RES disagree about the eligibility of specific generating facilities under this subsection(b)(4)(C), the RES shall file a petition with the Commission seeking a formal designation of the generating facility or facilities in question.

c) If metered electricity supplied to Illinois retail customers by an RES is supplied during the compliance period pursuant to contracts that were not executed or extended after March 15, 2009, the RES shall provide a list, by utility service area, of those Illinois retail customers who received electricity that was not supplied pursuant to contracts executed or extended after March 15, 2009. The list shall include the following information: account numbers and the quantity of electricity (in megawatt-hours) supplied to the account numbers during the compliance period that was not supplied pursuant to contracts executed or extended after March 15, 2009.

d) If the Commission has entered an order pursuant to Section 16-115D(h) of the Act determining that the provisions of Section 16-115D and Section 16-115(d) of the Act relating to procurement of renewable energy resources do not apply to a RES, the RES shall include in its annual compliance report:

1. The docket number of the Commission proceeding in which a Commission order determined that the provisions of Section 16-115D and Section 16-115(d) of the Act relating to procurement of renewable energy resources do not apply to the RES;

2. a statement indicating whether the conditions or circumstances giving rise to the Commission's determination continued to apply to the RES during the compliance year; and

3. the further demonstrations identified in the Commission's order of compliance with the criteria identified in Section 16-115D(h) of the Act.

e) All reports filed or provided under this Section shall be verified by an executive officer of the RES having knowledge of the facts before either a notary public or other officer authorized to administer oaths.

History

• Source: Amended at 41 Ill. Reg. 13580, effective October 26, 2017

83 Ill. Adm. Code 455.125 Annual Report of Compliance with the Retail Charge Provisions of the Renewable Energy Portfolio Standard

By September 1, 2020, and by September 1 of each succeeding year, each RES shall file with the Chief Clerk of the Commission a compliance report for the compliance year ending May 31 of that year, certifying that the RES did not recover from its retail customers through its rates or charges the costs for any renewable energy resources procured or otherwise acquired by any entity in compliance with the requirements of the Act or the IPA Act, with the exception, if applicable, of renewable energy resources that meet the requirements of Section 1-75(c)(3)(H) of the IPA Act. To the extent the RES receives a credit from a utility (see Section 455.160(c)), the RES shall certify that the credit from the utility was appropriately credited to the RES' customers. The report shall be titled "Annual Section 16-115D(i) Compliance Report". All reports filed or provided under this Section shall be verified by an executive officer of the RES having knowledge of the facts before either a notary public or other officer authorized to administer oaths.

History

• Source: Added at 41 Ill. Reg. 13580, effective October 26, 2017

83 Ill. Adm. Code 455.130 Alternative Compliance Payment Requirements

a) Alternative compliance payments may, subject to the requirements and limitations in Section 455.110, be used to meet RES renewable portfolio standard requirements.

b) The dollar amount of alternative compliance payments shall be calculated using the applicable alternative compliance payment rates approved by the Commission.

c) Alternative compliance payments shall be made by September 1, 2010 for the compliance period of June 1, 2009 to May 31, 2010, and by September 1 of each succeeding year for each subsequent compliance period.

d) Submission of Compliance Payments

1. Alternative compliance payments for the compliance periods ending on or before May 31, 2016 shall be made by check, payable to "Illinois Commerce Commission", and shall be delivered to the following address:

Illinois Commerce Commission

Administrative Services Division

Attn: Manager of the Revenues Section

Re: Illinois Power Agency Renewable Energy Resources Fund

527 East Capitol Avenue

Springfield IL 62701

2. Alternative compliance payments shall be deemed made only when actually received at the office of the Commission at the specified address. Payment by a check that does not clear after being deposited by the Commission shall be deemed to not have been made.

3. Alternative compliance payments for the compliance periods ending on or after May 31, 2017, shall be submitted to each electric utility within whose service area the RES has provided energy to retail customers in a manner specified in electric utility tariffs in effect when the payment is made. If an electric utility does not have a tariff governing the alternative compliance payments in effect at the time alternative compliance payments for the compliance period are due, the RES is still obligated to make payment for the compliance period but the RES shall hold the payment until such time as the electric utility's tariff goes into effect. Alternative compliance payments shall be deemed made only when actually received by the electric utility. Payment by a check that does not clear after being deposited by the electric utility shall be deemed not to have been made.

e) Within one business day after the submission of any alternative compliance payments, whether submitted to the Commission or an electric utility, the RES shall send a letter to the Chief Clerk of the Commission containing the following information:

1. "Re: 83 Ill. Adm. Code 455.130";

2. Name and address of RES;

3. The RES' FEIN;

4. Name and telephone number of person writing the letter;

5. Dollar amounts of the alternative compliance payments;

6. The payee for each payment;

7. Compliance period for which the payment is being made (e.g., June 1, 2009 through May 31, 2010); and

8. An indication whether the payment is intended to satisfy the balance of alternative compliance payment requirements for the compliance period or whether more payments may be forthcoming.

f) The Commission shall deposit all amounts received for compliance periods ending on or before May 31, 2016 into the Illinois Power Agency Renewable Energy Resources Fund, a special fund in the State treasury administered by the Illinois Power Agency.

g) The Commission shall carry forward to subsequent compliance periods the dollar amount of any compliance payments recognized by the Commission to be in excess of requirements, unless and to the extent to which the RES petitions for and is granted permission to apply for a refund.

h) For purposes of ensuring RES compliance with this Part, electric utilities shall submit reports to the Commission and the Illinois Power Agency in years 2017, 2018 and 2019. These reports shall contain the following information:

1. On or before September 1: Metered usage data by RES; and

2. On or before September 30: The amount and date of alternative compliance payments made by each RES to the utility and any refunds made by the utility to an RES pursuant to Section 455.150(c).

History

• Source: Amended at 41 Ill. Reg. 13580, effective October 26, 2017

Chapter I Illinois Commerce Commission

Subchapter c Electric Utilities

Part 455 Renewable Portfolio Standard and Clean Coal Standard for Alternative Retail Electric Suppliers and Utilities Operating Outside Their Service Areas

83 Ill. Adm. Code 455.140 Procedures for Section 16-115d(h) Determination Based on the Operation of Combined Heat and Power Systems

a) An ARES certified only to serve facilities owned by itself or its affiliate, and/or facilities electrically integrated with the electrical system of facilities owned by itself or its affiliate, and/or facilities adjacent to a site on which a combined heat and power system is located may seek a determination that it is exempt from application of Section 16-115D and Section 16-115(d) of the Act pursuant to Section 16-115D(h) of the Act. An ARES whose certificate is not so limited and grants it authority to serve retail customers generally is not eligible for the exemption pursuant to Section 16-115D(h) of the Act. An ARES claiming that Section 16-115D and Section 16-115(d) of the Act do not apply to it pursuant to Section 16-115D(h) of the Act must first request a determination that it is exempt under Section 16-115D(h) of the Act either in its original application for certification as an ARES or subsequently in a separate petition to the Commission filed pursuant to the Commission's Rules of Practice (83 Ill. Adm. Code 200) ("Section 16-115D(h) Request") and receive an order from the Commission granting its request for this determination. If the Commission enters an order granting a Section 16-115D(h) Request, the ARES shall start or continue to file annual reports under this Part and must certify and demonstrate in each annual report that the conditions giving rise to the exemption from application of the provisions of Section 16-115D and Section 16-115(d) of the Act relating to procurement of renewable energy resources continue to apply or exist in each compliance year.

b) To obtain a determination that the provisions of Section 16-115D and Section 16-115(d) of the Act relating to procurement of renewable energy resources do not apply to it pursuant to Section 16-115D(h) of the Act, an ARES shall demonstrate, at a minimum, the following:

1. that it operates a combined heat and power system in Illinois or that it has a corporate affiliate that operates a combined heat and power system in this State;

2. that this combined heat and power system supplies electricity primarily to or for the benefit of:

A) facilities owned by the ARES, its subsidiary, or other corporate affiliate;

B) facilities electrically integrated with the electrical system of facilities owned by the ARES, its subsidiary, or other corporate affiliate; or

C) facilities that are adjacent to the site on which the combined heat and power system is located; and

3. that it is certified, or requesting certification, only to serve facilities owned by itself or its affiliate, and/or facilities adjacent to a site or which a combined heat and power system is located.

c) For purposes of this Part, a combined heat and power system means a cogeneration facility, as defined in 18 CFR 292.202, that meets the criteria for qualifying cogeneration facilities specified in 18 CFR 292.205. These incorporations of federal standards are as of June 1, 2010. No later amendment or edition is included.

d) A Section 16-115D(h) Request shall include, at a minimum, the following:

1. A description of the combined heat and power system or systems in Illinois relied upon pursuant to Section 16-115D(h) for the exemption from application of the provisions of Section 16-115D and Section 16-115(d) of the Act.

2. For each system identified in subsection (d)(1), documentation of compliance with the information collection requirements established by the Federal Energy Regulatory Commission (FERC) in FERC Form No. 556, or any successor information collection requirements established by FERC, to obtain and maintain status as a qualifying facility. (See 18 CFR 131.80 as of June 1, 2010. No later amendment or edition is included.) This documentation shall include a copy of all applications for self-certification, self-recertification, certification, and recertification, and their associated FERC docket numbers. In the alternative, a petitioner may provide this documentation with the testimony submitted with its petition, but shall indicate in the petition that the documentation is attached to its testimony. In the further alternative, if designation of the subject combined heat and power system as a qualifying facility has not been sought from the FERC, petitioner may present information and documentation demonstrating that the system meets the criteria for a qualifying facility specified in 18 CFR 292.205 in its testimony. (See 18 CFR 292.205 as of June 1, 2010. No amendment or later addition is included.)

3. For each combined heat and power system identified in subsection (d)(1), a proposed method to demonstrate that, for the initial and each subsequent compliance period, the petitioner or its corporate affiliate operated the system and that the system supplied electricity primarily to or for the benefit of:

A) facilities owned by the petitioner, its subsidiary, or other corporate affiliate;

B) facilities electrically integrated with the electrical system of facilities owned by the petitioner, its subsidiary, or other corporate affiliate; or

C) facilities that are adjacent to the site on which the combined heat and power system is located.

e) Direct testimony shall be filed at the time the petition is filed. At a minimum, this testimony shall demonstrate that, for the initial compliance period over which the exemption is sought, using, to the extent practicable, the methods provided in subsection (d)(3), the petitioner or its corporate affiliate operated (or will operate) the system and that the system supplied (or will supply) electricity primarily to or for the benefit of:

1. facilities owned by the petitioner, its subsidiary, or other corporate affiliate;

2. facilities electrically integrated with the electrical system of facilities owned by the petitioner, its subsidiary, or other corporate affiliate; or

3. facilities that are adjacent to the site on which the combined heat and power system is located.

f) The Commission shall specify the method or methods it adopted for making the demonstrations described in subsection (d)(3), and annual reports shall utilize the same method or methods to make these demonstrations for future compliance periods.

g) For any subsequent compliance period, the ARES or shall include within the annual report required by Section 455.120 information and documentation sufficient to make the demonstrations described in subsection (d)(3) using the methods adopted by the Commission pursuant to subsection (f) for the combined heat and power systems found by the Commission to meet the criteria listed in Section 16-115D(h) of the Act for the initial compliance period.

h) In the case of any Section 16-115D(h) Request submitted by separate petition filed on or before June 15, 2010, the Commission shall enter an order granting or denying the request no more than 60 days after the petition is filed. If the Commission enters an order granting a Section 16-115D(h) Request, the provisions of Section 16-115D and Section 16-115(d) of the Act relating to procurement of renewable energy resources shall not apply to the ARES pursuant to Section 16-115D(h) of the Act.

i) Unless otherwise ordered by the Commission, the order granting or denying any petition filed under this Section 455.140 shall be entered within 90 days after the petition is filed.

83 Ill. Adm. Code 455.150 Other Commission Proceedings

a) After receipt of an annual report required by Section 455.120 or the due date for these reports, whichever occurs first, the Commission may initiate, on its own motion or, in its discretion, upon the petition of an interested party, and for each RES, a docketed proceeding to investigate whether the RES or utility has complied with the requirements of Section 16-115D of the Act and this Subpart, to determine the amount by which alternative compliance payments have been insufficient or in excess of requirements, and, if applicable, to determine if the demonstrations described in Section 455.140(d)(3) have been made. Pursuant to Section 16-115D(f) of the Act, the RES shall have the burden of proof in this proceeding.

b) An RES may petition the Commission for permission to apply to the Illinois Power Agency for a refund of compliance payments for a compliance period ending on or before May 31, 2016, recognized by the Commission to be in excess of requirements. The Commission will coordinate with the Illinois Power Agency in developing a process and procedure to implement this subsection (b).

c) An RES may petition the Commission for permission to apply to an electric utility for a refund of compliance payments for a compliance period ending on May 31, 2017, May 31, 2018, or May 31, 2019 recognized by the Commission to be in excess of requirements. The RES shall serve notice of the petition upon the electric utility. After notice and hearing, the Commission shall issue an order granting or denying the petition, and the order shall be served on the RES and electric utility. No later than 60 days after the date on which the Commission issues an order granting the RES' petition for a refund, the electric utility shall issue a refund or provide a credit to the RES. The electric utility shall deduct the amount of the refund or credit from the compliance payments remitted to the electric utility pursuant to Section 455.130. Electric utilities may file tariff sheets to further define the process of RES applying for and receiving the refunds.

History

• Source: Amended at 41 Ill. Reg. 13580, effective October 26, 2017

83 Ill. Adm. Code 455.160 Ares Self-Generation Compliance Option

a) If an ARES meets the requirements of Section 1-75(c)(1)(H) of the IPA Act and intends to supply its retail customers with renewable energy credits from a facility or facilities meeting the requirements of that Section of the Act, the ARES must submit an information filing with the Chief Clerk of the Commission titled "Code Part 455.160 Renewable Energy Facility Self-Generation Certification" by July 17, 2017 that shall, at a minimum, for each such facility:

1. identify the electric generating facility generating renewable energy resources;

2. include a certification that, as of December 31, 2015, the ARES or its predecessor, which must have been an ARES on December 31, 2015, owned the generating facility;

3. include a certification that the facility generates renewable energy resources; and

4. include a certification that the generating facility is not powered by wind or photovoltaics.

b) If an ARES has submitted an information filing under subsection (a) and elects to supply its retail customers with renewable energy credits from facilities identified in the information filing under subsection (a), the ARES must submit by February 28 of the year preceding the applicable compliance year or by June 16, 2017, whichever is later, a notification to the Chief Clerk of the Commission of its election titled "Code Part 455.160 Renewable Energy Facility Self-Generation Annual Election" that shall, at a minimum:

1. identify the amount of renewable energy credits to be supplied to each utility's retail customers by the ARES from each facility identified in the Self-Generation Certification;

2. include a calculation demonstrating that the annual election to supply its retail customers with renewable energy credits from facilities identified in the Self-Generation Certification adheres to the following limitations:

A) for the compliance year ending May 31, 2019, the maximum amount of renewable energy credits to be supplied by an ARES from facilities identified in the Self-Generation Certification shall be 68% multiplied by 25% multiplied by 14.5% multiplied by the amount of metered electricity (megawatt-hours) delivered by the ARES to Illinois retail customers during the compliance year ending May 31, 2016.

B) for the compliance year ending May 31, 2020 and each year thereafter, the maximum amount of renewable energy credits to be supplied by an ARES from facilities identified in the Self-Generation Certification shall be 68% multiplied by 50% multiplied by 16% multiplied by the amount of metered electricity (megawatt-hours) delivered by the alternative retail electric supplier to Illinois retail customers during the compliance year ending May 31, 2016, provided that the 16% value shall increase by 1.5% each compliance year after the compliance year ending May 31, 2020 to 25% by the compliance year beginning June 1, 2025, and thereafter the 25% value shall apply to each compliance year; and

3. include a certification that none of the facilites identified in the Self-Generation Certification are facilities whose costs were being recovered through rates regulated by any state or states on or after January 1, 2017. This certification shall be supported by suitable documentation demonstrating the eligibility of the facilities under this subsection (b).

c) This subsection (c) applies to compliance years when one or more ARES meets the requirements of Section 1-75(c)(1)(H) of the IPA Act and at least one ARES elects to supply its retail customers with renewable energy credits from a facility or facilities meeting the requirements of that statute. Renewable energy credits meeting these requirements are, for purposes of this subsection (c), referred to as eligible renewable energy credits. On or before April 1 of each year, the IPA will annually publish a report on its website that identifies the aggregate amount of eligible renewable energy credits supplied by ARES under this Section.

1. The ARES target renewable energy credit quantity for a compliance year shall be equal to the sum of the covered and uncovered amount of energy supplied by the ARES in a utility service area during the compliance year multiplied by the target percentage. For the compliance year ending May 31, 2019, the target is 14.5%. For the compliance years after May 31, 2019 the 14.5% target shall increase by 1.5% each compliance year thereafter to 25% by the compliance year ending on May 31, 2026, and thereafter the 25% target shall apply to each compliance year. The target renewable energy credit quantity is expressed in units of electricity (megawatt-hours) and is measured as a percentage of the actual amount of metered electricity supplied to the ARES' Illinois retail customers in the utility service area pursuant to contracts executed or extended after March 15, 2009.

2. The Illinois target renewable energy credit quantity for a compliance year shall be equal to the sum of the covered and uncovered amount of energy supplied by RES and utilities in a utility service area during the immediately preceding compliance year multiplied by the target percentage. For the compliance year ending May 31, 2019, the target shall be 14.5%. For the compliance years after May 31, 2019, the 14.5% target shall increase by 1.5% each compliance year thereafter to 25% by the compliance year ending on May 31, 2026, and thereafter the 25% target shall apply to each compliance year. The Illinois target renewable credit quantity is expressed in units of electricity (megawatt-hours) and is measured as a percentage of the actual amount of metered electricity supplied to the Illinois retail customers in a utility service area pursuant to contracts executed or extended after March 15, 2009.

3. For the compliance year ending May 31, 2019, the maximum amount of eligible renewable energy credits to be provided by an ARES in a utility service area shall be 68% multiplied by 25% multiplied by 14.5% times the amount of the sum of the covered and uncovered amount of energy supplied by the ARES in a utility service area during the compliance year ending May 31, 2016. For the compliance year ending May 31, 2020, the maximum amount of eligible renewable energy credits to be provided by an ARES in a utility service area shall be 68% multiplied by 50% multiplied by 16% times the amount of the sum of the covered and uncovered amount of energy supplied by the ARES in a utility service area during the compliance year ending May 31, 2016. For compliance periods ending on or after May 31, 2021, the maximum amount of eligible renewable energy credits to be provided by an ARES in a utility service area shall be 68% multiplied by 50% multiplied by 17.5% times the amount of the sum of the covered and uncovered amount of energy supplied by the ARES in a utility service area during the compliance year ending May 31, 2016, provided that the 17.5% shall increase by 1.5% each compliance period thereafter to 25% by the compliance year ending on May 31, 2026; thereafter, the 25% shall apply to each compliance year.

4. For a compliance year, the total amount of eligible renewable energy credits provided by all ARES shall not exceed 9% of the Illinois target renewable energy credit quantity in a utility service area. If the total amount of eligible renewable energy credits provided by ARES exceeds 9% of the Illinois target renewable energy credit quantity in a utility service area for a compliance year, then each amount of eligible renewable energy credits provided by each ARES will be reduced on a pro rata basis so that the total amount of eligible renewable energy credits provided by all ARES equals 9% of the Illinois target renewable energy credit quantity in a utility service area.

5. For compliance years ending on or after May 31, 2019, the charges applicable to the ARES customers for the compliance year and that are collected by the electric utility under Section 1-75(c)(6) of the IPA Act shall be reduced by the ratio of the quantity of eligible renewable energy credits provided by the ARES in a utility service area compared to the ARES target renewable energy credit quantity in a utility service area for the compliance period. If the utility does not provide the reduction in the renewable energy charge directly to the ARES customers, then the utility shall calculate and remit the resulting credits to the applicable ARES within 30 days after the close of the compliance year. All funds refunded from the utilities shall be credited to the ARES customers, as appropriate.

6. For compliance years ending on or after May 31, 2019, the minimum quantity of renewable energy resources to be procured for the ARES customers for the compliance year, as specified in Section 455.110(c) shall be reduced in a utility service area by the ratio of the quantity of eligible renewable energy credits provided by the ARES compared to the ARES target renewable energy credit quantity for the compliance year.

History

• Source: Added at 41 Ill. Reg. 13580, effective October 26, 2017

83 Ill. Adm. Code 455.200 Applicability of Subpart C

This Subpart does not apply to electric cooperatives or municipal systems making an election under Section 17-300 of the Act to become an ARES.

83 Ill. Adm. Code 455.210 Reporting of Compliance with Clean Coal Standard

a) Within 90 days after approval by the Illinois General Assembly of the initial clean coal facility, each RES shall enter into a sourcing agreement with the initial clean coal facility consistent with the provisions of Section 16-115(d)(5) of the Act. Within 30 days after entering into this sourcing agreement, each RES shall file with the Chief Clerk of the Commission a report confirming that it has entered into the sourcing agreement and attaching a signed copy of the sourcing agreement.

b) By the earliest September 1 following commercial operation of the initial clean coal facility, and by September 1 of each succeeding year, each RES that is required under the Act or the IPA Act to enter into a sourcing agreement with the initial clean coal facility shall file with the Chief Clerk of the Commission a report showing the amount of energy purchased (or financially settled, if the sourcing agreement is executed as a contract for differences) from the initial clean coal facility by the RES, by month, during the most recent compliance year. The report shall also show how these amounts were consistent with the requirements of Section 16-115(d)(5) of the Act. Each report shall be accompanied by documentation from the initial clean coal facility verifying the amount of energy purchased.

c) To enable the Commission to monitor progress toward the State's goal that, by January 1, 2025, 25% of the electricity used in the State shall be generated by cost-effective clean coal facilities, beginning no later than September 1, 2010, and by September 1 of each subsequent year, each RES purchasing energy from clean coal facilities other than the initial clean coal facility during the compliance year shall file with the Chief Clerk of the Commission a report showing the amount of energy purchased by the RES from clean coal facilities other than the initial clean coal facility, by month, during the most recent compliance year. Each report shall be accompanied by documentation from the clean coal facility verifying the amount of energy purchased. If the RES did not purchase any energy from clean coal facilities other than the initial clean coal facility during the compliance year, a report need not be filed with the Chief Clerk for that compliance year.

d) All reports filed or provided under this Section shall be verified by an executive officer of the RES having knowledge of the facts before either a notary public or other officer authorized to administer oaths.

History

• Source: Amended at 43 Ill. Reg. 9117, effective August 12, 2019

Part 460 Certification Requirements and Standards of Service for Meter Service Providers

83 Ill. Adm. Code 460.10 Definitions

"Acceptance testing" means the approval of a group of meters based on statistical testing procedures.

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

"Advanced metering system" means any metering system that does not require on-site meter reading.

"Alternative retail electric supplier" or "ARES" means the same as that term is defined in Section 16-102 of the Act [220 ILCS 5/16-102].

"Answer time" means a measurement from the point the last digit of the meter service provider's telephone number is dialed or, if a menu-driven system is used, from the point the last menu digit is dialed by the subscriber and the call is answered by the meter service provider.

"Applicant" means a person that files an application with the Illinois Commerce Commission to provide metering service as a meter service provider pursuant to Section 16-108(a) of the Act [220 ILCS 5/16-108(a)].

"Average error" means the difference between 100% and the average percent registration as defined in Section 460.370(d).

"Best's Key Rating Insurance Guide" refers to a report published by A. M. Best or its successor that assigns ratings to insurance companies to provide an overall opinion of an insurance company's ability to meet its obligations to policyholders.

"Billing multiplier" means the number by which a meter register reading is multiplied to obtain actual usage data. The billing multiplier shall include the transformer multiplier and meter multiplier, if applicable.

"Bodily injury" means bodily impairment, sickness, or disease sustained by a person, including death resulting from the bodily impairment, sickness, or disease.

"Business enterprise" means a commercial enterprise or establishment.

"Certificate of insurance" means a document evidencing the fact that an insurance policy has been written and includes a statement of the coverage of the policy in general terms.

"Commission" means the Illinois Commerce Commission.

"Commission referee test" means the accuracy test of any customer's electric meter made in the presence of one or more members of Commission Staff.

"Complaint" means an objection made to a meter service provider, by a customer or other entity, as to its charges, facilities or service, the disposal of which complaint requires investigation or analysis.

"Commercial general liability insurance" means insurance that covers suits against the insured for such damages as injury or death and property damage.

"Creep" means a continuous apparent accumulation of energy in a meter with voltage applied and the load terminals open circuited.

"Customer" has the same meaning as "retail customer".

"Delivery services" means the same as that term is defined in Section 16-102 of the Act [220 ILCS 5/16-102].

"Delivery services provider" or "DSP" means the electric utility providing delivery services.

"Demand" means the electric consumption at the point of delivery measured over a specified interval of time in order to estimate the instantaneous electric load.

"Dun & Bradstreet Business Information Report" means a credit report on businesses published by Dun & Bradstreet or its successor.

"Dun & Bradstreet Composite Credit Appraisal" means a number, one through four (one being the highest), that reflects Dun & Bradstreet's or its successor's overall assessment of a firm's creditworthiness.

"Electric cooperative" means the same as that term is defined in Section 3.4 of the Electric Supplier Act [220 ILCS 30/3.4].

"Electric utility" means the same as that term is defined in Section 16-102 of the Act [220 ILCS 5/16-102].

"Entity" means each electric utility while providing services within its service area, each electric utility while providing electric power and energy outside its service area, any ARES, and any electric cooperative or municipal system but only when it provides services as an ARES outside its service territory.

"Escrow account" means a bank account held in the name of the depositor (the applicant or meter service provider) and an escrow agent that is returnable to the depositor or paid to a third person on fulfillment of the escrow condition (i.e., liability obligations of the meter service provider).

"Escrow agent" means the State or national bank or trust company having trust authority in the State of Illinois with which the applicant established an escrow account.

"Experian Small Business Intelliscore report" means a credit report on individuals or businesses published by Experian or its successor.

"Instrument transformer" means a transformer used for metering that reproduces in its secondary circuit, in a definite and known proportion, the voltage or current of its primary circuit, with the phase relation substantially preserved.

"Intelliscore" means a score range from 0 to 100 that reflects Experian's assessment of the likelihood of an individual or business becoming seriously delinquent on its outstanding obligations, as reported in the Experian Small Business Intelliscore report.

"License bond" means an obligation of a surety to pay the monies that the meter service provider owes the State of Illinois for violations of the duties and obligations imposed on it as a meter service provider.

"Management position" means an employed position whereby an individual is responsible for directing, supervising, or administering the activities of a group of two or more people with fiscal responsibility and authority over that group.

"Meter multiplier" means the number (other than one) by which the meter register reading is multiplied to obtain meter data not adjusted for the effect of instrument transformation on the calculated amount of actual usage.

"Meter service provider" or "MSP" means every provider of metering service certified by the Commission under the provisions of this Part.

"Meter shop" means a facility containing equipment used by a meter service provider for determining the accuracy of meters.

"Metering service" means the performance of functions related to the provision, installation, testing, maintenance, repair and reading of electric meters used for billing of retail customers and maintaining meter usage data as well as the maintenance and management of meter information and meter data with respect to those meters. (See Section 460.15.)

"Municipal system" means any public utility owned and operated by any political subdivision or municipal corporation of the State of Illinois, or owned by such and operated by its lessees or agents.

"On-site" means at the premises of the customer.

"PAYDEX Score" is a number from 1 to 100 that represents Dun & Bradstreet's assessment of a company's payment performance, as reported in the Dun & Bradstreet Business Information Report.

"Permit bond" has the same meaning as "license bond".

"Person" means the same as that term is defined in Section 3-114 of the Act [220 ILCS 5/3-114].

"Point of delivery" means the point at which the entity providing distribution facilities connects its lines or equipment to the lines or facilities owned or rented by the customer, without regard to the location or ownership of transformers, substations or meters, unless otherwise provided for by written contract or tariffs.

"Portable standards" means instruments (e.g., watt-hour meters, volt-meters, and ammeters) that are used outside the meter shop to test customer meters.

"Property damage" means physical injury to or destruction of property, including all resulting loss of use of that property, or loss of use of property that is not physically destroyed, provided such loss of use is caused by the physical injury to or destruction of other property.

"Qualifying surety" means a surety or insurer that is authorized by the U.S. Department of Treasury pursuant to 31 USC 9305. A qualifying surety or insurer may not underwrite more than the amount specified by the U.S. Department of Treasury on a single bond.

"Ratings agency" means Standard & Poor's or its successor, Moody's Investors Service or its successor, Duff & Phelps or its successor, or Fitch IBCA or its successor.

"Reference standards" means instruments (e.g., watt-hour meters, volt-meters, and ammeters) that are used only for verifying the accuracy of working or portable standards, and whose accuracy is traceable back to the national standard maintained by the National Institute of Standards and Technology or its successor.

"Retail customer" means the same as that term is defined in Section 16-102 of the Act [220 ILCS 5/16-102].

"Self-insurance" means providing self-coverage for damages and liabilities instead of through an insurance company.

"Service watt-hour meter" means an electricity meter used for billing retail customers and maintaining meter usage data that measures and registers the integral, with respect to time, of the real power that flows in the circuit to which the meter is connected. This also includes meters that measure demand in watts or volt-amperes.

"Small commercial retail customer" means the same as that term is defined in Section 16-102 of the Act [220 ILCS 5/16-102].

"Standby letter of credit" means an instrument or document issued by a financial institution guaranteeing the payment of the MSP's liability obligations. The standby letter of credit is used to satisfy claims against the MSP only after the MSP fails to fulfill its obligations.

"Surety bond" means an obligation of a surety to pay the monies that the principal (the applicant or MSP) owes another party in the event the principal fails for whatever reason to fulfill its obligations.

"Technical staff" means a staff of trained technical experts in electric metering and related support functions.

"Test amps" means the electrical current used during meter accuracy testing as designated by the manufacturer and displayed on the meter.

"Transformer multiplier" means the product of the current transformer ratio multiplied by the potential transformer ratio when instrument transformers are part of a metering installation.

"Unconditional guarantee" means an undertaking by a guarantor to pay or fulfill the obligation on failure of the principal obligor to fulfill its contractual obligations. An unconditional guarantee shall contain the following provisions:

The guarantee is one of payment and not collection;

The guarantor's obligations under the guarantee are weighed equally with other guarantees;

The obligations from transactions entered into under the original guarantee are the subject of an ongoing guarantee;

The guarantee reinstates if any guaranteed payment made by the primary obligor is recaptured as a result of bankruptcy or insolvency;

The guarantee is binding on successors of the guarantor;

The guarantor has subjected itself to jurisdiction and service of process with the laws of the State of Illinois, and has agreed that the guarantee will be construed in accordance with the laws of the State of Illinois without reference to conflict of laws principles; and

The guaranteed obligations are unconditional, irrespective of value, genuineness, validity, waiver, release, alteration, amendment, and enforceability of the guaranteed obligations.

"Var-hour meter" means an electricity meter that measures and registers the integral, with respect to time, of the reactive power of the circuit in which it is connected. This includes meters that measure demand in vars.

"Working standards" means instruments (e.g., test benches and demand boards) that are used in meter shops to test the accuracy of customer meters.

83 Ill. Adm. Code 460.15 Meter Service Components

Metering service consists of the following 16 functions:

a) Meter reading. On-site visual data retrieval from metering and/or data retrieval from metering on-site or remotely via a form of electronic communication using a computerized device as applicable.

b) Meter equipment installation. The tasks associated with the physical assembly and placement of metering equipment at a metering point.

c) Meter equipment exchange. The tasks associated with the physical removal and the installation of metering equipment at a metering point.

d) Meter equipment removal. The tasks associated with the physical extraction of metering equipment from a metering point.

e) Maintenance of the meter system components. The remote or on-site testing, calibration, programming, modification, repair and replacement of meter system components.

f) Meter communications device installation and maintenance. The remote or onsite installation, testing, calibration, programming, modification, repair and replacement of meter communication devices.

g) Meter equipment provision. The ability of the MSP to supply and install metering equipment.

h) Initiation or transfer of metering service. The removal, replacement, disabling, modification, or programming of metering equipment, for the purpose of establishing or changing the provider of metering service.

i) Meter accuracy testing. Tasks associated with verifying the accuracy of measurement of the metering equipment ultimately used for billing, in accordance with applicable standards for required testing contained in this Part.

j) Meter equipment design and engineering. Analyzing, specifying and documenting customers' metering equipment requirements.

k) Meter attribute record keeping. Meter attribute record keeping includes, but is not limited to, what is required by Section 460.330.

l) Accept raw meter data. The act of retrieving raw meter usage data used for billing from either the meter equipment directly, or from the agent or contractor with which the MSP has contracted to perform the retrieval function.

m) Translate data into format for internal processing. The act of converting raw meter data received into a convenient internal format for storage, archiving, validating, editing, and estimating other business processes.

n) Associate meter reads with customer identifiers for use in validation or estimation. The verified matching of meter data with the corresponding customer records.

o) Validate, edit and estimate translated meter data. The act of checking a customer's translated meter data against documented thresholds for errors and/or omissions using documented estimation procedures to correct and edit meter data that fails the data integrity check.

p) Translate data into common formats and post to server. The act of converting the validated, edited, and estimated data into documented common formats and posting to server accessible to applicable market participants.

83 Ill. Adm. Code 460.20 Application

This Part sets forth minimum requirements and shall apply to any applicant and MSP in this State. This Part shall not apply to an electric cooperative's operations or to a municipal system's operations within its service territory, nor shall it apply to any electric utility's operation within the utility's service territory. However, this Part shall apply to an electric cooperative's operations, municipal system's operations and an electric utility's operations when it is providing metering services outside of its service territory.

83 Ill. Adm. Code 460.30 Requirements for Applicants

Each applicant shall include with its application the following items:

a) The applicant shall certify that it will comply with all applicable Federal, State, regional and industry rules, policies, practices, procedures and tariffs for the use, operation, maintenance, safety, integrity, and reliability of the electric system. The applicant shall certify compliance with all other applicable laws and regulations and Commission rules and orders.

b) The applicant shall certify that the only retail customers to which it will directly provide metering service are those that are taking delivery services.

c) The applicant shall certify that it will comply with informational and reporting requirements that the Commission may by rule establish.

d) The applicant shall provide the following:

1. Applicant's name and street address.

2. Applicant's Federal Employer Identification Number (FEIN).

e) The applicant shall demonstrate that:

1. The applicant is licensed to do business in the State of Illinois; and

2. The employees of the applicant that will be installing, operating, and maintaining metering facilities within the State of Illinois, or any agent or contractor with which the applicant has contracted to perform those functions within the State of Illinois, has, or will have prior to performing those functions, the requisite knowledge, skills, and competence, as set forth in Subpart E, to perform those functions in a safe and responsible manner in order to provide safe and reliable service.

83 Ill. Adm. Code 460.40 Required Filings and Procedures

a) The applicant shall publish notice of its application for certification in the Official State Newspaper within 10 days following the filing of the application for certification. The applicant shall file proof of publication with the Chief Clerk of the Commission. No later than 45 days after the application is properly filed with the Commission, and such notice is established, the Commission shall issue its order granting or denying the application.

b) All applications for certification under this Part shall be verified as required by Section 200.130 of the Commission's Rules of Practice (83 Ill. Adm. Code 200.130).

c) The applicant shall identify the geographic area or geographic areas in which the applicant seeks authority to offer service. The applicant shall provide the following:

1. Description of the applicant's business;

2. Description of the characteristics of customer groups the applicant proposes to serve; and

3. Proof that notification of an intent to serve in any electric utility's service area has been previously provided to the agent, designated by the electric utility pursuant to 83 Ill. Adm. Code 215.10, of each electric utility in whose service area the applicant intends to serve.

d) Itemized Filing Requirements

1. At the time the applicant files an application for certification under this Part, the applicant shall also file its statement in support of application, supporting documents, and schedules containing information showing that the applicant meets the requirements of this Part.

2. The applicant shall certify compliance with all terms and conditions required by Sections 8-201 through 8-207, 8-301, 8-302, 8-303, 8-305, 8-505, 8-507, 16-119, 16-122, 16-123, and 16-128(a) of the Act [220 ILCS 5/8-201, 8-202, 8-203, 8-204, 8-205, 8-206, 8-207, 8-301, 8-302, 8-303, 8-305, 8-505, 5-507, 16-119, 16-122, 16-123, and 16-128(a)], to the extent those Sections have application to the services being offered by the MSP.

e) Contents of documents shall be consistent with Subpart B of the Commission's Rules of Practice (83 Ill. Adm. Code 200: Subpart B).

83 Ill. Adm. Code 460.50 Customer Records and Information

a) The applicant shall agree to adopt and follow rules and procedures ensuring that authorizations received from customers, customer billing records, and requests for metering service transmitted to utilities are retained for a period of not less than two calendar years after the calendar year in which they were created. In addition to other lawful means of discovery, these records shall be made available by request to the Commission or its Staff on a confidential and proprietary basis, as necessary to carry out the Commission's obligations under the Act.

b) The applicant shall preserve the confidentiality of its customer's data, and shall agree to adopt and follow rules and procedures to preserve the confidentiality of its customer's data.

c) In the event that an MSP renders a bill to a retail customer for providing meter services, the bill shall indicate the period of time for which the bill is rendered, a description of the service rendered, the due date of the bill and a toll-free telephone number to contact for further information.

83 Ill. Adm. Code 460.60 License or Permit Bond Requirements

a) The applicant shall execute and maintain a license or permit bond issued by a surety or insurance company authorized to transact business in the State of Illinois in favor of the People of the State of Illinois. The surety or insurance company issuing the bond shall, at a minimum, be a qualifying surety or insurer. The amount of the bond shall equal $150,000. The bond shall be conditioned upon the full and faithful performance of all duties and obligations of the applicant as an MSP and shall be valid for a period of not less than one year. The cost of the bond shall be paid by the applicant. The applicant shall file this bond as part of its application for certification.

b) In the event that a license or permit bond is cancelled, expires or is drawn upon, the MSP shall execute and maintain an additional or replacement bond such that the cumulative value of all outstanding bonds never falls below the amount required in subsection (a) of this Section. The MSP shall file a copy of the additional or replacement bond with the Chief Clerk of the Commission and provide a copy to the Manager of the Commission's Financial Analysis Division or its successor at least 15 days in advance of the effective date of the bond. The filing shall include a cover letter that explains the purpose of the filing and shall be identified by the name of the MSP as it appears in the most recent Commission order granting the MSP certification.

c) In the event that a license or permit bond is modified, the MSP shall file a copy of the modified bond with the Chief Clerk of the Commission and provide a copy of that bond to the Manager of the Financial Analysis Division or its successor at least 15 days in advance of the effective date of the modification. The filing shall include a cover letter that explains the purpose of the filing and shall be identified by the name of the MSP as it appears in the most recent Commission order granting the MSP certification.

83 Ill. Adm. Code 460.70 Confidential Documentation

If an applicant or MSP believes any of the information to be disclosed by that applicant or MSP is privileged or confidential, the applicant or MSP shall request that the Commission enter an order to protect the confidential, proprietary or trade secret nature of any data, information or studies pursuant to 83 Ill. Adm. Code 200.430. The applicant or MSP shall designate which information is privileged and confidential. Such information shall be marked as "confidential" and submitted separately under seal to the Chief Clerk of the Commission. The applicant or MSP is required to explain why that information is entitled to such protection in a supporting document pursuant to Section 460.40(d)(1).

83 Ill. Adm. Code 460.80 Penalties for Violations or Non-Conformances

In the event that, after notice and hearing held on complaint or on the Commission's own motion, the Commission finds that an MSP is in violation of or non-conformance with one or more of the provisions of this Part, the Commission shall:

a) Order the MSP to cease and desist, or correct, any such violation of or non-conformance with the provisions of this Part;

b) Order the MSP to pay financial penalties not to exceed $10,000 per occurrence or $30,000 per day for those violations or non-conformances that continue after the Commission issues a cease-and-desist order; and

c) Alter, modify, revoke or suspend the certificate of service authority of an MSP for substantial or repeated violations of or non-conformances with the provisions of this Part.

83 Ill. Adm. Code 460.100 Financial Qualifications

An applicant that meets and maintains all of the financial requirements described in this Section will be deemed to have sufficient financial resources to provide metering services to electric customers taking service under a utility's delivery services tariffs in the State of Illinois.

a) Creditworthiness

1. The applicant provides a copy of a Dun & Bradstreet Business Information Report that demonstrates, at a minimum, that the applicant has a Composite Credit Appraisal of "3" or lower and a PAYDEX score of "70" or higher. At the time of application for certification, the report shall be no more than 30 days old.

2. If the applicant does not have a Dun & Bradstreet Composite Credit Appraisal, the applicant provides a copy of an Experian Small Business Intelliscore report that demonstrates, at a minimum, that the applicant has an Intelliscore of "63" or higher. At the time of application for certification, the report shall be no more than 30 days old.

b) Insurance

1. The applicant carries commercial general liability insurance, including Bodily Injury and Property Damage coverage. This insurance coverage shall be for a minimum of $5 million per occurrence with an annual aggregate limit of not less than $5 million. The policy shall provide insurance against third-party injury, including death, and third-party property damage; including, without limitation, injury to any customer and the employees and agents of the customer and of the DSP, and damage to the property of the customer and the DSP, caused by any act or omission of the MSP or of its employees, contractors, or other agents, in the conduct of the MSP's business. The policy shall recognize claims brought against the MSP by its customers, and the entity supplying electricity to the customer and the DSP. The insurance policy shall be valid for a period of not less than one year. The foregoing coverages shall be primary and shall not require contribution. The applicant or MSP may provide the coverages through the use of a primary liability policy or through a combination of primary liability and umbrella liability policies. However, the total limits of liability shall not be less than the limits set forth in this subsection (b)(1).

A) The applicant shall provide a certificate of insurance to the Chief Clerk of the Commission and the Manager of the Financial Analysis Division or its successor as part of its application for certification. If the applicant or MSP renews or makes changes in its insurance coverage, the insurance coverage must be continuous and without interruption. The certificate of insurance and the insurance policies shall contain a provision that coverage afforded under the policies shall not be cancelled, allowed to expire, or subjected to reduction in the limits in any manner unless at least 30 days prior written notice (10 days notice in the case of nonpayment of premium) has been given to the Commission.

B) All insurance coverage required by this Section shall be provided by insurance companies having ratings of A- or better and financial sizes of VII or larger in the latest edition of Best's Key Rating Insurance Guide that is in effect as of the issuance date of the certificate of insurance.

2. Self-Insurance. The applicant may self-insure its liability exposure if it is authorized by the Illinois Industrial Commission to provide self-insurance for its obligations under the Workers' Compensation Act [820 ILCS 305]. As part of its application for certification, the applicant shall provide a copy of its Self-Insurance Certificate of Approval under Section 4 of the Workers' Compensation Act or the related rules (50 Ill. Adm. Code 7100.70). If the applicant is required to furnish security, indemnity, bond, or other provision for securing its workers' compensation obligations, then it shall be required to provide an unconditional guarantee, surety bond or standby letter of credit, or establish an escrow account to cover liability obligations that may be caused by any act or omission of the MSP or of its employees, contractors, or other agents, in the conduct of the MSP's business. The unconditional guarantee, surety bond, or standby letter of credit shall be issued in an amount of $5 million and be valid for a period of not less than one year.

A) Unconditional Guarantee. The guarantor shall be an affiliate of the applicant that maintains at least one of the following commercial paper ratings: A-2 or higher from Standard & Poor's or its successor, P-2 or higher from Moody's Investor Service or its successor, D-2 or higher from Duff & Phelps or its successor, or F-2 or higher from Fitch IBCA or its successor; or at least one of the following long-term credit ratings: BBB- or higher from Standard & Poor's or its successor, Baa3 or higher from Moody's Investor Service or its successor, BBB- or higher from Duff & Phelps or its successor, or BBB- or higher from Fitch IBCA or its successor. The applicant shall provide a copy of the rating agency reports that present the ratings of the affiliate that is the guarantor, and the unconditional guarantee.

B) Surety Bond. The surety bond or surety bonds shall be issued by a surety authorized to transact business in the State of Illinois. The surety company issuing the bond shall, at a minimum, be a qualifying surety. The applicant shall provide a copy of the surety bonds and the authorization for the surety to transact business in the State of Illinois.

C) Standby Letter of Credit. The standby letter of credit shall be irrevocable and issued by a financial institution with a long-term obligation rating of A- or higher from Standard & Poor's or its successor, A3 or higher from Moody's Investors Service or its successor, A- or higher from Duff & Phelps or its successor, or A- or higher from Fitch IBCA or its successor. The applicant shall provide a copy of the standby letter of credit and the ratings agency report that presents the long-term obligation rating of the financial institution extending the credit.

D) Escrow Account. Deposits under escrow agreements shall be cash, negotiable United States government bonds, or negotiable general obligation bonds of the State of Illinois. Such cash or bonds shall be deposited in escrow with any State or national bank or trust company having trust authority in the State of Illinois. Securities used to fund an escrow account shall have at all times a market value at least equal to $5 million, the minimum amount of commercial general liability insurance required under subsection (b)(1). The applicant shall provide the name and business address of the escrow agent, the authorization giving the escrow agent trust authority in the State of Illinois, and a copy of a statement from the escrow agent detailing the type and amount of funds deposited in the escrow account.

83 Ill. Adm. Code 460.110 Technical Qualifications

a) An applicant shall be deemed to possess sufficient technical capabilities to serve retail customers if it maintains a technical staff on duty or on call 24 hours each day to operate and maintain the applicant's facilities as needed. This technical staff shall include a person with previous experience of at least two years demonstrated electric metering experience and a person with at least two years operational experience. The persons used to meet the operational experience requirements shall have at least one year of information management experience and one year of technical supervisory experience. The applicant shall include in its application an exhibit containing occupational background information on the persons or agents who are being used to meet the requirements of this Section.

b) Any person performing actual meter work in the field shall have the appropriate qualifications for the class of metering installation being worked on as set forth in Subpart E.

83 Ill. Adm. Code 460.120 Managerial Qualifications

An applicant shall be deemed to possess sufficient managerial capabilities to serve retail customers if it has one or more management persons with four or more years of experience in a management position with a business enterprise.

a) The applicant shall include in its application an exhibit containing occupational background information on the persons or agents who are being used to meet the requirements of this Section.

b) The applicant shall include in its application an exhibit containing a corporate organizational chart and indicate the position of the persons or agents who are being used to meet the requirements of this Section.

83 Ill. Adm. Code 460.130 Qualifications of Agents and Contractors

An applicant may meet the requirements of Sections 460.110 and 460.120 by entering into one or more contracts with others to provide the required services, provided that:

a) Each agent and contractor on whom the applicant relies to meet Section 460.110 or Section 460.120 is disclosed in the application;

b) The applicant shall certify that each agent or contractor will comply with all Sections of this Part applicable to the function or functions to be performed by the respective agent or contractor; and

c) The applicant shall certify that it retains responsibility for the compliance of each agent or contractor with all Sections of this Part applicable to the function or functions to be performed by the respective agent or contractor.

83 Ill. Adm. Code 460.200 General Provisions

a) All MSPs shall continue to remain in compliance with the provisions of the Act and this Part. If an MSP received a certificate before the effective date of any provision of this Part that applies to applicants seeking certification to serve the same type of customer in the same geographic area, the MSP shall demonstrate that it has come into compliance with the provision no later than January 31 of the year following the year during which the provision took effect.

b) All reports required under this Subpart shall be under oath and shall be filed with the Chief Clerk of the Commission with copies provided to the Manager of the Energy Division and the Manager of the Financial Analysis Division or their successors. The reports shall be identified with the name of the MSP as it appears in the most recent Commission order granting the MSP certification.

c) All reports made to the Commission by any MSP shall be open to public inspection, unless otherwise ordered by the Commission. Such reports shall be preserved in the office of the Commission.

83 Ill. Adm. Code 460.210 Erroneous or Defective Reports

a) When any report is erroneous or defective or appears to the Commission Staff to be erroneous or defective, the Commission Staff shall notify the MSP to amend the report within 30 days, and before or after the termination of the 30-day period the Commission Staff may examine the officers, agents, or employees, and books, records, accounts, vouchers, plant, equipment and property, of the MSP, and correct items in the report the Commission Staff finds defective or erroneous.

b) If, after notice and hearing, the Commission finds that the MSP has failed to make and file any report required by the Commission within the time specified, or to make specific answer to any question propounded by the Commission within 30 days from the time it is lawfully required to do so, or within such further time, not to exceed 90 days, as may in its discretion be allowed by the Commission, the Commission shall revoke the certification to provide meter services previously granted to the MSP.

83 Ill. Adm. Code 460.220 Certification of Compliance with Subparts D, E and F

Prior to December 31 of each year after its certification, the MSP shall annually certify that it complies with the requirements of Subparts D, E and F of this Part. Contents of documents shall be consistent with Subpart B of the Commission's Rules of Practice (83 Ill. Adm. Code 200: Subpart B). The applicant shall provide the following along with its certification:

a) The MSP's name and street address; and

b) The MSP's Federal Employer Identification Number (FEIN).

83 Ill. Adm. Code 460.230 Financial Reporting Requirements

a) The MSP shall provide a copy of the documents that this Subpart requires to demonstrate that it has sufficient financial resources to provide metering services to retail electric customers. The documents shall be submitted annually to the Chief Clerk of the Commission and the Manager of the Commission's Financial Analysis Division or its successor between December 1 and December 31.

b) The MSP shall file an updated copy of a Dun & Bradstreet Business Information Report that demonstrates, at a minimum, that the MSP has a Composite Credit Appraisal of "3" or lower and a PAYDEX score of "70" or higher. The report shall be no more than 30 days old at the date of the annual filing.

c) If the MSP does not have a Dun & Bradstreet Composite Credit Appraisal, the MSP shall file an updated copy of an Experian Small Business Intelliscore report that demonstrates, at a minimum, that the MSP has an Intelliscore of "63" or higher. The report shall be no more than 30 days old at the date of the annual filing.

d) The MSP shall file evidence of insurance in one of the following ways:

1. File a certificate of insurance as evidence that the commercial general liability policy was renewed for at least one year and the liability coverage will continue. If the insurance company's rating or financial size is downgraded below the minimum required rating or financial size under Section 460.100(b)(1)(B), within 30 days after such downgrade, the MSP shall obtain new insurance coverage provided by an insurance company meeting or exceeding the required minimum rating and financial size. A copy of the certificate of insurance for the new policy must be filed within that period with the Chief Clerk of the Commission and the Manager of the Commission's Financial Analysis Division or its successor; or

2. MSPs that qualify to self-insure for the liability obligations shall file a copy of the Self-Insurance Certificate of Approval under Section 4 of the Workers' Compensation Act [820 ILCS 305]. If the MSP fails to maintain authorization from the Illinois Industrial Commission to provide self-insurance, the MSP must obtain insurance coverage as provided in Section 460.100(b)(1) within 120 days from the date that its authority to self-insure is revoked by Illinois Industrial Commission Order. The MSP must notify the Commission of the Order revoking its authority to self-insure within 30 days. Within 120 days, the MSP must file a certificate of insurance with the Chief Clerk of the Commission and the Manager of the Commission's Financial Analysis Division or its successor as evidence that a Commercial General Liability policy has been issued and is valid for a period of not less than one year. MSPs that qualify to self-insure but are required to provide an unconditional guarantee, surety bond, letter of credit, or establish an escrow account shall file:

A) A copy of the latest ratings report presenting the commercial paper or long-term credit or obligation ratings of the guarantors or financial institutions that issued the letter of credit, as applicable, between December 1 and December 31 of each year and within 15 days following any downgrade of such ratings previously filed with the Commission. Within 30 days after a downgrade of the commercial paper or long-term credit ratings of the guarantors or financial institutions that issued the letter of credit to a level below the minimum rating required under this Subpart, the MSP shall submit a report that:

i) identifies the subsection of this Part under which the MSP is seeking to demonstrate that its financial resources remain sufficient for providing the services for which it has received a certificate of service authority; and

ii) includes the information and documents that subsection requires;

B) If the surety company that issued the surety or license or permit bond is disqualified as a qualifying surety, the MSP shall have 30 days from the date that the company is disqualified to obtain a new surety or license or permit bond from a qualifying surety;

C) Copies of any modified, replacement, or additional unconditional guarantees, letters of credit, surety bonds, or escrow accounts, as applicable, at least 15 days in advance of any modification, cancellation, or expiration of the financial agreements; and

D) A statement presenting the type and balance of securities deposited in the escrow account, as applicable.

83 Ill. Adm. Code 460.240 Managerial Reporting Requirements

An MSP shall certify prior to December 31 of each year that it continues to maintain the required managerial qualifications for the service authority granted in its certificate. An MSP that meets the managerial qualifications requirements by entering into one or more contracts with others to provide the required services shall identify each agent or contractor on whom the MSP relies to meet the requirements, and shall certify that the agent or contractor will comply with all Sections of this Part applicable to the function or functions to be performed by the respective agent or contractor and that the MSP retains responsibility for the compliance of agents or contractors with all Sections of this Part applicable to the function or functions to be performed by the respective agent or contractor.

83 Ill. Adm. Code 460.250 Technical Reporting Requirements

An MSP shall certify prior to December 31 of each year that it continues to maintain the required technical qualifications for the service authority granted in its certificate. An MSP that meets the technical qualifications requirements by entering into one or more contracts with others to provide the required services shall identify each agent or contractor on whom the MSP relies to meet the requirements, and shall certify that the agent or contractor will comply with all Sections of this Part applicable to the function or functions to be performed by the respective agent or contractor and that the MSP retains responsibility for the compliance of agents or contractors with all Sections of this Part applicable to the function or functions to be performed by the respective agent or contractor.

83 Ill. Adm. Code 460.300 Exemption or Modification

Any MSP may file an application requesting modification of or exemption from any provision in this Subpart that applies to the MSP. Upon showing that the modification or exemption is economically and technically sound and will not compromise safety, reliability or the service obligations of the MSP, the Commission may grant the modification or exemption. A petition for exemption or modification shall be filed pursuant to 83 Ill. Adm. Code 200 and shall set forth specific reasons and facts in support of the requested exemption or modification. Any request for modification or exemption shall be served on all ARES and electric utilities in whose service territory the MSP is providing metering service.

83 Ill. Adm. Code 460.310 Complaints

a) Each MSP shall investigate each complaint received. The receipt of all written complaints shall be acknowledged in writing or verbally.

b) Each complaint received by an MSP shall be documented, and any records required by this Part shall be made available to Commission personnel upon request. Each record shall contain, at a minimum, the name and address of the complainant, the time of day and the date received, the nature of the complaint, the result of the investigation and/or analysis, when and by whom conducted, the final disposition of the complaint, and the date of disposition.

c) Records of complaints related to accuracy of metering equipment or data, other than requests for meter rereads, shall be kept in the following manner: each MSP receiving complaints shall keep an index or file containing all these complaints for three years, separated by year. If the MSP chooses to maintain an index of complaints, it shall contain enough information to allow access to individual records of each complaint.

83 Ill. Adm. Code 460.320 Customer Call Centers

a) Each MSP shall maintain a customer call center where customers can reach a representative to discuss meter service issues. At least once every six months, each MSP shall provide written information to customers explaining how to contact the call center. The average answer time for calls placed to the call center shall not exceed 60 seconds where a representative or automated system is ready to render assistance and/or accept information to process calls. The abandon rate for calls placed to the call center shall not exceed 10%. Each MSP shall maintain records of the call center's telephone answer time performance and abandon call rate. These records shall be kept for a minimum of two years and shall be made available to Commission personnel upon request. In the event that answer times and/or abandon rates exceed the limits established above, the MSP may provide the Commission or its personnel with explanatory details. At a minimum, these records shall contain the following information in monthly increments:

1. Total number of calls received;

2. Number of calls answered;

3. Average answer time;

4. Number of abandoned calls; and

5. Abandon call rate.

b) MSPs that do not have electronic answering capability that meets the requirements of subsection (a) shall notify the Manager of the Commission's Consumer Services Division or its successor when filing an application for certification and work with Staff to develop individualized reporting requirements as to the call volume and responsiveness of the call center.

c) On or before March 1 of every year, each MSP shall file with the Chief Clerk of the Commission a report for the preceding calendar year on its answer time and abandon call rate for its call center as described in subsection (a). A copy of the report shall be sent to the Manager of the Commission's Consumer Services Division or its successor.

83 Ill. Adm. Code 460.330 Meter Records

a) Each MSP shall keep records that contain the following information about each service watt-hour meter and var-hour meter the MSP owns or has in service in this State:

1. manufacturer and date of purchase, along with any testing data provided by the manufacturer that is used by the MSP for acceptance testing of the meter;

2. manufacturer or MSP identification number;

3. nameplate data, including:

A) form designation or circuit description;

B) "watt-hour meter" or other description;

C) manufacturer's name or trademark;

D) manufacturer's type;

E) electrical current class;

F) rated voltage;

G) number of wires;

H) frequency;

I) test amperes;

J) watt-hour meter constant; and

K) watt-hour meter test constant (if applicable);

4. date and place of present or most recent installation;

5. date and type of last major repair, or of final disposition; and

6. accuracy of each meter in accordance with the testing policies set forth in this Subpart, including:

A) date of test;

B) reason for test;

C) reading and accuracy of meter as found and as left;

D) creep test results, if applicable;

E) identification of person performing test; and

F) identification of equipment used to test meter.

b) Each MSP shall keep records of tests of the accuracy of each of its service watt-hour meters installed in this State until superseded by a later test, but not less than three years. Each MSP shall keep all other records required by subsection (a) for not less than three years.

c) Each MSP having service watt-hour meters installed in this State shall compile a report of the results of all meter accuracy tests required by this Part at least once each year. This report shall include the number of meters tested and the number of meters that tested outside of accuracy limits for each of the following categories: sample testing, periodic testing, and at customer request. Each MSP shall keep this report for not less than 8 years.

83 Ill. Adm. Code 460.340 Metering Service Requirements

a) Each service watt-hour meter shall have a register or display on the front of the meter that: displays energy consumption in a definite and known proportion to the actual energy consumption of that customer; is plainly visible; and can be read by the customer. This requirement may be waived in writing by the customer. This requirement shall not affect the MSP's right to secure meters for safety reasons or in situations in which the meter is subject to excessive risk of damage or tampering. At the customer's request, a representative for the MSP shall explain to the customer how to read the meter used for billing that customer.

b) If a billing multiplier is used to calculate customer usage, the MSP shall mark the billing multiplier on the front of the meter (or other location on the metering installation where the multiplier is plainly visible) and identify it as a billing multiplier at the time of installation or test, using a permanent marking method.

c) No meter shall be installed that is known to be mechanically or electrically defective, or that has not been tested in accordance with this Subpart and shown to comply with the accuracy requirements in this Subpart.

d) Meters shall be installed so as to be accessible to metering personnel for reading, testing, and making adjustments and repairs.

e) Meters installed by MSPs shall, at a minimum, meet the standards set forth in Section 4.7 of the American National Standards Institute's (ANSI) Code for Electricity Metering (1995 edition, approved June 12, 1995, published by the National Electrical Manufacturers Association, 1300 N. 17th Street, Suite 1847, Rosslyn, Virginia 22209). This incorporation does not include any later amendment or edition.

f) The MSP may refuse to install a meter or to serve a customer if, in the MSP's judgement, the metering installation is hazardous or of such character that satisfactory service cannot be provided. In case of refusal, the MSP shall inform the customer in writing of the reason for refusal to render service and shall notify within 24 hours by telephone or in person the customer and all entities providing service to that customer.

83 Ill. Adm. Code 460.350 Separate Metering

a) Except as otherwise provided in subsection (c), a separate meter shall be used to measure the electricity that is consumed within, and controlled by the occupant of, each individual unit contained in any new building, newly remodeled portion of an existing building, or new mobile home park for which a building permit was obtained on or after November 1, 1981, or, if no permit was required, for which construction was commenced on or after November 1, 1981. Separately metered consumption shall be used as the basis for billing the occupant of the individual unit as a separate customer.

b) Definitions – For purposes of this Section, the following definitions shall apply:

1. "Individual unit" means each portion of a building that is separately leased, rented or owned.

2. "Control"' means the ability of the occupant of an individual unit to determine the timing and amount of electricity consumed. Electricity used for central space heating, central water heating, central ventilation or central air conditioning systems is not "controlled" by the occupant of the individual unit.

3. "Remodeled portion of a building" means each area in which interior alterations are made that are required by local code or ordinance.

4. "Mobile home park" means contiguous parcels of land used for the accommodation of occupied mobile homes.

5. "Multiple-unit building" means buildings with more than four individual units.

c) Exceptions – Separate metering and billing of electricity shall not be required for the following:

1. Units within buildings normally considered to be temporary domiciles, such as motels, dormitories, health care facilities and nursing homes.

2. Residential units that do not have kitchen and bathroom facilities separate from common use facilities.

3. Portions of buildings in which separate metering is impractical, such as concession stands in lobbies, and individual offices that share office service areas.

4. Buildings for which space heating is provided by electric lighting and that qualify for service under special rates.

5. Multiple-unit buildings that are designated as congregate, assisted-living care facilities for elderly or handicapped persons.

d) Waiver – Any applicant for electric service who is refused master metered service by an MSP, and who has exhausted his remedies in the informal complaint process set forth by the Commission (83 Ill. Adm. Code 200.160), may file a formal complaint (83 Ill. Adm. Code 200.170) with the Commission seeking a waiver from the requirements of this Section or the corresponding rules of the MSP. The complaint shall comply with the Commission's Rules of Practice (83 Ill. Adm. Code 200) and shall name the MSP as a Respondent. The complaint shall allege that the long-run benefits of separate metering are outweighed by the associated costs or that separate metering would otherwise be impractical or unreasonable.

83 Ill. Adm. Code 460.360 Testing Facilities and Equipment

a) Each MSP shall provide a meter shop adequately equipped with reference standards, instruments and other facilities, equipment, and personnel necessary to make the tests required of the MSP by this Part. Each MSP shall provide working standards and portable standards necessary to make the tests required of the MSP by this Part. All apparatus and equipment shall be available at all times during the MSP's established business hours for the inspection of or use by authorized representatives of the Commission. If meters used for billing and maintaining customer usage data are tested at a facility located outside this State, the MSP shall take precautions to insure that the meters are not damaged in transit to or from that testing facility.

b) Each MSP shall verify the accuracy of all reference standards at least once every twelve months. If the comparison indicates that the reference standard is in error by more than 0.5% on any combination on which it will be used, the MSP shall adjust the standard to reduce the inaccuracy, if possible. In any case, the MSP shall apply the correction indicated by the certificate or calibration card accompanying the instrument (pursuant to subsection (d)).

c) When in use for testing meters, all solid state working and portable standards shall be compared to a reference standard at least once every six months. All other working and portable standards used regularly for testing meters shall be compared to a reference standard at least once every month. When working or portable standards are used for purposes other than testing meters, they shall be compared to a reference standard at least once each year. If found in error by more than 0.5%, the MSP shall adjust the instrument to read within the specified limits or shall apply the proper correction factor.

d) Each working, portable or reference standard shall be accompanied at all times by a certificate or calibration card signed or initialed by the person responsible for the calibration giving the date and results of the last calibration of the instrument. The MSP shall keep any superseded certificates or calibration cards on file for at least three years.

e) An authorized representative of the Commission may check or establish the accuracy of all testing equipment owned by each MSP that is used for testing metering equipment used or intended for use in this State, as well as the methods of operating such equipment. An authorized representative of the Commission shall perform an audit of each MSP's testing equipment and methods at least every three years. The MSP shall reimburse the Commission for all expenses related to audits of meter shops used or maintained by the MSP located outside this State.

83 Ill. Adm. Code 460.370 Meter Accuracy Requirements

a) The accuracy of service watt-hour meters shall be determined using the following criteria:

1. Light Load test: 10% of test amps at 100% power factor;

2. Heavy Load test: 100% of test amps at 100% power factor; and

3. Power Factor test: 100% of test amps at 50% lagging power factor. The power factor test is only required on meter shop tests.

b) Accuracy limits:

1. On any test of a service watt-hour meter, the meter shall be left so adjusted that the error shall not be in excess of the following:

A) Average error: 1% fast or slow.

B) Error at heavy load: 1% fast or slow.

C) Error at light load: 1% fast or slow.

D) Error at power factor: 2% fast or slow.

2. Meters shall not be deliberately set in error by any amount.

c) Each MSP shall test a service watt-hour meter for creep at the time it makes any accuracy test of that meter if the percent registration at light load deviates by greater than 2% from the percent registration at heavy load. No service watt-hour meter found to creep shall be placed in service or allowed to remain in service in that condition.

d) The average percent registration of a watt-hour meter shall be determined by adding the light load registration to four times the heavy load registration and dividing that quantity by five.

e) Demand meters, when tested on the loads specified in this Section, shall be adjusted, if necessary, to meet the following requirements:

1. Demand Meters other than Lagged Demand Meters:

A) Electrical element – Error shall not exceed that specified for service watt-hour meters in this Section.

B) Timing element – When used to measure time interval only, error shall not exceed 2%. When used also to keep a record of time of day at which the demand occurs, error shall not exceed 0.25%.

2. An MSP shall not install, provide, or maintain lagged demand meters in this State.

83 Ill. Adm. Code 460.380 Installation Inspections

Within 90 days after installation or exchange of any meter with associated instrument transformers and/or phase-shifting transformers, a post-installation inspection shall be made under load to determine if the meter is accurately measuring customer energy consumption.

83 Ill. Adm. Code 460.390 Initial Tests

Initial tests are tests made before installation, regardless of whether the meter and associated devices have previously been in service. Each meter and associated devices (unless included in the sample testing plan in Section 460.410) shall be inspected and tested in the meter shop of the MSP or other location that meets the requirements of this Part before being placed in service, and the accuracy of the meter shall be within the tolerances permitted by this Part. If a meter is removed from a customer's premises, except for field testing, it shall be tested and inspected as described above before it is placed in service again. If creep or inaccuracy is discovered in a meter removed from service, the MSP shall correct the metering data as detailed in Section 460.440.

83 Ill. Adm. Code 460.400 Accuracy Testing of Meters

a) Each service watt-hour meter and var-hour meter shall be inspected and tested according to the schedule in subsection (b). At the time a service watt-hour meter or var-hour meter is tested, any demand meter associated with it shall be inspected or tested. Each demand meter shall be tested at least as often as the meter with which it is associated and, as nearly as practicable, at the same time. If the service watt-hour meter is of the type in which the same element that measures watt-hours is used to measure demand, then the watt-hour test and the demand test shall be considered to be one and the same.

b) Alternating current service watt-hour meters and associated var-hour meters shall be tested according to the following schedule:

1. Self-contained single-phase and three-wire network meters:

A) Non-demand:

i) Sample according to Section 460.410;

ii) 8 years;

B) Demand:

i) with pulse-operated electronic demand registers: 4 years;

ii) with surge-proof magnets or solid state: 8 years.

2. Self-contained 480 volt single-phase and poly-phase meters; transformer-rated single-phase meters:

A) Non-demand:

i) with surge-proof magnets: 8 years;

ii) without surge-proof magnets: 4 years;

B) Demand:

i) Mechanical meters with pulse-operated electronic demand registers: 4 years;

ii) with surge-proof magnets or solid state: 8 years.

3. Transformer-rated poly-phase meters: 8 years.

c) Direct current watt-hour meters shall be tested at least once every 12 months.

83 Ill. Adm. Code 460.410 Sample Testing Procedures

a) An MSP that chooses to use sample testing shall use the procedures prescribed in any of the following documents (alone or in combination) to sample test non-demand, self-contained single-phase or three-wire network meters.

1. ANSI/ASQC Z1.4-1993 "Sampling Procedures and Tables for Inspection by Attributes", approved 1993, American Society for Quality Control, 611 East Wisconsin Avenue, Milwaukee WI 53202. No later amendment or editions are incorporated.

2. ANSI/ASQC Z1.9-1993 "Sampling Procedures and Tables for Inspection by Variables for Percent Nonconforming", approved 1993, American Society for Quality Control, 611 East Wisconsin Avenue, Milwaukee WI 53202. No later amendment or editions are incorporated.

b) The MSP shall divide the meter population into homogeneous groups consisting of meters of the same basic type and purpose. All meters within each homogeneous group shall be eligible for sampling each time a sample is taken. A sample shall be taken each year from each homogeneous group, and testing shall be completed during the same calendar year. The size of each sample shall be determined through use of an allowed sampling procedure listed in subsection (a).

c) The performance of a homogeneous group shall be considered acceptable when, after applying the performance criteria described in subsection (f) to each meter included in the sample, the sample indicates an acceptable quality level (AQL) at least as stringent as 2.5%. AQL shall indicate the maximum percentage of nonconforming meters to be permitted within a homogeneous group.

d) Each MSP shall perform 100% testing on all used or remanufactured meters purchased.

e) Each MSP using sample testing shall file a yearly report no later than March 31 of the following year with the Chief Clerk of the Commission and provide a copy to the Manager of the Energy Division or its successor detailing the sample plan used in the previous year, along with the results of the testing program

f) The performance of a meter that is tested as part of a sample shall be considered acceptable when its average percent registration, prior to any adjustment, is not less than 98% or more than 102%. The average percent registration for each meter shall be calculated as described in Section 460.370(d).

g) All tests described in Section 460.370(a) shall be performed on all meters included in the sample, and all meters included in the sample shall be left adjusted so that the error shall not exceed the limits listed in Section 460.370(b).

h) When an MSP finds the performance of any homogeneous group to be unacceptable through sample testing, the MSP shall perform corrective action on the group. Corrective actions outlined in this subsection shall be completed by the end of the second calendar year after the year in which the homogeneous group performance is initially found to be unacceptable. The corrective action shall consist of one of the following:

1. Removal of a subgroup of problem meters from service so that the performance of the remaining meters in the group is found to be acceptable through subsequent sample testing; or

2. Removal from service of all meters associated with the group.

History

• Source: Amended at 28 Ill. Reg. 10623, effective August 1, 2004

83 Ill. Adm. Code 460.420 Meter Tests Requested by Customer

a) Upon customer request, the MSP shall test the customer's meter within 30 days after receiving the request, unless the customer agrees to a later time. The meter test shall be performed between 7 a.m. and 4 p.m. Monday through Friday, excluding holidays, unless some other time is agreed upon by the MSP and the customer. The test shall be performed at the meter installation location and in the customer's presence, unless the customer gives consent for the meter to be removed and/or tested outside the customer's presence.

b) If the customer's meter has been tested at the request of an entity or customer while in service at the same location within the past six months, the MSP may provide the results of that test in reply to the customer's request in lieu of the test specified in subsection (a).

c) An MSP shall not require any payment from the customer for a meter test, unless a test has been performed on that meter at that customer's request within the previous twelve months, or information has been provided as in subsection (b) within the past six months. In such cases, the customer shall be required to pay $40 to the MSP. The MSP shall refund the $40 deposit to the customer if the MSP finds that the meter over-registers by more than 2%.

d) Commission referee tests

1. Upon written application to the Commission by any customer, the MSP providing metering service shall test the customer's meter within 30 days after receiving notice of the written request from a Commission representative, unless the customer agrees to a later time. The application for a Commission referee test shall be accompanied by a fee of $20. The MSP shall conduct this test under the supervision of a representative of the Commission.

2. On receipt of the request from a customer, a Commission representative shall notify the MSP. After the MSP has received notice that application has been made for a referee test, the MSP shall not disturb the meter in any way, unless the customer or the Commission representative gives written permission for the meter to be removed.

3. The MSP shall furnish to the Commission's representative such assistance as may be required to make the test. The Commission's representative shall make a written report of the results of the test to the customer within 30 days after the test.

4. If upon test the meter is found to over-register by more than 2%, the MSP shall reimburse the customer the amount paid to the Commission for the test. The MSP shall also make any necessary metering data adjustment.

e) No MSP shall be required to perform more than two tests of the same meter installed at the same location at customer request within a twelve month period, unless a Commission referee test is requested. After a Commission referee test, the MSP shall not be required to test the same meter for a period of at least twelve months.

83 Ill. Adm. Code 460.430 Meter Tests Requested by Entity

a) Upon request from an entity, the MSP shall test the meter within 30 days after receiving the request, unless the requesting entity agrees to a later time. The meter test shall be performed between 7 a.m. and 4 p.m. Monday through Friday, excluding holidays, unless some other time is agreed upon by the entity and the MSP. The test shall be performed at the meter installation location and in the presence of a representative of the requesting entity, unless the requesting entity gives consent for the meter to be removed and/or tested without the representative's presence.

b) If the meter has been tested at the request of an entity or customer while in service at the same location within the past six months, the MSP may provide the results of that test in reply to the entity's request in lieu of the test specified in subsection (a).

c) Meter tests requested by entities may be performed at any time agreeable to the MSP and the entity if the customer's electrical service will not be interrupted by the test. If the customer's electrical service will be interrupted by the test, the MSP or requesting entity shall obtain permission from the affected customer to interrupt the service before the test is performed.

d) The entity requesting the meter test shall be required to pay the actual cost (not to exceed $250) of performing the test to the MSP performing the test. The MSP performing the test shall refund the payment to the entity if the meter over-registers by more than 2%. No entity shall induce a customer to request a meter test on behalf of that entity to avoid paying the actual cost of the meter test.

e) The MSP providing metering service shall not be required to provide more than one test on the same meter at the same location more than once every three years at the request of another entity, unless the other entity requests a Commission referee test.

f) If an entity requests a Commission referee test, the requesting entity shall pay $20 to the Commission and the actual cost (not to exceed $250) of the test to the MSP. If the meter over-registers by more than 2%, the MSP shall refund both fees to the requesting entity and shall make any necessary meter data adjustment. The MSP shall not be required to provide a Commission referee test on the same meter at the same location more than once every twelve months.

83 Ill. Adm. Code 460.440 Corrections and Adjustments for Meter Error

a) Regardless of the source of inaccuracy in a customer's meter usage data, the MSP shall correct the data and provide corrected data for all affected billing periods to all entities billing the customer.

b) Whenever any test made by an MSP or by the Commission shows a meter to have an average error of more than 2%, a correction of the metering data shall be determined by the MSP and that correction shall be conveyed within 3 business days to the customer and to other entities involved in billing the customer.

c) When a meter is found to have an average error of more than 2%, the MSP shall determine the metering data correction using the actual percentage of error as determined by the test, not the difference between the allowable error and the error found as a result of a test.

d) If the meter is found to run faster than allowable, the MSP shall determine the correction to the metering data for that meter. In determining the correction it shall be presumed, unless demonstrated otherwise, that the inaccuracy has existed for a period of two years. This period of presumed inaccuracy shall not exceed the time for which records of the current customer's usage exist.

e) If the meter is found to be slower than allowable, the MSP shall determine the correction to the metering data for that meter. In determining the correction, it shall be presumed, unless demonstrated otherwise, that the inaccuracy has existed for a period of 1 year prior to the test for small commercial and residential customers and 2 years prior to the test for all other customers.

f) In the case of a non-registering meter that has been read during the period of non-registration, the MSP shall not determine a correction to metering data for estimated consumption extending over more than twice the regular interval between readings.

g) No corrections to metering data for meter error shall extend beyond the in-service date of the meter discovered to be in error, nor shall any correction be required to extend beyond the date upon which the current customer first occupied the premises at which the error is discovered.

h) Whenever an MSP or the Commission's representative finds that a service watt-hour meter, while in service, exhibits creep, the MSP shall make an estimate of the registration caused by the creep during the period as specified under subsection (c) and shall make a corresponding correction in the metering data.

i) Any correction to metering data made by the MSP and all records relating to the adjustment of the customer's billing or charges shall be retained for at least two years.

j) Provisions of this Subpart do not apply to situations in which the customer's wires, meters or other service equipment have been tampered with and the customer enjoyed the benefit of the tampering.

83 Ill. Adm. Code 460.450 Meter Tampering, Theft of Service, and Illegal Taps

a) MSP workers shall visually inspect meter sites for conditions associated with meter tampering, theft of service or an illegal tap. When a condition associated with theft of service is observed, the MSP shall immediately notify the DSP, the energy supplier and any other entities providing service to the customer of any evidence of meter tampering, energy theft or meter security compromise on a customer's premises, and in no event later than one business day after discovery of the evidence. The following information shall be conveyed to the DSP when theft of service is discovered by the MSP:

1. description of evidence;

2. action taken by MSP;

3. contact information at customer's facility; and

4. meter and account information.

b) The MSP shall cooperate with entities providing electric service to the customer to determine and implement the appropriate corrective action. If a theft-of-service condition is not remedied within 10 business days, except upon agreement between the DSP, MSP and energy supplier, the DSP shall have the right to immediately remove and replace the meter or affected metering equipment, with standard DSP metering equipment. The meter shall be held as evidence in a theft-of-service investigation.

c) If an MSP alleges that tampering or theft of service has occurred, the MSP shall have the burden of proving, by a preponderance of the evidence, that the customer's meter has been tampered with, that the customer has benefited from the tampering and that the rebilling is reasonable.

83 Ill. Adm. Code 460.460 Meter Reading and Meter Data Management

a) MSPs shall read all meters serving retail customers in compliance with the DSP's tariff requirements.

b) When a customer or entity requests verification of a meter read and the MSP cannot satisfy the customer or entity with an automatic meter read, the MSP shall perform an on-site meter read within 5 business days.

c) Within 5 business days after installation of a remotely read meter, the MSP shall check that the meter and the meter reading system are working properly. If there is no load available to test the meter at the time of installation, the MSP shall check that the meter and the meter reading system are working properly within 5 business days after load becomes available.

d) The MSP shall provide meter usage data to market participants serving the customer using the applicable standard electronic transaction protocol or manual process.

e) The MSP shall keep the most recent 36 months of meter usage data for each customer. The MSP shall retain both raw and translated meter usage data. Meter usage data for the most recent 12 months shall be available upon request to authorized persons within 3 business days. Meter usage data that is more than 12 months old but less than 37 months old shall be available upon request to authorized persons within 10 business days.

83 Ill. Adm. Code 460.470 Retention of Related Records

a) This Section applies to all books of account and other records prepared by or on behalf of the MSP.

b) This Section shall not be construed as excusing compliance with any other lawful requirements for the preservation of records for periods longer than those prescribed in this Section.

c) Each MSP subject to this Part shall designate one or more persons with official responsibility to supervise the MSP's program for the preservation and the authorized destruction of its records.

d) All records that are required by this Section to be preserved shall be so arranged, filed and currently indexed by the MSP that they may be identified and made available upon request to representatives of the Commission.

e) The destruction of the records permitted to be destroyed under the provisions of this Section may be performed in any manner elected by the MSP concerned. The MSP shall destroy the legibility of records that contain confidential customer information before or during disposal to prevent unauthorized persons from obtaining such information.

f) When any records are destroyed before the expiration of the prescribed retention period, the MSP shall file a verified statement within 90 days after the date of discovery of such destruction with the Chief Clerk of the Commission describing the records destroyed and the circumstances of the accidental or other premature destruction. Discovery of loss of records shall be treated in the same manner as in the case of premature destruction.

g) Each MSP shall retain all meter usage data collected from each meter for at least three years.

h) Each MSP shall keep all service requests from customers for at least one year.

i) Each MSP shall keep all connection and disconnection orders from DSPs for at least one year.

j) Each MSP shall keep a copy of any contract with each customer for at least one year after service is discontinued with that customer.

k) Each MSP shall keep a record of each customer's bill as issued for at least one year.

l) Each MSP shall keep a record of all adjustments to meter usage data and customer bills for at least three years, with an explanation for the adjustment.

m) Each MSP shall keep a record of all high-bill complaints, whether or not such complaint results in an adjustment to the customer's account, for at least one year.

n) Each MSP shall keep a record of all training for each employee used to satisfy the technical requirements of this Part until at least one year after that employee is no longer employed by the MSP.

83 Ill. Adm. Code 460.500 General Qualifications for Meter Workers

a) Three levels or "classes" of meter worker qualifications are established in this Subpart for MSP meter workers.

b) Meter workers performing services on behalf of an MSP shall be trained and shall exercise due care in performing these functions.

c) An MSP employee who performs service metering work shall have company-issued photo identification indicating the worker's employer and the class of meter work the worker is qualified to perform. This identification shall be carried by the employee whenever performing meter work.

d) An MSP employee shall be able to identify theft-of-service conditions and take appropriate action.

83 Ill. Adm. Code 460.510 Illinois Class 1 Qualification

a) Metering Types and Voltages. Workers with an MSP Class 1 Qualification are permitted to perform work on single-phase, socket-based meters, operating at a maximum of 120/240 volts or 120/208 volts. This level of qualification does not include transformer-rated meters. Also, connections of meter communications devices shall be outside of energized meter panels.

b) Work to be Performed. MSP Class 1 meter workers may install, remove and replace single-phase, 120/240 volt or 120/208 volt self-contained meters in standard socket-based metering installations. Connections for communication conductors shall be outside the energized meter panels. MSP Class 1 meter workers may be required to install jumpers on single-phase services where bypass provisions are provided or operate a manual bypass switch to maintain service continuity where applicable.

c) Safety Skills

1. Knowledge of basic electrical theory and associated hazards and ability to perform work while avoiding hazards; and

2. Knowledge of and ability to perform work in compliance with procedures and safety rules applicable to class of work performed, including:

A) Basic safety (e.g., driving hazards and animal bite prevention);

B) Electrical safety;

C) OSHA requirements;

D) State requirements;

E) Personal protective equipment;

F) Distribution safety procedures.

d) Essential Technical Skills

1. Knowledge of basic AC/DC electrical theory;

2. Knowledge of single-phase electrical metering;

3. Knowledge of electric distribution in general;

4. Knowledge of the meter panel and socket layout for the metering conditions of this class of meter work;

5. Ability to identify energy diversion or tampering related to this class of meter work;

6. Ability to install and remove damaged and undamaged meters;

7. Ability to read meters used in this class;

8. Ability to use tools appropriate to this class of work;

9. Ability to connect meter communications external to the meter panel;

10. Customer contact skills;

11. Ability to distinguish between single-phase and poly-phase services;

12. Knowledge of DSP construction standards and local inspection authority requirements;; and

13. Ability to safely jumper single-phase meter sockets to maintain service continuity.

e) Determination of Essential Technical and Safety Skills

1. MSPs shall develop and implement a program to train workers to perform Class 1 meter work safely and properly;

2. A minimum of 500 hours on the job training with a Class 1 meter worker (with at least 1 year of experience as a Class 1 meter worker) or with a meter worker with a higher classification and successful completion of the MSP classroom training program.

f) Meter Worker Certification and Re-certification Requirements

1. Employees are certified by the certified MSP, based on successful completion of the training program referenced in subsection (e), demonstrated ability to perform Class 1 meter worker safety skills and essential technical skills, and prior experience;

2. A Class 1 meter worker who has not performed metering work equivalent to that described in subsection (b) for six months or more shall be re-certified prior to performing Class 1 meter work.

83 Ill. Adm. Code 460.520 Illinois Class 2 Qualification

a) Metering types and voltages. Workers with an MSP Class 2 Qualification are permitted to perform work on all Class 1 meter types, as well as:

1. All self-contained and instrument rated meters less than 600 volts;

2. Accuracy testing of all self-contained meters (field);

3. A-Base meters less than 600 volts;

4. K-Base meters;

5. Communication hook up; and

6. Meters with communication wiring routed inside the panel (work can be in and around energized circuits).

b) Work to be Performed

1. A Class 2 meter worker may work in and around energized circuits, as permitted by the procedures and safety rules of the certificated MSP;

2. In addition to performing the work of a Class 1 meter worker, a Class 2 meter worker may install, remove and replace poly-phase, under 600 volts, self-contained meters in safety socket and standard socket-based metering equipment. A Class 2 worker may operate test-bypass facilities in self-contained safety sockets and install communication wiring inside the panel. A Class 2 worker may be required to install jumpers on services where bypass provisions are provided or operate a manual bypass switch to maintain service continuity where applicable. On panels without bypass provisions or test-bypass facilities, a Class 2 worker may not remove or install poly-phase meters without first disconnecting the customer load;

3. A Class 2 meter worker may install, remove and replace all meters consistent with subsection (b), including transformer-rated meters less than 600 volts; and

4. A Class 2 meter worker may operate test switches, but may not install, alter, maintain or replace wiring between the meter, test switch, test block and associated equipment.

c) Safety Skills

1. All of the safety skills required for Class 1 meter workers;

2. Electrical safety knowledge and work skills appropriate for three-phase metering up to 600 volt phase-to-phase, including the ability to identify and refer to a Class 3 meter installer services above 600 volt phase-to-phase prior to performing work in the service equipment, or if voltage rating is not labeled, at the time of initial voltage check;

3. Ability to operate test-bypass facilities or test blocks in a self-contained safety socket; and

4. Ability to install jumpers on services where bypass provisions are provided or operate a manual bypass switch to maintain service continuity where applicable.

d) Essential Technical Skills

1. All of the essential technical skills required for Class 1 meter workers;

2. Knowledge needed for up to 600 volt poly-phase service and the forms and voltages applicable to Class 2 meter work;

3. Ability to route communication wiring to accommodate meter communications;

4. Ability to understand, interpret, identify and take appropriate actions based upon built-in diagnostics of solid state meters;

5. Ability to perform phase rotation assessments;

6. Ability to work with transformer-rated meters and operate test switches and test blocks;

7. Ability to install jumpers on services where bypass provisions are provided or operate a manual bypass switch to maintain service continuity where applicable; and

8. Ability to test self-contained meters in locations other than in the meter socket using semi-automatic meter test equipment (field test).

e) Determination of Essential Technical and Safety Skills

1. MSPs develop and implement a program to train workers to perform Class 2 meter work safely and properly;

2. Minimum of one year experience as a Class 1 meter worker, 4000 hours on the job training with a Class 2 meter worker (with at least 1 year of experience as a Class 2 meter worker) or a meter worker with a higher classification, and successful completion of the MSP classroom training program.

f) Meter Worker Certification and Re-certification Requirements

1. Employees are certified by the certificated MSP, based on successful completion of the training program referenced in subsection (e), demonstrated ability to perform Class 2 safety skills and essential technical skills, and prior experience.

2. A Class 2 meter worker who has not performed metering work equivalent to that described in subsection (b) for six months or more shall be re-certified prior to performing Class 2 meter work.

83 Ill. Adm. Code 460.530 Illinois Class 3 Qualification

a) Metering Types of Voltages. Workers with an MSP Class 3 Qualification are permitted to perform work on all meter types applicable to Classes 1 and 2 meter workers. Class 3 work also includes:

1. Metering up to 600 volts, with transformer-rated meters and with primary and secondary voltages less than 600 volts;

2. Metering systems with instrument transformer primary side voltages over 600 volts;

3. Metering systems with communication wiring behind the panel (work can be in and around energized circuits);

4. Switchboard (panel mounted) meters;

5. All accuracy testing (field);

6. All programming; and

7. Circuit analysis.

b) Work to be Performed

1. A Class 3 meter worker may work in and around energized circuits, as permitted by the procedures and safety rules of the certificated MSP;

2. In addition to performing Class 1 and 2 meter work, a Class 3 meter worker may install, remove and replace meters consistent with the description provided in subsection (a);

3. A Class 3 meter worker may operate test switches and test blocks, perform in-field meter accuracy tests and calibrations, and perform all types of meter maintenance and troubleshooting; and

4. A Class 3 meter worker may program and verify internal programs and software in solid state meters.

c) Safety Skills

1. All of the safety skills required for Class 1 and Class 2 meter workers; and

2. Ability to conform processes to additional electricity hazards, unique customer environments, and complexities associated with metering switchboards, testing meters and maintaining meters.

d) Essential Technical Skills

1. All of the essential technical skills required for Class 1 and Class 2 meter workers;

2. Ability to perform work on metering switchboards;

3. Knowledge of the operating characteristics of metering transformers and the ability to operate test switches and test blocks;

4. Ability to perform calibration, repair, retrofit, troubleshooting, and data collection from electric meters; and

5. Ability to install, maintain and program advanced metering technologies, including time-of-use meters, interval meters, real time pricing, remote meter communication, and load control devices.

e) Determination of Essential Technical and Safety Skills

1. MSPs develop and implement a program to train workers to perform Class 3 meter work safely and properly; and

2. Minimum of one year experience as a Class 2 meter worker, 2000 hours of on the job training with a Class 3 meter worker (with at least 1 year of experience as a Class 3 meter worker), and successful completion of the MSP classroom training program.

f) Meter Worker Certification and Re-certification Requirements

1. Employees are certified by the certificated MSP, based on successful completion of the training program referenced in subsection (e), demonstrated ability to perform Class 3 safety skills and essential technical skills, and prior experience;

2. A Class 3 meter worker who has not performed metering work equivalent to that described in subsection (b) for six months or more shall be re-certified prior to performing Class 3 meter work.

g) Continuing Education. A Class 3 meter worker shall participate annually in at least 12 hours of continuing education. The content of this training shall be determined by the certificated MSP and shall address standards of practice and related safety issues.

83 Ill. Adm. Code 460.600 Reports of Accidents

a) Except as otherwise specified in this Section, each MSP will report every accident occurring on property owned by the MSP or resulting from the construction, installation, operation and maintenance of its property within this State. Each report will include, at a minimum, the date, time and place of the accident, description of accident, number of persons killed or injured and name of each person reported.

b) Whenever any such accident occasions the loss of life or limb to a person, the MSP will notify the Manager of the Commission's Energy Division or its successor as quickly as possible, but not to exceed 4 hours after the discovery of the accident.

c) An accident that causes death or personal injury to any persons or that causes over $100,000 damage to the property of the MSP should be reported. Any traffic accident that causes death to any persons on public thoroughfares involving an MSP operated motor vehicle should be reported.

d) In reporting damages to property, the MSP may state the amount in the nearest even dollars. The MSP shall provide an estimate if the actual amount is not known. The MSP need not include sums paid or payable for death or personal injury.

e) Accidents to persons resulting in death due to injuries sustained from the accident shall be reported as "killed". All other accidents to persons shall be reported as "injured."

f) Accidents to employees shall be reported if the injury prevents the employee from performing normal duties for more than three aggregate days. Accidents to non-employees shall be reported if the injured is not able to resume normal activities within one day.

g) If no accidents occur within a year, the MSP shall file a verified statement with the Chief Clerk of the Commission before February 1 of the following year indicating that no accidents occurred during the previous year.

83 Ill. Adm. Code 460.610 Site Inspections

a) An MSP employee shall visually inspect meter sites prior to performing any work on site. An MSP employee shall not perform any work unless all hazardous conditions are corrected. If a hazardous condition exists that must be corrected by the DSP, the MSP shall notify the DSP immediately. If a hazardous condition exists that must be corrected by the customer, the MSP shall notify the customer immediately.

b) An MSP employee shall immediately notify public safety personnel if a hazardous condition exists that might reasonably be expected to endanger the public if not immediately corrected.

c) If an MSP employee determines that a customer should be designated as a life support customer, the MSP shall notify the DSP of the circumstances and request evaluation of the customer. The MSP may temporarily mark the metering installation with a life support seal until the DSP determines if the customer qualifies as a life support customer. In no case will an MSP classify a customer as a life support customer if the DSP determines that the customer does not qualify.

Chapter I ILLINOIS COMMERCE COMMISSION SUBCHAPTER c: ELECTRIC UTILITIES

Part 461 Certification for New Utility-Scale Solar Installers

83 Ill. Adm. Code 461.10 Definitions

Terms defined in Section 16-128A of the Act shall have the same meaning for purposes of this Part as they have under Section 16-128A of the Act, unless further defined in this Part.

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

"Applicant" means an entity that files an application with the Illinois Commerce Commission requesting certification pursuant to Section 16-128A of the Act to be an installer of new solar projects.

"Certificate holder" means an entity that has received certification pursuant to this Part and that is in good standing with the Commission.

"Commission" means the Illinois Commerce Commission.

"Company", when used in connection with a public utility, includes any corporation, company, limited liability company, association, joint stock company or association, firm, partnership or individual, their lessees, trustees, or receivers appointed by any court whatsoever, owning, holding, operating, controlling or managing such a public utility, but not municipal corporations. "Company", when used other than in connection with a public utility, includes any corporation, company, limited liability company, association, joint stock company or association, firm or partnership, but does not include municipal corporations. [220 ILCS 5/3-112]

"Corporation" includes any corporation, company, limited liability company, association, joint stock company or association, but not municipal corporations. [220 ILCS 5/3-113]

"Directly supervised" means that there is a person on-site at the new solar project who meets the qualifications to perform solar installations and who is available for consultation and review of work performed by apprentices or electrical contractors who are performing installations.

"Entity" means a company, corporation, person or limited liability partnership that is involved in the business of installing utility-scale generation.

"Illinois Community College Board" means the State coordinating board for community colleges that administers the Public Community College Act [110 ILCS 805] in a manner that maximizes the ability of the community colleges to serve their communities.

"Install" means to perform the electrical wiring and connections necessary to interconnect the new solar project with the electric utility's transmission or distribution system at the point of interconnection between the project and the utility. "Install" in this Part specifically does not mean:

Electrical wiring and connections to interconnect the new solar project performed by utility workers;

Electrical wiring and connections internal to the new solar project performed by the manufacturer;

The on-site construction and installation of a solar panel or a collector substation; or

Tasks relating to construction, planning and project management performed by individuals such as an inspector, management planner, consultant, project designer or contractor for the project or their employees.

"NEC" means the National Electrical Code adopted by the National Fire Protection Association, Inc., 1 Batterymarch Park, Quincy MA 02169 (NFPA 70), effective August 24 2016.

"Person" means an individual, firm, limited liability company, or co-partnership. [220 ILCS 5/3-114]

"Qualified person" means a person who performs installations on behalf of the certificate holder and who has completed at least one of the following programs requiring lab or field work and received a certification of satisfactory completion: an apprenticeship as a journeyman electrician from a USDOL-registered or an applicable state-agency-registered electrical apprenticeship and training program; a North American Board of Certified Energy Practitioners (NABCEP) distributed generation technology certification program; an electrical training program for in-house employees established and administered by an electric utility regulated by the Commission; or an Associate in Applied Science degree from an Illinois Community College Board-approved community college program in solar generation technology.

"New solar projects" means utility-scale solar projects for which the installation begins on or after June 1, 2017.

"USDOL-registered electrician apprenticeship program" means an electrician apprenticeship training program that is registered with the United States Department of Labor (USDOL).

"USDOL certification of satisfactory completion" means that the person has received a nationally recognized and portable certificate of completion from an electrician apprenticeship program that is registered with USDOL.

"Utility-scale solar project" has the meaning ascribed in Section 1-10 of the Illinois Power Agency Act [20 ILCS 3855/1-10].

83 Ill. Adm. Code 461.20 Applicability

After June 1, 2017, all entities that install new solar projects in the State of Illinois shall be certified by the Commission under this Part. A developer of new solar projects not directly employing installers or not acting as an installer need not be certified under this Part.

83 Ill. Adm. Code 461.30 Application Procedures

a) The applicant shall file its application for certification under this Part and provide all information required by this Part.

b) Contents of documents filed by applicants shall be consistent with Subpart B of the Commission's Rules of Practice (83 Ill. Adm. Code 200).

c) Applications for certification shall be submitted with the appropriate fee payment (see Section 461.110).

d) Applications for certification shall be filed with the Chief Clerk of the Commission and shall be verified pursuant to Section 200.130 of the Commission's Rules of Practice (83 Ill. Adm. Code 200.130). Applications by a corporation shall be verified by a corporate officer.

e) An entity may complete the certification process after completing an installation of a new utility-scale solar project.

83 Ill. Adm. Code 461.40 Required Application Information

Applications for certification under this Part shall contain the following information:

a) The applicant's name (including d/b/a, if any), street address, telephone number, facsimile number, website, and e-mail address. The applicant shall provide the business name as it appears on its Illinois Secretary of State's Office registration. The applicant shall provide the business name as it appears on its Illinois Secretary of State's Office registration, including any and all assumed business names. This information shall be kept current and any change shall be filed with the Chief Clerk of the Commission at the Commission's Springfield office within 15 days after the change occurs;

b) Contact information, including names, addresses, telephone numbers, facsimile numbers and e-mail addresses, for persons or entities responsible for issues related to processing the application;

c) The applicant's Federal Employer Identification Number (FEIN) or Taxpayer Identification Number (TIN), as applicable;

d) A certification that the applicant will comply with informational and reporting requirements established by this Part;

e) A statement that the applicant agrees to accept service by electronic means as provided for in 83 Ill. Adm. Code 200.1050.

83 Ill. Adm. Code 461.50 Certification Requirements

An applicant shall be certified if the applicant certifies that:

a) It will remain in compliance with all applicable laws and regulations and Commission rules and orders, including, but not limited to, the requirements of Sections 16-128(a) and 16-128A of the Act and this Part.

b) It will ensure that its employees, agents or contractors, or the employees, agents or contractors of any entity, agent or contractor with which it has contracted to install new solar projects within the State of Illinois, shall:

1. Comply with applicable building and electrical codes, including those contained in the NEC;

2. Comply with manufacturer's installation instructions;

3. Install only new solar projects that meet recognized industry standards; and

4. Ensure that all obligations required under this Part and Sections 16-128(a) and 16-128A of the Act are met prior to placing into, or returning into, use any new solar project that the certificate holder installed.

c) It will comply with applicable licensing and municipal bonding requirements to do business in the State of Illinois.

d) Every installation of a new solar project will be performed only by:

1. a qualified person;

2. an electrical contractor who is not a qualified person, provided he/she is directly supervised by a qualified person; or

3. a person who is not a qualified person but is enrolled in a training program that, upon satisfactory completion, will meet the requirement to become a qualified person provided he/she is directly supervised by a qualified person.

e) It is licensed to do business in the State of Illinois.

83 Ill. Adm. Code 461.60 Certifications Conditioned Upon Compliance

Each certification issued to an applicant is conditioned upon compliance with the provisions of this Part and Sections 16-128(a) and 16-128A of the Act. Violation of this Part or the Act makes the certificate holder subject to penalties and/or fines, including suspension or revocation of its certificate issued under this Part, or a combination of these or other sanctions available under the Act.

83 Ill. Adm. Code 461.70 Annual Recertification and Reporting

a) A certificate holder shall recertify annually to remain in good standing with the Commission. Recertification involves submitting a Recertification Report that includes the information required by subsection (c).

b) By June 1 of each year, each certificate holder shall submit a Recertification Report identified with the name of the certificate holder as it appears in the most recent Commission order granting certification under this Part. The report shall be filed with the Chief Clerk of the Commission and shall be verified by a corporate officer pursuant to 83 Ill. Adm. Code 200.130 (the Commission's Rules of Practice).

c) The Recertification Report shall contain the following information:

1. A statement certifying that the certificate holder continues to maintain the required qualifications for the service authority granted in its certificate;

2. A statement confirming the certificate holder's continuing compliance with all requirements set forth in this Part and Sections 16-128(a) and 16-128A of the Act; and

3. The name, telephone number, email address and mailing address of at least one person who is designated by the certificate holder to address questions pertaining to the report.

d) A certificate holder that does not submit a Recertification Report within 30 days after the June 1 annual recertification date is subject to suspension or revocation of its certificate under this Part.

History

• Source: Amended at 49 Ill. Reg. 14943, effective November 5, 2025

Chapter I ILLINOIS COMMERCE COMMISSION SUBCHAPTER c: ELECTRIC UTILITIES

Part 461 Certification for New Utility-Scale Solar Installers

83 Ill. Adm. Code 461.80 Complaint Procedures

Complaints regarding the Commission's enforcement of this Part and Sections 16-128(a) or 16-128A of the Act shall be filed in conformance with 83 Ill. Adm. Code 200.160 and 200.170 and 83 Ill. Adm. Code 280.170. The complaint shall comply with the Commission's Rules of Practice (83 Ill. Adm. Code 200).

83 Ill. Adm. Code 461.90 Commission Oversight

a) Upon complaint or on the Commission's own motion, the Commission may investigate all activities subject to this Part or Section 16-128(a) or 16-128A of the Act, including violations of this Part or those statutes.

b) If, after notice and hearing, the Commission determines that an entity has or is installing new solar projects without Commission certification despite being notified by the Staff of the Commission to complete the certification process, the Commission shall issue penalties for noncompliance.

83 Ill. Adm. Code 461.100 Maintenance of Records

The applicant or certificate holder shall agree to adopt and follow procedures ensuring that documentation regarding the installation of new solar facilities is retained for a period of not less than 3 calendar years after the calendar year in which it was created. These records shall be made available by request to the Commission on a confidential and proprietary basis.

83 Ill. Adm. Code 461.110 Fees

a) The following fees shall apply:

1. Application for certification $3,500

2. Annual recertification None

3. Returned check fee $25

4. (Blank)

b) All fees are nonrefundable.

c) All fees under this Part shall be paid by certified check, cashier's check or money order made payable to "Illinois Commerce Commission/Solar Certification". Each payment shall be accompanied by documentation identifying what fee is being paid, the applicant's or certificate holder's name, address and Federal Employer Identification Number (FEIN)/Taxpayer Identification Number (TIN).

History

• Source: Amended at 49 Ill. Reg. 14943, effective November 5, 2025

Chapter I ILLINOIS COMMERCE COMMISSION SUBCHAPTER c: ELECTRIC UTILITIES

Part 462 Certification for Energy Efficiency Installers

83 Ill. Adm. Code 462.10 Definitions

Terms defined in Section 16-128B of the Public Utilities Act shall have the same meaning for purposes of this Part as they have under Section 16-128B of the Public Utilities Act, unless further defined in this Part. The following terms, when used in this Part, shall have the meaning ascribed to them in this Section.

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

"Applicant" means an entity seeking to be an installer as defined in this Part that files an application with the Commission requesting certification pursuant to Section 16-128B of the Act.

"Best's financial size category" refers to a numerical value that A.M. Best Company or its successor assigns to an insurance company based on the amount of that insurance company's policyholders' surplus and reserve funds.

"Best's rating" refers to a rating from A.M. Best Company or its successor that provides an overall opinion of an insurance company's ability to meet its obligations to policyholders.

"Certificate holder" means an entity that has received certification pursuant to this Part.

"Commercial general liability insurance" means insurance that covers suits against the insured for personal injury and property damages.

"Commission" means the Illinois Commerce Commission.

"Company", when used in connection with a public utility, means any corporation, company, limited liability company, association, joint stock company or association, firm, partnership or individual, their lessees, trustees, or receivers appointed by any court whatsoever, owning, holding, operating, controlling or managing such a public utility, but not municipal corporations. "Company", when used other than in connection with a public utility, includes any corporation, company, limited liability company, association, joint stock company or association, firm or partnership, but does not include municipal corporations. [220 ILCS 5/3-112]

"Corporation" means any corporation, company, limited liability company, association, joint stock company or association, but not municipal corporations. [220 ILCS 5/3-113]

"Directly supervised" means that there is a qualified person on-site available for consultation and review of the installation energy efficiency measures performed by apprentices.

"Electric utility" means a public utility, as defined in Section 3-105 of the Act, that has a franchise, license, permit or right to furnish or sell electricity to retail customers within a service area. [220 ILCS 5/3-105 and 16-102.]

"Energy efficiency" means measures that reduce the amount of electricity or natural gas required to achieve a given end use. "Energy efficiency" also includes measures that reduce the total Btus of electricity and natural gas needed to meet the end use or uses. [20 ILCS 3855/1-10]

"Entity" means a company or corporation or person or limited liability partnership that is involved in the business of performing installations of an energy efficiency measure or measures.

"Installer" means an entity that performs installations.

"Installation" means connecting, in accordance with applicable building and electrical codes, the conductors, connectors and all associated fittings, devices or apparatuses mounted at the premises that are directly involved in delivering energy from the premises' electrical wiring to the energy efficiency measure. Installation does not include making electrical connections using Class 2 circuits as described in the NEC.

"Insurance Code" means the Illinois Insurance Code [215 ILCS 5].

"NEC" means the National Electrical Code adopted by the National Fire Protection Association, Inc., 1 Batterymarch Park, Quincy, MA 02169 (NFPA 70), effective August 24, 2016.

"Person" means an individual, firm, limited liability company or co-partnership [220 ILCS 5/3-114].

"Premises and operations insurance" means coverage that pays for bodily injury or property damage that occurs on an entity's premises or as a result of an entity's business operations.

"Products and completed operations insurance" means coverage that pays for bodily injury and property damage that occurs away from an entity's business premises and is caused by the entity's products or completed work.

"Qualified person" means an individual who performs installations and who has either satisfactorily completed at least five installations, or has completed an apprenticeship as a journeyman electrician from a USDOL Registered Electrician Apprenticeship and Training Program, or graduated with a certificate or degree related to the duties of an installer granted by a regionally accredited educational institution.

"Rules of Practice" means the Commission's Rules of Practice (83 Ill. Adm. Code 200).

"Self-Installer" means an individual who performs installations on premises owned or occupied by the individual or an employee who performs installations on premises owned or occupied by that employee's employer.

"Surplus Line Association of Illinois" means an organization of Illinois surplus line producers created by Section 445.1 of the Insurance Code.

"USDOL certification of satisfactory completion" means that person has received a nationally recognized and portable Certificate of Completion from a United States Department of Labor (USDOL) registered apprenticeship program.

"USDOL-registered electrician apprenticeship program" means an electrician apprenticeship training program that is certified by USDOL.

"Voltage optimization measures" means measures that optimize the voltage at points on the electric distribution voltage system and thereby reduce consumption by electric customers' end use devices.

83 Ill. Adm. Code 462.20 Applicability

After January 1, 2018, with the exception of a self-installer, all installers in the State of Illinois shall be subject to certification by the Commission under this Part.

83 Ill. Adm. Code 462.30 Application Procedures

a) The applicant shall file its application for certification under this Part and provide all information required by this Part.

b) Contents of documents filed by applicants shall be consistent with Subpart B of the Rules of Practice.

c) Applications for certification shall be submitted with the applicable fee payment (see Section 462.110).

d) Applications for certification under this Part shall be filed with the Chief Clerk of the Commission and shall be verified pursuant to Section 200.130 of the Rules of Practice. Applications by a corporation shall be verified by a corporate officer.

e) An entity may complete the certification process after completing an installation.

83 Ill. Adm. Code 462.40 Required Application Information

Applications for certification under this Part shall contain the following information:

a) The applicant's name (including d/b/a, if any), street address, telephone number, facsimile number, website and e-mail address. The applicant shall provide the business name as it appears on its Illinois Secretary of State's registration, including any and all assumed business names. This information shall be kept current and any change shall be filed with the Chief Clerk of the Commission within 15 days after the change occurs.

b) Contact information, including names, addresses, telephone numbers, facsimile numbers and e-mail addresses, for persons or entities responsible for issues related to processing the application.

c) Applicant's Federal Employer Identification Number (FEIN) or Taxpayer Identification Number (TIN), as applicable.

d) A certification that the applicant will comply with informational and reporting requirements established by this Part.

e) A statement that the applicant agrees to accept service by electronic means as provided for in Section 200.1050 of the Rules of Practice.

f) An applicant shall have in force, and provide proof that it has in force, general liability insurance that shall remain in effect for a period of not less than one year.

1. The applicant shall have commercial general liability insurance, which is comprised of premises and operations insurance and products and complete operations insurance, with a coverage limit of at least $100,000 per occurrence and $300,000 aggregate limits for bodily injury.

2. In addition, the applicant shall have property damage insurance with limits of at least $25,000 or shall have a policy with a single limit for bodily injury and property damage of at least $300,000 per occurrence and $300,000 aggregate limits.

3. The commercial general liability insurance must be maintained with an insurance company whose Best's rating is A- or better and whose Best's financial size category is VII or larger:

A) that is either authorized to transact business in Illinois; or

B) whose contract of insurance is issued pursuant to Section 445 or 445a of the Insurance Code and countersigned by the Surplus Line Association of Illinois or its successor.

4. The applicant shall provide a certificate of insurance as part of its application for certification. If the applicant renews or makes changes in its insurance coverage, the insurance coverage must be continuous and without interruption. The certificate of insurance and the insurance policies shall contain a provision that coverage afforded under the policies shall not be cancelled, allowed to expire, or subjected to a reduction in the limits in any manner unless at least 30 days' prior written notice (10 days' notice in the case of nonpayment of premium) has been given to the Commission. The applicant shall file a copy of the additional or replacement certificate of insurance with the Chief Clerk of the Commission and provide a copy to the "Policy Division – EE Installer Insurance Compliance" or its successor at least 15 days in advance of the effective date of the certificate of insurance. The filing shall include a cover letter that explains the purpose of the filing and shall be identified by the name of the applicant as it appears in the most recent Commission order granting the EE Installer certification.

83 Ill. Adm. Code 462.50 Certification Requirements

An applicant shall be certified if it certifies that:

a) It will remain in compliance with all applicable laws and regulations and Commission rules and orders including, but not limited to, the requirements of Sections 16-128(a) and 16-128B of the Act and this Part.

b) It will ensure that its employees, agents or contractors that install energy efficiency measures, or the employees, agents or contractors of any entity, agent or contractor with which it has contracted to perform those functions within the State of Illinois, shall:

1. Comply with applicable building and electrical codes, including those contained in the NEC; and

2. Comply with the energy efficiency measure manufacturer's installation instructions.

c) It will comply with applicable municipal licensing and bonding requirements to do business in the State of Illinois.

d) Every installation of an energy efficiency measure will only be performed by:

1. a qualified person;

2. a person licensed as an electrical contractor in at least one municipality in the State of Illinois who is not a qualified person, provided he/she is directly supervised by a qualified person; or

3. a person enrolled in either an apprenticeship as a journeyman electrician from a USDOL Registered Electrician Apprenticeship and Training Program or certificate or degree program accredited by an educational institute related to the duties of an installer that, upon satisfactory completion, will meet the requirement to become a qualified person, provided he/she is directly supervised by a qualified person.

e) It is licensed to do business in the State of Illinois.

83 Ill. Adm. Code 462.60 Certifications Conditioned Upon Compliance

Each certification issued to an applicant is conditioned upon compliance with the provisions of this Part and Sections 16-128(a) and 16-128B of the Act. Violation of this Part or the Act makes the installer subject to penalties, including certificate suspension, revocation, fines or a combination of sanctions.

83 Ill. Adm. Code 462.70 Annual Recertification and Reporting

a) A certificate holder shall recertify annually to remain in good standing with the Commission. Recertification involves submitting a Recertification Report that includes the information required by subsection (c).

b) By June 1 of each year, each certificate holder shall submit a Recertification Report identified with the name of the certificate holder as it appears in the most recent Commission order granting certification under this Part. The report shall be filed with the Chief Clerk of the Commission and shall be verified by a corporate officer pursuant to Section 200.130 of the Rules of Practice.

c) The Recertification Report shall contain the following information:

1. A statement certifying that the certificate holder continues to maintain the required qualifications for the service authority granted in its certificate;

2. A statement confirming the certificate holder's continuing compliance with all requirements set forth in this Part and Sections 16-128(a) and 16-128B of the Act;

3. The number of energy efficiency measure installations that a certificate-holder installed classified as residential or commercial during the prior calendar year; and

4. The name, telephone number, email address and mailing address of at least one person designated by the certificate holder to address questions pertaining to the report.

d) The report shall not contain customer identifying information.

e) A certificate holder that does not submit a Recertification Report within 30 days after the June 1 annual recertification date is subject to suspension or revocation of its certificate.

History

• Source: Amended at 49 Ill. Reg. 14948, effective November 5, 2025

Chapter I ILLINOIS COMMERCE COMMISSION SUBCHAPTER c: ELECTRIC UTILITIES

Part 462 Certification for Energy Efficiency Installers

83 Ill. Adm. Code 462.80 Complaint Procedures

Complaints shall be filed in conformance with Sections 200.160 and 200.170 of the Rules of Practice and 83 Ill. Adm. Code 280.170. The complaint shall comply with the Rules of Practice.

83 Ill. Adm. Code 462.90 Commission Oversight

a) Upon complaint or on the Commission's own motion, the Commission may investigate any and all activities subject to this Part or Sections 16-128(a) and 16-128B of the Act, including violations of this Part or of those statutes.

b) If, after notice and hearing, the Commission determines that an entity is performing the work of an installer without completing Commission certification despite being notified by the Staff of the Commission to complete the installer certification process, the Commission shall issue penalties for noncompliance.

c) If, after notice and a hearing, the Commission determines that a certificate holder has not submitted a Recertification Report within 130 days after the June 1 date established under Section 462.70, or pursuant to findings related to subsection (a) or (b) of this Section, the Commission may revoke the certification of the certificate holder.

83 Ill. Adm. Code 462.100 Maintenance of Records

The applicant or certificate holder shall agree to adopt and follow rules and procedures ensuring that documentation regarding installations is retained for a period of not less than 3 calendar years after the calendar year in which it was created. These records shall be made available to the Commission, upon request, on a confidential and proprietary basis.

83 Ill. Adm. Code 462.110 Fees

a) The following fees shall apply:

1. Application for certification $100

2. Annual recertification None

3. Returned check fee $25

4. (Blank)

b) All fees are nonrefundable.

c) All fees under this Part shall be paid by certified check, cashier's check or money order made payable to "Illinois Commerce Commission/EE Installer Certification". Each payment shall be accompanied by documentation identifying what fee is being paid, the applicant's or certificate holder's name, address and FEIN/TIN.

History

• Source: Amended at 49 Ill. Reg. 14948, effective November 5, 2025

Chapter I ILLINOIS COMMERCE COMMISSION SUBCHAPTER c: ELECTRIC UTILITIES

Part 462 Certification for Energy Efficiency Installers

83 Ill. Adm. Code 462.120 Obligations of Electric Utilities

a) Except as provided in subsection (b), an electric utility shall not issue to a retail customer a rebate or other energy efficiency incentive greater than $300 for the installation of an energy efficiency measure covered by this Part, unless the electric utility receives from the customer:

1. a certification that the person installing the energy efficiency measure covered by this Part was a self-installer; or

2. evidence that the energy efficiency measure covered by this Part was installed by an entity certified under this Part that is in good standing with the Commission.

b) An electric utility subject to the requirements of this Part shall be permitted to petition the Commission for an increase in the initial $300 value identified in subsection (a). The petition shall be supported by data or analyses supporting the proposed new value and shall be granted upon good cause being shown by the utility. If, after notice and hearing, the Commission approves a new threshold value, then the value established in subsection (a) shall no longer apply.

c) Notwithstanding anything to the contrary, for purposes of this Part, an "energy efficiency measure covered by this Part" does not include a measure installed on or before December 31, 2017, regardless of when the incentive or rebate application is submitted.

Chapter I Illinois Commerce Commission

Subchapter c Electric Utilities

Part 465 Net Metering

83 Ill. Adm. Code 465.5 Definitions

Terms defined in Section 16-102 of the Public Utilities Act (Act) [220 ILCS 5/16-102] shall have the same meaning for purposes of this Part as they have under Section 16-102 of the Act, unless further defined in this Part.

"Alternative retail electric supplier" or "ARES" has the meaning set forth in Section 16-102 of the Act.

"Annual period" means the period of 12 consecutive monthly billing periods ending on the last day of either the net metering customer's April monthly billing period or its October monthly billing period, whichever was selected by the customer in connection with its application for net metering.

"Arm's-length agreement" means an agreement negotiated by unrelated parties, each acting in his or her own self-interest. "Arm's-length agreement" shall not include any standardized agreement offered to consumers of goods or services that does not afford the consumer a realistic opportunity to bargain and is offered under such conditions that the consumer cannot obtain the desired product or service except by acquiescence in the standardized agreement.

"Avoided costs" means the incremental costs to the electricity provider of electric energy or capacity or both, which, but for the purchase from an eligible customer, the electricity provider would generate itself or purchase from another source.

"Electric utility" means a public utility, as defined in Section 3-105 [220 ILCS 5/3-105] of the Act, that has a franchise, license, permit or right to furnish or sell electricity or light, except when used solely for communications purposes, to retail customers within a service area, as both of these terms are defined in Section 16-102 of the Act.

"Electricity provider" means an electric utility or an alternative retail electric supplier.

"Electricity supplier" means:

the alternative retail electric supplier that is providing electric supply services; or

the electric utility that is providing electric supply services, either within or outside its service area.

"Eligible customer" or "customer" means a retail customer that owns or operates a solar, wind, or other eligible renewable electrical generating facility with a rated capacity of not more than 2,000 kilowatts (kW) that is located on the customer's premises and is intended primarily to offset the customer's own electrical requirements.

"Eligible renewable electrical generating facility" means a generator or generators with a total rated capacity of not more than 2,000 kW powered by solar electric energy, wind, dedicated crops grown for electricity generation, agricultural residues, untreated wood waste and unadulterated wood waste, landscape trimmings, livestock manure, anaerobic digestion of livestock waste or anaerobic digestion of food processing waste, fuel cells powered by renewable fuels or microturbines powered by renewable fuels, or hydroelectric energy.

"Net electricity metering" or "Net metering" means measurement during the billing period applicable to an eligible customer of the net amount of electricity supplied by an electricity provider to the customer's premises or provided to the electricity provider by the customer.

"Net purchaser of electricity" means that the total amount of generation produced by the customer is less than the customer's total usage during an applicable billing period.

"Net seller of electricity" means that the total amount of generation produced by the customer is greater than the customer's total usage during an applicable billing period.

"Non-competitive customer" means an eligible customer whose class of electric service had not been declared competitive pursuant to Section 16-113 of the Act prior to July 1, 2011, including:

all residential retail customers;

all non-residential retail customers with peak demands of less than 100 kW if located in the service territory of an electric utility serving at least 3,000,000 retail customers; and

all non-residential retail customers with peak demands of less than 150 kW if located in the service territory of an electric utility serving at least 1,000,000 retail customers.

"Time of use rate" means any contract or tariff under which the kilowatt-hour (kWh) price for electric power and energy supply is not uniform over all of the hours in a billing period.

"Type (d) Customer" means an eligible, non-competitive customer whose electric delivery service is provided and measured on a kWh basis and whose electric supply service is not based on hourly pricing.

"Type (d-5) Customer" means an eligible, non-competitive customer whose electric delivery service is provided and measured on a kWh basis and whose electric supply service is based on hourly pricing.

"Type (e) Customer" means an eligible, non-competitive customer whose electric delivery service is provided and measured on a kW demand basis and whose electric supply service is not based on hourly pricing.

"Type (f) Customer" means an eligible customer who is not a Type (d) Customer, Type (d-5) Customer or Type (e) Customer.

History

• Source: Amended at 40 Ill. Reg. 7578, effective May 6, 2016

83 Ill. Adm. Code 465.10 Application of Part 465

This Part shall apply to all Illinois electric utilities and ARES in accordance with Section 16-107.5 of the Act.

History

• Source: Amended at 40 Ill. Reg. 7578, effective May 6, 2016

83 Ill. Adm. Code 465.20 Purpose of This Part

The purpose of this Part is to establish standards for net metering in accordance with the requirements of Section 16-107.5 of the Act. Nothing in this Part is intended to conflict with or supersede 83 Ill. Adm. Code 452.

83 Ill. Adm. Code 465.30 Tariffs

Each electric utility subject to Section 16-107.5 of the Act shall file a tariff with the Illinois Commerce Commission (Commission) in compliance with Section 16-107.5 of the Act and this Part.

83 Ill. Adm. Code 465.35 Net Metering Application and Enrollment Procedures

a) Each electricity supplier shall establish an application form and publish on its website procedures to enable eligible customers to participate in the net metering program offered by the electricity supplier. Each electricity supplier shall designate a point of contact and provide contact information on its website. The point of contact shall be able to direct questions concerning net metering request submissions and the net metering process to knowledgeable individuals within the company.

b) An electricity provider may establish an enrollment cap of 5% of the peak demand supplied by the electricity provider in the previous calendar year in accordance with Section 16-107.5(j) of the Act. Nothing in this Part alters the authority of electricity providers to offer net metering beyond the limitations in Section 16-107.5(j) of the Act, if they so choose.

c) Net metering enrollment priority shall be established on a first-come, first-served basis, according to an electricity supplier's date stamp or similar electronic method for indicating receipt of a completed net metering application.

d) Each completed application for net metering services shall be in writing or be submitted via an electronic application process established by the electricity supplier and shall include:

1. The customer's name, contact information and corresponding service location where the proposed net metering generation facility or facilities are located;

2. The name plate capacity rating of the proposed net metering generation facility or facilities; and

3. Sufficient information to permit the electricity supplier to determine whether any facility on the application qualifies as an eligible renewable electrical generating facility.

e) Electricity suppliers shall provide net metering applicants with a single mailing address to which a completed physical application must be sent. In addition, or as an alternative, electricity suppliers may establish an electronic net metering application process. Electricity suppliers shall date stamp, either physically or by electronic means, each completed application upon receipt and determine whether the application meets the requirements of subsection (d). Electricity suppliers shall, within 10 business days after receipt of a qualified application or completion of an open enrollment period, notify an applicant whether it is authorized to participate in the electricity supplier's net metering program. An electricity supplier shall state, in writing, its reasons for denying a prospective net metering customer's application. An electricity supplier shall not deny a prospective net metering customer's application in a manner that violates this Part, 83 Ill. Adm. Code 466 or Section 16-107.5 of the Act.

f) If an electricity supplier denies an application due to the cap authorized by subsection (b), the electricity supplier shall offer the applicant the opportunity to be placed on a waiting list. If space becomes available under the cap, due to either attrition among enrolled customers or an increase in the electricity supplier's peak demand, wait-listed customers shall be processed before new applications.

g) Any authorization to net meter shall remain effective for as long as the customer remains eligible for net metering and continues taking electric supply service from the electricity supplier, subject to the limitations in subsections (g)(1) and (g)(2).

1. A customer authorized to net meter under subsection (e) shall submit an executed application for interconnection, pursuant to 83 Ill. Adm. Code 466, to the customer's electric utility within 30 business days after the date of the notification from the electricity supplier pursuant to subsection (e). An electricity supplier may cancel the authorization if the customer has not submitted an executed application by the date specified in subsection (g)(2)(A).

2. The following provisions apply to any electricity supplier that establishes enrollment limits, as authorized by subsection (b):

A) The electricity supplier shall cancel a customer's authorization to net meter if the customer has not executed and returned to the customer's electric utility an interconnection agreement with the electric utility pursuant to 83 Ill. Adm. Code 466 and provided the executed interconnection agreement to its electricity supplier within 12 months after receiving the interconnection agreement from the electric utility.

B) The electricity supplier must automatically extend the authorization to net meter by an additional six months for an eligible customer that has met the requirements of subsection (g)(2)(A), but whose eligible renewable electrical generating facility has not commenced operation and passed any applicable witness test.

C) A customer seeking to extend the authorization to net meter for an additional six months pursuant to subsection (g)(2)(B) must pay a deposit of $25 for each kW of the nameplate rating of the customer's eligible renewable electrical generating facility, which shall be refunded only if the facility commences operation and passes any applicable witness test. A customer may only receive a single six-month extension.

D) Customers who have previously applied to net meter must reapply if:

i) the customer has had its authorization to net meter canceled for failure to execute and return the interconnection agreement as required by subsection (g)(2)(A); or

ii) the customer has exhausted its allotted time to commence operation and pass any applicable witness test pursuant to subsections (g)(2)(B) and (g)(2)(C).

E) If a customer must reapply pursuant to subsection (g)(2)(D), all other customers awaiting authorization to net meter at that time shall be deemed to have applied before the reapplying customer for purposes of the enrollment priority established by subsection (c). Additionally, the project for which a customer must reapply shall be removed from the calculation of the 5% of peak demand supplied by the electricity supplier enrollment cap.

h) With respect to any customer that has been authorized for net metering offered by an ARES, the ARES must notify the electric utility in writing or via an electronic method approved by the utility of the customer's status as a net metering customer within 15 days after the customer's authorization.

i) With respect to any customer that has had its authorization for net metering canceled by an ARES, the ARES must notify the electric utility in writing or via an electronic method approved by the utility of the customer's status as a canceled net metering customer within 15 days after the cancellation.

j) With respect to any non-competitive customer authorized for net metering offered by an electricity supplier that is switching to another electricity supplier, the electric utility must notify the customer's new electricity supplier via an electronic method approved by the utility of the customer's status as a net metering customer.

k) With respect to any customer that has been authorized for net metering that is switching from one electricity supplier to another, the customer's new electricity supplier shall inform the customer within 15 calendar days after the date the electric utility provides the notice to the new electricity supplier pursuant to subsection (j), of any steps that are necessary to apply for net metering with the new supplier.

History

• Source: Amended at 40 Ill. Reg. 7578, effective May 6, 2016

Chapter I Illinois Commerce Commission

Subchapter c Electric Utilities

Part 465 Net Metering

83 Ill. Adm. Code 465.40 Reporting Requirements

The annual report required by Section 16-107.5(k) of the Act shall be filed electronically with the Chief Clerk of the Illinois Commerce Commission, in a manner that meets all filing requirements of the Commission's electronic filing system, by April 1 of each year. The report shall include all information required under Section 16-107.5(k) of the Act, including, but not limited to: the total number of net metering customers served by the electricity provider; the type, capacity and energy sources of the generating systems used by the electricity provider's net metering customers; whether the total generating capacity of the electricity provider's net metering customers equals or exceeds the 5% cap; and whether the electricity provider intends to limit the total generating capacity of its net metering customers to 5%. The Commission will maintain the reports required by this Section on the Commission's website.

History

• Source: Amended at 40 Ill. Reg. 7578, effective May 6, 2016

83 Ill. Adm. Code 465.50 Electricity Provider Billing for Eligible Customers

a) Billing for Type (d) Customers

1. The electricity supplier shall determine whether each customer is a net purchaser of electricity or a net seller of electricity during the billing period.

2. If a customer is a net purchaser of electricity during the billing period, the electricity supplier shall assess charges on the net amount purchased at the tariffed or contract rate, as appropriate, under which the customer is taking service from the electricity supplier. When the electricity provider is an ARES, the electric utility shall assess charges for delivery and other provided services at the tariffed rate under which the customer is taking electric service from the electric utility. Notwithstanding these requirements, the tariffed or contract rates for both electric supply and delivery services shall be non-discriminatory rates that are identical, with respect to rate structure, retail rate components, and any monthly charges, with the rates that the customer would be charged if not a net metering customer, unless an electricity supplier and the customer have entered into an arm's-length agreement setting forth different prices, terms and conditions for the provision of net metering service.

3. If a customer is a net seller of electricity during the billing period, the customer shall receive a 1:1 kWh credit from the electricity supplier that is equal to the net kWh supplied by the customer during the billing period. When the electricity supplier is an ARES, the electric utility shall issue to the customer a 1:1 kWh credit for delivery service that is equal to the net kWh delivered to the electric utility's system by the customer during the billing period.

4. Any credits received by the customer shall be carried over to subsequent billing periods. Unused credits shall expire either at the end of the annual period or, in the event the customer terminates service from the electricity supplier, at the time the customer terminates service from the electricity supplier.

5. Customers remain responsible for all taxes, fees and utility delivery charges that would otherwise be applicable to the net amount of electricity used by the customer.

b) Billing for Type (d-5) Customers

1. The electricity supplier shall determine whether each customer is a net purchaser of electricity or a net seller of electricity during each hour for which the tariffed or contract rate, as appropriate, is applicable.

2. For the hours in which the customer is a net purchaser of electricity, the electricity supplier shall charge the customer for the net electricity supplied to and used by the customer according to the terms of the contract or tariff to which the same customer would be assigned or be eligible if the customer were not a net metering customer.

3. For the hours in which the customer is a net seller of electricity, the customer shall receive a credit that consists of an energy credit and a delivery credit. The energy credit for an hour shall be determined by multiplying the net electricity supplied during that hour by the same price per kWh as the electricity provider would charge for kWh energy sales during that same time period. The delivery credit shall be determined by multiplying the net electricity supplied during that hour by a credit that reflects all kWh-based electricity charges applicable to the customer electric service rate, excluding energy charges, for that hour. When eligible customers receive service under an electric utility's bundled service rates, the monetary credit shall be equal to the applicable kWh-based bundled service charges, multiplied by the net electricity supplied over the billing period. The electricity supplier shall provide the energy credit and, if the electricity supplier is also the electric utility, it shall also provide the delivery credit. If the electricity provider is an ARES, the electric utility shall provide credit for delivery services.

4. Customers remain responsible for all taxes, fees and utility delivery charges that would otherwise be applicable to the net amount of electricity supplied to the eligible customer by the electricity provider.

c) Billing for Type (e) Customers

1. The electricity supplier shall determine whether each customer is a net purchaser of electricity or a net seller of electricity during the billing period.

2. If a customer is a net purchaser of electricity during the billing period, the electricity supplier shall assess charges on the net amount purchased at the tariffed or contract rate, as appropriate, under which the customer is taking service from the electricity supplier. When the electricity provider is an ARES, the electric utility shall assess charges for delivery and other provided services at the tariffed rate under which the customer is taking electric service from the electric utility. Notwithstanding these requirements, the tariffed or contract rates for both electric supply and delivery services shall be non-discriminatory rates that are identical, with respect to rate structure, retail rate components, and any monthly charges, with the rates that the customer would be charged if not a net metering customer, unless an electricity supplier and the customer have entered into an arm's-length agreement setting forth different prices, terms and conditions for the provision of net metering service.

3. If a customer is a net seller of electricity during the billing period, the customer shall receive a 1:1 kWh credit that reflects the kWh-based charges in the customer's electric service rate from the electricity supplier that is equal to the net kWh supplied by the customer during the billing period. When the electricity provider is an ARES, the electric utility shall issue to the customer a 1:1 kWh credit that reflects the kWh-based charges, if any, for delivery service that is equal to the net kWh delivered to the electric utility's system by the customer during the billing period.

4. Any credits received by the customer shall be carried over to subsequent billing periods. Unused credits shall expire either at the end of the annual period or, if the customer terminates service from the electricity supplier, at the time of the termination.

5. Customers remain responsible for all taxes, fees and utility delivery charges that would otherwise be applicable to the net amount of electricity used by the customer.

d) Billing for Type (f) Customers

1. The electricity supplier shall determine whether the customer is a net purchaser of electricity or a net seller of electricity during each hour. For each hour, the electricity supplier shall multiply the applicable rate by the amount purchased or sold by the customer to determine each hour's charge or credit. These amounts shall be summed to determine the net energy charge or credit for each billing period.

2. If the customer is a net purchaser of electricity during the billing period, the electricity supplier shall apply the applicable tariffed or contract rate, as applicable, to the net amount purchased. If the customer is a net seller of electricity, the electricity supplier shall compensate the customer for any excess kWh credits at the electricity provider's avoided cost of electricity supply over the monthly period or as otherwise specified by the terms of a power-purchase agreement negotiated between the customer and electricity supplier. For purposes of calculating the customer's electricity bill, any resulting credits may be used to offset other charges assessed by the electricity supplier.

3. The electricity supplier shall not establish any unreasonable differences among localities in net metering customers' prices, terms, conditions, services, products or facilities.

4. For the purpose of calculating the customer's bill, any compensation to the customer may be used to offset other charges assessed by the electricity supplier.

5. Customers remain responsible for all taxes, fees and utility delivery charges that would otherwise be applicable to the gross amount of electricity supplied to the eligible customer by the electricity supplier.

History

• Source: Amended at 40 Ill. Reg. 7578, effective May 6, 2016

83 Ill. Adm. Code 465.55 Interval Meter Data

When the customer's electricity provider is an ARES, the electric utility shall provide interval meter data to that ARES when the information is necessary for the ARES' billing purposes.

History

• Source: Added at 40 Ill. Reg. 7578, effective May 6, 2016

83 Ill. Adm. Code 465.60 Complaint Procedures

Complaints alleging violations of this Part shall be filed pursuant to 83 Ill. Adm. Code 200.

83 Ill. Adm. Code 465.70 Penalty Provisions

a) Upon complaint or on the Commission's own motion, the Commission may conduct an investigation of an electricity provider's actions under any Section of this Part. The Commission may, after notice and hearing:

1. order an electricity provider to cease and desist or correct any violation of, or nonconformance with, any provision of this Part;

2. require an electricity provider to make due reparations or refunds as permitted by statute;

3. impose financial penalties for violations of, or non-conformance with, the provisions of this Part as permitted under the Act;

4. take other remedial and preventive action as provided for under the Act.

b) These remedies shall be cumulative and may be imposed in addition to other remedies that the Commission may have the authority to impose.

History

• Source: Amended at 40 Ill. Reg. 7578, effective May 6, 2016

83 Ill. Adm. Code 465.80 Miscellaneous Provisions

a) In accordance with Section 16-107.5(g) of the Act, nothing in this Part is intended to prevent an arms-length agreement between an electricity provider and an eligible customer that sets forth the ownership or title of renewable energy credits.

b) In accordance with Section 16-107.5(m) of the Act, nothing in this Part is intended to affect any retail contract between an ARES and an eligible customer existing prior to May 6, 2016.

History

• Source: Amended at 40 Ill. Reg. 7578, effective May 6, 2016

83 Ill. Adm. Code 465.90 Meter Aggregation

a) Electricity providers shall separately consider each application for meter aggregation for the purposes of net metering and shall determine whether to allow meter aggregation for purposes of net metering on the basis of the facts and circumstances presented in each application.

b) Whenever an electricity provider determines that it will not allow meter aggregation for the purposes of net metering, the electricity provider shall provide, within 30 days after receiving an application for net metering, an explanation of its determination, based on the facts and circumstances presented in the application, in a written document simultaneously filed with the Chief Clerk of the Commission and provided to the applicant.

History

• Source: Added at 40 Ill. Reg. 7578, effective May 6, 2016

Chapter I Illinois Commerce Commission

Subchapter c Electric Utilities

Part 466 Electric Interconnection of Distributed Energy Resources Facilities

83 Ill. Adm. Code 466.10 Scope

The Illinois Distributed Energy Resources Interconnection Standard applies to distributed energy resources facilities operated in parallel with an electric public utility distribution company in Illinois and meeting the following criteria:

a) The nameplate capacity of the distributed energy resources facility is equal to or less than 10 megavolt amperes (MVA); and

b) The electric distribution system facilities to which the distributed energy resources facility is proposed to interconnect are not subject to the jurisdiction or interconnection requirements of either the Federal Energy Regulatory Commission (FERC) or the applicable Regional Transmission Organization (RTO) (either Midwest Independent Transmission System Operator, Inc. (MISO) or PJM Interconnection, LLC (PJM)).

History

• Source: Amended at 46 Ill. Reg. 9666, effective May 26, 2022

83 Ill. Adm. Code 466.15 Compliance

The Commission shall require implementation of each requirement on November 1, 2022 unless the Commission grants an extension of time for cause.

History

• Source: Added at 46 Ill. Reg. 9666, effective May 26, 2022

83 Ill. Adm. Code 466.20 Definitions

Terms defined in Section 16-102 of the Public Utilities Act [220 ILCS 5] shall have the same meaning for purposes of this Part as they have under Section 16-102 of the Act, unless further defined in this Part. The following words and terms, when used in this Part, have the following meanings unless the context indicates otherwise:

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

"Adverse system impact" means a negative effect that compromises the safety or reliability of the electric distribution system or materially affects the quality of electric service provided by the electric distribution company (EDC) to other customers.

"Affected system" means an electric system not owned or operated by the electric distribution company reviewing the interconnection request that could suffer an adverse system impact from the proposed interconnection.

"Applicant" means a person (or entity) who has submitted an interconnection request to interconnect a distributed energy resources facility to an EDC's electric distribution system.

"Area network" means a type of electric distribution system served by multiple transformers interconnected in an electrical network circuit, generally used in large, densely populated metropolitan areas.

"Business day" means Monday through Friday, excluding State and federal holidays.

"Calendar day" means any day, including Saturdays, Sundays and State and federal holidays.

"Certificate of completion" means a certificate, in a form approved by the Commission, that contains information about the interconnection equipment to be used, its installation and local inspections (see Appendix B).

"Commissioning test" means tests applied to a distributed energy resources facility by the applicant after construction is completed to verify that the facility does not create adverse system impacts and performs to the submitted specifications. At a minimum, the scope of the commissioning tests performed shall include the commissioning test specified in Institute of Electrical and Electronics Engineers, Inc. (IEEE) Standard 1547 Section 5.4 "Commissioning tests".

"Contingent upgrades" means proposed interconnection facilities or distribution system upgrades, identified during interconnection studies for an applicant's interconnection request, that are the responsibility of an interconnection request earlier in the queue than the subject application for interconnection. The identified contingent upgrades are required in order for the applicant's proposed interconnection request to receive permission to operate and, if delayed or not built by the earlier-queued interconnection request, could cause a need for restudies of the interconnection request and may become the responsibility of the applicant's interconnection request.

"Distributed energy resources facility" or "DER" facility means the equipment used by an interconnection customer to generate or store electricity that operates in parallel with the electric distribution system. A DER facility may include, but is not limited to, an electric generator or energy storage system, a prime mover, and the interconnection equipment required to safely interconnect with the electric distribution system or local electric power system.

"Distribution upgrade" means a required addition or modification to the electric distribution system to accommodate the interconnection of the DER facility. Distribution upgrades do not include interconnection facilities.

"Draw-out type circuit breaker" means a switching device capable of making, carrying and breaking currents under normal and abnormal circuit conditions such as those of a short circuit. A draw-out circuit breaker can be physically removed from its enclosure creating a visible break in the circuit. The draw-out circuit breaker shall be capable of being locked in the open, drawn-out position.

"Earlier in the queue" means that an interconnection request relative to another interconnection request retains the rights to use any available distribution system capacity first and may be interconnected first.

"Electric distribution company" (EDC) means any electric utility subject to the jurisdiction of the Commission.

"Electric distribution system" means the facilities and equipment owned and operated by the EDC and used to transmit electricity to ultimate usage points such as homes and industries from interchanges with higher voltage transmission networks that transport bulk power over longer distances. The voltage levels at which electric distribution systems operate differ among areas, but generally operate at less than 100 kilovolts (kV) of electricity. "Electric distribution system" excludes facilities under the operational control of the regional transmission organization (RTO) that would otherwise be classified as distribution.

"Energy storage system" (ESS) means a mechanical, electrical, or electrochemical means to store and release electrical energy, and its associated electrical inversion device and control functions.

"Export capacity" means the nameplate capacity in kilovolt amperes (kVA) of a DER facility except where that capacity is limited by an acceptable means as identified in Section 466.75.

"Fault current" is the electrical current that flows through a circuit during an electrical fault condition. A fault condition occurs when one or more electrical conductors contact ground or each other. Types of faults include phase to ground, double-phase to ground, three-phase to ground, phase-to-phase, and three-phase. Often, a fault current is several times larger in magnitude than the current that normally flows through a circuit.

"Host load" means the electrical power registered by the EDC during the prior 12-month period at the customer meter to which the proposed DER facility is to be interconnected.

"IEEE" is the Institute of Electrical and Electronics Engineers, Inc., 3 Park Avenue, New York NY 10016-5997 (http://www.ieee.org).

"IEEE C37.90" is the IEEE Standard C 37.90 (2005), "IEEE Standard for Relays and Relay Systems Associated with Electric Power Apparatus". This incorporation does not include any later amendments or editions.

"IEEE C37.90.1" is the IEEE Standard C37.90.1 (2012), "IEEE Standard for Surge Withstand Capability (SWC) Tests for Relays and Relay Systems Associated with Electric Power Apparatus". This incorporation does not include any later amendments or editions.

"IEEE C37.90.2" is the IEEE Standard C37.90.2 (2004), "IEEE Standard for Withstand Capability of Relay Systems to Radiated Electromagnetic Interference from Transceivers". This incorporation does not include any later amendments or editions.

"IEEE C62.92.6" is the IEEE Standard C62.92.6 (2017), "IEEE Guide for Application of Neutral Grounding in Electrical Utility Systems, Part VI--Systems Supplied by Current-Regulated Sources". This incorporation does not include any later amendments or editions.

"IEEE Standard 519-2014" is the IEEE Standard 519-2014 "IEEE Recommended Practice and Requirements for Harmonic Control in Electric Power Systems". This incorporation does not include any later amendments or editions.

"IEEE Standard 1547" is the IEEE Standard 1547 (2003) "Standard for Interconnecting Distributed Resources with Electric Power Systems". This incorporation does not include any later amendments or editions.

"IEEE Standard 1547.1" is the IEEE Standard 1547.1 (2005) "Conformance Test Procedures for Equipment Interconnecting Distributed Resources with Electric Power Systems." This incorporation does not include any later amendments or editions.

"Inadvertent export" means the unpermitted, unscheduled, and uncompensated export of real power from a DER facility and exported across the point of interconnection to the EDC's distribution system.

"Interconnection customer" means a person or entity that interconnects, or seeks to interconnect, a DER facility to an electric distribution system.

"Interconnection equipment" means a group of components or an integrated system owned and operated by the interconnection customer that connects an electric generator with a local electric power system, as that term is defined in Section 3.1.6.2 of IEEE Standard 1547, or with the electric distribution system. Interconnection equipment is all interface equipment including switchgear, protective devices, inverters or other interface devices. Interconnection equipment may be installed as part of an integrated equipment package that includes a generator or other electric source.

"Interconnection facilities" means facilities and equipment required by the EDC to accommodate the interconnection of a DER facility. After installation, interconnection facilities become part of the electric distribution system. Collectively, interconnection facilities include all facilities and equipment between the DER facility's interconnection equipment and the point of interconnection, including any modifications, additions, or upgrades necessary to physically and electrically interconnect the DER facility to the electric distribution system. Interconnection facilities are sole use facilities and do not include distribution upgrades.

"Interconnection request" means an applicant's request, in a form approved by the Commission, for interconnection of a new DER facility or to change the capacity or other operating characteristics of an existing DER facility already interconnected with the electric distribution system.

"Interconnection study" is any study described in Section 466.120.

"Lab-certified" means a designation that the interconnection equipment meets the requirements set forth in Section 466.70.

"Like-kind modification" means a modification to interconnection equipment such that the installed interconnection equipment has analogous certification, size, ratings, impedances, efficiencies, and operating capabilities.

"Limited export" means the exporting capability of a DER facility whose generating capacity is limited below the nameplate capacity by the use of a configuration or operating mode as described in Section 466.75.

"Line section" is that portion of an electric distribution system connected to an interconnection customer's site, bounded by automatic sectionalizing devices or the end of the distribution line.

"Local electric power system" means facilities that deliver electric power to a load that is contained entirely within a single premises or group of premises. Local electric power system has the same meaning as that term has as defined in Section 3.1.6.2 of IEEE Standard 1547.

"Material modification" has the meaning ascribed in Section 466.125.

"Minor system modifications" means modifications to an EDC's Electric Distribution System located between the service tap on the distribution circuit and the meter serving the Interconnection Customer or other minor system changes that the EDC estimates will entail less than 10 hours of work and $5,000 in materials.

"Nameplate capacity" is the maximum rated output in kVA of a generator, prime mover, energy storage system, or other electric power production equipment under specific conditions designated by the manufacturer and usually indicated on a nameplate physically attached to the power production equipment.

"Nationally recognized testing laboratory" or "NRTL" means a qualified private organization that meets the requirements of the Occupational Safety and Health Administration's (OSHA) regulations. See 29 CFR 1910.7 (February 18, 2020). This incorporation does not include any later amendments or editions. NRTLs perform independent safety testing and product certification. Each NRTL shall meet the requirements as set forth by OSHA in its NRTL program.

"Non-export" or "non-exporting" means that the DER facility is sized and designed, such that no electrical energy other than inadvertent export allowed by Section 466.75 is transferred from the DER facility to the electric distribution system.

"Operating profile" means the manner in which the DER facility is designed to be operated, based on the generating prime mover and operating characteristics, including any energy storage system.

"Parallel operation" or "parallel" means a DER facility that is connected electrically to the electric distribution system for longer than 100 milliseconds.

"Point of interconnection" or "POI" means the point where the DER facility is electrically connected to the electric distribution system. Point of interconnection has the same meaning as the term "point of common coupling" defined in Section 3.1.13 of IEEE Standard 1547.

"Power control system" means systems or devices that electronically limit or control steady state currents to a programmable limit.

"Power rating configuration setting" means the as-configured value of the active or apparent power ratings that is used as the rating within the DER facility.

"Primary line" means an electric distribution system line operating at greater than 600 volts.

"Protective function" means the specific type of protection, based on the ANSI Protection Device Numbers and functional descriptions, that a utility-grade protective relay provides against conditions that, if left uncorrected, could result in, but not limited to, the following: harm to personnel, damage to equipment, loss of safety or reliability, or operation outside pre-established parameters required by the interconnection agreement.

"Queue position" means, for each distribution circuit or line section, the order of a completed interconnection request relative to all other pending completed interconnection requests on that distribution circuit or line section. It is established by the date that the EDC receives the completed interconnection request.

"Radial distribution circuit" means a circuit configuration in which independent feeders branch out radially from a common source of supply.

"Regional Transmission Organization" or "RTO" means the independent systems operator that administers and oversees the wholesale electricity markets in which the State participates. In Illinois, the two RTOs are the Midcontinent Independent System Operator, Inc. and PJM Interconnection, LLC.

"Scoping meeting" means a meeting between representatives of the applicant and EDC conducted to discuss interconnection issues and exchange relevant information.

"Secondary line" means an electric distribution system line, or service line, operating at 600 volts or less.

"Shared transformer" means a transformer that supplies secondary voltage to more than one customer.

"Spot network" means a type of electric distribution system that uses two or more inter-tied transformers to supply an electrical network circuit. A spot network is generally used to supply power to a single customer or a small group of customers. Spot network has the same meaning as the term "spot network" defined in Section 4.1.4 of IEEE Standard 1547.

"Standard DER interconnection agreement" means a standard interconnection agreement applicable to interconnection requests for DER facilities. (see Appendices A and D).

"UL Standard 1741" means the standard titled "Inverters, Converters, Controllers and Interconnection System Equipment for Use With Distributed Energy Resources (January 28, 2010), Underwriters Laboratories Inc., 333 Pfingsten Road, Northbrook IL 60062-2096. This incorporation does not include any later amendments or editions.

"UL 1741 CRD for PCS" means the Certification Requirement Decision for Power Control Systems for the standard titled "Inverters, Converters, Controllers and Interconnection System Equipment for Use With Distributed Energy Resources" (March 8, 2019), Underwriters Laboratories Inc., 333 Pfingsten Road, Northbrook IL 60062-2096. This incorporation does not include any later amendments or editions.

"Utility-grade protective relay" means a protective relay system that works under a variety of environmental and operational conditions and that includes:

Test plugs/switches for testing the operation of the relay without unwiring or disassembly;

Targets to indicate relay operation;

Ability to record and store fault events; and

Conformance with IEEE C37.90, IEEE C37.90.1 and IEEE C37.90.2.

"Witness test" means a verification, either by an on-site observation or review of documents, that the interconnection installation evaluation required by IEEE Standard 1547 Section 5.3 and the commissioning test required by IEEE Standard 1547 Section 5.4 have been performed. For interconnection equipment that has not been lab-certified, the witness test shall also include verification of the on-site design tests as required by IEEE Standard 1547 Section 5.1 and verification of production tests required by IEEE Standard 1547 Section 5.2. All verified tests are to be performed in accordance with the test procedures specified by IEEE Standard 1547.1.

History

• Source: Former Section 466.30 renumbered to 466.20 and amended at 46 Ill. Reg. 9666, effective May 26, 2022

83 Ill. Adm. Code 466.30 Waiver

a) The Commission may, on application or petition of an EDC, DER applicant or customer, or on its own motion, grant a temporary or permanent waiver from this Part, or any Section or subsection of this Part, in individual cases in which the Commission finds that:

1. the provision from which the waiver is granted is not statutorily mandated;

2. there is good cause for the waiver, and it is in the public interest; and

3. the rule from which the waiver is granted would, as applied to the particular case, be unreasonable or unnecessarily burdensome.

b) The burden of proof in establishing a right to waiver shall be on the party seeking the waiver.

History

• Source: Former Section 466.35 renumbered to 466.30 and amended at 46 Ill. Reg. 9666, effective May 26, 2022

83 Ill. Adm. Code 466.35 Waiver (renumbered)

History

• Source: Renumbered at 466.30 at 46 Ill. Reg. 9666, effective May 26, 2022

83 Ill. Adm. Code 466.40 Technical Standards

The technical standard to be used in evaluating interconnection requests governed by the Illinois Distributed Energy Resources Interconnection Standard is IEEE Standard 1547.

History

• Source: Amended at 46 Ill. Reg. 9666, effective May 26, 2022

83 Ill. Adm. Code 466.45 Pre-Application Report

a) A potential applicant may submit a formal written request form along with a non-refundable fee of $300 for a pre-application report on a proposed project at a specific site. The EDC shall provide the pre-application data described in Section 466.50(b) to the potential applicant within 20 business days after receipt of the completed pre-application report request form and payment of the $300 fee. The pre-application report produced by the EDC is non-binding and does not confer any rights; the potential applicant must file an application before it can interconnect with the EDC's system. The written pre-application report request form shall include the following information:

1. project contact information, including name, address, phone number and email address;

2. project location (street address with nearby cross streets, town, and GPS coordinates in decimal format);

3. meter number, pole number, EDC account number or other equivalent information identifying proposed point of interconnection, if available;

4. generator type (e.g., solar, wind, combined heat and power, energy storage or inverter system, or fuel cells);

5. total generation capacity and total storage capacity (alternating current kVA);

6. single or three-phase generator configuration;

7. whether new electric service is required for the site. Include the existing minimum and maximum on-site electrical demand (in kVA) and describe any expected changes to the minimum or maximum on-site electrical demand (in kVA), including the timing of those changes; and

8. the number and capacity of each generator unit to be interconnected at the site specified in the pre-application report request.

b) Using the information provided in the pre-application report request form described in subsection (a), the EDC will identify the distribution facilities that are likely to serve the proposed point of interconnection if the project is constructed, including: substation/area bus, substation transformer or distribution circuit, as applicable. This identification by the EDC does not guarantee, after application of the relevant review process, that the EDC will use the distribution facilities identified in the pre-application report to connect to the project. The potential applicant must request additional pre-application reports if information about multiple points of interconnection is requested. Subject to subsection (c), the pre-application report shall include the following information:

1. Identification of up to two distribution circuits within one quarter mile of the proposed point of interconnection, including the following information:

A) Substation and circuit identifying information;

B) Feeder configuration (e.g., radial or network);

C) Number and size of phase conductors at the point of interconnection;

D) Distance to three-phase (if applicable);

E) Primary circuit voltage at the point of interconnection;

F) Existing aggregate generation capacity interconnected to the identified substations and circuits;

G) Aggregate generation capacity and non-binding estimated costs associated with projects earlier in the queue and planned for the identified substations and circuits;

H) Capacity of the substation transformer, substation circuit equipment, and lowest rated circuit equipment between the proposed point of interconnection and the substation/area bus identified;

I) Circuit peak and minimum load: estimated if actual is unavailable (i.e., minimum load from 10 a.m. to 4 p.m. Central Prevailing Time for fixed panel photovoltaic (PV) systems, from 8 a.m. to 6 p.m. for PV systems using tracking systems, or absolute minimum for non-PV and energy storage systems);

J) Approximate circuit distance between the proposed point of interconnection and the identified substation or area bus;

K) Size and type of relevant protective devices between the proposed point of interconnection and the substation/area bus identified, including:

i) Lowest rated upstream recloser, where applicable; and

ii) Lowest rated upstream fuse, where applicable;

L) Number of regulating devices between the proposed point of interconnection and the substation/area bus identified; and

M) For the EDC's proposed point of interconnection, all existing or anticipated constraints that might affect the interconnection.

2. Disclosure from the EDC as to whether the aggregate contingent upgrades of the systems earlier in the queue are estimated to exceed the following thresholds, if such estimates are available:

A) Distribution facility replacement/upgrades of $50,000;

B) Substation transformer replacement/upgrades of $100,000; or

C) Transmission replacement/upgrades of $100,000.

c) The pre-application report need only include existing data. A pre-application report request does not obligate the EDC to conduct a study or other analysis of the proposed generator in the event that data is not available. The information concerning "available capacity" provided within the pre-application report represents the best information available to the EDC at the time of reporting and does not imply that an interconnection up to this level may be completed without impacts.

History

• Source: Amended at 46 Ill. Reg. 9666, effective May 26, 2022

83 Ill. Adm. Code 466.50 Interconnection Requests

a) Applicants seeking to interconnect a DER facility shall submit an interconnection request to the EDC that owns the electric distribution system to which interconnection is sought. Applicants shall use interconnection request forms approved by the Commission.

b) EDCs may charge a fee by level that an applicant must remit in order to process an interconnection request. The EDCs shall not charge more than the fees specified in the interconnection request application forms (Appendices A and D).

c) Interconnection requests may be submitted electronically.

History

• Source: Amended at 46 Ill. Reg. 9666, effective May 26, 2022

83 Ill. Adm. Code 466.60 General Requirements

a) When an interconnection request for a DER facility includes multiple energy production devices at a site for which the applicant seeks a single point of interconnection, the interconnection request shall be evaluated based on the aggregate nameplate capacity of the multiple devices. Where the export capacity is limited through acceptable means as defined in Section 466.75, the EDC shall evaluate only the aggregate export capacity for certain impacts as specified in the screening and study provisions.

b) When an interconnection request is for an increase in capacity for an existing DER facility, the interconnection request shall be evaluated based on the incremental impact of the new total nameplate capacity of the DER facility. Where the export capacity is limited through acceptable means as defined in Section 466.75, the EDC shall evaluate only the aggregate export capacity for certain impacts as specified in the screening and study provisions.

c) EDCs shall publish on their websites a dedicated email address and phone number as a point of contact. The point of contact shall be able to direct applicant questions concerning interconnection request submissions and the interconnection request process to knowledgeable individuals within the EDC.

d) The information that the EDC makes available to potential applicants can include previously existing EDC studies that help applicants understand whether it is feasible to interconnect a DER facility at a particular point on the EDC's electric distribution system. The EDC may require a confidentiality agreement prior to release of this information. However, the EDC can refuse to provide the information to the extent that providing it violates security requirements or confidentiality agreements, or it is contrary to law or State or federal regulations.

e) The EDC shall deem an interconnection request complete when the applicant submits completed forms.

f) When an applicant is not currently a customer of the EDC at the proposed site, the applicant shall provide, at the time of the interconnection request, proof of the applicant's legal right to control the site, evidenced by the applicant's name on a property tax bill, deed, lease agreement, option agreement, or other legally binding contract.

g) An interconnection request shall be processed in accordance with Sections 466.90(b)(2), 466.100(b)(2), 466.110(a)(2), and 466.120(b) of this Part.

h) To minimize the cost to interconnect multiple DER facilities, the EDC or the applicant may propose a single point of interconnection for multiple DER facilities located at an interconnection customer site that is on contiguous property. If the applicant rejects the EDC's proposal for a single point of interconnection, the applicant shall pay any additional cost to provide a separate point of interconnection for each DER facility. If the EDC, without written and detailed technical explanation, rejects the customer's proposal for a single point of interconnection, the EDC shall pay any additional cost to provide separate points of interconnection for each DER facility. Any disagreement over who bears the cost for providing separate points of interconnection shall be resolved in accordance with Section 466.130.

i) To protect the safety of the EDC's employees or the reliability of the distribution system, EDCs may require that DER facilities have the capability to be isolated from the electric distribution system. For DER facilities interconnecting to a primary line, the isolation shall be by means of a lockable, visible-break isolation device accessible by the EDC. For DER facilities interconnecting to a secondary line, the isolation shall be by means of a lockable isolation device whose status is indicated and is accessible by the EDC. For DER facilities interconnecting to a secondary line through a self-contained meter, the EDC's removal of the self-contained electric meter may satisfy this capability. The isolation device shall be installed, owned and maintained by the owner of the DER facility and located electrically between the DER facility and the point of interconnection. A draw-out type of circuit breaker accessible to the EDC with a provision for padlocking at the drawn-out position satisfies the requirement for an isolation device.

j) The interconnection customer shall allow the EDC to isolate the DER facility. An interconnection customer may elect to provide the EDC with access to an isolation device that is contained in a building or area that may be unoccupied and locked or not otherwise accessible to the EDC by installing a lockbox provided by the EDC that allows ready access to the isolation device. The lockbox shall be in a location determined by the EDC to be accessible by the EDC. The interconnection customer shall permit the EDC to affix a placard in a location of its choosing that provides instructions to EDC operating personnel for accessing the isolation device. If the EDC needs to isolate the distribution generation facility, the EDC shall not be held liable for any damages resulting from the actions necessary to isolate the generation facility.

k) Any metering required for a DER interconnection shall be installed, operated, and maintained in accordance with applicable EDC tariffs and agreements. Any such metering requirements shall be identified in the standard DER interconnection agreement executed between the interconnection customer and the EDC.

l) EDC monitoring and control of DER facilities are permitted only when the nameplate capacity is greater than 2 MVA or for a DER facility with a nameplate capacity equal to or less than 2 MVA when the EDC determines, and the applicant agrees, that such monitoring and control could be used to mitigate impacts from the project that may otherwise require an upgrade or would otherwise be useful or beneficial. Monitoring and control requirements shall be consistent with the EDC's published requirements and shall be clearly identified in the interconnection agreement between the interconnection customer and the EDC. Transfer trip shall not be considered EDC monitoring and control when required and installed to protect the electric distribution system or an affected system against adverse system impacts. However, transfer trip, if required, shall be clearly identified in the interconnection agreement between the interconnection customer and the EDC.

m) The EDC may require a witness test after the DER facility is constructed. The applicant shall provide the EDC with at least 15 business days' notice of the planned commissioning test for the DER facility, unless otherwise agreed by the EDC and applicant. The applicant and EDC shall schedule the witness test at a mutually agreeable time. If the witness test results are not acceptable to the EDC, the applicant shall be granted 30 business days to address and resolve any deficiencies. The time period for addressing and resolving any deficiencies may be extended upon the mutual agreement of the EDC and the applicant prior to the end of the 30 business days. The EDC shall not deny an initial request for extension. Subsequent requests may be denied only if there are applicants later in the queue that would be impacted by additional delays. If the applicant fails to address and resolve the deficiencies to the EDC's satisfaction, the EDC may deem the interconnection request withdrawn. Even if the EDC or an entity approved by the EDC does not witness a commissioning test, the applicant remains obligated to satisfy the interconnection test specifications and requirements set forth in IEEE Standard 1547 Clause 11. The applicant shall, if requested by the EDC, provide a copy of all documentation in its possession regarding testing conducted pursuant to IEEE Standard 1547.1.

n) Each EDC shall allow interconnection requests to be submitted through the EDC's website or via another website if a link is provided on the EDC's website.

o) Each EDC shall dedicate a page on its website to interconnection procedures. The relevant website page shall include the following information updated as it changes or with the frequency specifically identified in this subsection:

1. the EDC's interconnection procedures and attachments in an electronically searchable format;

2. the EDC's interconnection request forms in a format that allows for electronic entry of data;

3. the EDC's interconnection agreements;

4. the EDC's point of contact for questions about interconnection and submission of interconnection requests, including a dedicated e-mail address and phone number;

5. the EDC's interconnection queue;

6. the EDC's hosting capacity map;

7. for EDCs serving more than 500,000 customers, the EDC's hosting capacity analysis results, including, at a minimum, mapping and GIS capability; and

8. an electronic form to request the technical standards required by Section 466.140(d).

p) Each EDC shall allow electronic signatures to be used for interconnection requests and agreements.

q) Each EDC shall accept electronic payments for interconnection fees and study costs.

r) Nothing in this Part shall be interpreted to limit the ability of EDCs and interconnection customers to enter into an agreement to allow the EDC to actively communicate with and control the interconnection customer's smart inverter in order to reduce the facilities and costs associated with interconnection upgrade or as would otherwise be useful or beneficial.

History

• Source: Amended at 46 Ill. Reg. 9666, effective May 26, 2022

83 Ill. Adm. Code 466.70 Lab-Certified Equipment

An interconnection request may be eligible for expedited interconnection review under Section 466.90 if the distributed energy resources facility uses interconnection equipment that is lab-certified. Interconnection equipment shall be deemed to be lab-certified upon establishment of the following:

a) The interconnection equipment has been successfully tested in accordance with IEEE Standard 1547.1, and it complies with the appropriate codes and standards referenced in subsection (f) as demonstrated by any NRTL recognized by OSHA to test and certify interconnection equipment; and

b) The interconnection equipment has been labeled and is publicly listed by the NRTL at the time of the interconnection request; and

c) The NRTL testing the interconnection equipment makes all test standards and procedures that it used to perform equipment certification available, and, with applicant approval, the test data itself. The NRTL may make this information readily available by publishing it on its web site and by encouraging it to be included in the manufacturer's literature accompanying the equipment; and

d) The applicant's use of the interconnection equipment falls within the use or uses for which the interconnection equipment was labeled and listed by the NRTL; and

e) The generator, other electric sources, and interface components being utilized are compatible with the interconnection equipment and are consistent with the testing and listing specified by the NRTL for this type of interconnection equipment; and

f) To meet the requirements for lab certification, interconnection equipment shall be evaluated by an NRTL in accordance with the following codes and standards:

1. IEEE 1547 Standard for Interconnecting Distributed Resources with Electric Power Systems (including use of IEEE 1547.1 testing protocols to establish conformity);

2. UL 1741 Inverters, Converters, Controllers and Interconnection System Equipment for Use With Distributed Energy Resources; and

3. NFPA 70, National Electrical Code (2014), National Fire Protection Association, 1 Batterymarch Park, Quincy MA 02169-7471. This incorporation does not include any later amendments or editions; and

g) Lab-certified interconnection equipment shall not require further design testing or production testing, as specified by IEEE Standard 1547 Sections 5.1 and 5.2, or additional interconnection equipment modification to meet the requirements for expedited review; however, nothing in this Section shall preclude the need for an interconnection installation evaluation, commissioning tests or periodic testing as specified by IEEE Standard 1547 Sections 5.3, 5.4 and 5.5 or for a witness test conducted by an EDC.

History

• Source: Amended at 46 Ill. Reg. 9666, effective May 26, 2022

83 Ill. Adm. Code 466.75 Limited-Export and Non-Exporting Distribution Energy Resources Facilities

The following technical specifications are intended to identify acceptable export control methods to facilitate the interconnection and parallel operation of limited-export and non-export systems with the EDC's electric distribution system.

a) If a DER facility uses any configuration or operating mode in subsections (c)(1) through (6) to limit the export of electrical power across the point of interconnection, then the export capacity shall be only the amount capable of being exported (not including any inadvertent export). To prevent impacts on system safety and reliability, any inadvertent export from a DER facility must comply with the limits identified in this Section. The export capacity specified by the interconnection customer in the application will subsequently be included as a limitation in the interconnection agreement. Applicants seeking to interconnect using the operating modes under this Section shall submit proposed control or protection settings in their application for review by the EDC to verify compliance with the requirements of this Section.

b) The export control types and settings listed in subsection (c) are acceptable for controlling export capacity unless the EDC identifies and communicates to the customer during the interconnection screening or study process specific impacts that affect the reliability, safety, operation and power quality of the EDC's system associated with the protection relays, settings and control schemes listed in this Section. In that case, the EDC may identify alternate settings that would be required for safe and reliable interconnection of the proposed DER facility. The EDC may also identify any monitoring and control equipment to be installed at Applicant’s expense on DER systems using export control equipment that is required for safe and reliable interconnection and operation of the DER facility.

c) The export controls identified in subsections (c)(1) through (3) are acceptable for non-exporting systems only. The export control identified in subsections (c)(4) and (c)(5) may be used for limited export systems only. The export controls in subsections (c)(6) and (7) may be used for either non-exporting or limited export systems. Inverter-based limited export systems shall use advanced inverters utilizing operating modes and settings specified by the EDC in its written technical standards for interconnection.

1. Reverse Power Protection (Device 32R)

To limit export of power across the point of interconnection, a reverse power protective function is implemented using a utility-grade protective relay. The default setting for this protective function shall be 0.1% (export) of the service transformer's nominal base nameplate rating, with a maximum 2.0 second time delay to limit inadvertent export.

2. Minimum Power Protection (Device 32F)

To limit export of power across the point of interconnection, a minimum import protective function is implemented using a utility-grade protective relay. The default setting for this protective function shall be 5% (import) of the generating unit's total nameplate capacity, with a maximum 2.0 second time delay to limit inadvertent export.

3. Relative Distributed Energy Resource Rating

This option requires the DER facility's nameplate capacity to be so small in comparison to its host facility's minimum load that the use of additional protective functions is not required to ensure that power will not be exported to the electric distribution system. This option requires the DER facility's nameplate capacity to be no greater than 50% of the interconnection customer's verifiable minimum host load over the past 12 months. For systems above 250 kVA, the EDC may require additional assurances, equipment, or agreements based upon evaluation of the stability and reliability of the minimum load data. This option is not available for interconnections to area networks or spot networks.

4. Directional Power Protection (Device 32)

To limit export of power across the point of interconnection, a directional power protective function is implemented using a utility-grade protective relay. The default setting for this protective function shall be the export capacity value, with a maximum 2.0 second time delay to limit inadvertent export.

5. Configured Power Rating

A reduced output power rating utilizing the power rating configuration setting may be used to ensure the DER does not generate power beyond a certain value lower than the nameplate capacity. The reduced power rating shall be indicated by means of a nameplate rating replacement, or by a supplemental adhesive nameplate rating tag to indicate the reduced nameplate rating. At the discretion of the EDC, the applicant may additionally be required to provide a letter from the manufacturer confirming the reduced capacity.

6. Limited Export Utilizing Power Control Systems

The following are the minimum requirements for the limited export utilizing power control systems that meet the criteria specified in this subsection (c)(6). Other factors relevant to the interconnection study process may necessitate additional technical requirements that are not explicitly noted in this subsection. This option is not available for interconnections to area networks or spot networks.

A) DER facilities utilizing this option must use an NRTL-certified UL 1741 power control system and inverter system with a maximum open loop response time of no more than 30 seconds for systems less than or equal to 100 kVA and a maximum open loop response time of no more than 10 seconds for systems greater than 100 kVA. The DER facility must disconnect from the electric distribution system, ceasing to energize the electric system or halting energy production within 2.0 seconds if the period of continuous export exceeds 30.0 seconds.

B) Failure of the control system or inverter system for more than 30.0 seconds resulting from loss of control or measurement signal, loss of control power, single component failure, or related control sensing of the control circuitry must result in the DER facility entering non-export operation mode whereby no energy is exported across the point of interconnection to the electric distribution system until the customer has reestablished real power output control of the DER facility.

C) An acceptable open loop response time may need to be mutually agreed upon between the EDC and the applicant for DER facilities with a nameplate capacity greater than 1 MVA that utilize a NRTL certified power control system.

COMMISSION NOTE: NRTL testing to the UL power control system certification requirements decision shall be accepted until similar test procedures for power control systems are included in a standard.

7. Limited Export Using Agreed-Upon Means

DER facilities may be designed with other control systems or protective functions to limit export and inadvertent export if mutual agreement is reached with the EDC. The limits may be based on technical limitations of the interconnection customer's equipment or the electric distribution system equipment. To ensure inadvertent export remains within mutually agreed-upon limits, the interconnection customer may use an uncertified power control system, an internal transfer relay, energy management system, or other customer facility hardware or software if approved by the EDC.

History

• Source: Added at 46 Ill. Reg. 9666, effective May 26, 2022

83 Ill. Adm. Code 466.80 Determining the Review Level

An EDC shall determine whether an interconnection request should be processed under the Level 1, 2, 3 or 4 procedures by using the following screens:

a) An EDC shall use Level 1 procedures to evaluate all interconnection requests to connect a DER facility when:

1. The applicant has filed a Level 1 application; and

2. The DER facility has an export capacity of 25 kW or less and a nameplate capacity of 50 kW or less. If the DER facility's export capacity is not limited, the nameplate capacity cannot exceed 25 kW; and

3. The DER facility is inverter-based; and

4. The customer interconnection equipment proposed for the DER facility is lab-certified.

b) An EDC shall use Level 2 procedures for evaluating interconnection requests when:

1. The applicant has filed a Level 2 application;

2. For certified inverter-based systems, the permissible nameplate capacity is limited according to the voltage of the line at the proposed point of interconnection as follows:

Line Voltage

Level 2 Eligibility

< 5 kV

≤ 500 kW

≥ 5 kV and < 15 kV

≤ 3 MW

≥ 15 kV and < 30 kV

≤ 4 MW

≥ 30 kV and ≤ 69 kV

≤ 5 MW

3. All DER facilities connecting to lines greater than 69 kV are ineligible for Level 2 review regardless of size. All synchronous and induction machines must have a nameplate capacity no larger than 2 MW to be eligible;

4. The interconnection equipment proposed for the DER facility is lab-certified; and

5. The proposed interconnection is to a radial distribution circuit or a spot network limited to serving one customer.

c) An EDC shall use Level 3 review procedures for evaluating interconnection requests to area networks and radial distribution circuits where power will not be exported based on the following criteria.

1. For interconnection requests to the load side of an area network, the following criteria shall be satisfied to qualify for a Level 3 expedited review:

A) The applicant has filed a Level 3 application; and

B) The nameplate capacity of the DER facility is less than or equal to 50 kW; and

C) The proposed DER facility uses a lab-certified inverter-based equipment package; and

D) The DER facility uses acceptable means for non-export controls as set forth in Section 466.75; and

E) The aggregate of all generation on the area network does not exceed the lower of 5% of an area network's maximum load or 50 kVA.

2. For interconnection requests to a radial distribution circuit, the following criteria shall be satisfied to qualify for a Level 3 expedited review:

A) The applicant has filed a Level 3 application; and

B) The aggregate export capacity of all the generators on the circuit, including the proposed DER facility, is 10 MVA or less; and

C) The DER facility will use acceptable means for controlling export as set forth in Section 466.75; and

D) The DER facility is not served by a shared transformer.

d) An EDC shall use the Level 4 study review procedures for evaluating interconnection requests when:

1. The interconnection request does not qualify for Level 1, 2, or 3 expedited review;

2. The interconnection request failed one or more screens of a Level 1, 2, or 3 expedited review, or a Level 2 supplemental review; or

3. The applicant has filed a Level 4 application.

History

• Source: Amended at 46 Ill. Reg. 9666, effective May 26, 2022

83 Ill. Adm. Code 466.90 Level 1 Expedited Review

An EDC shall use the Level 1 interconnection review procedures for an interconnection request that meets the requirements specified in Section 466.80(a). An EDC may not impose additional requirements on Level 1 reviews that are not specifically authorized under this Section unless the applicant agrees.

a) The EDC shall evaluate the potential for adverse system impacts using the following screens, which shall be satisfied:

1. Until December 31, 2023, for interconnection of a proposed DER facility to a radial distribution circuit, the aggregate export capacity of the DER facilities connected to the distribution circuit, including the proposed DER facility, may not exceed 100% of the minimum load (or 15% of maximum load if minimum load data are unavailable) normally supplied by the distribution circuit or line section. After December 31, 2023, for interconnection of a proposed DER facility to a radial distribution circuit, the aggregate export capacity of the DER facilities connected to the distribution circuit, including the proposed DER facility, may not exceed 100% of the minimum load normally supplied by the distribution circuit or line section.

2. The aggregate nameplate capacity of DER facilities connected on the load side of spot network protectors, including the proposed facility, shall not exceed 5% of the spot network's maximum load or 50 kVA, whichever is less.

3. When a proposed DER facility is to be interconnected on a single-phase shared secondary line, the aggregate export capacity on the shared secondary line, including the proposed DER facility, shall not exceed 20 kVA.

4. When a proposed DER facility is single-phase and is to be interconnected on a center tap neutral of a 240 volt service, its addition may not create an imbalance between the two sides of the 240 volt service of more than 20% of the nameplate rating of the service transformer.

b) The Level 1 interconnection shall use the following procedures:

1. The applicant submits an interconnection request using the appropriate form along with the Level 1 application fee (see Appendix A).

2. Within 7 business days after receipt of the interconnection request, the EDC shall inform the applicant whether the interconnection request is complete or not. If the request is incomplete, the EDC shall specify what information is missing and the applicant has 10 business days after receiving notice from the EDC to provide the missing information or the interconnection request shall be deemed withdrawn.

3. Within 15 business days after the EDC notifies the applicant that its interconnection request is complete, the EDC shall verify whether the DER facility passes all the relevant Level 1 screens.

4. If the applicant passes the Level 1 screens, or the applicant fails screens but the EDC determines that the DER may be interconnected consistent with safety, reliability and power quality standards, the interconnection request shall proceed as follows:

A) If the proposed interconnection requires no construction of facilities by the EDC on its own system, the EDC shall send, or otherwise make available to, the applicant an executed "Conditional Agreement to Interconnect Distributed Energy Resources Facility" (Appendix A), or electronic notification of conditional approval along with notification of the Level 1 review results.

B) If the proposed interconnection requires only minor system modifications, the EDC shall notify the applicant of the requirement when it provides the Level 1 results. The applicant must inform the EDC if the applicant elects to continue the application. If the applicant makes such an election and pays the fees specified in the EDC's tariff, the EDC shall provide a standard DER interconnection agreement (see Appendix D), along with a non-binding good faith cost estimate (if applicable) and construction schedule for those upgrades, to the applicant within 10 business days after the EDC receives such an election and the payment of the fee.

C) If the proposed interconnection requires more than minor system modifications, the EDC shall notify the applicant of that requirement when it provides the Level 1 results. The applicant must inform the EDC if the applicant elects to proceed with the proposed interconnection request. If the applicant makes such an election, the EDC may elect to:

i) provide a standard DER interconnection agreement (see Appendix D), along with a non-binding good faith cost estimate (if applicable) and construction schedule for those upgrades, within 15 business days after the EDC receives such an election and the applicant pays the fee specified in the EDC's tariff; or

ii) notify the applicant that an interconnection facilities study must be performed pursuant to Section 466.120(e)(3). If the applicant elects to proceed with an interconnection facilities study, the EDC shall proceed with the interconnection facilities study according to the timeframes and process in Section 466.120(e)(3).

5. Upon approving the interconnection request pursuant to subsection (b)(4), the EDC shall provide to the applicant a signed version of the "Conditional Agreement to Interconnect Distributed Energy Resources Facility" in Appendix A subject to the following conditions:

A) The DER facility has been approved by local or municipal electric code officials with jurisdiction over the interconnection;

B) A certificate of completion (see Appendix B) has been returned to the EDC. Completion of local inspections may be designated on inspection forms used by local inspecting authorities;

C) The witness test has been successfully completed if required by the EDC or if the witness test has been waived according to of Appendix A(2)(c)(ii); and

D) The applicant has signed a standard DER interconnection agreement (see Appendix A). When an applicant does not sign the agreement within 30 business days after receipt of the agreement from the EDC, the interconnection request is deemed withdrawn unless the applicant requests to have the deadline extended for no more than 15 business days. An initial request for extension shall not be denied by the EDC, but subsequent requests may be denied. In order to withdraw a standard DER interconnection agreement, the EDC must first send a notification to the applicant of its intent to withdraw, and the applicant must not have sent an executed standard DER interconnection agreement within 5 business days after receipt of the notice.

6. If the EDC determines and demonstrates that a DER facility does not pass all relevant Level 1 screens, the EDC shall provide a letter to the applicant explaining the reasons that the facility did not pass those screens.

7. If a DER facility is not approved under a Level 1 review, and the EDC's reasons for denying Level 1 status are not subject to dispute, the applicant may submit a new interconnection request for consideration under Level 2, Level 3 or Level 4 procedures. The queue position assigned to the Level 1 interconnection request shall be retained, provided that the new interconnection request is made by the applicant within 15 business days after notification that the current interconnection request is denied.

c) For the purposes of an interconnection customer's payment responsibilities under this Part, the standardized cost for Level 1 interconnection shall be $200. Notwithstanding the foregoing, to the extent that the EDC incurs costs that exceed $200 to accomplish a Level 1 interconnection, the EDC may seek to recover these costs through its base delivery rates.

History

• Source: Amended at 46 Ill. Reg. 9666, effective May 26, 2022

83 Ill. Adm. Code 466.100 Level 2 Expedited Review

An EDC shall use the Level 2 review procedure for interconnection requests that meet the Level 2 criteria in Section 466.80(b). An EDC may not impose additional requirements for Level 2 reviews that are not specifically authorized under this Section unless the applicant agrees.

a) The EDC shall evaluate the potential for adverse system impacts using the following screens, which shall be satisfied:

1. Until December 31, 2023, for interconnection of a proposed DER facility to a radial distribution circuit, the aggregate export capacity of the DER facilities connected to the distribution circuit, including the proposed DER facility, may not exceed 100% of the minimum load (or 15% of the maximum load if minimum data are unavailable) normally supplied by the distribution circuit or line section. After December 31, 2023, for interconnection of a proposed DER facility to a radial distribution circuit, the aggregate export capacity of the DER facilities connected to the distribution circuit, including the proposed DER facility, may not exceed 100% of the minimum load normally supplied by the distribution circuit or line section.

2. For interconnection of a proposed DER facility to the load side of spot network protectors, the proposed DER facility shall utilize an inverter-based equipment package. The customer interconnection equipment proposed for the DER facility must be lab-certified and, when aggregated with other generation, the nameplate capacity may not exceed 5% of a spot network's maximum load.

3. The proposed DER facility, in aggregate with other generation on the distribution circuit, may not contribute more than 10% to the distribution circuit's maximum fault current at the point on the primary line nearest the point of interconnection.

4. The proposed DER facility, in aggregate with other generation on the distribution circuit, shall not cause any distribution protective devices and equipment including substation breakers, fuse cutouts, and line reclosers, or other customer equipment on the electric distribution system to be exposed to fault currents exceeding 90% of their short circuit interrupting capability. However, if fault currents exceed 100% of the EDC's equipment short circuit interrupting capability even without the DER being interconnected, the EDC shall replace the equipment at its own expense, and interconnection may proceed under Level 2.

5. When a customer-generator facility is to be connected to 3-phase, 3-wire primary EDC distribution lines, a 3-phase or single-phase generator shall use a phase-to-phase primary connection. This screen does not apply to DER facilities with a nameplate capacity below 11 kVA.

6. When a customer-generator facility is to be connected to 3-phase, 4-wire primary EDC distribution lines, a 3-phase or single-phase generator shall use a grounded line-to-neutral primary connection. This screen does not apply to DER facilities with a nameplate capacity below 11 kVA.

7. When the proposed DER facility is to be interconnected on single-phase shared secondary line, the aggregate export capacity on the shared secondary line, including the proposed DER facility, may not exceed 20 kVA. In the instance where the proposed DER facility is below 100 kVA and uses acceptable means for controlling export as set forth in Section 466.75, the export capacity of the proposed DER facility will be used.

8. When a proposed DER facility is single-phase and is to be interconnected on a center tap neutral of a 240 volt service, its addition may not create an imbalance between the two sides of the 240 volt service of more than 20% of the nameplate kVA rating of the service transformer.

9. The nameplate capacity of a DER facility, in aggregate with other DER facilities' nameplate capacity interconnected to the distribution side of a substation transformer feeding the circuit where the DER facility proposes to interconnect, may not exceed 10 MVA in an area where there are known or posted transient stability limitations to generating units located in the general electrical vicinity.

b) The Level 2 interconnection shall use the following procedures:

1. The applicant submits an interconnection request using the appropriate form and the Level 2 application fee (see Appendix C).

2. Within 10 business days after receiving the interconnection request, the EDC shall inform the applicant as to whether the interconnection request is complete. If the request is incomplete, the EDC shall specify what materials are missing and the applicant has 10 business days to provide the missing information or the interconnection request shall be deemed withdrawn.

3. After an interconnection request is deemed complete, the EDC shall assign a queue position based upon the date that the interconnection request is determined to be complete. The EDC shall then inform the applicant of its queue position.

4. If, after determining that the interconnection request is complete, the EDC determines that it needs additional information to evaluate the DER facility's adverse system impact, it shall request this information. The EDC may not restart the review process or alter the applicant's queue position because it requires the additional information. The EDC can extend the time to finish its evaluation only to the extent of the delay required for receipt of the additional information. In order to withdraw an interconnection request, the EDC must first send a notification to the applicant of its intent to withdraw, and the applicant must not have sent the information requested by the EDC within 5 business days after receipt of the notice.

5. Within 20 business days after the EDC notifies the applicant it has received a completed interconnection request, the EDC shall:

A) Evaluate the interconnection request using the Level 2 screening criteria.

B) Provide the applicant with the EDC's evaluation, including a written technical explanation. If one or more screens are not passed, the EDC shall provide, in writing, the specific screens that the application failed, including the technical reason for failure. The EDC shall provide information and detail about the specific system threshold or limitation causing the application to fail the screen. If an EDC does not have a record of receipt of the interconnection request and the applicant can demonstrate that the original interconnection request was delivered, the EDC shall expedite its review to complete the evaluation of the interconnection request within 20 business days after the applicant's demonstration.

c) When an EDC determines that the interconnection request passes the Level 2 screening criteria contained in subsection (a), the interconnection request passes the Supplemental Review contained in subsection (f), or the EDC determines that the DER facility can be interconnected safely and will not cause adverse system impacts, even if it fails one or more of the Level 2 screening criteria, it shall provide the applicant with a standard DER interconnection agreement (see Appendix D) within the following timeframes:

1. If the proposed interconnection requires no construction of facilities by the EDC on its own system, the interconnection agreement shall be provided within 5 business days after the notification of Level 2 review results.

2. If the proposed interconnection requires only minor system modifications, the EDC shall notify the applicant of the required minor system modifications when it provides the Level 2 results. The applicant must inform the EDC if the applicant elects to continue the application and pay the fee specified in the EDC's tariff. If the applicant makes such an election, the EDC shall provide to the applicant the interconnection agreement, along with a non-binding good faith cost estimate and construction schedule for the required upgrades within 30 business days after the EDC receives such an election and the payment of the fee.

3. If the proposed interconnection requires more than minor system modifications, the EDC shall notify the applicant of that requirement when it provides the Level 2 or supplemental review results. The applicant must inform the EDC if the applicant elects to continue the application. If the applicant makes such an election, the EDC may elect to:

A) provide a standard DER interconnection agreement (see Appendix D), along with a non-binding good faith cost estimate and construction schedule for the required upgrades within 45 business days after the EDC receives such an election and the applicant pays the fee specified in the EDC's tariff; or

B) notify the applicant that an interconnection facilities study under Section 466.120(e)(3) must be performed to determine the necessary upgrades. If the applicant elects to proceed with an interconnection facilities study, the EDC shall proceed with the interconnection facilities study according to the timeframes and process in Section 466.120(e)(3).

d) Within 30 business days after receipt of the standard DER interconnection agreement, the applicant shall sign and return the agreement to the EDC. If the applicant does not sign and return the agreement within 30 business days, the interconnection request shall be deemed withdrawn unless the applicant requests a 15-business-day extension in writing. The initial request for extension may not be denied by the EDC. When the EDC constructs an additional review under the provisions of subsection (f), the interconnection of the DER facility shall proceed according to milestones agreed to by the parties in the standard DER interconnection agreement.

e) The DER facility is not permitted to operate until:

1. All requirements in the standard DER interconnection agreement are satisfied;

2. The DER facility is approved by the electric code officials with jurisdiction over the interconnection;

3. The applicant provides a certificate of completion (see Appendix B) to the EDC. Completion of local inspections may be designated on inspection forms used by local inspecting authorities; and

4. The witness test is successfully completed if required by the EDC or if the witness test is waived according to Article 2.1.1 of Appendix D.

f) When a DER facility fails to meet one or more of the Level 2 screens contained in subsection (a), the EDC shall provide the applicant the opportunity to amend its application one time to address the screen failure and offer to perform a supplemental review in accordance with the following subsections and provide the applicant with a non-binding estimate for the costs of the supplemental review. If the applicant chooses to amend the application to address the specific screens that failed, the applicant must submit updated application materials demonstrating the redesign within 10 business days after receiving the screen results from the EDC. If the applicant chooses to have a supplemental review performed, the EDC shall undertake the supplemental review only after the applicant pays for the supplemental review.

1. If the applicant accepts the offer of a supplemental review, the applicant shall agree in writing and pay the amount of the EDC's good faith estimate of the costs of that review, both within 15 business days after the offer. If the written agreement and payment have not been received by the EDC within that timeframe, the interconnection request shall be considered withdrawn by the applicant.

2. The applicant may specify the order in which the EDC will complete the screens in this Section.

3. The applicant shall be responsible for the EDC's actual costs for conducting the supplemental review. The applicant must pay any additional costs that exceed the good faith estimate within 20 business days after receipt of the invoice or resolution of any dispute. If the initial payment exceeds the invoiced actual costs, the EDC will return that excess within 20 business days after the invoice without interest.

4. Within 30 business days following receipt of the payment for a supplemental review, the EDC shall perform a supplemental review using the screens set forth in this subsection (f)(4); notify in writing the applicant of the results; and include with the notification copies of the analysis and data underlying the EDC's determinations under the screens.

A) Minimum Load Screen

When 12 months of line section minimum load data (including onsite load but not station service load served by the proposed DER facility) are available, the aggregate export capacity of the generating facility on the line section is less than 100% of the minimum load for all line sections bounded by automatic sectionalizing devices upstream of the proposed DER facility. If minimum load data is not available, the EDC shall include the reasons that it is unable to determine minimum load in its supplemental review results notification under this Section. This screen does not apply to non-exporting systems or those that are proposing to add no new export capacity.

i) The type of generation used by the proposed DER facility will be taken into account when determining circuit or line section minimum load relevant to the application of this screen. Solar PV generation systems with no energy storage use daytime minimum load (i.e., 10 a.m. to 4 p.m. for fixed panel systems and 8 a.m. to 6 p.m. for PV systems utilizing tracking systems), while all other generation uses absolute minimum load. The EDC shall apply this screen using the operating profile and system design designated in the interconnection request and accompanying attachments. For example, the EDC shall evaluate the maximum export capacity during the hours of the day designated by the customer as operational and shall take into account any export controls.

ii) Only the net injection into the EDC's electric system will be considered as part of the aggregate export capacity. In the instance where the proposed DER facility uses acceptable means for controlling export as set forth in Section 466.75, only the net power injection into the EDC's electric system will be considered as part of the aggregate export capacity.

iii) For evaluating this screen, the EDC will not include as part of the aggregate export capacity any existing DER facility export capacity already reflected in the minimum load data.

B) Voltage and Power Quality Screen

The project, considered in aggregate with existing generation, must meet the following requirements: the voltage regulation can be maintained in compliance with relevant requirements under all system conditions; the voltage fluctuation is within the EDC's acceptable limits; and the harmonic levels meet limits recommended by IEEE Standard 519-2014: Recommended Practice and Requirements for Harmonic Control in Electric Power Systems.

C) Safety and Reliability Screen

The location of the proposed DER facility and the aggregate generation capacity on the line section do not create impacts to safety or reliability that cannot be adequately addressed without application of the Level 4 process. The EDC shall give due consideration to the following and other factors in determining potential impacts to safety and reliability in applying this screen:

i) whether the line section has significant minimum loading levels dominated by a small number of customers (e.g., several large commercial customers);

ii) whether the loading along the line section is uniform or even;

iii) whether the proposed DER facility is located in close proximity to the substation (i.e., less than 2.5 electrical circuit miles), and whether the line section from the substation to the point of interconnection is a main line rated for normal and emergency ampacity;

iv) whether the proposed DER facility incorporates a time delay function to prevent reconnection of the generator to the system until system voltage and frequency are within normal limits for a prescribed time;

v) whether operational flexibility is reduced by the proposed DER facility, such that transfer of the line section of the DER facility to a neighboring distribution circuit/substation may trigger overloads or voltage issues; and

vi) whether the proposed DER facility employs equipment or systems certified by a nationally recognized testing laboratory (NRTL) to address technical issues such as, but not limited to, islanding, reverse power flow or voltage quality.

5. If the proposed interconnection passes the supplemental review screening in this Section, the EDC shall provide the applicant with an executable interconnection agreement pursuant to subsections (c), (d) and (e).

g) If the DER facility is not approved under a Level 2 review, the EDC shall provide the applicant with written notification explaining its reasons for denying the interconnection request. The EDC shall specify which screens the application failed, including the technical reason for failure, and the data and the analysis supporting the supplemental review. The EDC shall provide information and detail about the specific system threshold or limitation, preventing determination of required system modification without further study. If the applicant chooses to revise the application to address the specific screens that failed, the customer must submit updated application materials demonstrating the redesign within 10 business days after receiving the review results from the EDC and pay an additional review cost. However, this redesign shall not include an increase in export capacity and shall not include a change in the proposed location of the DER facility. Increases in export capacity or changes in facility location shall require a new interconnection request and associated fees. The EDC will evaluate whether the redesign addresses the screen failure and provide the applicant the results of this evaluation in 10 business days. This option shall only be available one time during the screening phase of the Level 2 process.

h) If the applicant chooses not to redesign the project or the redesign does not result in passage of the screens, the applicant may submit a new interconnection request for consideration under a Level 4 interconnection review. The queue position assigned to the Level 2 interconnection request shall be retained, provided that the new interconnection request is made by the applicant within 15 business days after notification that the current interconnection request is denied.

History

• Source: Amended at 46 Ill. Reg. 9666, effective May 26, 2022

83 Ill. Adm. Code 466.110 Level 3 Expedited Review

An EDC shall use the Level 3 expedited review procedure for an interconnection request that meets the criteria in Section 466.80(c). An EDC may not impose additional requirements for Level 3 reviews not specifically authorized under this section unless the applicant agrees.

a) A Level 3 interconnection shall use the following procedures:

1. The applicant submits an interconnection request using the appropriate form and the Level 3 application fee (see Appendix C).

2. Within 10 business days after receiving the interconnection request, the EDC shall inform the applicant as to whether the interconnection request is complete. If the request is incomplete, the EDC shall specify what materials are missing and the applicant has 10 business days to provide the missing information, or the interconnection request shall be deemed withdrawn.

3. After an interconnection request is deemed complete, the EDC shall assign a queue position to it based upon the date the interconnection request is determined to be complete. The EDC shall then inform the applicant of its queue position.

4. If, after determining that the interconnection request is complete, the EDC determines that it needs additional information to evaluate the DER facility's adverse system impact, it shall request this information. The EDC may not restart the review process or alter the applicant's queue position because it requires the additional information. The EDC can extend the time to finish its evaluation only to the extent of the delay is required for receipt of the additional information. If the applicant does not provide this additional information within 15 business days, the EDC may deem the interconnection request withdrawn.

5. Interconnection requests meeting the requirements set forth in Section 466.80(c)(1) for non-exporting DER facilities interconnecting to an area network shall be presumed to be appropriate for interconnection. The EDC shall process the interconnection request to area networks using the following procedures:

A) The EDC shall evaluate the interconnection request under Level 2 interconnection review procedures as set forth in Section 466.100(a) except that the EDC has 25 business days to evaluate the interconnection request against the screens to determine whether interconnecting the DER facility to the EDC's area network has any potential adverse system impacts. In applying the Level 2 screens set forth in Section 466.100(a) for projects on area networks, the EDC may evaluate the proposed DER facility using nameplate capacity and not the export capacity for screens 1 and 7 if it determines that is appropriate.

B) If the Level 2 screens for area networks identify potential adverse system impacts, the EDC may determine, at its sole discretion, that it is inappropriate for the DER facility to interconnect to the area network under Level 3 review, and the interconnection request is denied. The applicant may submit a new interconnection request for consideration under Level 4 procedures at the queue position assigned to the Level 3 interconnection request, if the new interconnection request is made within 15 business days after notification that the current application is denied.

6. For interconnection requests that meet the requirements of Section 466.80(c)(2) for non-exporting DER facilities interconnecting to a radial distribution circuit, the EDC shall evaluate the interconnection request under the Level 2 expedited review in Section 466.100(a).

b) For a DER facility that satisfies the criteria in Section 466.110(a)(5) or (a)(6), the EDC shall approve the interconnection request and provide a standard interconnection agreement (see Appendix D) for the applicant to sign within the following timeframes:

1. If the proposed interconnection requires no construction of facilities by the EDC on its own system, the interconnection agreement shall be provided within 5 business days after the notification of Level 3 review results.

2. If the proposed interconnection requires only minor system modifications, the EDC shall notify the applicant of that requirement when it provides the Level 3 results. The applicant must inform the EDC if the applicant elects to continue the application and pay the fee specified in the EDC's tariff. If the applicant makes such an election, the EDC shall provide the interconnection agreement, along with a non-binding good faith cost estimate and construction schedule for those upgrades, to the applicant within 30 business days after the EDC receives such an election and the payment of the fee.

3. If the proposed interconnection requires more than minor system modifications, the EDC shall notify the applicant of that requirement when it provides the Level 3 results. The applicant must inform the EDC if the applicant elects to proceed with the interconnection. If the applicant makes such an election, the EDC may elect to:

A) provide a standard DER interconnection agreement (see Appendix D), along with a non-binding good faith cost estimate and construction schedule for those upgrades within 45 business days after the EDC receives such an election and the applicant pays the fee specified in the EDC's tariff; or

B) notify the applicant that an interconnection facilities study must be performed pursuant to Section 466.120(e)(3). If the applicant elects to proceed with an interconnection facilities study, the EDC shall proceed with the interconnection facilities study according to the timeframes and process in Section 466.120(e)(3).

c) Within 30 business days after receipt of the standard DER interconnection agreement, the applicant shall complete, sign and return the agreement to the EDC. If the applicant does not sign the standard DER interconnection agreement within 30 business days, the request shall be deemed withdrawn, unless the applicant requests a 15 business day extension in writing. An initial request for extension may not be denied by the EDC. After the standard DER interconnection agreement is signed by the parties, interconnection of the DER facility shall proceed according to any milestones agreed to by the parties in the standard DER interconnection agreement.

d) The DER facility is not permitted to operate until:

1. All requirements in the interconnection agreement are satisfied;

2. The DER facility is approved by the electric code officials with jurisdiction over the DER facility;

3. The applicant provides a certificate of completion (see Appendix B) to the EDC; and

4. The witness test is successfully completed, if required by the EDC or if the witness test is waived according to Article 2.1.1 of Appendix D.

e) If the DER facility is not approved under a Level 3 review, the EDC shall provide the applicant with written notification explaining its reasons for denying the interconnection request. The applicant may submit a new interconnection request for consideration under a Level 4 interconnection review. The queue position assigned to the Level 3 interconnection request shall be retained, provided that the new interconnection request is made within 15 business days after notification that the current interconnection request is denied.

History

• Source: Amended at 46 Ill. Reg. 9666, effective May 26, 2022

83 Ill. Adm. Code 466.120 Level 4 Review

An EDC shall use the Level 4 study review procedures for an interconnection request that meets the criteria in Section 466.80(d).

a) The applicant submits an interconnection request using the appropriate form, along with the Level 4 application fee (see Appendix C).

b) Within 10 business days after receipt of an interconnection request, the EDC shall notify the applicant whether the request is complete. When the interconnection request is not complete, the EDC shall provide the applicant with a written list detailing the information required to complete the interconnection request. The applicant has 10 business days to provide the required information or the interconnection request is considered withdrawn. The parties may agree to extend the time for receipt of the additional information. The interconnection request is deemed complete when the applicant has provided the required information or when the parties have agreed that the applicant may provide additional information later and the interconnection request is ready to be studied.

c) After an interconnection request is deemed complete, the EDC shall assign a queue position to it based upon the date the interconnection request is determined to be complete. When assigning a queue position, an EDC may consider whether there are any other interconnection projects on the same distribution circuit. If there are other interconnection projects on the same distribution circuit, the EDC may consider them together. If an EDC assigns a queue position based on the existence of interconnection projects on the same distribution circuit, the EDC shall notify the applicant of that fact when it assigns the queue position. The queue position of an interconnection request is used to determine the cost responsibility for the facilities necessary to accommodate the interconnection. The EDC shall notify the applicant as to its position in the queue. If the interconnection request is subsequently amended due to a material modification, queue position is determined under Section 466.125 Material Modifications.

d) After the interconnection request has been assigned to the queue, the following procedures shall be followed in performing a Level 4 study review:

1. By mutual agreement of the parties, the scoping meeting, interconnection feasibility study, interconnection impact study, or interconnection facilities study provided for in a Level 4 review and discussed in this Section may be waived or combined. The applicant may unilaterally combine the interconnection feasibility study and the interconnection system impact study. Notwithstanding the waiver of any studies, any such waiver does not preclude further analysis and study by the EDC. The applicant retains the obligation to pay all resultant costs of required upgrades.

2. If agreed to by the parties, a scoping meeting on a mutually agreed upon date and time shall be held, after the EDC has notified the applicant that the Level 4 interconnection request is deemed complete, or the applicant has requested that its interconnection request proceed under Level 4 review after failing the requirements of a Level 2 or Level 3 review. The meeting's purpose is to review the interconnection request, existing studies relevant to the interconnection request, and the results of the Level 2 or Level 3 screening criteria.

3. When the parties agree that an interconnection feasibility study shall be performed, the EDC shall provide to the applicant, no later than 10 business days after the receipt of a complete interconnection request or, if held, the scoping meeting, an interconnection feasibility study agreement (see Appendix E), including an outline of the scope of the study and a non-binding estimate of the cost to perform the study. If the applicant does not sign and return the study agreement within 15 business days, the application shall be deemed withdrawn.

4. When the parties agree that an interconnection feasibility study is not required, the EDC shall provide to the applicant, no later than 10 business days after the receipt of a complete interconnection request or, if held, the scoping meeting, an interconnection system impact study agreement (see Appendix F), including an outline of the scope of the study and a non-binding estimate of the cost to perform the study. If the applicant does not sign and return the study agreement within 15 business days, the application shall be deemed withdrawn.

5. If the parties agree that neither an interconnection feasibility study nor a system impact study is required, the EDC shall provide to the applicant, no later than 10 business days after receipt of a complete interconnection request or, if held, the scoping meeting, an interconnection facilities study agreement (see Appendix G) including an outline of the scope of the study and an estimate of the cost to perform the study. If the applicant does not sign and return the study agreement within 15 business days, the application shall be deemed withdrawn.

6. Contingent upgrades that are identified during the evaluation of the interconnection request shall be documented in the applicable study reports and the interconnection agreement. For each contingent upgrade, when available, the EDC shall provide non-binding estimated interconnection facilities and distribution upgrades costs (if any) and estimated construction schedule upon request of the applicant.

e) The following guidelines shall govern all required interconnection studies:

1. Unless waived by an applicant, an interconnection feasibility study shall include any necessary analyses for identifying a potential adverse system impact to the EDC's electric distribution system that would result from the interconnection at the applicant's proposed point of interconnection from among the following:

A) Initial identification of any circuit breaker short circuit capability limits exceeded because of the interconnection.

B) Initial identification of any thermal overload or voltage limit violations resulting from the interconnection.

C) Initial review of grounding requirements, including review per IEEE C62.92.6 for inverter-based DER when additional grounding equipment is considered, and system protection.

D) Description and non-binding estimated cost and, if available, construction schedule of facilities required to interconnect the DER facility to the EDC's electric distribution system in a safe and reliable manner, including identification of potential increased expenses due to location, distribution system assets, or other relevant factors. Cost estimates provided in each instance must be itemized in line item format and must break down costs by equipment, labor, and other cost categories. The cost estimates must also provide the component parts for direct, indirect, and other identified cost categories.

E) If an applicant requests that the interconnection feasibility study evaluate multiple potential points of interconnection, additional evaluations may be required. Additional evaluations shall be paid for by the applicant.

F) An interconnection system impact study is not required when the interconnection feasibility study concludes that there is no adverse system impact, or when the study identifies an adverse system impact, but the EDC is able to identify a remedy without the need for an interconnection system impact study.

G) A study results meeting will be held within 10 business days after study completion if requested by the applicant. The study results meeting will be attended by technical representatives of the EDC and the applicant. The study results meeting shall not relieve the applicant from its obligations, nor does it toll the clock for the applicant, to take the actions required by the rules at that point in the Level 4 review.

H) Each party may require that the standard form of interconnection feasibility study agreement approved by the Commission be used. If both parties agree, however, an alternative form can be used.

2. An interconnection system impact study evaluates the impact of the proposed interconnection on both the safety and reliability of the EDC's electric distribution system. The study identifies and details the system impacts that interconnecting the DER facility to the distribution system has if there are no system modifications. It focuses on the potential or actual adverse system impacts identified in the interconnection feasibility study, including those that were identified in the scoping meeting. The study shall consider all other DER facilities that, on the date the interconnection system impact study is commenced, are directly interconnected with the EDC's system, have a pending higher queue position to interconnect to the electric distribution system, or have signed an interconnection agreement.

A) A distribution interconnection system impact study shall be performed when a potential distribution system adverse system impact is identified in the interconnection feasibility study. The EDC shall send the applicant an interconnection system impact study agreement within 10 business days after transmittal of the interconnection feasibility study report. The agreement shall include an outline of the scope of the study and a non-binding estimate of the cost to perform the study. The system impact study shall take into account the proposed DER facility's design and operating characteristics and study the project according to how the project is proposed to be operated. The applicant must provide adequate design assurance in accordance with Section 466.75, through demonstration of devices tested to national standards, or approved by the EDC. The export capacity shall be used except when assessing fault current contribution, in which case the nameplate rating is appropriate (unless assurance, approved by the EDC, has been provided showing fault currents are not directly related to nameplate rating and are controlled by some means). The impact study shall include any pertinent elements, assumptions, and thresholds identified in the Impact Study Template in Appendix F.

B) The final interconnection system impact study shall provide the following:

i) The underlying assumptions of the study;

ii) A summary of the analyses;

iii) The results of the analyses, including detailed information on any impacts identified, the drivers and reasons for those impacts, including load, voltage, thermal and other limitations, as well as the boundaries of the impacts, to the extent possible;

iv) A list of any potential impediments to providing the requested interconnection service and information regarding technical thresholds that drive modifications;

v) Required distribution upgrades;

vi) A non-binding estimate of cost and time to construct any required distribution upgrades. Those cost estimates shall provide the component parts for direct, indirect, and other identified cost categories. Cost estimates must be itemized and must break down costs by equipment, labor, overhead and other cost categories; and

vii) If the cost estimate exceeds 150% of the estimated cost set forth in the feasibility study, a written itemization, by equipment, labor, overhead and other cost categories, of the component parts that increased in cost and a detailed explanation for the cost increase.

C) A study results meeting will be held within 10 business days after study completion if requested by the applicant. The study results meeting shall not relieve the applicant from its obligations, nor does it toll the clock for the applicant, to take the actions required by the Rules at that point in the Level 4 review.

D) The parties may use an interconnection impact study agreement as approved by the Commission. If both parties agree, however, an alternative form can be used.

3. Unless waived by the applicant, the interconnection facilities study shall be conducted as follows:

A) The interconnection facilities study agreement, which includes an outline of the scope of the study and a non-binding estimate of the cost to perform the study, shall be transmitted to the applicant within the later of 10 business days after completion of the interconnection system impact study or 5 business days after the study results meeting, if performed, or within 10 business days after the applicant notifies the EDC pursuant to Section 466.90(b)(4)(C), Section 466.100(c)(3), or Section 466.110(b)(3).

B) The interconnection facilities study shall estimate the cost of the equipment, engineering, procurement and construction work, including overheads, needed to implement the conclusions of the interconnection feasibility study and the interconnection system impact study.

i) Non-binding cost estimates must be itemized and must break down costs by equipment, labor, overhead, and other cost categories. These cost estimates must also provide the component parts for direct, indirect, and other identified cost categories; and

ii) If the cost estimate exceeds the lesser of 150% of the estimated cost set forth in the feasibility study or 125% of the estimated cost set forth in the system impact study, a written itemization, by equipment, labor, overhead and other cost categories, of the component parts that increased in cost and a detailed explanation for the cost increase.

C) The interconnection facilities study shall identify:

i) The electrical switching configuration of the equipment, including transformer, switchgear, meters and other station equipment;

ii) The nature and estimated cost of all the EDC's interconnection facilities and distribution upgrades necessary to accomplish the interconnection; and

iii) An estimate for the time required to complete the construction and installation of the facilities.

D) The EDC may agree to permit an applicant to separately arrange for a qualified third party to design and construct the required interconnection facilities. In such a case:

i) The applicant shall utilize EDC-approved engineering and construction contractors for the design and construction of the interconnection facilities, which shall be built in accordance with the EDC’s specifications;

ii) Such facilities shall be limited to interconnection facilities serving only the applicant’s DER facility;

iii) The applicant shall not include work on existing energized EDC electric distribution facilities, or in energized EDC substations;

iv) The applicant must comply with security and confidentiality requirements before the EDC provides all relevant information and required specifications to the applicant to permit the applicant to obtain an independent design and cost estimate for the facilities; and

v) The EDC shall maintain the right to inspect, test, or witness test all facilities designed and constructed under the provisions of this subsection and shall be allowed to recover the associate costs it incurs from the applicant.

E) A study results meeting will be held within 10 business days after study completion unless parties mutually agree to waive the meeting. The study results meeting shall not relieve the applicant from its obligations, nor does it toll the clock for the applicant, to take the actions required by the rules at point in the Level 4 review.

F) Upon completion of the interconnection facilities study, and after the applicant agrees to pay for the interconnection facilities and distribution upgrades identified in the interconnection facilities study, the EDC shall provide a standard DER interconnection agreement (see Appendix D) for the applicant to sign the day the EDC makes its determination.

G) In the event that distribution upgrades due to the impact of the interconnection request are identified in the impact study that shall be added only in the event that higher-queued customers not yet interconnected eventually complete and interconnect their generation facilities, the applicant may elect to interconnect without paying for such upgrades at the time of the interconnection, provided that it agrees to pay for such upgrades at the time the higher-queued customer is ready to interconnect. If the applicant does not pay for such upgrades at that time, the EDC shall require the applicant to immediately disconnect its distribution generation facility to accommodate the higher-queued customer.

H) Notwithstanding anything to the contrary, nothing prohibits two or more joint applicants directly adjacent in the interconnection queue on a feeder or substation from jointly informing the EDC of a request for a group study or estimate. That notice shall be provided on a form approved by the Commission that, at minimum, authorizes a group study with costs for upgrades and the facilities study to be shared as determined by the joint applicants and waives confidentiality protections only to the extent necessary to generate and circulate that group study. For the purposes of this subsection, a "group study" is an impact study or facilities study created and issued under subsection (e)(2) or (e)(3) (as applicable) that studies the least-cost upgrades to interconnect all of the joint applicants' facilities.

I) The parties shall use an interconnection facilities study agreement approved by the Commission. If both parties agree, however, an alternative form can be used.

4. All studies analyzing or projecting load flow or system impact shall take into account the impact of storage, operating profile (including voluntary operational restrictions), impact and timing of load flow, or other parameters provided by the applicant that would impact timing or volume of load flow. Any parameters shall be reflected in Attachment 2 to the interconnection agreement. When performing feasibility studies, system impact studies, and facility studies for a DER facility, operating characteristics (including maximum export and import capacity) as identified in the application by the applicant shall be utilized, except that fault current contribution shall be evaluated based on aggregate AC nameplate rating. The utility's technical review shall determine whether the proposed facility, operating per the characteristics identified in the application and with any necessary controls, can be safely and reliably interconnected to the utility's distribution system.

f) When an EDC determines because of the studies conducted under a Level 4 review that it is appropriate to interconnect the DER facility, the EDC shall provide the applicant with a standard DER interconnection agreement. If the interconnection request is denied, the EDC shall provide the applicant with a written explanation as to its reasons for denying interconnection. If denied, the interconnection request does not retain its position in the queue.

g) Within 30 business days after receipt of the standard DER interconnection agreement, the applicant shall provide all necessary information required of the applicant by the agreement, and the EDC shall develop all other information required of the EDC by the agreement. After completing the agreement with the additional information, the applicant shall sign and return the agreement to the EDC. If the applicant does not sign and return the agreement within 30 business days after its completion, the interconnection request shall be deemed withdrawn, unless the applicant requests in writing to have the deadline extended by no more than 15 business days. The EDC shall not deny an initial request for extension. If the applicant does not sign the agreement after the 15-business-day extension, the interconnection request shall be deemed withdrawn. The EDC shall return a fully executed DER interconnection agreement within 10 business days of receipt of the signed agreement from the applicant. If withdrawn, the interconnection request does not retain its position in the queue. When construction is required, the interconnection of the DER facility shall proceed according to milestones agreed to by the parties in the standard DER interconnection agreement.

h) The DER facility is not permitted to operate until:

1. The requirements of the interconnection agreement are satisfied;

2. The DER facility is approved by electric code officials with jurisdiction over the interconnection;

3. The applicant provides a certificate of completion (see Appendix B) to the EDC. Completion of local inspections may be designated on inspection forms used by local inspecting authorities; and

4. The witness test is successfully completed if required by the EDC or if the witness test is waived according to Article 2.1.1 of Appendix D.

History

• Source: Amended at 46 Ill. Reg. 9666, effective May 26, 2022

83 Ill. Adm. Code 466.125 Material Modifications

a) At any time after an application is deemed complete, including during the pendency of tasks identified in Sections 466.90, 466.100, 466.110, or 466.120, the applicant or the EDC may identify modifications to the proposed DER facility. An existing interconnected DER facility may also propose modifications. The applicant shall submit to the EDC, in writing, all proposed modifications to any information provided in the interconnection request or interconnection agreement for existing DER facilities. Neither the applicant nor the EDC may unilaterally modify the application or interconnection agreement.

b) Within 10 business days after receipt of a proposed modification, the EDC shall notify the applicant whether a proposed modification to either an application or an existing DER facility constitutes a material modification.

c) Material Modification Process for Proposed DER

1. For proposed generating facilities with an active interconnection request, a material modification shall include, but is not limited to, a modification of the interconnection request that:

A) changes the physical location of the point of interconnection such that it is likely to affect the scope of upgrades required to interconnect the DER;

B) increases the export capacity or extends the operating profile of the DER facility;

C) adds or removes energy storage or changes the energy storage operating characteristic;

D) changes or replaces generating equipment (e.g., generators, inverters, transformers, relaying, controls) and substitutes with equipment that is not a like-kind modification;

E) changes transformer connections or grounding; or

F) changes to a certified inverter with different specifications or different inverter control settings or configuration.

2. If the proposed modification is determined to be a material modification, then the EDC shall notify the applicant in writing that the applicant may elect to either:

A) withdraw the proposed modification; or

B) withdraw the interconnection request and proceed with a new interconnection request for the modification.

3. The applicant shall provide its election in writing to the EDC within 10 business days after being provided the material modification determination results. If the applicant does not provide its election, the proposed modification shall be deemed withdrawn and the queue position of the withdrawn application will be forfeited. If the applicant and EDC do not agree, either party may initiate dispute resolution pursuant to Section 466.130.

d) A modification that is not determined to be material may still require evaluation and acceptance by the EDC. The applicant is obligated to pay any necessary study costs of the evaluation. The EDC will notify the applicant of any additional fees or information that may be required to recommence the interconnection review process and restudy the application in order to evaluate the modification. The applicant shall have 10 business days to provide any requested information or required fees. The evaluation will be performed within 15 business days after the EDC receives the required fees or information from the applicant. If the proposed modification is determined not to be a material modification, then the EDC shall conduct the technical review within the remaining time allotted by subsection (b) and an additional 10 business days if needed by the EDC. The EDC shall notify the applicant in writing that the modification has been accepted, and that the applicant shall retain its eligibility for interconnection and maintain its position in the interconnection queue. A modification that is not determined to be material does not require a new interconnection request.

e) Material Modification Process for Existing Interconnected DER

1. For existing interconnected DER facilities with an active interconnection request and have received a certificate of completion, a material modification shall include, but is not limited to, a modification of the interconnection request that:

A) changes the physical location of the point of interconnection in a manner likely to have an impact on technical review;

B) changes the net power flow injection to the feeder, changes the nameplate capacity, or changes the operating characteristics of the DER facility;

C) adds or removes energy storage or changes the energy storage operating characteristics;

D) changes or replaces generating equipment (e.g., generators, inverters, transformers, relaying, controls), and substitutes equipment that is not a like-kind modification;

E) changes transformer connections or grounding; and/or

F) changes to a certified inverter with different specifications or different inverter control settings or configuration.

2. The EDC shall notify the applicant in writing that the applicant may elect to either:

A) withdraw the proposed modification; or

B) submit a new interconnection request for modification.

3. The applicant shall provide its election in writing to the EDC within 10 business days after being provided the material modification determination results. If the applicant does not provide its election, the proposed modification shall be deemed withdrawn and the modification to the existing interconnected DER facility shall not be allowed. If the applicant and EDC do not agree, either party may initiate dispute resolution pursuant to Section 466.130.

4. A modification that is not determined to be material may still require evaluation and acceptance by the EDC, which includes but is not limited to witness testing and setting verifications. The interconnection customer is obligated to pay any applicable fees associated with the EDC’s evaluation of the proposed modification. The EDC will notify the interconnection customer of any additional fees and/or information that may be required to evaluate the proposed modification within five business days of providing the material modification determination results. The interconnection customer shall have 10 business days to provide any requested information and/or required fees. If the proposed modification is determined not to be a material modification, then the EDC shall notify the interconnection customer in writing within 10 business days that the modification has been accepted, contingent upon witness testing, where applicable.

History

• Source: Added at 46 Ill. Reg. 9666, effective May 26, 2022

Chapter I Illinois Commerce Commission

Subchapter c Electric Utilities

Part 466 Electric Interconnection of Distributed Energy Resources Facilities

83 Ill. Adm. Code 466.130 Disputes

a) It is the policy of the Commission that applicants for interconnection and EDCs should, to the maximum extent possible, endeavor to resolve interconnection disputes through negotiation and without resorting to the processes of the Commission. A party shall attempt to resolve all disputes regarding interconnection promptly and in a good faith manner. A party shall provide prompt written notice of the existence of the dispute, including sufficient detail to identify the scope of the dispute, to the other party in order to attempt to resolve the dispute in a good faith manner.

b) An informal meeting between the parties shall be held within 10 business days after receipt of the written notice. Persons with decision-making authority from each party shall attend such meeting. In the event said dispute involves technical issues, persons with sufficient technical expertise and familiarity with the issue in dispute from each Party shall also attend the informal meeting. If the parties agree, such a meeting may be conducted by teleconference. The informal process between the parties shall extend 30 days after the receipt of written notice, after which the dispute is deemed resolved and the timeframes for decisions within the interconnection process resume, unless one of the parties seeks resolution through non-binding arbitration procedures described in subsection (c) or files a formal complaint at the Commission prior to the end of the 30-day period. If the negotiations do not resolve the dispute within 10 business days after commencing, either party may proceed to subsection (c) upon providing written notice to the other party.

c) Ombudsman

1. If the parties are unable to resolve the dispute through an informal meeting or meetings, either party may submit the interconnection dispute to an Ombudsman for non-binding arbitration. The party electing arbitration shall notify the other party of the request in writing.

2. For purposes of this Section, the Ombudsman, as that term in used in Section 16-107.5(h-5)(2) of the Act for that dispute may be:

A) the American Arbitration Association (AAA) or an individual arbitrator or team of arbitrators selected by the parties pursuant to AAA rules;

B) Commission employees designated on the Commission's website, as available; or

C) a third party selected by the parties.

3. In designating one or more of its employees as a potential Ombudsman for a dispute, the Commission may identify an hourly fee for that individual's time spent on arbitration; the Commission shall invoice and collect a fee equal to the hourly rate multiplied by hours spent on the arbitration in equal shares from the parties to the arbitration.

4. Each party shall bear its own fees, costs, and expenses and an equal share of the expenses of the non-binding arbitration.

5. The non-binding arbitration process is limited to 60 days unless the parties and the Ombudsman agree to a longer period.

d) Within 10 days after the conclusion of the procedures in subsection (c), either party may initiate a formal complaint with the Commission and ask for an expedited resolution of the dispute. If the complaint seeks expedited resolution, any written recommendation of the Ombudsman shall be appended to the complaint. If a party fails to file a formal complaint within this 10-day timeframe, it waives its right to obtain relief from the Commission and the dispute is deemed resolved.

e) Pursuit of dispute resolution shall not affect an interconnection applicant with regard to consideration of an interconnection request or an interconnection applicant's position in the EDC's interconnection queue of any pending application or interconnection agreement.

History

• Source: Amended at 46 Ill. Reg. 9666, effective May 26, 2022

83 Ill. Adm. Code 466.140 Records

a) An EDC shall maintain records specified in this subsection for a minimum of five years, and shall make publicly available:

1. The total number of and the nameplate and export capacity of the completed interconnection requests received, studied, approved and installed, approved and withdrawn, and denied under Level 1, Level 2, Level 3 and Level 4 reviews; and

2. The fuel type, total number and the nameplate and export capacity of DER facilities approved.

b) An EDC shall provide a public report to the Commission containing the information required in subsection (a) within 90 calendar days after the close of each calendar year. An electronic version, in electronically searchable format in a legible 12-point font size in PDF shall be delivered to the Commission's offices on CDs or DVDs or filed electronically with the Chief Clerk.

c) Each EDC shall retain copies of studies it performs to determine the feasibility of, system impacts of, or facilities required by the interconnection of any DER facility. The EDC shall provide the applicant copies of any interconnection studies performed in analyzing the applicant's interconnection request upon applicant request, including all information used by the EDC in completing the studies and determining the estimated interconnection cost. Each EDC shall provide the Commission, upon request, copies of any interconnection studies performed in analyzing any interconnection request, including all information used by the EDC in completing the studies and determining the estimated interconnection costs.

d) Each EDC shall maintain, and provide upon request to the Commission and any interconnection customer or applicant (see Section 466.50), a written set of standards by which the EDC evaluates the scope of upgrades for an interconnection and methodology for determining cost estimates required by this Part. To the extent the documentation contains confidential or proprietary information, the EDC shall clearly mark that information and may request that interconnection customer or applicant execute a confidentiality agreement prior to receiving or reviewing the documentation.

e) Each EDC serving more than 500,000 customers shall make available on its website hosting capacity analysis results, including mapping and GIS capability.

History

• Source: Amended at 46 Ill. Reg. 9666, effective May 26, 2022

83 Ill. Adm. Code 466.APPENDIX A Level 1 Application and Contract

Illinois Standard Distributed Energy Resources Interconnection

Level 1

Interconnection Request Application Form and

Conditional Agreement to Interconnect

(Lab-Certified Inverter-Based Distributed Energy Resources Facilities 25 kW and Smaller)

An application fee of $50.00 must be submitted with the application.

Interconnection Applicant Contact Information

Name:

Mailing Address:

City:

State:

Zip Code:

Telephone (Daytime):

(Evening):

Facsimile Number:

E-Mail Address:

Alternate Contact Information (if different from Applicant)

Name:

Mailing Address:

City:

State:

Zip Code:

Telephone (Daytime):

(Evening):

Facsimile Number:

E-Mail Address:

Equipment Contractor

Name:

Mailing Address:

City:

State:

Zip Code:

Telephone (Daytime):

(Evening):

Facsimile Number:

E-Mail Address:

Electrical Contractor (if Different from Equipment Contractor):

Name:

Mailing Address:

City:

State:

Zip Code:

Telephone (Daytime):

(Evening):

Facsimile Number:

E-Mail Address:

License number:

Active License?

Yes

No

Is the Interconnection Customer requesting Net Metering in accordance with 83 Ill. Adm. Code 465?

Yes No

Distributed Energy Resources Facility ("Facility") Information

Facility Address:

City:

State:

Zip Code:

Electric Distribution Company (EDC) serving Facility site:

Electric Supplier (if different from EDC):

If existing EDC electric service exists at point of interconnection:

Account Number of site:

EDC billing meter ID

Inverter Manufacturer:

Model:

Is the inverter lab-certified as that term is defined in the Illinois Distributed Energy Resources Interconnection Standard? Yes No

(If yes, attach manufacturer's technical specifications and label information from a nationally recognized testing laboratory.)

Generation Facility Nameplate Rating:

(kW)

(kVA)

(AC Volts)

Total Facility Nameplate Capacity:

(kW)

(kVA)

Prime Mover:

Photovoltaic

Reciprocating Engine

Fuel Cell

Turbine

Other

Energy Source:

Solar

Wind

Hydro

Diesel

Storage

Combination

Natural Gas

Fuel Oil

Other

Commissioning Date:

(If the Commissioning Date changes, the interconnection customer must inform the EDC as soon as it is aware of the changed date.)

Limited Export and Non-Export Controls Information

Manufacturer:

Model Number:

M

Limited Export or Non-Export?

Limited Export

Non-Export

Control Type:

Reverse Power Protection

Minimum Power Protection

Relative Distributed Energy Resource Rating

Configured Power Rating

Limited Export Power Control Systems

Limited Export using mutually agreed-upon means

Directional Power Protection

Export Capacity Value (in kW):

Control Power Setting:

Control Power Time Delay (if any):

Battery Storage Facility Information (If Applicable)

Do the batteries share an inverter with a renewable energy system?

☐ Yes

☐ No

Does the applicant intend to have the batteries charged by the distribution grid?

☐ Yes

☐ No

System Manufacturer:

Model:

Battery Type:

Battery Charge/Discharge Rating (kW AC):

Maximum Battery Charge/Discharge Rate (kW AC per second):

Battery Energy Capacity (kWh):

Power Factor Settings Range:

Battery Storage Inverter Information

Energy System

Manufacturer:

Model:

Type: ☐ Forced ☐ Commutated

Line Commutated Rated Output

Watts:

Volts:

Efficiency:

____ %

Power Factor:

____ %

Inverter IEEE 1547 / UL 1741 Listed:

☐ Yes

☐ No

Number of Inverters:

Total Capacity:

kW

DC Source / Prime Mover:

• Rating:

kW Rating:

kVA Rated Voltage:

Volts

Open Circuit Voltage (If Applicable):

Volts

Rated Current:

Amps

Battery Operational Information

Backup – allows for partial or whole home transition to off-grid during a grid outage. ☐ Yes ☐ No

Solar Self-Powered – the battery will charge from the renewable energy source during normal operation and discharge to serve loads behind your meter. ☐ Yes ☐ No

Solar Non-Export – limits the export of energy to the grid to zero for both the battery and inverter, even if the battery system is fully charged and there is excess renewable source energy. ☐ Yes ☐ No

Time-Based Control (sometimes called time-of-use or TOU mode) – the battery charges during off-peak hours and discharges to serve onsite loads during on-peak hours. ☐ Yes ☐ No

Describe any other intended operation of the battery:

Insurance Disclosure

The attached terms and conditions contain provisions related to liability and indemnification, and should be carefully considered by the interconnection customer. The interconnection customer shall carry general liability insurance coverage, such as, but not limited to, homeowner's insurance. Whenever possible, the interconnection customer shall name the EDC as an additional insured on its homeowner's insurance policy, or similar policy covering general liability.

Customer Signature

I hereby certify that: (1) I have read and understand the terms and conditions which are attached hereto by reference; (2) I hereby agree to comply with the attached terms and conditions; and (3) to the best of my knowledge, all of the information provided in this application request form is complete and true.

Applicant Signature:

Title:

Date:

………………………………………………………………………………………………………

Conditional Agreement to Interconnect Distributed Energy Resources Facility

Receipt of the application fee is acknowledged and, by its signature below, the EDC has determined the interconnection request is complete. Interconnection of the distributed energy resources facility is conditionally approved contingent upon the attached terms and conditions of this Agreement, the return of the attached Certificate of Completion, duly executed verification of electrical inspection and successful witness test.

EDC Signature:

Date:

Name:

Title:

Terms and Conditions for Interconnection

1. Construction of the Distributed Energy Resources Facility. The interconnection customer may proceed to construct (including operational testing not to exceed 2 hours) the distributed energy resources (DER) facility, once the conditional Agreement to interconnect a DER facility has been signed by the EDC.

2. Final Interconnection and Operation. The interconnection customer may operate the DER facility and interconnect with the EDC's electric distribution system after all of the following have occurred:

a) Electrical Inspection: Upon completing construction, the interconnection customer shall cause the DER facility to be inspected by the local electrical inspection authority, who shall establish that the DER facility meets local code requirements.

b) Certificate of Completion: The interconnection customer shall provide the EDC with a copy of the Certificate of Completion with all relevant and necessary information fully completed by the interconnection customer, as well as an inspection form from the local electrical inspection authority demonstrating that the DER facility passed inspection.

c) The EDC has completed its witness test as per the following:

i) Within 10 business days of the commissioning date, the EDC must, upon reasonable notice and at a mutually convenient time, conduct a witness test of the DER facility to ensure that all equipment has been appropriately installed and that all electrical connections have been made in accordance with the applicable codes.

ii) If the EDC does not perform the witness test within the 10 business days after the commissioning date or such other time as is mutually agreed to by the Parties, the witness test is deemed waived unless the EDC cannot do so for good cause. In these cases, upon EDC request, the interconnection customer shall agree to another date for the test within 10 business days after the original scheduled date.

3. IEEE 1547. The DER facility shall be installed, operated and tested in accordance with the requirements of The Institute of Electrical and Electronics Engineers, Inc. (IEEE), 3 Park Avenue New York, NY 10016-5997, Standard 1547 (2003) "Standard for Interconnecting Distributed Resources with Electric Power Systems."

4. Access. The EDC shall have direct, unabated access to the disconnect switch and metering equipment of the DER facility at all times. The EDC shall provide 5 business days' notice to the customer prior to using its right of access except in emergencies.

5. Metering. Any required metering shall be installed pursuant to Illinois Commerce Commission approved tariffs.

6. Disconnection. The EDC may disconnect the DER facility upon any of the following conditions, but must reconnect the DER facility once the condition is cured:

a) For scheduled outages, provided that the DER facility is treated in the same manner as EDC's load customers;

b) For unscheduled outages or emergency conditions;

c) If the DER facility does not operate in the manner consistent with this Agreement;

d) Improper installation or failure to pass the witness test;

e) If the DER facility is creating a safety, reliability or a power quality problem; or

f) The interconnection equipment used by the DER facility is de-listed by the Nationally Recognized Testing Laboratory that provided the listing at the time the interconnection was approved.

7. Indemnification. The interconnection customer shall indemnify and defend the EDC and the EDC's directors, officers, employees, and agents from all damages and expenses resulting from any third party claim arising out of or based upon the interconnection customer's (a) negligence or willful misconduct or (b) breach of this Agreement. The EDC shall indemnify and defend the interconnection customer and the interconnection customer's directors, officers, employees, and agents from all damages and expenses resulting from a third party claim arising out of or based upon the EDC's (a) negligence or willful misconduct or (b) breach of this Agreement.

8. Insurance. The interconnection customer shall provide the EDC with proof that it has a current homeowner's insurance policy, or other general liability policy, and, when possible, the interconnection customer shall name the EDC as an additional insured on its homeowner's insurance policy, or similar policy covering general liability.

9. Limitation of Liability. Each Party's liability to the other Party for any loss, cost, claim, injury, liability, or expense, including reasonable attorney's fees, relating to or arising from any act or omission in its performance of this Agreement, shall be limited to the amount of direct damage actually incurred. In no event shall either Party be liable to the other Party for any indirect, incidental, special, consequential, or punitive damages of any kind whatsoever.

10. Termination. This Agreement may be terminated under the following conditions:

a) By interconnection customer − The interconnection customer may terminate this Agreement by providing written notice to the EDC. If the interconnection customer ceases operation of the DER facility, the interconnection customer must notify the EDC

b) By the EDC − The EDC may terminate this Agreement if the interconnection customer fails to remedy a violation of terms of this Agreement within 30 calendar days after notice, or such other date as may be mutually agreed to prior to the expiration of the 30 calendar day remedy period. The termination date may be no less than 30 calendar days after the interconnection customer receives notice of its violation from the EDC.

11. Modification of Distributed Energy Resources Facility. The interconnection customer must receive written authorization from the EDC before making any changes to the DER facility that could affect the EDC's distribution system. If the interconnection customer makes such modifications without the EDC's prior written authorization, the EDC shall have the right to disconnect the DER facility.

12. Permanent Disconnection. In the event the Agreement is terminated, the EDC shall have the right to disconnect its facilities or direct the interconnection customer to disconnect its DER facility.

13. Disputes. Each Party agrees to attempt to resolve all disputes regarding the provisions of this Agreement that cannot be resolved between the two Parties pursuant to the dispute resolution provisions found in 83 Ill. Adm. Code 466.130.

14. Governing Law, Regulatory Authority, and Rules. The validity, interpretation and enforcement of this Agreement and each of its provisions shall be governed by the laws of the State of Illinois. Nothing in this Agreement is intended to affect any other agreement between the EDC and the interconnection customer.

15. Survival Rights. This Agreement shall remain in effect after termination to the extent necessary to allow or require either Party to fulfill rights or obligations that arose under the Agreement.

16. Assignment/Transfer of Ownership of the Distributed Energy Resources Facility. This Agreement shall terminate upon the transfer of ownership of the DER facility to a new owner unless the transferring owner assigns the Agreement to the new owner, the new owner agrees in writing to the terms of this Agreement, and the transferring owner so notifies the EDC in writing prior to the transfer of ownership.

17. Definitions. Any term used herein and not defined shall have the same meaning as the defined terms used in 83 Ill. Adm. Code 466 (the Illinois Distributed Energy Resources Interconnection Standard).

18. Notice. The Parties may mutually agree to provide notices, demands, comments, or requests by electronic means such as e-mail. Absent agreement to electronic communication, or unless otherwise provided in this Agreement, any written notice, demand, or request required or authorized in connection with this Agreement shall be deemed properly given if delivered in person, delivered by recognized national courier service, or sent by first class mail, postage prepaid, to the person specified below:

If to Interconnection Customer:

Use the contact information provided in the interconnection customer's application. The interconnection customer is responsible for notifying the EDC of any change in the contact party information, including change of ownership.

If to EDC:

Use the contact information provided below. The EDC is responsible for notifying the interconnection customer of any change in the contact party information.

Name:

Mailing Address:

City:

State:

Zip Code:

Telephone (Daytime):

(Evening):

Facsimile Number:

E-Mail Address:

History

• Source: Amended at 46 Ill. Reg. 9666, effective May 26, 2022

83 Ill. Adm. Code 466.APPENDIX B Certificate of Completion

Certificate of Completion

(To be completed and returned to the EDC when installation is complete

and final electric inspector approval has been obtained[1])

Interconnection Customer Information

Name:

Mailing Address:

City:

State:

Zip Code:

Telephone (Daytime):

(Evening):

Facsimile Number:

E-Mail Address:

Installer

Check if owner-installed

Name:

Mailing Address:

City:

State:

Zip Code:

Telephone (Daytime):

(Evening):

Facsimile Number:

E-Mail Address:

Final Electric Inspection and Interconnection Customer Signature

The distributed generation facility is complete and has been approved by the local electric inspector having jurisdiction. A signed copy of the electric inspector's form indicating final approval is attached. The interconnection customer acknowledges that it shall not operate the distributed generation facility until receipt of the final acceptance and approval by the EDC as provided below.

Signed:

Date:

(Signature of interconnection customer)

Printed Name:

Check if copy of signed electric inspection form is attached

Check if copy of as built documents is attached (projects larger than 25 kW only)

…………………………………………………………………………………………………… Acceptance and Final Approval for Interconnection (for EDC use only)

The interconnection agreement is approved and the distributed generation facility is approved for interconnected operation upon the signing and return of this Certificate of Completion by EDC:

Electric Distribution Company waives Witness Test? (Initial)

Yes

(____)

No

(____)

If not waived, date of successful Witness Test:

Passed: (Initial)

EDC Signature:

Date:

Printed Name:

Title:

[1] Prior to interconnected operation, the interconnection customer is required to complete this form and return it to the EDC. Use contact information provided on the EDC's web page for generator interconnection to obtain mailing address/fax number/e-mail address.

History

• Source: Amended at 41 Ill. Reg. 862, effective January 20, 2017

Chapter I Illinois Commerce Commission

Subchapter c Electric Utilities

Part 466 Electric Interconnection of Distributed Energy Resources Facilities

83 Ill. Adm. Code 466.APPENDIX C Levels 2 to 4 Application

Level 2, Level 3 & Level 4

Interconnection Request Application Form

(Greater than 25 kW to 10 MVA or less)

Interconnection Customer Contact Information

Name:

Mailing Address:

City:

State:

Zip Code:

Telephone (Daytime):

(Evening):

Facsimile Number:

E-Mail Address:

Alternative Contact Information (if different from Customer Contact Information)

Name:

Mailing Address:

City:

State:

Zip Code:

Telephone (Daytime):

(Evening):

Facsimile Number:

E-Mail Address:

Facility Address (if different from above):

City:

State:

Zip Code:

Electric Distribution Company (EDC) Serving Facility Site:

Electric Supplier (if different from EDC):

Account Number of Facility Site (existing EDC customers):

Inverter Manufacturer:

Model:

Equipment Contractor

Name:

Mailing Address:

City:

State:

Zip Code:

Telephone (Daytime):

(Evening):

Facsimile Number:

E-Mail Address:

Electrical Contractor (if different from Equipment Contractor)

Name:

Mailing Address:

City:

State:

Zip Code:

Telephone (Daytime):

(Evening):

Facsimile Number:

E-Mail Address:

License Number:

Electric Service Information for Customer Facility Where Generator Will Be Interconnected

Capacity:

(Amps)

Voltage:

(Volts)

Type of Service:

Single-Phase

Three-Phase

If Three-Phase Transformer, Indicate Type:

Primary Winding

Wye

Delta

Secondary Winding

Wye

Delta

Transformer Size:

Impedance:

Intent of Generation

Offset Load (Unit will operate in parallel, but will not export power to EDC)

Net Meter (Unit will operate in parallel and will export power pursuant to Illinois Net Metering or other filed tariffs)

Wholesale Market Transaction (Unit will operate in parallel and participate in PJM or MISO markets pursuant to a PJM Wholesale Market Participation Agreement or MISO equivalent)

Back-up Generation (Units that temporarily operate in parallel with the electric distribution system for more than 100 milliseconds)

Note: Backup units that do not operate in parallel for more than 100 milliseconds do not need an interconnection agreement.

Generator & Prime Mover Information

ENERGY SOURCE (Hydro, Wind, Solar, Process Byproduct, Biomass, Oil, Natural Gas, Coal, Storage, etc.):

ENERGY CONVERTER TYPE (Wind Turbine, Photovoltaic Cell, Fuel Cell, Steam Turbine, etc.):

NAMEPLATE CAPACITY:

kW or kVA

NUMBER OF UNITS:

TOTAL EXPORT CAPACITY:

kW or kVA

GENERATOR TYPE (Check one):

Induction Inverter Synchronous Other

Requested Procedure Under Which to Evaluate Interconnection Request1

Please indicate below which review procedure applies to the interconnection request. The review procedure used is subject to confirmation by the EDC.

Level 2 – Lab-certified interconnection equipment with an aggregate electric nameplate capacity not exceeding the specifications in Section 466.90(b)(2). Lab-certified is defined in Section 466.20. (Application fee is $100 plus $1.00 per kVA.)

Level 3 – Distributed energy resource facility does not export power. Nameplate capacity rating is less than or equal to 50 kW if connecting to area network or less than or equal to 10 MW if connecting to a radial distribution feeder. (Application fee amount is $500 plus $2.00 per kVA.)

Level 4 – Nameplate capacity rating is less than or equal to 10 MVA and the distributed energy resource facility does not qualify for a Level 1, Level 2 or Level 3 review, or the distributed energy resource facility has been reviewed but not approved under a Level 1, Level 2 or Level 3 review. (Application fee amount is $1,000 plus $2.00 per kVA, to be applied toward any subsequent studies related to this application.)

1 Note: Descriptions for interconnection review categories do not list all criteria that must be satisfied. For a complete list of criteria, please refer to 83 Ill. Adm. Code 466, Electric Interconnection of Distributed Energy Resource Facilities.

Distributed Energy Resource Facility Information

Commissioning Date: _________________________________

List interconnection components/systems to be used in the DER facility that are lab-certified.

Component/System

NRTL Providing Label & Listing

Please provide copies of manufacturer brochures or technical specifications.

Energy Production Equipment/Inverter Information:

Synchronous

Induction

Inverter

Other

Rating:

kW

Rating:

kVA

Rated Voltage:

Volts

Rated Current:

Amps

System Type Tested (Total System):

Yes

No; attach product literature

For Synchronous Machines:

Note: Contact EDC to determine if all the information requested in this section is required for the proposed DER facility.

Manufacturer:

Model No.:

Version No.:

Submit copies of the Saturation Curve and the Vee Curve

Salient

Non-Salient

Torque:

lb/ft

Rated RPM:

Field Amperes:

at rated generator

voltage and current and

% PF over-excited

Type of Exciter:

Output Power of Exciter:

Type of Voltage Regulator:

Locked Rotor

Current:

Amps

Synchronous Speed:

RPM

Winding Connection:

Min. Operating Freq./Time:

Generator Connection:

Delta

Wye

Wye Grounded

Direct-axis Synchronous Reactance:

(Xd)

ohms

Direct-axis Transient Reactance:

(X'd)

ohms

Direct-axis Sub-transient Reactance:

(X''d)

ohms

Negative Sequence Reactance:

ohms

Zero Sequence Reactance:

ohms

Neutral Impedance or Grounding Resister (if any):

ohms

For Induction Machines:

Note: Contact EDC to determine if all the information requested in this section is required for the proposed DER facility.

Manufacturer:

Model No.:

Version No.:

Locked Rotor Current:

Amps

Rotor Resistance (Rr):

ohms

Exciting Current:

Amps

Rotor Reactance (Xr):

ohms

Reactive Power Required:

Magnetizing Reactance (Xm):

ohms

VARs (No Load)

Stator Resistance (Rs):

ohms

VARs (Full Load)

Stator Reactance (Xs):

ohms

Short Circuit Reactance (X"d):

ohms

Phases:

Single Three-Phase

Frame Size:

Design Letter:

Temp. Rise:

°C.

Limited Export and Non-Export Controls Information

Manufacturer:

Model Number:

M

Limited Export or Non-Export?

Limited Export

Non-Export

Control Type:

Reverse Power Protection

Minimum Power Protection

Relative Distributed Energy Resource Rating

Configured Power Rating

Limited Export Power Control Systems

Limited Export using mutually agreed-upon means

Directional Power Protection

Export Capacity Value (in kW):

Control Power Setting:

Control Power Time Delay (if any):

Additional Information For Inverter-Based Facilities

Inverter Information:

Manufacturer:

Model:

Type:

Forced Commutated

Line Commutated

Rated Output:

Watts

Volts

Efficiency:

%

Power Factor:

%

Inverter UL 1741 Listed:

Yes

No

DC Source / Prime Mover:

Rating:

kW

Rating:

kVA

Rated Voltage:

Volts

Open Circuit Voltage (if applicable):

Volts

Rated Current:

Amps

Short Circuit Current (if applicable):

Amps

Other Facility Information:

One Line Diagram attached: Yes

Plot Plan attached: Yes

Battery Storage Facility Information (If Applicable)

Do the batteries share an inverter with a renewable energy system?

☐ Yes

☐ No

Does the applicant intend to have the batteries charged by the distribution grid?

☐ Yes

☐ No

System Manufacturer:

Model:

Battery Type:

Battery Charge/Discharge Rating (kW AC):

Maximum Battery Charge/Discharge Rate (kW AC per second):

Battery Energy Capacity (kWh):

Power Factor Settings Range:

Battery Storage Inverter Information

Energy System

Manufacturer:

Model:

Type: ☐ Forced ☐ Commutated

Line Commutated Rated Output

Watts:

Volts:

Efficiency:

____ %

Power Factor:

____ %

Inverter IEEE 1547 / UL 1741 Listed:

☐ Yes

☐ No

Number of Inverters:

Total Capacity:

kW

DC Source / Prime Mover:

• Rating:

kW Rating:

kVA Rated Voltage:

Volts

Open Circuit Voltage (If Applicable):

Volts

Rated Current:

Amps

Battery Operational Information

Backup – allows for partial or whole home transition to off-grid during a grid outage. ☐ Yes ☐ No

Solar Self-Powered – the battery will charge from the renewable energy source during normal operation and discharge to serve loads behind your meter. ☐ Yes ☐ No

Solar Non-Export – limits the export of energy to the grid to zero for both the battery and inverter, even if the battery system is fully charged and there is excess renewable source energy. ☐ Yes ☐ No

Time-Based Control (sometimes called time-of-use or TOU mode) – the battery charges during off-peak hours and discharges to serve onsite loads during on-peak hours. ☐ Yes ☐ No

Describe any other intended operation of the battery:

Customer Signature

I hereby certify that all of the information provided in this Interconnection Request Application Form is true.

Applicant Signature:

Title:

Date:

An application fee is required before the application can be processed. Please verify that the appropriate fee is included with the application:

Amount: _____________________

EDC Acknowledgement

Receipt of the application fee is acknowledged and this interconnection request is complete.

EDC Signature:

Date:

Printed Name:

Title:

History

• Source: Amended at 46 Ill. Reg. 9666, effective May 26, 2022

83 Ill. Adm. Code 466.APPENDIX D Levels 1 to 4 Contract

STANDARD AGREEMENT FOR INTERCONNECTION

OF DISTRIBUTED ENERGY RESOURCES FACILITIES WITH A

CAPACITY LESS THAN OR EQUAL TO 10 MVA

This agreement ("Agreement") is made and entered into this

day of

, by and between

("interconnection customer"),

as an individual person, or as a

organized and existing under the

laws of the State of

and

, ("Electric

Distribution Company" (EDC)), a

existing under the laws of the State of

Illinois. Interconnection customer and EDC each may be referred to as a "Party," or collectively as the "Parties."

Recitals:

Whereas, interconnection customer is proposing to install or direct the installation of a distributed energy resources (DER) facility, or is proposing a generating capacity addition to an existing DER facility, consistent with the interconnection request application form completed by interconnection customer on ________________; and

Whereas, the interconnection customer will operate and maintain, or cause the operation and maintenance of, the DER facility; and

Whereas, interconnection customer desires to interconnect the DER facility with EDC's electric distribution system.

Now, therefore, in consideration of the premises and mutual covenants set forth in this Agreement, and other good and valuable consideration, the receipt, sufficiency and adequacy of which are hereby acknowledged, the Parties covenant and agree as follows:

Article 1. Scope and Limitations of Agreement

1.1 This Agreement shall be used for all approved interconnection requests for DER facilities that fall under Levels 1, 2, 3 and 4 according to the procedures set forth in Part 466 of the Commission's rules (83 Ill. Adm. Code 466) (referred to as the Illinois Distributed Energy Resources Interconnection Standard).

1.2 This Agreement governs the terms and conditions under which the DER facility will interconnect to, and operate in parallel with, the EDC's electric distribution system.

1.3 This Agreement does not constitute an agreement to purchase or deliver the interconnection customer's power.

1.4 Nothing in this Agreement is intended to affect any other agreement between the EDC and the interconnection customer.

1.5 Terms used in this Agreement are defined as in Section 466.20 of the Illinois Distributed Energy Resources Interconnection Standard unless otherwise noted.

1.6 Responsibilities of the Parties

1.6.1 The Parties shall perform all obligations of this Agreement in accordance with all applicable laws and regulations.

1.6.2 The EDC shall construct, own, operate, and maintain its interconnection facilities in accordance with this Agreement.

1.6.3 The interconnection customer shall construct, own, operate, and maintain its DER facility and interconnection facilities in accordance with this Agreement.

1.6.4 Each Party shall operate, maintain, repair, and inspect, and shall be fully responsible for, the facilities that it now or subsequently may own unless otherwise specified in the attachments to this Agreement. Each Party shall be responsible for the safe installation, maintenance, repair and condition of its respective lines and appurtenances on its respective sides of the point of interconnection.

1.6.5 The interconnection customer agrees to design, install, maintain and operate its DER facility so as to minimize the likelihood of causing an adverse system impact on the electric distribution system or any other electric system that is not owned or operated by the EDC.

1.7 Parallel Operation Obligations

Once the DER facility has been authorized to commence parallel operation, the interconnection customer shall abide by all operating procedures established in IEEE Standard 1547 and any other applicable laws, statutes or guidelines, including those specified in Attachment 4 of this Agreement.

1.8 Metering

The interconnection customer shall be responsible for the cost to purchase, install, operate, maintain, test, repair, and replace metering and data acquisition equipment specified in Attachments 5 and 6 of this Agreement.

1.9 Reactive Power

1.9.1 Interconnection customers with a DER facility larger than or equal to 1 MVA shall design their DER facilities to maintain a power factor at the point of interconnection between .95 lagging and .95 leading at all times. Interconnection customers with a DER facility smaller than 1 MVA shall design their DER facility to maintain a power factor at the point of interconnection between .90 lagging and .90 leading at all times.

1.9.2 Any EDC requirements for meeting a specific voltage or specific reactive power schedule as a condition for interconnection shall be clearly specified in Attachment 4. Under no circumstance shall the EDC's additional requirements for voltage or reactive power schedules exceed the normal operating capabilities of the DER facility.

1.9.3 If the interconnection customer does not operate the DER facility within the power factor range specified in Attachment 4, or does not operate the distribute generation facility in accordance with a voltage or reactive power schedule specified in Attachment 4, the interconnection customer is in default under this Agreement, and the terms of Article 6.5 apply.

1.10 Standards of Operations

The interconnection customer must obtain all certifications, permits, licenses and approvals necessary to construct, operate and maintain the facility and to perform its obligations under this Agreement. The interconnection customer is responsible for coordinating and synchronizing the DER facility with the EDC's system. The interconnection customer is responsible for any damage that is caused by the interconnection customer's failure to coordinate or synchronize the DER facility with the electric distribution system. The interconnection customer agrees to be primarily liable for any damages resulting from the continued operation of the DER facility after the EDC ceases to energize the line section to which the DER facility is connected. In Attachment 4, the EDC shall specify the shortest reclose time setting for its protection equipment that could affect the DER facility. The EDC shall notify the interconnection customer at least 10 business days prior to adopting a faster reclose time on any automatic protective equipment, such as a circuit breaker or line recloser, that might affect the DER facility.

Article 2. Inspection, Testing, Authorization, and Right of Access

2.1 Equipment Testing and Inspection

The interconnection customer shall test and inspect its DER facility including the interconnection equipment prior to interconnection in accordance with IEEE Standard 1547 (2003) and IEEE Standard 1547.1 (2005). The interconnection customer shall not operate its DER facility in parallel with the EDC's electric distribution system without prior written authorization by the EDC as provided for in Articles 2.1.1-2.1.3.

2.1.1 The EDC shall perform a witness test after construction of the DER facility is completed, but before parallel operation, unless the EDC specifically waives the witness test. The interconnection customer shall provide the EDC at least 15 business days' notice of the planned commissioning test for the DER facility. If the EDC performs a witness test at a time that is not concurrent with the commissioning test, it shall contact the interconnection customer to schedule the witness test at a mutually agreeable time within 10 business days after the scheduled commissioning test designated on the application. If the EDC does not perform the witness test within 10 business days after the commissioning test, the witness test is deemed waived unless the Parties mutually agree to extend the date for scheduling the witness test, or unless the EDC cannot do so for good cause, in which case, the Parties shall agree to another date for scheduling the test within 10 business days after the original scheduled date. If the witness test is not acceptable to the EDC, the EDC shall deliver in writing a detailed technical description of all deficiencies of the DER facility identified by the EDC during the witness test. The interconnection customer has 30 business days after receipt of the written description to address and resolve any deficiencies. This time period may be extended upon agreement between the EDC and the interconnection customer. If the interconnection customer fails to address and resolve the deficiencies to the satisfaction of the EDC, the applicable cure provisions of Article 6.5 shall apply. The interconnection customer shall, if requested by the EDC, provide a copy of all documentation in its possession regarding testing conducted pursuant to IEEE Standard 1547.1.

2.1.2 If the interconnection customer conducts interim testing of the DER facility prior to the witness test, the interconnection customer shall obtain permission from the EDC before each occurrence of operating the DER facility in parallel with the electric distribution system. The EDC may, at its own expense, send qualified personnel to the DER facility to observe such interim testing, but it cannot mandate that these tests be considered in the final witness test. The EDC is not required to observe the interim testing or precluded from requiring the tests be repeated at the final witness test. During and leading up to the witness test, the EDC shall not limit the interconnection customer's ability to test the DER facility during normal working hours except for safety and reliability reasons.

2.1.3 After the DER facility passes the witness test, the EDC shall affix an authorized signature to the certificate of completion and return it to the interconnection customer approving the interconnection and authorizing parallel operation. The authorization shall not be conditioned or delayed and the EDC shall return the signed certificate of completion to the interconnection customer no more than 10 business days after the date that the DER facility passes the witness test.

2.2 Commercial Operation

The interconnection customer shall not operate the DER facility, except for interim testing as provided in Article 2.1, until such time as the certificate of completion is signed by all Parties.

2.3 Right of Access

The EDC must have access to the disconnect switch and metering equipment of the DER facility at all times. When practical, the EDC shall provide notice to the customer prior to using its right of access.

Article 3. Effective Date, Term, Termination, and Disconnection

3.1 Effective Date

This Agreement shall become effective upon execution by all Parties.

3.2 Term of Agreement

This Agreement shall become effective on the effective date and shall remain in effect unless terminated in accordance with Article 3.3 of this Agreement.

3.3 Termination

3.3.1 The interconnection customer may terminate this Agreement at any time by giving the EDC 30 calendar days prior written notice.

3.3.2 Either Party may terminate this Agreement after default pursuant to Article 6.5.

3.3.3 The EDC may terminate, upon 60 calendar days' prior written notice, for failure of the interconnection customer to complete construction of the DER facility within 12 months after the in-service date as specified by the Parties in Attachment 2, which may be extended by agreement between the Parties.

3.3.4 The EDC may terminate this Agreement, upon 60 calendar days' prior written notice, if the interconnection customer has abandoned, cancelled, permanently disconnected or stopped development, construction, or operation of the DER facility, or if the interconnection customer fails to operate the DER facility in parallel with the EDC's electric system for three consecutive years.

3.3.5 Upon termination of this Agreement, the DER facility will be disconnected from the EDC's electric distribution system. Terminating this Agreement does not relieve either Party of its liabilities and obligations that are owed or continuing when the Agreement is terminated.

3.3.6 If the Agreement is terminated, the interconnection customer loses its position in the interconnection queue.

3.4 Temporary Disconnection

A Party may temporarily disconnect the DER facility from the electric distribution system in the event one or more of the following conditions or events occurs:

3.4.1 Emergency conditions – shall mean any condition or situation: (1) that in the judgment of the Party making the claim is likely to endanger life or property; or (2) that the EDC determines is likely to cause an adverse system impact, or is likely to have a material adverse effect on the EDC's electric distribution system, interconnection facilities or other facilities, or is likely to interrupt or materially interfere with the provision of electric utility service to other customers; or (3) that is likely to cause a material adverse effect on the DER facility or the interconnection equipment. Under emergency conditions, the EDC or the interconnection customer may suspend interconnection service and temporarily disconnect the DER facility from the electric distribution system. The EDC must notify the interconnection customer when it becomes aware of any conditions that might affect the interconnection customer's operation of the DER facility. The interconnection customer shall notify the EDC when it becomes aware of any condition that might affect the EDC's electric distribution system. To the extent information is known, the notification shall describe the condition, the extent of the damage or deficiency, the expected effect on the operation of both Parties' facilities and operations, its anticipated duration, and the necessary corrective action.

3.4.2 Scheduled maintenance, construction, or repair – the EDC may interrupt interconnection service or curtail the output of the DER facility and temporarily disconnect the DER facility from the EDC's electric distribution system when necessary for scheduled maintenance, construction, or repairs on EDC's electric distribution system. The EDC shall provide the interconnection customer with notice no less than 5 business days before an interruption due to scheduled maintenance, construction, or repair, or the EDC shall provide notice immediately if the scheduled maintenance, construction, or repair is scheduled less than 5 business days in advance. The EDC shall coordinate the reduction or temporary disconnection with the interconnection customer; however, the interconnection customer is responsible for out-of-pocket costs incurred by the EDC for deferring or rescheduling maintenance, construction or repair at the interconnection customer's request.

3.4.3 Forced outages – The EDC may suspend interconnection service to repair the EDC's electric distribution system. The EDC shall provide the interconnection customer with prior notice, if possible. If prior notice is not possible, the EDC shall, upon written request, provide the interconnection customer with written documentation, after the fact, explaining the circumstances of the disconnection.

3.4.4 Adverse system impact – the EDC must provide the interconnection customer with written notice of its intention to disconnect the DER facility, if the EDC determines that operation of the DER facility creates an adverse system impact. The documentation that supports the EDC's decision to disconnect must be provided to the interconnection customer. The EDC may disconnect the DER facility if, after receipt of the notice, the interconnection customer fails to remedy the adverse system impact, unless emergency conditions exist, in which case, the provisions of Article 3.4.1 apply. The EDC may continue to leave the generating facility disconnected until the adverse system impact is corrected.

3.4.5 Modification of the DER facility – The interconnection customer must receive written authorization from the EDC prior to making any change to the DER facility, other than a minor equipment modification. If the interconnection customer modifies its facility without the EDC's prior written authorization, the EDC has the right to disconnect the DER facility until such time as the EDC concludes the modification poses no threat to the safety or reliability of its electric distribution system.

3.4.6 The EDC's compliance with Article 3 shall preclude any claim for damages for any lost opportunity or other costs incurred by the interconnection customer as a result of an interruption of service under Article 3. Any dispute over whether the EDC complied with Article 3 shall be resolved in accordance with the dispute resolution mechanism set forth in Article 8.

Article 4. Cost Responsibility for Interconnection Facilities and Distribution Upgrades

4.1 Interconnection Facilities

4.1.1 The interconnection customer shall pay, or reimburse the EDC, as applicable, for the cost of the interconnection facilities itemized in Attachment 3. The EDC shall identify the additional interconnection facilities necessary to interconnect the DER facility with the EDC's electric distribution system, the cost of those facilities, and the time required to build and install those facilities, as well as an estimated date of completion of the building or installation of those facilities.

4.1.2 The interconnection customer is responsible for its expenses, including overheads, associated with owning, operating, maintaining, repairing, and replacing its interconnection equipment.

4.2 Distribution Upgrades

The EDC shall design, procure, construct, install, and own any distribution upgrades. The actual cost of the distribution upgrades, including overheads, shall be directly assigned to the interconnection customer whose DER facility caused the need for the distribution upgrades.

Article 5. Billing, Payment, Milestones, and Financial Security

5.1 Billing and Payment Procedures and Final Accounting (Applies to supplemental reviews conducted under Level 1, 2 or 3 review with EDC construction necessary for accommodating the DER facility, and Level 4 reviews)

5.1.1 The EDC shall bill the interconnection customer for the design, engineering, construction, and procurement costs of EDC-provided interconnection facilities and distribution upgrades contemplated by this Agreement as set forth in Attachment 3. The billing shall occur on a monthly basis, or as otherwise agreed to between the Parties. The interconnection customer shall pay each bill within 30 calendar days after receipt, or as otherwise agreed to between the Parties.

5.1.2 Unless waived by the interconnection customer, within 90 calendar days after completing the construction and installation of the EDC's interconnection facilities and distribution upgrades described in Attachments 2 and 3 to this Agreement, the EDC shall provide the interconnection customer with a final accounting report of any difference between (1) the actual cost incurred to complete the construction and installation of the EDC's interconnection facilities and distribution upgrades; and (2) the interconnection customer's previous deposit and aggregate payments to the EDC for the interconnection facilities and distribution upgrades. If the interconnection customer's cost responsibility exceeds its previous deposit and aggregate payments, the EDC shall invoice the interconnection customer for the amount due and the interconnection customer shall pay the EDC within 30 calendar days. If the interconnection customer's previous deposit and aggregate payments exceed its cost responsibility under this Agreement, the EDC shall refund to the interconnection customer an amount equal to the difference within 30 calendar days after the final accounting report. Upon request from the interconnection customer, if the difference between the budget estimate and the actual cost exceeds 20%, the EDC will provide a written explanation for the difference.

5.1.3 If a Party disputes any portion of its payment obligation pursuant to this Article 5, the Party shall pay in a timely manner all non-disputed portions of its invoice, and the disputed amount shall be resolved pursuant to the dispute resolution provisions contained in Article 8. A Party disputing a portion of an Article 5 payment shall not be considered to be in default of its obligations under this Article.

5.2 Interconnection Customer Deposit

Within 15 business days after signing and returning the interconnection agreement to the EDC, the interconnection customer shall provide the EDC with a deposit equal to 100% of the estimated, non-binding cost to procure, install, or construct any such facilities. However, when the estimated date of completion of the building or installation of facilities exceeds three months from the date of notification, pursuant to Article 4.1.1 of this Agreement, this deposit may be held in escrow by a mutually agreed-upon third-party, with any interest to inure to the benefit of the interconnection customer. To the extent that this interconnection agreement is terminated for any reason, the EDC shall return all deposits provided by the interconnection customer, less any actual costs incurred by the EDC.

Article 6. Assignment, Limitation on Damages, Indemnity, Force Majeure, and Default

6.1 Assignment

This Agreement may be assigned by either Party. If the interconnection customer attempts to assign this Agreement, the assignee must agree to the terms of this Agreement in writing and such writing must be provided to the EDC. Any attempted assignment that violates this Article is void and ineffective. Assignment shall not relieve a Party of its obligations, nor shall a Party's obligations be enlarged, in whole or in part, by reason of the assignment. An assignee is responsible for meeting the same obligations as the assignor.

6.1.1 Either Party may assign this Agreement without the consent of the other Party to any affiliate (including mergers, consolidations or transfers, or a sale of a substantial portion of the Party's assets, between the Party and another entity), of the assigning Party that has an equal or greater credit rating and the legal authority and operational ability to satisfy the obligations of the assigning Party under this Agreement.

6.1.2 The interconnection customer can assign this Agreement, without the consent of the EDC, for collateral security purposes to aid in providing financing for the DER facility.

6.2 Limitation on Damages

Except for cases of gross negligence or willful misconduct, the liability of any Party to this Agreement shall be limited to direct actual damages and reasonable attorney's fees, and all other damages at law are waived. Under no circumstances, except for cases of gross negligence or willful misconduct, shall any Party or its directors, officers, employees and agents, or any of them, be liable to another Party, whether in tort, contract or other basis in law or equity for any special, indirect, punitive, exemplary or consequential damages, including lost profits, lost revenues, replacement power, cost of capital or replacement equipment. This limitation on damages shall not affect any Party's rights to obtain equitable relief, including specific performance, as otherwise provided in this Agreement. The provisions of this Article 6.2 shall survive the termination or expiration of the Agreement.

6.3 Indemnity

6.3.1 This provision protects each Party from liability incurred to third parties as a result of carrying out the provisions of this Agreement. Liability under this provision is exempt from the general limitations on liability found in Article 6.2.

6.3.2 The interconnection customer shall indemnify and defend the EDC and the EDC's directors, officers, employees, and agents, from all damages and expenses resulting from a third party claim arising out of or based upon the interconnection customer's (a) negligence or willful misconduct or (b) breach of this Agreement.

6.3.3 The EDC shall indemnify and defend the interconnection customer and the interconnection customer's directors, officers, employees, and agents from all damages and expenses resulting from a third party claim arising out of or based upon the EDC's (a) negligence or willful misconduct or (b) breach of this Agreement.

6.3.4 Within 5 business days after receipt by an indemnified Party of any claim or notice that an action or administrative or legal proceeding or investigation as to which the indemnity provided for in this Article may apply has commenced, the indemnified Party shall notify the indemnifying Party of such fact. The failure to notify, or a delay in notification, shall not affect a Party's indemnification obligation unless that failure or delay is materially prejudicial to the indemnifying Party.

6.3.5 If an indemnified Party is entitled to indemnification under this Article as a result of a claim by a third party, and the indemnifying Party fails, after notice and reasonable opportunity to proceed under this Article, to assume the defense of such claim, that indemnified Party may, at the expense of the indemnifying Party, contest, settle or consent to the entry of any judgment with respect to, or pay in full, the claim.

6.3.6 If an indemnifying Party is obligated to indemnify and hold any indemnified Party harmless under this Article, the amount owing to the indemnified person shall be the amount of the indemnified Party's actual loss, net of any insurance or other recovery.

6.4 Force Majeure

6.4.1 As used in this Article, a force majeure event shall mean any act of God, labor disturbance, act of the public enemy, war, acts of terrorism, insurrection, riot, fire, storm or flood, explosion, breakage or accident to machinery or equipment through no direct, indirect, or contributory act of a Party, any order, regulation or restriction imposed by governmental, military or lawfully established civilian authorities, or any other cause beyond a Party's control. A force majeure event does not include an act of gross negligence or intentional wrongdoing by the Party claiming force majeure.

6.4.2 If a force majeure event prevents a Party from fulfilling any obligations under this Agreement, the Party affected by the force majeure event ("Affected Party") shall notify the other Party of the existence of the force majeure event within one business day. The notification must specify the circumstances of the force majeure event, its expected duration, and the steps that the Affected Party is taking and will take to mitigate the effects of the event on its performance. If the initial notification is verbal, it must be followed up with a written notification within one business day. The Affected Party shall keep the other Party informed on a continuing basis of developments relating to the force majeure event until the event ends. The Affected Party may suspend or modify its obligations under this Agreement (other than the obligation to make payments) only to the extent that the effect of the force majeure event cannot be otherwise mitigated.

6.5 Default

6.5.1 No default shall exist when the failure to discharge an obligation (other than the payment of money) results from a force majeure event as defined in this Agreement, or the result of an act or omission of the other Party.

6.5.2 A Party shall be in default ("Default") of this Agreement if it fails in any material respect to comply with, observe or perform, or defaults in the performance of, any covenant or obligation under this Agreement and fails to cure the failure within 60 calendar days after receiving written notice from the other Party. Upon a default of this Agreement, the non-defaulting Party shall give written notice of the default to the defaulting Party. Except as provided in Article 6.5.3, the defaulting Party has 60 calendar days after receipt of the default notice to cure the default; provided, however, if the default cannot be cured within 60 calendar days, the defaulting Party shall commence the cure within 20 calendar days after original notice and complete the cure within six months from receipt of the default notice; and, if cured within that time, the default specified in the notice shall cease to exist.

6.5.3 If a Party has assigned this Agreement in a manner that is not specifically authorized by Article 6.1, fails to provide reasonable access pursuant to Article 2.3, and is in default of its obligations pursuant to Article 7, or if a Party is in default of its payment obligations pursuant to Article 5 of this Agreement, the defaulting Party has 30 days from receipt of the default notice to cure the default.

6.5.4 If a default is not cured as provided for in this Article, or if a default is not capable of being cured within the period provided for in this Article, the non-defaulting Party shall have the right to terminate this Agreement by written notice, and be relieved of any further obligation under this Agreement and, whether or not that Party terminates this Agreement, to recover from the defaulting Party all amounts due under this Agreement, plus all other damages and remedies to which it is entitled at law or in equity. The provisions of this Article shall survive termination of this Agreement.

Article 7. Insurance

For DER facilities with a nameplate capacity of 1 MVA or above, the interconnection customer shall carry sufficient insurance coverage so that the maximum comprehensive/general liability coverage that is continuously maintained by the interconnection customer during the term shall be not less than $2,000,000 for each occurrence, and an aggregate, if any, of at least $4,000,000. The EDC, its officers, employees and agents shall be added as an additional insured on this policy. The interconnection customer agrees to provide the EDC with at least 30 calendar days advance written notice of cancellation, reduction in limits, or non-renewal of any insurance policy required by this Article.

Article 8. Dispute Resolution

8.1 Parties shall attempt to resolve all disputes regarding interconnection as provided in this Article in a good faith manner.

8.2 If there is a dispute between the Parties about implementation or an interpretation of the Agreement, the aggrieved Party shall issue a written notice to the other Party to the Agreement that specifies the dispute and the Agreement articles that are disputed.

8.3 A meeting between the Parties shall be held within 10 days after receipt of the written notice. Persons with decision-making authority from each Party shall attend the meeting. If the dispute involves technical issues, persons with sufficient technical expertise and familiarity with the issue in dispute from each Party shall also attend the meeting. The meeting may be conducted by teleconference. The informal process between the parties shall extend 30 days after the receipt of written notice, after which the dispute is deemed resolved and the timeframes for decisions within the interconnection process resume, unless one of the parties seeks resolution through non-binding arbitration procedures described in Article 8.4 or files a formal complaint at the Commission prior to the end of the 30-day period.

8.4 If the parties are unable to resolve the dispute through the process outlined in Article 8.3, either party may submit the interconnection dispute to an Ombudsman for non-binding arbitration. The party electing non-binding arbitration shall notify the other party of the request in writing. The non-binding arbitration process is limited to 60 days, absent mutual agreement of the parties and the Ombudsman to a longer period.

8.5 Each party shall bear its own fees, costs and expenses and an equal share of the expenses of the non-binding arbitration.

8.6 Within 10 days after the conclusion of the procedures in Article 8.4, either party may initiate a formal complaint with the Commission and ask for an expedited resolution of the dispute. If the complaint seeks expedited resolution, any written recommendation of the Ombudsman shall be appended to the complaint. The formal complaint shall proceed as a contested hearing pursuant to the Commission’s Rules of Practice.

8.7 A party may, after good faith negotiations have failed, decline to pursue non-binding arbitration and instead initiate a formal complaint with the Commission. The formal complaint shall proceed as a contested hearing pursuant to the Commission's Rules of Practice.

8.8 Pursuit of dispute resolution may not affect an interconnection request or an interconnection applicant's position in the EDC's interconnection queue.

8.9 If the Parties fail to resolve their dispute under the dispute resolution provisions of this Article, nothing in this Article shall affect any Party's rights to obtain equitable relief, including specific performance, as otherwise provided in this Agreement.

Article 9. Miscellaneous

9.1 Governing Law, Regulatory Authority, and Rules

The validity, interpretation and enforcement of this Agreement and each of its provisions shall be governed by the laws of the State of Illinois, without regard to its conflicts of law principles. This Agreement is subject to all applicable laws and regulations. Each Party expressly reserves the right to seek change in, appeal, or otherwise contest any laws, orders or regulations of a governmental authority. The language in all parts of this Agreement shall in all cases be construed as a whole, according to its fair meaning, and not strictly for or against the EDC or interconnection customer, regardless of the involvement of either Party in drafting this Agreement.

9.2 Amendment

Modification of this Agreement shall be only by a written instrument duly executed by both Parties.

9.3 No Third-Party Beneficiaries

This Agreement is not intended to and does not create rights, remedies, or benefits of any character whatsoever in favor of any persons, corporations, associations, or entities other than the Parties, and the obligations in this Agreement assumed are solely for the use and benefit of the Parties, their successors in interest and, where permitted, their assigns.

9.4 Waiver

9.4.1 Except as otherwise provided in this Agreement, a Party's compliance with any obligation, covenant, agreement, or condition in this Agreement may be waived by the Party entitled to the benefits thereof only by a written instrument signed by the Party granting the waiver, but the waiver or failure to insist upon strict compliance with the obligation, covenant, agreement, or condition shall not operate as a waiver of, or estoppel with respect to, any subsequent or other failure.

9.4.2. Failure of any Party to enforce or insist upon compliance with any of the terms or conditions of this Agreement, or to give notice or declare this Agreement or the rights under this Agreement terminated, shall not constitute a waiver or relinquishment of any rights set out in this Agreement, but the same shall be and remain at all times in full force and effect, unless and only to the extent expressly set forth in a written document signed by that Party granting the waiver or relinquishing any such rights. Any waiver granted, or relinquishment of any right, by a Party shall not operate as a relinquishment of any other rights or a waiver of any other failure of the Party granted the waiver to comply with any obligation, covenant, agreement, or condition of this Agreement.

9.5 Entire Agreement

Except as provided in Article 9.1, this Agreement, including all attachments, constitutes the entire Agreement between the Parties with reference to the subject matter of this Agreement, and supersedes all prior and contemporaneous understandings or agreements, oral or written, between the Parties with respect to the subject matter of this Agreement. There are no other agreements, representations, warranties, or covenants that constitute any part of the consideration for, or any condition to, either Party's compliance with its obligations under this Agreement.

9.6 Multiple Counterparts

This Agreement may be executed in two or more counterparts, each of which is deemed an original, but all constitute one and the same instrument.

9.7 No Partnership

This Agreement shall not be interpreted or construed to create an association, joint venture, agency relationship, or partnership between the Parties, or to impose any partnership obligation or partnership liability upon either Party. Neither Party shall have any right, power or authority to enter into any agreement or undertaking for, or act on behalf of, or to act as or be an agent or representative of, or to otherwise bind, the other Party.

9.8 Severability

If any provision or portion of this Agreement shall for any reason be held or adjudged to be invalid or illegal or unenforceable by any court of competent jurisdiction or other governmental authority, (1) that portion or provision shall be deemed separate and independent, (2) the Parties shall negotiate in good faith to restore insofar as practicable the benefits to each Party that were affected by the ruling, and (3) the remainder of this Agreement shall remain in full force and effect.

9.9 Environmental Releases

Each Party shall notify the other Party of the release of any hazardous substances, any asbestos or lead abatement activities, or any type of remediation activities related to the DER facility or the interconnection facilities, each of which may reasonably be expected to affect the other Party. The notifying Party shall (1) provide the notice as soon as practicable, provided that Party makes a good faith effort to provide the notice no later than 24 hours after that Party becomes aware of the occurrence, and (2) promptly furnish to the other Party copies of any publicly available reports filed with any governmental authorities addressing such events.

9.10 Subcontractors

Nothing in this Agreement shall prevent a Party from using the services of any subcontractor it deems appropriate to perform its obligations under this Agreement; provided, however, that each Party shall require its subcontractors to comply with all applicable terms and conditions of this Agreement in providing services and each Party shall remain primarily liable to the other Party for the performance of the subcontractor.

9.10.1 A subcontract relationship does not relieve any Party of any of its obligations under this Agreement. The hiring Party remains responsible to the other Party for the acts or omissions of its subcontractor. Any applicable obligation imposed by this Agreement upon the hiring Party shall be equally binding upon, and shall be construed as having application to, any subcontractor of the hiring Party.

9.10.2 The obligations under this Article cannot be limited in any way by any limitation of subcontractor's insurance.

Article 10. Notices

10.1 General

Unless otherwise provided in this Agreement, any written notice, demand, or request required or authorized in connection with this Agreement ("Notice") shall be deemed properly given if delivered in person, delivered by recognized national courier service, or sent by first class mail, postage prepaid, to the person specified below:

If to Interconnection Customer:

Interconnection Customer:

Attention:

Address:

City:

State:

Zip:

Phone:

Fax:

E-Mail:

If to EDC:

EDC:

Attention:

Address:

City:

State:

Zip:

Phone:

Fax:

E-Mail:

Alternative Forms of Notice

Any notice or request required or permitted to be given by either Party to the other Party and not required by this Agreement to be in writing may be given by telephone, facsimile or e-mail to the telephone numbers and e-mail addresses set out above.

10.2 Billing and Payment

Billings and payments shall be sent to the addresses set out below:

If to Interconnection Customer:

Interconnection Customer:

Attention:

Address:

City:

State:

Zip:

Phone:

Fax:

E-Mail:

If to EDC:

EDC:

Attention:

Address:

City:

State:

Zip:

Phone:

Fax:

E-Mail:

10.3 Designated Operating Representative

The Parties may also designate operating representatives to conduct the communications that may be necessary or convenient for the administration of this Agreement. This person will also serve as the point of contact with respect to operations and maintenance of the Party's facilities.

Interconnection Customer's Operating Representative:

Attention:

Address:

City:

State:

Zip:

Phone:

Fax:

E-Mail:

EDC's Operating Representative:

Attention:

Address:

City:

State:

Zip:

Phone:

Fax:

E-Mail:

10.4 Changes to the Notice Information

Either Party may change this notice information by giving five business days written notice before the effective date of the change.

Article 11. Signatures

IN WITNESS WHEREOF, the Parties have caused this Agreement to be executed by their respective duly authorized representatives.

For the Interconnection Customer:

Name:

Title:

Date:

For EDC:

Name:

Title:

Date:

Attachment 1

Definitions

Adverse system impact – A negative effect that compromises the safety or reliability of the electric distribution system or materially affects the quality of electric service provided by the electric distribution company (EDC) to other customers.

Applicable laws and regulations – All duly promulgated applicable federal, State and local laws, regulations, rules, ordinances, codes, decrees, judgments, directives, or judicial or administrative orders, permits and other duly authorized actions of any governmental authority, having jurisdiction over the Parties.

Commissioning test – Tests applied to a distributed energy resources facility by the applicant after construction is completed to verify that the facility does not create adverse system impacts. At a minimum, the scope of the commissioning tests performed shall include the commissioning test specified by IEEE Standard 1547 Section 5.4 "Commissioning tests."

Distributed energy resources (DER) facility – The equipment used by an interconnection customer to generate or store electricity that operates in parallel with the electric distribution system. A DER facility typically includes an electric generator, prime mover, and the interconnection equipment required to safely interconnect with the electric distribution system or a local electric power system.

Distribution upgrades – A required addition or modification to the EDC's electric distribution system at or beyond the point of interconnection to accommodate the interconnection of a DER facility. Distribution upgrades do not include interconnection facilities.

Electric distribution company or EDC – Any electric utility entity subject to the jurisdiction of the Illinois Commerce Commission.

Electric distribution system – The facilities and equipment used to transmit electricity to ultimate usage points such as homes and industries from interchanges with higher voltage transmission networks that transport bulk power over longer distances. The voltage levels at which electric distribution systems operate differ among areas but generally carry less than 100 kilovolts of electricity. Electric distribution system has the same meaning as the term Area EPS, as defined in 3.1.6.1 of IEEE Standard 1547.

Facilities study – An engineering study conducted by the EDC to determine the required modifications to the EDC's electric distribution system, including the cost and the time required to build and install the modifications, as necessary to accommodate an interconnection request.

Force majeure event – Any act of God, labor disturbance, act of the public enemy, war, acts of terrorism, insurrection, riot, fire, storm or flood, explosion, breakage or accident to machinery or equipment through no direct, indirect, or contributory act of a Party, any order, regulation or restriction imposed by governmental, military or lawfully established civilian authorities, or any other cause beyond a Party's control. A force majeure event does not include an act of gross negligence or intentional wrongdoing.

Governmental authority – Any federal, State, local or other governmental regulatory or administrative agency, court, commission, department, board, other governmental subdivision, legislature, rulemaking board, tribunal, or other governmental authority having jurisdiction over the Parties, their respective facilities, or the respective services they provide, and exercising or entitled to exercise any administrative, executive, police, or taxing authority or power; provided, however, that this term does not include the interconnection customer, EDC or any affiliate of either.

IEEE Standard 1547 – The Institute of Electrical and Electronics Engineers, Inc. (IEEE), 3 Park Avenue, New York NY 10016-5997, Standard 1547 (2003), "Standard for Interconnecting Distributed Resources with Electric Power Systems."

IEEE Standard 1547.1 – The IEEE Standard 1547.1 (2005), "Conformance Test Procedures for Equipment Interconnecting Distributed Resources with Electric Power Systems."

Illinois standard distributed energy resources interconnection rules – The most current version of the procedures for interconnecting distributed energy resources facilities adopted by the Illinois Commerce Commission. See 83 Ill. Adm. Code 466.

Interconnection agreement or Agreement – The agreement between the interconnection customer and the EDC. The interconnection agreement governs the connection of the DER facility to the EDC's electric distribution system and the ongoing operation of the DER facility after it is connected to the EDC's electric distribution system.

Interconnection customer – The entity entering into this Agreement for the purpose of interconnecting a DER facility to the EDC's electric distribution system.

Interconnection equipment – A group of components or an integrated system connecting an electric generator with a local electric power system or an electric distribution system that includes all interface equipment, including switchgear, protective devices, inverters or other interface devices. Interconnection equipment may be installed as part of an integrated equipment package that includes a generator or other electric source.

Interconnection facilities – Facilities and equipment required by the EDC to accommodate the interconnection of a DER facility. Collectively, interconnection facilities include all facilities, and equipment between the DER facility and the point of interconnection, including modification, additions, or upgrades that are necessary to physically and electrically interconnect the DER facility to the electric distribution system. Interconnection facilities are sole use facilities and do not include distribution upgrades.

Interconnection request – An interconnection customer's request, on the required form, for the interconnection of a new DER facility, or to increase the capacity or change the operating characteristics of an existing DER facility that is interconnected with the EDC's electric distribution system.

Interconnection study – Any of the following studies, as determined to be appropriate by the EDC: the interconnection feasibility study, the interconnection system impact study, and the interconnection facilities study.

Load customer – An EDC customer whose primary business classification is not the production of electricity.

Parallel operation or Parallel – The state of operation that occurs when a DER facility is connected electrically to the electric distribution system.

Point of interconnection – The point where the DER facility is electrically connected to the electric distribution system. Point of interconnection has the same meaning as the term "point of common coupling" defined in 3.1.13 of IEEE Standard 1547.

Witness test – For lab-certified equipment, verification (either by an on-site observation or review of documents) by the EDC that the interconnection installation evaluation required by IEEE Standard 1547 Section 5.3 and the commissioning test required by IEEE Standard 1547 Section 5.4 have been adequately performed. For interconnection equipment that has not been lab-certified, the witness test shall also include verification by the EDC of the on-site design tests required by IEEE Standard 1547 Section 5.1 and verification by the EDC of production tests required by IEEE Standard 1547 Section 5.2. All tests verified by the EDC are to be performed in accordance with the test procedures specified by IEEE Standard 1547.1.

Attachment 2

Construction Schedule, Proposed Equipment & Settings

This attachment is to be completed by the interconnection customer and shall include the following:

1. The construction schedule for the DER facility.

2. A one-line diagram indicating the DER facility, interconnection equipment, interconnection facilities, metering equipment, and distribution upgrades.

3. Component specifications for equipment identified in the one-line diagram.

4. Component settings.

5. Proposed sequence of operations.

6. A three line diagram showing current potential circuits for protective relays.

7. Relay tripping and control schematic diagram.

Attachment 3

Description, Costs and Time Required to Build and

Install the EDC's Interconnection Facilities

This attachment is to be completed by the EDC and shall include the following:

1. Required interconnection facilities, including any required metering.

2. An estimate of itemized costs charged by the EDC for interconnection, including overheads, based on results from prior studies.

3. An estimate for the time required to build and install the EDC's interconnection facilities based on results from prior studies and an estimate of the date upon which the facilities will be completed.

Attachment 4

Operating Requirements for Distributed Energy Resources Facilities Operating in Parallel

The EDC shall list specific operating practices that apply to this DER interconnection and the conditions under which each listed specific operating practice applies.

Attachment 5

Monitoring and Control Requirements

This attachment is to be completed by the EDC and shall include the following:

1. The EDC's monitoring and control requirements must be specified, along with a reference to the EDC's written requirements documents from which these requirements are derived.

2. An internet link to the requirements documents.

3. If applicable, a copy of any agreement between the interconnection customer and the EDC enabling the EDC to monitor and control the distributed energy resources facility in order to preserve distribution system reliability.

Attachment 6

Metering Requirements

This attachment is to be completed by the EDC and shall include the following:

1. The metering requirements for the distributed energy resources facility.

2. Identification of the appropriate tariffs that establish these requirements.

3. An internet link to these tariffs.

Attachment 7

As Built Documents

This attachment is to be completed by the interconnection customer and shall include the following:

When it returns the certificate of completion to the EDC, the interconnection customer shall provide the EDC with documents detailing the as-built status of the following:

1. A one-line diagram indicating the distributed energy resources facility, interconnection equipment, interconnection facilities, and metering equipment.

2. Component specifications for equipment identified in the one-line diagram.

3. Component settings.

4. Proposed sequence of operations.

5. A three-line diagram showing current potential circuits for protective relays.

6. Relay tripping and control schematic diagram.

History

• Source: Amended at 46 Ill. Reg. 9666, effective May 26, 2022

83 Ill. Adm. Code 466.APPENDIX E Interconnection Feasibility Study Agreement

Interconnection Feasibility Study Agreement

This agreement ("Agreement") is made and entered into this

day of

by and between

("interconnection customer"), as an

individual person, or as a

organized and existing under the

laws of the State of

, and

("Electric Distribution

Company" (EDC)), a

existing under the laws of the

State of Illinois. Interconnection customer and EDC each may be referred to as a "Party", or collectively as the "Parties".

Recitals:

Whereas, interconnection customer is proposing to develop a distributed energy resources facility or modifying to an existing distributed energy resources facility consistent with the interconnection request application form submitted by interconnection customer on

(Date)

; and

Whereas, interconnection customer desires to interconnect the distributed energy resources facility with EDC's electric distribution system; and

Whereas, interconnection customer has requested EDC to perform an interconnection feasibility study to assess the feasibility of interconnecting the proposed distributed energy resources facility to EDC's electric distribution system;

Now, therefore, in consideration of and subject to the mutual covenants contained herein the Parties agree as follows:

1. All terms defined in Section 466.20 of the Illinois Distributed Energy Resources Interconnection Standard shall have the meanings indicated in that Section when used in this Agreement.

2. Interconnection customer elects and EDC shall cause to be performed an interconnection feasibility study consistent with Section 466.120 of the Illinois Distributed Energy Resources Interconnection Standard.

3. The scope of the interconnection feasibility study shall be based upon the information set forth in the interconnection request application form and Attachment A to this Agreement.

4. The interconnection feasibility study shall be based on the technical information provided by interconnection customer in the interconnection request application form, as modified with the agreement of the Parties. EDC has the right to request additional technical information from interconnection customer during the course of the interconnection feasibility study. If the interconnection customer modifies its interconnection request, the time to complete the interconnection feasibility study may be extended by the EDC.

5. In performing the study, EDC shall rely on existing studies of recent vintage to the extent practical. The interconnection customer will not be charged for such existing studies; however, interconnection customer is responsible for the cost of applying any existing study to the interconnection customer specific requirements and for any new study that the EDC performs.

6. The interconnection feasibility study report shall provide the following information:

6.1 Identification of any equipment short circuit capability limits exceeded as a result of the interconnection,

6.2 Identification of any thermal overload or voltage limit violations resulting from the interconnection, and

6.3 A description and non-binding estimated cost of facilities required to interconnect the distributed energy resources facility to EDC's electric distribution system as required under Section 466.120(e)(1).

7. Interconnection customer shall provide a study deposit equal to 100% of the estimated non-binding study costs at least 20 business days prior to the date upon which the study commences.

8. The interconnection feasibility study shall be completed and the results shall be transmitted to interconnection customer within 25 business days after this Agreement is signed by the Parties.

9. Study fees shall be based on actual costs and will be invoiced to interconnection customer after the study is transmitted to interconnection customer. The invoice must include an itemized listing of employee time and costs expended on the study.

10. Interconnection customer shall pay any actual study costs that exceed the deposit without interest within 30 calendar days on receipt of the invoice. EDC shall refund any excess deposit amount without interest within 30 calendar days after the invoice.

In witness whereof, the Parties have caused this Agreement to be duly executed by their duly authorized officers or agents on the day and year first above written.

[Insert name of interconnection customer]

Signed:

Name (Printed):

Title:

[Insert name of EDC]

Signed:

Name (Printed):

Title:

Attachment A to Interconnection Feasibility Study Agreement

Assumptions Used in Conducting the Interconnection Feasibility Study

The interconnection feasibility study will be based upon the information in the interconnection

request application form and agreed upon on

:

Date

1. Point of interconnection and configuration to be studied.

2. Alternative points of interconnection and configurations to be studied.

Note: 1 and 2 are to be completed by the interconnection customer. Any additional assumptions (explained below) may be provided by either the interconnection customer or the EDC.

History

• Source: Amended at 46 Ill. Reg. 9666, effective May 26, 2022

83 Ill. Adm. Code 466.APPENDIX F Interconnection System Impact Study Agreement

Interconnection System Impact Study Agreement

This agreement ("Agreement") is made and entered into this

day of

by and between

("interconnection customer"), as an

individual person, or as a

organized and existing under the

laws of the State of

, and

("Electric Distribution

Company" (EDC)), a

existing under the laws of the

State of Illinois. Interconnection customer and EDC each may be referred to as a "Party", or collectively as the "Parties".

Recitals:

Whereas, interconnection customer is proposing to develop a distributed generation facility or modifying an existing distributed generation facility consistent with the interconnection request

application form completed by interconnection customer on

(Date)

; and

Whereas, interconnection customer desires to interconnect the distributed generation facility to EDC's electric distribution system; and

Whereas, EDC has completed an interconnection feasibility study and provided the results of said study to interconnection customer (this recital to be omitted if the Parties have agreed to forego the interconnection feasibility study); and

Whereas, interconnection customer has requested EDC to perform an interconnection system impact study to assess the impact of interconnecting the distributed generation facility to EDC's electric distribution system;

Now, therefore, in consideration of and subject to the mutual covenants contained herein the Parties agree as follows:

1. All terms defined in Section 466.30 of the Illinois Distributed Generation Interconnection Standard shall have the meanings indicated in that Section when used in this Agreement.

2. Interconnection customer elects and EDC shall cause to be performed an interconnection system impact study consistent with Section 466.120 of the Illinois Distributed Generation Interconnection Standard.

3. The scope of the interconnection system impact study shall be based upon the information set forth in the interconnection request application form and in Attachment A to this Agreement.

4. The interconnection system impact study shall be based upon the interconnection feasibility study and the technical information provided by interconnection customer in the interconnection request application form. EDC reserves the right to request additional technical information from interconnection customer. If interconnection customer modifies its proposed point of interconnection, interconnection request, or the technical information provided therein is modified, the time to complete the interconnection system impact study may be extended.

5. The interconnection system impact study report shall provide the following information:

5.1 Identification of any equipment short circuit capability limits exceeded as a result of the interconnection,

5.2 Identification of any thermal overload or voltage limit violations resulting from the interconnection,

5.3 Identification of any instability or inadequately damped response to system disturbances resulting from the interconnection, and

5.4 Description and non-binding estimated cost of facilities required to interconnect the distributed generation facility to EDC's electric distribution system and to address the identified short circuit, thermal overload, voltage and instability issues as required under Section 466.120(e)(2).

6. Interconnection customer shall provide a study deposit equal to 100% of the estimated non-binding study costs at least 20 business days prior to the date upon which the study commences.

7. The interconnection system impact study, if required, shall be completed and the results transmitted to interconnection customer within 25 business days after this Agreement is signed by the Parties.

8. Study fees shall be based on actual costs and shall be invoiced to interconnection customer after the study is transmitted to interconnection customer. The invoice shall include an itemized listing of employee time and costs expended on the study.

9. Interconnection customer shall pay any study costs that exceed the deposit within 30 calendar days after receipt of the invoice. EDC shall refund any excess deposit amount within 30 calendar days of the invoice.

In witness thereof, the Parties have caused this Agreement to be duly executed by their duly authorized officers or agents on the day and year first above written.

[Insert name of interconnection customer]

Signed:

Name (Printed):

Title:

[Insert name of EDC]

Signed:

Name (Printed):

Title:

Attachment A to Interconnection System Impact Study Agreement

Assumptions Used in Conducting the Interconnection System Impact Study

The interconnection system impact study shall be based upon the results of the interconnection feasibility study, subject to any modifications in accordance with Section 466.120 of the Illinois Distributed Generation Interconnection Standard, and the following assumptions:

1. Point of interconnection and configuration to be studied.

2. Alternative Points of interconnection and configurations to be studied.

Note: 1 and 2 are to be completed by the interconnection customer. Any additional assumptions (explained below) may be provided by either the interconnection customer or the EDC.

83 Ill. Adm. Code 466.APPENDIX G Interconnection Facilities Study Agreement

Interconnection Facilities Study Agreement

This agreement ("Agreement") is made and entered into this

day of

by and between

("interconnection customer"), as an

individual person, or as a

organized and existing under the

laws of the State of

, and

("Electric Distribution

Company" (EDC)), a

existing under the laws of the

State of Illinois. Interconnection customer and EDC each may be referred to as a "Party", or collectively as the "Parties".

Recitals:

Whereas, interconnection customer is proposing to develop a distributed generation facility or modifying an existing distributed generation facility consistent with the interconnection request

application form completed by interconnection customer on

(Date)

; and

Whereas, interconnection customer desires to interconnect the distributed generation facility with EDC's electric distribution system; and

Whereas, EDC has completed an interconnection system impact study and provided the results of said study to interconnection customer (unless proceeding directly from Level 1, 2 or 3 review); and

Whereas, interconnection customer has requested EDC to perform an interconnection facilities study to specify and estimate the cost of the equipment, engineering, procurement and construction work needed to interconnect the distributed generation facility;

Now, therefore, in consideration of and subject to the mutual covenants contained in this Agreement, the Parties agree as follows:

1. All terms defined in Section 466.30 of the Illinois Distributed Generation Interconnection Standard shall have the meanings indicated in that Section when used in this Agreement.

2. Interconnection customer elects and EDC shall cause an interconnection facilities study consistent with Section 466.120 of the Illinois Distributed Generation Interconnection Standard.

3. The scope of the interconnection facilities study shall be determined by the information provided in Attachment A to this Agreement.

4. An interconnection facilities study report (1) shall provide a description, estimated cost of distribution upgrades, and a schedule for required facilities to interconnect the distributed generation facility to EDC's electric distribution system; and (2) shall address all issues identified in the interconnection system impact study (or identified in this study if the system impact study is combined herein).

5. Interconnection customer shall provide a study deposit of 100% of the estimated non-binding study costs at least 20 business days prior to the date upon which the study commences.

6. In cases where no distribution upgrades are required, the interconnection facilities study shall be completed and the results shall be transmitted to interconnection customer within 15 business days after this Agreement is signed by the Parties. In cases where distribution upgrades are required, the interconnection facilities study shall be completed and the results shall be transmitted to interconnection customer within 30 business days after this Agreement is signed by the Parties.

7. Study fees shall be based on actual costs and will be invoiced to interconnection customer after the study is transmitted to interconnection customer. The invoice shall include an itemized listing of employee time and costs expended on the study.

8. Interconnection customer shall pay any actual study costs that exceed the deposit within 30 calendar days on receipt of the invoice. EDC shall refund any excess deposit amount within 30 calendar days after the invoice.

In witness whereof, the Parties have caused this Agreement to be duly executed by their duly authorized officers or agents on the day and year first above written.

[Insert name of interconnection customer]

Signed:

Name (Printed):

Title:

[Insert name of EDC]

Signed:

Name (Printed):

Title:

Attachment A to Interconnection Facilities Study Agreement

Minimum Information That Interconnection Customer Must Provide With the Interconnection Facilities Study Agreement.

Provide location plan and simplified one-line diagram of the distributed generation facilities.

For staged projects, please indicate size and location of planned additional future generation.

On the one-line diagram, indicate the generation capacity attached at each metering location. (Maximum load on CT/PT).

On the one-line diagram, indicate the location of auxiliary power. (Minimum load on CT/PT) Amps.

One set of metering is required for each generation connection to the EDC's electric distribution system.

Number of generation connections:

Will an alternate source of auxiliary power be available during CT/PT maintenance?

Yes

No

Will a transfer bus on the generation side of the metering require that each meter set be designed for the total distributed generation capacity?

Yes

No

(Please indicate on the one-line diagram).

What type of control system or PLC will be located at the distributed generation facility?

What protocol does the control system or PLC use?

Please provide a scale drawing of the site. Indicate the point of common coupling, distribution line, and property lines.

Number of third party easements required for EDC's interconnection facilities:

To be completed in coordination with EDC.

Is the distributed generation facility located in EDC's service area?

Yes

No

If No, please provide name of local provider:

Please provide the following proposed schedule dates:

Begin construction date:

Generator step-up transformers receive back feed power date:

Generation testing date:

Commercial operation date:

History

• Source: Amended at 41 Ill. Reg. 862, effective January 20, 2017

Part 467 Electric Interconnection of Large Distributed Energy Resources Facilities

83 Ill. Adm. Code 467.10 Scope

The Illinois Large Distributed Energy Resources Interconnection Standard applies to any distributed energy resources (DER) facility operated in parallel with an electric public utility distribution company in Illinois and whose nameplate capacity is greater than 10 megavolt amperes (MVA) (a large DER facility), provided that the electric distribution system facilities to which the DER facility is proposed to interconnect are not subject to the jurisdiction or interconnection requirements of either the Federal Energy Regulatory Commission (FERC) or the applicable Regional Transmission Organization (RTO) (either Midwest Independent Transmission System Operator, Inc. (MISO) or PJM Interconnection, LLC (PJM)).

History

• Source: Amended at 46 Ill. Reg. 9788, effective May 26, 2022

83 Ill. Adm. Code 467.20 Definitions and Incorporations by Reference

Terms defined in Section 16-102 of the Public Utilities Act [220 ILCS 5] shall have the same meaning for purposes of this Part as they have under Section 16-102 of the Act, unless further defined in this Part. The following words and terms, when used in this Part, have the following meanings unless the context indicates otherwise:

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

"Adverse system impact" means a negative effect that compromises the safety or reliability of the electric distribution or transmission systems or materially affects the quality of electric service provided by the electric distribution company (EDC) to other customers.

"Affected system" means an electric system, other than the EDC's distribution system with which the distributed energy resources facility is to be directly connected, that could suffer an adverse system impact from the proposed interconnection.

"Applicant" means a person (or entity) who has submitted an interconnection request to interconnect a distributed energy resources facility to an EDC's electric distribution system.

"Business day" means Monday through Friday, excluding State and federal holidays.

"Calendar day" means any day, including Saturdays, Sundays and State and federal holidays.

"Certificate of completion" means a certificate, in a form approved by the Commission, that contains information about the interconnection equipment to be used, its installation and local inspections (see Appendix A).

"Commissioning test" means tests applied to a distributed energy resources facility by the applicant after construction is completed to verify that the facility does not create adverse system impacts and performs to the submitted specifications.

"Contingent upgrades" means proposed interconnection facilities or distribution system upgrades, identified during interconnection studies for an applicant’s interconnection request, that are the responsibility of an interconnection request earlier in the queue than the subject application for interconnection. The identified contingent upgrades are required in order for the applicant’s proposed interconnection request to receive permission to operate and, if delayed or not built by the earlier-queued interconnection request, could cause a need for restudies of the interconnection request and may become the responsibility of the applicant’s interconnection request.

"Distributed energy resources facility" or "DER facility" means the equipment used by an interconnection customer to generate or store electricity that operates in parallel with the electric distribution system. A DER facility may include, but is not limited to, an electric generator or energy storage system, a prime mover, and the interconnection equipment required to safely interconnect with the electric distribution system or local electric power system.

"Electric distribution company" or "EDC" means any electric utility subject to the jurisdiction of the Commission.

"Electric distribution system" means the facilities and equipment owned and operated by the EDC and used to transmit electricity to ultimate usage points such as homes and industries from interchanges with higher voltage transmission networks that transport bulk power over longer distances. The voltage levels at which electric distribution systems operate differ among areas, but generally operate at less than 100 kilovolts of electricity. "Electric distribution system" has the same meaning as the term "Area EPS", as defined in Section 3.1.6.1 of IEEE Standard 1547. "Electric distribution system" excludes facilities under the operational control of the RTO.

"IEEE Standard 1547" is the Institute of Electrical and Electronics Engineers, Inc., 3 Park Avenue, New York NY 10016-5997, Standard 1547 (2003) "Standard for Interconnecting Distributed Resources with Electric Power Systems". This incorporation does not include any later amendments or editions.

"IEEE Standard 1547.1" is the IEEE Standard 1547.1 (2005) "Conformance Test Procedures for Equipment Interconnecting Distributed Resources with Electric Power Systems". This incorporation does not include any later amendments or editions.

"Interconnection customer" means a person or entity that has a DER facility interconnected, or that seeks to interconnect, to an electric distribution system.

"Interconnection equipment" means a group of components or an integrated system owned and operated by the interconnection customer that connects an electric generator with a local electric power system, as that term is defined in Section 3.1.6.2 of IEEE Standard 1547, or with the electric distribution system. Interconnection equipment is all interface equipment, including switchgear, protective devices, inverters or other interface devices. Interconnection equipment may be installed as part of an integrated equipment package that includes a generator or other electric source.

"Interconnection facilities" means facilities and equipment required by the EDC to accommodate the interconnection of a DER facility. Collectively, interconnection facilities include all facilities and equipment between the DER facility's interconnection equipment and the point of interconnection, including any modifications or additions necessary to physically and electrically interconnect the DER facility to the electric distribution system. Interconnection facilities are sole use facilities and do not include system upgrades.

"Interconnection request" means an applicant's request, in a form approved by the Commission, for interconnection of a new DER facility or to change the capacity or other operating characteristics of an existing DER facility already interconnected with the electric distribution system.

"Interconnection study" is any study described in Section 467.70.

"Local electric power system" means facilities that deliver electric power to a load that is contained entirely within a single premises or group of premises. Local electric power system has the same meaning as in Section 3.1.6.2 of IEEE Standard 1547.

"Nameplate capacity" is the maximum rated output in kVA of a generator, prime mover, energy storage system, or other electric power production equipment under specific conditions designated by the manufacturer and usually indicated on a nameplate physically attached to the power production equipment.

"Parallel operation" or "parallel" means a DER facility that is connected electrically to the electric distribution system for longer than 100 milliseconds.

"Point of interconnection" or "POI" means the point where the DER facility is electrically connected to the electric distribution system. Point of interconnection has the same meaning as the term "point of common coupling" defined in Section 3.1.13 of IEEE Standard 1547.

"Queue position" means the order an EDC receives a completed interconnection request relative to that specific EDC's other interconnection requests. It is established by the date that the EDC receives the completed interconnection request.

"Scoping meeting" means a meeting between representatives of the applicant and EDC conducted for the purpose of discussing interconnection issues and exchanging relevant information.

"Standard agreement for interconnection of DER facilities with a capacity more than 10 MVA" means a standard interconnection agreement applicable to interconnection requests for large DER facilities (see Appendix C).

"Witness test" means a verification by the EDC, either by on-site observation or review of documents, that the interconnection installation evaluation required by the applicable technical standards has been performed.

History

• Source: Amended at 46 Ill. Reg. 9788, effective May 26, 2022

83 Ill. Adm. Code 467.30 Waiver

a) The Commission, on application or petition of an EDC, DER applicant or customer, or on its own motion, may grant a temporary or permanent waiver from this Part, or any Section or subsection of this Part, in individual cases in which the Commission finds that:

1. the provision from which the waiver is granted is not statutorily mandated;

2. there is good cause for the waiver, and it is in the public interest; and

3. the rule from which the waiver is granted would, as applied to the particular case, be unreasonable or unnecessarily burdensome.

b) The party seeking the waiver shall bear the burden of proof to establish the right for a waiver.

History

• Source: Amended at 46 Ill. Reg. 9788, effective May 26, 2022

83 Ill. Adm. Code 467.40 Technical Standards

The EDC shall use relevant technical interconnection standards adopted by the applicable regional transmission organization (RTO). If such standards do not exist, the parties shall negotiate adjustments or modifications to IEEE Standard 1547 that are necessary due to electric system conditions or constraints, or to unique generator characteristics.

83 Ill. Adm. Code 467.45 Pre-Application Report

a) In addition to the information described in Section 467.60, which may be provided in response to an informal request, a potential applicant may submit a formal written request form along with a non-refundable fee of $300 for a pre-application report on a proposed project at a specific site. The EDC shall provide the pre-application data described in this Section to the potential applicant within 20 business days after receipt of the completed request form and payment of the $300 fee. The pre-application report produced by the EDC is non-binding and does not confer any rights; the potential applicant must successfully file an application before it can interconnect with the EDC's system. The written pre-application report request form shall include the following information to clearly and sufficiently identify the location of the proposed point of interconnection:

1. project contact information, including name, address, phone number and email address;

2. project location (street address with nearby cross streets, town, and GPS coordinates in decimal format);

3. meter number, pole number or other equivalent information identifying proposed point of interconnection, if available;

4. generator type (e.g., solar, wind, combined heat and power, energy storage or inverter system or fuel cells);

5. size (alternating current kW);

6. single or three-phase generator configuration;

7. whether a stand-alone generator is proposed (no onsite load, not including station service);

8. whether new electric service is required for the site. Include the existing minimum and maximum on-site electrical demand (in kVA) and describe any expected changes to the minimum and maximum on-site electrical demand (in kVA), including the timing of those changes; and

9. the number and capacity of each generator unit to be interconnected at the site specified in the pre-application report request.

b) Using the information provided in the pre-application report request form described in subsection (a), the EDC shall identify the substation/area bus, bank or circuit likely to serve the proposed point of interconnection. This selection by the EDC does not necessarily indicate, after application of the relevant review process, that this would be the circuit to which the project ultimately connects. The potential applicant must request additional pre-application reports if information about multiple points of interconnection is requested. Subject to subsection (c), the pre-application report shall include the following information:

1. Identification of up to two distribution circuits within one quarter mile of the proposed point of interconnection, including the following information:

A) Substation and circuit identifying information;

B) Feeder configuration (e.g., radial or network);

C) Number and size of phase conductors at the point of interconnection;

D) Distance to three-phase (if applicable);

E) Primary circuit voltage at the point of interconnection;

F) Existing aggregate generation capacity interconnected to the identified substations and circuits;

G) Aggregate generation capacity and non-binding estimated costs associated with projects earlier in the queue and planned for the identified substations and circuits;

H) Capacity of the substation transformer, substation circuit equipment, and lowest rated circuit equipment between the proposed point of interconnection and the substation/area bus identified;

I) Circuit peak and minimum load: estimated if actual is unavailable (i.e., minimum load from 10 a.m. to 4 p.m. Central Prevailing Time for fixed panel photovoltaic (PV) systems, from 8 a.m. to 6 p.m. for PV systems using tracking systems, or absolute minimum for non-PV and energy storage systems);

J) Approximate circuit distance between the proposed point of interconnection and the identified substation or area bus;

K) Size and type of relevant protective devices between the proposed point of interconnection and the substation/area bus identified, including:

i) Lowest rated upstream recloser, where applicable; and

ii) Lowest rated upstream fuse, where applicable;

L) Number of regulating devices between the proposed point of interconnection and the substation/area bus identified; and

M) For the EDC's proposed point of interconnection, all existing or anticipated constraints that might affect the interconnection.

2. Disclosure from the EDC as to whether the aggregate contingent upgrades of the systems earlier in the queue are estimated to exceed the following thresholds, if such estimates are available:

A) Distribution facility replacement/upgrades of $50,000;

B) Substation transformer replacement/upgrades of $100,000; or

C) Transmission replacement/upgrades of $100,000.

c) The pre-application report need only include existing data. A pre-application report request does not obligate the EDC to conduct a study or other analysis of the proposed generator in the event that data is not readily available. If the EDC cannot complete all or some of a pre-application report due to lack of available data, the EDC shall provide the interconnection customer with a pre-application report that includes the data that is available. The provision of information on "available capacity" within the pre-application report represents the best information available to the EDC at the time of the reporting and does not imply that an interconnection up to this level may be completed without impacts.

History

• Source: Amended at 46 Ill. Reg. 9788, effective May 26, 2022

83 Ill. Adm. Code 467.50 Interconnection Request Review

a) Applicants seeking to interconnect a DER facility, or to revise a DER facility that has already been interconnected, shall submit an interconnection request to the EDC that owns the electric distribution system to which interconnection is sought. Applicants shall use interconnection request forms approved by the Commission. The EDC may require additional information from the Applicant if the EDC can demonstrate that the additional information is necessary in order for the EDC to conduct its review under this Part.

b) The application fee is specified in the interconnection application form (see Appendix B).

c) Interconnection requests may be submitted electronically.

d) If the timelines provided in this Part cannot be met due to the unique characteristics of the proposed facility, parties shall negotiate timelines that differ from those established in this Part. Alternative timelines may be needed to account for project complexities, personnel requirements or other outside factors regarding a particular project. If a mutual agreement is not reached, parties may use the dispute resolution procedures in Section 467.80.

History

• Source: Amended at 46 Ill. Reg. 9788, effective May 26, 2022

83 Ill. Adm. Code 467.60 General Requirements

a) When an interconnection request for a DER facility includes multiple energy production devices at a site for which the applicant seeks a single point of interconnection, the interconnection request shall be evaluated based on the aggregate nameplate capacity of the multiple devices.

b) When an interconnection request is for an increase in capacity for an existing DER facility, the interconnection request shall be evaluated based on the incremental impact of the new total nameplate capacity of the DER facility.

c) EDCs shall publish on their websites a dedicated email address and phone number as a point of contact. The point of contact shall be able to direct applicant questions concerning interconnection request submissions and the interconnection request process to knowledgeable individuals within the EDC.

d) The information that the EDC makes available to potential applicants can include prior EDC studies to help applicants understand whether it is feasible to interconnect a DER facility at a particular point on the EDC's electric distribution system. However, the EDC can refuse to provide the information to the extent that providing it violates security requirements or confidentiality agreements, or is contrary to State or federal law. In appropriate circumstances, the EDC may require a confidentiality agreement prior to release of this information. If the EDC refuses to provide the requested information, it shall give written notice to the applicant requesting the information, which shall include the specific reasons that preclude sharing the requested information.

e) The EDC shall deem an interconnection request complete when the applicant submits completed forms.

f) When an applicant is not currently a customer of the EDC at the proposed site, the applicant shall provide, at the time of application, proof of the applicant's legal right to control the site, evidenced by the applicant's name on a property tax bill, deed, lease agreement, option agreement, or other legally binding contract.

g) An interconnection request shall be processed in accordance with Section 467.70.

h) The EDC or the applicant may propose a single point of interconnection for multiple DER facilities located at an interconnection customer site that is on contiguous property. If the applicant rejects the EDC's proposal for a single point of interconnection, the applicant shall pay any additional cost to provide a separate point of interconnection for each DER facility. If the EDC, without written and detailed technical explanation, rejects the customer's proposal for a single point of interconnection, the EDC shall pay any additional study cost to provide separate points of interconnection for each DER facility. Any disagreement over who bears the cost for providing separate points of interconnection shall be resolved in accordance with Section 467.80.

i) The interconnection customer shall allow the EDC to isolate the DER facility. The interconnection customer shall permit the EDC to affix a placard in a location of its choosing that provides instructions to EDC operating personnel for accessing the isolation device. If the EDC needs to isolate the DER facility, the EDC shall not be held liable for any damages resulting from the actions necessary to isolate the generation facility as long as the EDC is not negligent in isolating the DER facility. Isolation device specifications shall be established through the study review procedures at Section 467.70.

j) Any metering required for a DER interconnection shall be installed, operated and maintained in accordance with applicable EDC tariffs and agreements. Metering requirements must be identified in the DER interconnection agreement executed between the interconnection customer and the EDC.

k) Monitoring and control requirements shall be consistent with the EDC's published requirements, which shall be consistent with industry standards, and shall be clearly identified in the interconnection agreement between the interconnection customer and the EDC. Transfer trip shall not be considered EDC monitoring and control when required and installed to protect the electric distribution system or an affected system against adverse system impacts.

l) The EDC may require a witness test after the DER facility is constructed or after the revisions are completed. The applicant shall provide the EDC with at least 15 business days' notice of a planned witness test for the DER facility, unless otherwise agreed by the EDC and applicant. The applicant and EDC shall schedule the witness test at a mutually agreeable time. Any disputes between the parties as to what constitutes a witness test shall be resolved under Section 467.80. If the DER facility does not satisfactorily pass the witness test, the applicant shall be granted 30 business days after the date of the witness test or dispute resolution to address and resolve any deficiencies. The time period for addressing and resolving any deficiencies may be extended upon the mutual agreement of the EDC and the applicant prior to the end of the 30 business days. An initial request for extension shall not be denied by the EDC; subsequent requests may be denied only if there are applicants later in the queue that would be impacted by additional delays. If the applicant fails to address and resolve the deficiencies to the EDC's satisfaction, the EDC may deem the interconnection request withdrawn. Even if the EDC or an entity approved by the EDC does not witness a commissioning test, the applicant remains obligated to satisfy the EDC's interconnection test specifications and requirements.

m) When an interconnection request is for modifications to an existing DER facility, the EDC shall review the interconnection request to determine if any studies are necessary. If no studies are necessary, the EDC shall inform the applicant that the requested revisions are acceptable and can proceed without further analysis by the EDC. The provisions of this Part shall continue to apply to any revisions made to the existing DER facility.

n) Each EDC shall allow interconnection requests to be submitted through the EDC's web site.

o) Each EDC shall dedicate a page on its website to interconnection procedures. The relevant website page shall include the following information updated as it changes or with the frequency specifically identified in this subsection:

1. the EDC's interconnection procedures and attachments in an electronically searchable format;

2. the EDC's interconnection request forms in a format that allows for electronic entry of data;

3. the EDC's interconnection agreements;

4. the EDC's point of contact for submission of interconnection requests, including a dedicated email address and phone number;

5. the EDC's interconnection queue;

6. the EDC's hosting capacity map;

7. for EDCs serving more than 500,000 customers, the EDC's hosting capacity analysis results, including, at minimum, mapping and GIS capability; and

8. an electronic form to request the technical standards required by Section 467.90.

p) Each EDC shall allow electronic signatures to be used for interconnection requests and agreements.

q) Each EDC shall accept electronic payments for interconnection fees and study costs.

r) EDCs and interconnection customers may enter into an agreement to allow the EDC to actively communicate with, and control, the interconnection customer's smart inverter or plant controller in order to reduce the facilities and costs associated with interconnection.

History

• Source: Amended at 46 Ill. Reg. 9788, effective May 26, 2022

83 Ill. Adm. Code 467.70 Interconnection Review Procedures

a) The applicant shall submit an interconnection request using Appendix B, along with the application fee specified in Appendix B.

b) Within 10 business days after receipt of an interconnection request, the EDC shall notify the applicant whether the request is complete. When the interconnection request is not complete, the EDC shall provide the applicant with a written list detailing the information required to complete the interconnection request. When additional information is required and reasonable, the applicant and the EDC shall agree on a schedule to provide the required information or the interconnection request is considered withdrawn. The parties may agree to extend the time for receipt of the additional information. The interconnection request is deemed complete when the applicant has provided the required information or the parties have agreed that the applicant may provide additional information later.

c) The queue position of an interconnection request is used to determine the cost responsibility for the system upgrades and interconnection facilities necessary to accommodate the interconnection. The EDC shall notify the applicant as to its queue position.

1. If the applicant amends the interconnection request in a manner requiring that the EDC re-study the feasibility or impact of the interconnection, the interconnection request shall receive a new queue position based on the date that it was amended.

2. If an EDC determines that other interconnection requests may affect the same facilities on its electric distribution system or transmission system as the DER facility either proposed or being revised in an applicant's interconnection request, the EDC may study these requests together without regard to their queue position. If an EDC considers interconnection requests together because they both affect the same facilities on the electric distribution system or on transmission networks, the EDC shall notify the applicant of that fact at the time studies are initiated. If the EDC considers two or more interconnection requests together, estimated costs allocated to each applicant shall not exceed the estimated cost associated with the interconnection request had the EDC reviewed the interconnection requests in sequence.

d) After the interconnection request has been assigned a queue position, the following procedures shall be followed to determine how a study review shall be conducted:

1. The EDC shall offer the applicant the related study agreement forms included in Appendices C, D and E. By mutual agreement of the parties, the scoping meeting, interconnection feasibility study, interconnection system impact study, or interconnection facilities study provided for in a study review and discussed in this Section may be waived or combined.

2. A scoping meeting shall be held no later than 10 business days, or on a mutually agreed upon date and time, after the EDC has notified the applicant that the applicant has provided all the necessary information. The meeting's purpose is to review the interconnection request and existing studies relevant to the interconnection request.

3. When the parties agree that an interconnection feasibility study shall be performed, the EDC shall provide to the applicant, no later than 10 business days after the parties' agreement or, if held, the scoping meeting, an interconnection feasibility study agreement (see Appendix D). The interconnection feasibility study agreement shall include an outline for the scope of the study and the study's estimated cost. If the applicant does not sign and return the study agreement within 25 business days, the application shall be deemed withdrawn and the queue position shall be forfeited.

4. When the parties agree that an interconnection system impact study shall be performed, the EDC shall provide to the applicant, no later than 10 business days after the parties' agreement, an interconnection system impact study agreement (see Appendix E). The interconnection system impact study agreement shall include an outline for the study's scope and the study's estimated cost. If the applicant does not sign and return the study agreement within 25 business days, the application shall be deemed withdrawn and the queue position shall be forfeited.

5. When the parties agree that an interconnection facilities study shall be performed, the EDC shall provide to the applicant, no later than 10 business days after parties' agreement, an interconnection facilities study agreement (see Appendix F). The interconnection facilities study agreement shall include an outline for the study's scope and the study's estimated cost. If the applicant does not sign and return the study agreement within 25 business days, the application shall be deemed withdrawn and the queue position shall be forfeited.

6. Interconnection studies that the EDC conducts shall consider all other DER facilities that, on the date the interconnection study is commenced, are directly interconnected with the EDC's electric distribution system, have a higher queue position than the request being studied, or have a valid and active interconnection agreement.

7. If the applicant signs and returns an interconnection study agreement, but subsequently notifies the EDC that it will not continue with its proposed large DER facility project for any reason, the EDC need not complete the study or provide the applicant with study results.

e) The following guidelines shall govern all required interconnection studies:

1. Unless waived by an applicant, an interconnection feasibility study shall include analyses to identify potential adverse system impacts that would result from the proposed interconnection at the applicant's proposed point of interconnection.

A) The interconnection feasibility study shall include pertinent elements from among the following:

i) Initial identification of any circuit breaker short circuit capability limits exceeded because of the interconnection;

ii) Initial identification of any thermal overload or voltage limit violations resulting from the interconnection;

iii) Initial review of grounding requirements and system protection; and

iv) Description of, and non-binding estimated cost and construction schedule of, facilities required to interconnect the DER facility to the EDC's electric distribution system in a safe and reliable manner, including identification of potential increased expenses due to location, distribution system assets, or other relevant factors. Cost estimates provided in each instance must be itemized in line item format and must break down costs by equipment, labor and other cost categories. The cost estimates must also provide the component parts for direct, indirect, and other identified cost categories.

B) If an applicant requests that the interconnection feasibility study evaluates multiple potential points of interconnection, additional evaluations may be required. Additional evaluations shall be paid for by the applicant.

C) An interconnection system impact study is not required when the interconnection feasibility study concludes that there is no adverse system impact, or when the study identifies an adverse system impact, but the EDC is able to identify a remedy without the need for an interconnection system impact study.

D) A study results meeting will be held within 10 business days after study completion, if requested by the applicant. The study results meeting will be attended by technical representatives of the EDC and the applicant. The study results meeting shall not relieve the applicant from its obligations, nor does it toll the clock for the applicant, to take the actions required by the rules at that point of review.

E) The parties shall use an interconnection feasibility study agreement, included as Appendix D, unless both parties agree to use an alternative form.

2. An interconnection system impact study evaluates the impact of the proposed interconnection on both the safety and reliability of the EDC's electric distribution and transmission system. This study identifies and sets forth in detail what system impacts interconnecting a new or revising an existing DER facility to the distribution system would have on the electric distribution and transmission system, if there were no system upgrades.

A) A distribution interconnection system impact study shall be performed when a potential adverse system impact is identified in the interconnection feasibility study. The interconnection system impact study shall include pertinent elements from among the following:

i) A load flow study;

ii) Identification of affected systems;

iii) A short-circuit analysis;

iv) An analysis of equipment interrupting ratings;

v) A protection coordination study;

vi) Voltage drop and flicker studies;

vii) A stability analysis;

viii) Grounding reviews;

ix) Impact on system operation; and

x) Alternatives for mitigating adverse system impacts on affected systems.

B) The final interconnection system impact study report shall provide the following:

i) The underlying assumptions of the study;

ii) A summary of the analyses;

iii) The results of the analyses, including detailed information on any impacts identified, the drivers and reasons for those impacts, including load, voltage, thermal and other limitations, as well as the boundaries of the impacts, to the extent possible;

iv) A list of any potential impediments to providing the requested interconnection service and information regarding technical thresholds that drive modifications;

v) Required distribution upgrades;

vi) A non-binding estimate of cost and time to construct any required distribution upgrades. Those cost estimates shall provide the component parts for direct, indirect, and other identified cost categories. Cost estimates must be itemized and must break down costs by equipment, labor, overhead and other cost categories; and

vii) If the cost estimate exceeds 50% of the estimated cost set forth in the feasibility study, a written itemization, by equipment, labor, overhead and other cost categories, of the component parts that increased in cost and a detailed explanation for the cost increase.

C) The parties shall use an interconnection impact study agreement, included as Appendix E, unless both parties agree to use an alternative form.

3. The interconnection facilities study shall be conducted as follows:

A) The interconnection facilities study shall estimate the cost of the equipment, engineering, procurement and construction work, including overheads, needed to implement the conclusions of the interconnection feasibility study and the interconnection system impact study. The interconnection facilities study shall identify:

i) The electrical switching configuration of the equipment, including transformer, switchgear, meters and other station equipment;

ii) The nature and estimated cost of the EDC's interconnection facilities and system upgrades necessary to accomplish the interconnection; and

iii) An estimate for the time required to complete the construction and installation of the facilities.

B) The EDC may agree to permit an applicant to arrange for a third party to design and construct the required interconnection facilities. In such a case, the EDC shall make all relevant information and required specifications available to the applicant to permit the applicant to obtain an independent design and cost estimate for the facilities, which shall be built in accordance with the EDC's specifications. The applicant shall ensure that any third party with whom it shares the EDC's relevant information and required specifications shall comply with applicable security and confidentiality requirements.

C) Upon completion of the interconnection facilities study, and after the applicant agrees to pay any just and reasonable costs for the interconnection facilities and system upgrades identified in the interconnection facilities study, the EDC shall provide to the applicant a standard DER interconnection agreement (see Appendix C) for the applicant to sign. The applicant has 10 business days to sign the agreement or the application is deemed withdrawn.

D) In the event that system upgrades are identified in the impact study that shall be added only in the event that higher-queued customers not yet interconnected eventually complete and interconnect their generation facilities, the applicant may elect to interconnect without paying for such upgrades at the time of the interconnection, provided that it agrees to pay for the upgrades at the time the higher-queued customer is ready to interconnect. If the applicant does not pay for the upgrades at that time, the EDC shall require the applicant to immediately disconnect its distribution generation facility to accommodate the higher-queued customer.

E) The parties shall use an interconnection facilities study agreement, included as Appendix F, unless both parties agree to use an alternative form.

f) When an EDC determines that it is appropriate to interconnect the DER facility, the EDC shall provide the applicant with a standard DER interconnection agreement. If the interconnection request is denied, the EDC shall provide the applicant with a written explanation as to its reasons for denying interconnection. If the EDC's written explanation demonstrates that the interconnection request was denied for valid reasons, the interconnection request does not retain its queue position.

g) Within 30 business days after receipt of the standard DER interconnection agreement, the applicant shall provide all necessary information required of the applicant by the agreement. The EDC shall develop all other information required of the EDC by the agreement. After completing the agreement, the applicant shall sign and return the agreement to the EDC. If the applicant does not sign and return the agreement within 30 business days after its completion, the interconnection request shall be deemed withdrawn, unless the applicant requests in writing to have the deadline extended by no more than 15 business days. The initial request for extension may not be denied by the EDC. If the applicant does not sign the agreement after the 15-business-day extension, the interconnection request shall be deemed withdrawn unless a further extension is agreed to by the parties. The EDC shall return a fully executed DER interconnection agreement within 10 business days. If withdrawn, the interconnection request does not retain its queue position. When construction is required, the interconnection of the DER facility shall proceed according to milestones agreed to by the parties in the DER interconnection agreement.

h) The DER facility is not permitted to operate until:

1. The requirements of the interconnection agreement are satisfied; and

2. The DER facility is approved by any electric code officials with jurisdiction over the interconnection; and

3. The applicant provides a certificate of completion (see Appendix A) to the EDC. Completion of local inspections may be designated on inspection forms used by local inspecting authorities; and

4. The witness test is successfully completed if required by the EDC or if the witness test is waived according to Article 2.1.1 of Appendix C.

History

• Source: Amended at 46 Ill. Reg. 9788, effective May 26, 2022

83 Ill. Adm. Code 467.80 Disputes

a) It is the policy of the Commission that applicants for interconnection and EDCs should, to the maximum extent possible, endeavor to resolve interconnection disputes through negotiation and without resorting to the processes of the Commission. A party shall attempt to resolve all disputes regarding interconnection promptly and in a good faith manner. A party shall provide prompt written notice of the existence of the dispute, including sufficient detail to identify the scope of the dispute, to the other party in order to attempt to resolve the dispute in a good faith manner.

b) An informal meeting between the parties shall be held within 10 business days after receipt of the written notice. Persons with decision-making authority from each party shall attend the meeting. In the event the dispute involves technical issues, persons with sufficient technical expertise and familiarity with the issue in dispute from each party shall also attend the informal meeting. If the parties agree, the meeting may be conducted by teleconference. The informal process between the parties shall extend 30 days after the receipt of written notice, after which the dispute is deemed resolved and the timeframes for decisions within the interconnection process resume, unless one of the parties seeks resolution through the non-binding arbitration procedures described in subsection (c) or files a formal complaint at the Commission before the end of the 30-day period. If the negotiations do not resolve the dispute within 10 business days after commencing, either party may proceed to subsection (c) upon providing written notice to the other party.

c) Ombudsman

1. If the parties are unable to resolve the dispute through an informal meeting or meetings, either party may submit the interconnection dispute to an Ombudsman for non-binding arbitration. The party electing arbitration shall notify the other party of the request in writing.

2. For purposes of this Section, the Ombudsman, as that term is used in Section 16-107.5(h-5) of the Act, for that dispute may be:

A) the American Arbitration Association (AAA) or an individual arbitrator or team of arbitrators selected by the parties pursuant to AAA rules;

B) Commission employees designated on the Commission's website, as available; or

C) a third party selected by the parties.

3. In designating one or more of its employees as a potential Ombudsman for a dispute, the Commission may identify an hourly fee for that individual's time spent on arbitration; the Commission shall invoice and collect a fee equal to the hourly rate multiplied by hours spent on the arbitration in equal shares from the parties to the arbitration.

4. Each party shall bear its own fees, costs and expenses and an equal share of the expenses of the non-binding arbitration.

5. The non-binding arbitration process is limited to 60 days unless the parties and the Ombudsman agree to a longer period.

d) Within 10 days after the conclusion of the procedures in subsection (c), either party may initiate a formal complaint with the Commission and ask for an expedited resolution of the dispute. If the complaint seeks expedited resolution, any written recommendation of the Ombudsman shall be appended to the complaint. If a party fails to file a formal complaint within this 10-day timeframe, it waives its right to obtain relief from the Commission and the dispute is deemed resolved.

e) Pursuit of dispute resolution shall not affect an interconnection applicant with regard to consideration of an interconnection request or an interconnection applicant's position in the EDC's interconnection queue of any pending application or interconnection agreement.

History

• Source: Amended at 46 Ill. Reg. 9788, effective May 26, 2022

83 Ill. Adm. Code 467.90 Records

a) An EDC shall maintain the following records for a minimum of five years, and shall make publicly available:

1. The total number of, and the nameplate and export capacity of, the completed interconnection requests received, approved and denied; and

2. The fuel type, total number and nameplate capacity of DER facilities approved.

b) An EDC shall provide a public report to the Commission containing the information required in subsection (a) within 90 calendar days after the close of each calendar year. An electronic version, in electronically searchable format, in a legible 12-point font size in PDF shall be delivered to the Commission's offices on CDs or DVDs.

c) Each EDC shall retain copies of studies it performs to determine the feasibility of, system impacts of, or facilities required by the interconnection of any DER facility. The EDC shall provide the applicant copies of any interconnection studies performed in analyzing the applicant's interconnection request, upon applicant request, including all information used by the EDC in completing the studies and determining the estimated interconnection cost. Each EDC shall provide the Commission, upon request, copies of any interconnection studies performed in analyzing any interconnection request, including all information used by the EDC in completing the studies and determining the estimated interconnection costs.

d) Each EDC shall maintain, and provide upon request to the Commission or any interconnection customer or applicant (see Section 467.50), a written set of standards by which the EDC evaluates the scope of upgrades for an interconnection and methodology for determining cost estimates required by this Part. To the extent the documentation contains confidential or proprietary information, the EDC shall clearly mark that information and may request that interconnection customer or applicant execute a confidentiality agreement prior to receiving or reviewing the documentation.

History

• Source: Amended at 46 Ill. Reg. 9788, effective May 26, 2022

83 Ill. Adm. Code 467.APPENDIX A Certificate of Completion

Certificate of Completion

(To be completed and returned to the EDC when installation is complete

and final electric inspector approval has been obtained[1])

Interconnection Customer Information

Name:

Mailing Address:

City:

State:

Zip Code:

Telephone (Primary):

(Alternate):

Facsimile Number:

E-Mail Address:

Installer

Check if owner-installed

Name:

Mailing Address:

City:

State:

Zip Code:

Telephone (Primary):

(Alternate):

Facsimile Number:

E-Mail Address:

Final Electric Inspection and Interconnection Customer Signature

The distributed generation facility is complete and has been approved by the local electric inspector having jurisdiction. A signed copy of the electric inspector's form indicating final approval is attached. The interconnection customer acknowledges that it shall not operate the distributed generation facility until receipt of the final acceptance and approval by the EDC as provided below.

Signed:

Date:

(Signature of interconnection customer)

Printed Name:

Check if copy of signed electric inspection form is attached

Check if copy of as-built documents is attached

…………………………………………………………………………………………………… Acceptance and Final Approval for Interconnection (for EDC use only)

The interconnection agreement is approved and the distributed generation facility is approved for interconnected operation upon the signing and return of this Certificate of Completion by EDC:

Electric Distribution Company waives Witness Test? (Initial)

Yes

No

If not waived, date of successful Witness Test:

Passed: (Initial)

EDC Signature:

Date:

Printed Name:

Title:

[1] Prior to interconnected operation, the interconnection customer is required to complete this form and return it to the EDC. Use contact information provided on the EDC's web page for generator interconnection to obtain mailing address/fax number/e-mail address.

83 Ill. Adm. Code 467.APPENDIX B Application

Large Interconnection Request Application Form

(Greater than 10 MVA)

Applicant Contact Information

Name:

Company:

Mailing Address:

City:

State:

Zip Code:

Telephone (Primary):

(Alternate):

Facsimile Number:

E-Mail Address:

Alternative or Designated Representative Contact Information

Name:

Company:

Mailing Address:

City:

State:

Zip Code:

Telephone (Primary):

(Alternate):

Facsimile Number:

E-Mail Address:

Distributed Energy Resources Facility Information

Project Name:

Facility Address:

City:

County:

State:

Zip Code:

Electric Distribution Company (EDC) serving Facility site:

Electric Supplier (if different from EDC):

Account Number of Facility site (existing EDC customers):

Inverter Manufacturer:

Model:

Equipment Contractor (if known):

Name:

Mailing Address:

City:

State:

Zip Code:

Telephone (Primary):

(Alternate):

Facsimile Number:

E-Mail Address:

Electrical Contractor (if known):

Name:

Mailing Address:

City:

State:

Zip Code:

Telephone (Primary):

(Alternate):

Facsimile Number:

E-Mail Address:

License number:

Existing Electric Service Information for Customer Facility Where Generator Will Be Interconnected

Check here if there is no existing electric service at the site

Capacity:

(Amps)

Voltage:

(Volts)

Type of Service:

Single-Phase

Three-Phase

(If customer-provided) Three-Phase Transformer, Indicate Type:

Primary Winding

Wye

Delta

Secondary Winding

Wye

Delta

Transformer Size:

Impedance:

Point of Interconnection − Brief Description and Address of the Distributed Energy Resources

Location:

Intent of Generation (check all that apply):

Offset Load (Unit will operate in parallel, but will not export power to EDC)

Back-up Generation (Units that temporarily operate in parallel with the electric distribution system for more than 100 milliseconds)

Qualified Facility ("QF") under PURPA

Other, please describe:

Note: Backup units that do not operate in parallel for more than 100 milliseconds do not need an interconnection agreement.

Generator & Prime Mover Information

ENERGY SOURCE (Hydro, Wind, Solar, Process Byproduct, Biomass, Oil, Natural Gas, Coal, etc.):

ENERGY CONVERTER TYPE (Wind Turbine, Photovoltaic Cell, Fuel Cell, Steam Turbine, etc.):

NAMEPLATE CAPACITY:

kW or kVA

NUMBER OF UNITS:

TOTAL EXPORT CAPACITY:

kW or kVA

GENERATOR TYPE (Check one):

Induction Inverter Synchronous Other

Distributed Energy Resources Facility Information

Estimated Commissioning Test Date: __________________________________

Note: Provide the following information to the extent known. The EDC will contact you for additional information that may be needed after reviewing the application.

List interconnection components/systems to be used in the distributed energy resources facility.

Component/System

NRTL Providing Label & Listing

Please provide copies of manufacturer brochures or technical specifications

Energy Production Equipment/Inverter Information:

Synchronous

Induction

Inverter

Other

Rating:

kW

Rating:

kVA

Rated Voltage:

Volts

Rated Current:

Amps

System Type Tested (Total System):

Yes

No; attach product literature

For Synchronous Machines:

Manufacturer (when available):

Model No. (when available):

Version No. (when available):

Submit copies of the Saturation Curve and the Vee Curve

Salient

Non-Salient

Rated RPM:

Field Amperes:

at rated generator

voltage and current and

% PF over-excited

Type of Exciter:

Output Power of Exciter:

Type of Voltage Regulator:

Locked Rotor

Synchronous Speed:

RPM

Winding Connection:

Min. Operating Freq:

Generator Connection:

Delta

Wye

Wye Grounded

Direct-axis Synchronous Reactance:

(Xd)

ohms

Direct-axis Transient Reactance:

(X'd)

ohms

Direct-axis Sub-transient Reactance:

(X''d)

ohms

Negative Sequence Reactance:

ohms

Zero Sequence Reactance:

ohms

Neutral Impedance or Grounding Resister (if any):

ohms

For Induction Machines:

Manufacturer:

Model No.:

Version No.:

Locked Rotor Current:

Amps

Rotor Resistance (Rr):

ohms

Exciting Current:

Amps

Rotor Reactance (Xr):

ohms

Reactive Power Required:

Magnetizing Reactance (Xm):

ohms

VARs (No Load)

Stator Resistance (Rs):

ohms

VARs (Full Load)

Stator Reactance (Xs):

ohms

Short Circuit Reactance (X"d):

ohms

Phases:

Single Three-Phase

Frame Size:

Design Letter:

Temp. Rise:

°C.

Limited Export and Non-Export Controls Information

Manufacturer:

Model Number:

Limited Export or Non-Export?

Limited Export

Non-Export

Control Type:

Reverse Power Protection

Minimum Power Protection

Relative Distributed Energy Resource Rating

Configured Power Rating

Limited Export Power Control Systems

Limited Export using mutually agreed-upon means

Directional Power Protection

Export Capacity Value:

Control Power Setting:

Control Power Time Delay (if any):

Additional Information for Inverter-Based Facilities

Inverter Information:

Manufacturer:

Model:

Type:

Forced Commutated

Line Commutated

Rated Output:

Watts

Volts

Efficiency:

%

Power Factor:

%

Inverter UL 1741 Listed:

Yes

No

DC Source / Prime Mover:

Rating:

kW

Rating:

kVA

Rated Voltage:

Volts

Open Circuit Voltage (if applicable):

Volts

Rated Current:

Amps

Short Circuit Current (if applicable):

Amps

Dedicated Transformer (applicant owned):

Rating:

MVA

Voltage Ratio:

/

kV

Fixed Tap Setting:

Winding connections:

Impedance:

% based on transformer rating

Capacitor Banks:

Type:

Size:

MVAR

Other Facility Information:

One Line Diagram attached: Yes

Plot Plan attached: Yes

Battery Storage Facility Information (If Applicable)

Do the batteries share an inverter with a renewable energy system?

☐ Yes

☐ No

Does the applicant intend to have the batteries charged by the distribution grid?

☐ Yes

☐ No

System Manufacturer:

Model:

Battery Type:

Battery Charge/Discharge Rating (kW AC):

Maximum Battery Charge/Discharge Rate (kW AC per second):

Battery Energy Capacity (kWh):

Power Factor Settings Range:

Battery Storage Inverter Information

Energy System

Manufacturer:

Model:

Type: ☐ Forced ☐ Commutated

Line Commutated Rated Output

Watts:

Volts:

Efficiency:

____ %

Power Factor:

____ %

Inverter IEEE 1547 / UL 1741 Listed:

☐ Yes

☐ No

Number of Inverters:

Total Capacity:

kW

DC Source / Prime Mover:

• Rating:

kW Rating:

kVA Rated Voltage:

Volts

Open Circuit Voltage (If Applicable):

Volts

Rated Current:

Amps

Battery Operational Information

Backup – allows for partial or whole home transition to off-grid during a grid outage. ☐ Yes ☐ No

Solar Self-Powered – the battery will charge from the renewable energy source during normal operation and discharge to serve loads behind your meter. ☐ Yes ☐ No

Solar Non-Export – limits the export of energy to the grid to zero for both the battery and inverter, even if the battery system is fully charged and there is excess renewable source energy. ☐ Yes ☐ No

Time-Based Control (sometimes called time-of-use or TOU mode) – the battery charges during off-peak hours and discharges to serve onsite loads during on-peak hours. ☐ Yes ☐ No

Describe any other intended operation of the battery:

Comments or additional information:

Customer Signature

I hereby certify that all of the information provided in this Interconnection Request Application Form is true.

Applicant Signature:

Title:

Date:

An application fee must be submitted before the application can be processed. The application fee is $15,000 for all Large (>10 MVA) Distributed Energy Resources Facilities. Of the total application fee, $5,000 is nonrefundable, while the EDC shall apply the remaining $10,000 toward any subsequent studies related to this application.

EDC Acknowledgement

Receipt of the application and fee is acknowledged. This acknowledgement does not preclude the requirement to furnish additional information by the applicant if requested by the EDC when it is necessary for the EDC's review under these procedures. When this interconnection request is deemed complete by the EDC, the EDC shall notify the interconnection customer in writing.

EDC Signature:

Date:

Printed Name:

Title:

History

• Source: Amended at 46 Ill. Reg. 9788, effective May 26, 2022

Chapter I Illinois Commerce Commission

Subchapter c Electric Utilities

Part 467 Electric Interconnection of Large Distributed Energy Resources Facilities

83 Ill. Adm. Code 467.APPENDIX C Contract

STANDARD AGREEMENT FOR INTERCONNECTION

OF DISTRIBUTED ENERGY RESOURCES FACILITIES WITH A

CAPACITY MORE THAN 10 MVA

This agreement ("Agreement") is made and entered into this

day of

, by and between

("interconnection customer"),

as an individual person, or as a

organized and existing under the

laws of the State of

and

, ("Electric

Distribution Company" (EDC)), a

existing under the laws of the State of

Illinois. Interconnection customer and EDC each may be referred to as a "Party", or collectively as the "Parties".

Recitals:

Whereas, interconnection customer is proposing to install or direct the installation of a distributed energy resources (DER) facility, or is proposing a generating capacity addition to an existing DER facility, consistent with the interconnection request application form

completed by interconnection customer on

(Date)

and included in this Agreement as

Attachment 9; and

Whereas, the interconnection customer will operate and maintain, or cause the operation and maintenance of, the DER facility; and

Whereas, interconnection customer desires to interconnect the DER facility with EDC's electric distribution system.

Now, therefore, in consideration of the premises and mutual covenants set forth in this Agreement, and other good and valuable consideration, the receipt, sufficiency and adequacy of which are hereby acknowledged, the Parties covenant and agree as follows:

Article 1. Scope and Limitations of Agreement

1.1 This Agreement shall be used for all approved interconnection requests for DER facilities that are greater than 10 MVA according to the procedures set forth in Part 467 of the Commission's rules (83 Ill. Adm. Code 467) (referred to as the Illinois Large Distributed Energy Resources Interconnection Standard).

1.2 This Agreement governs the terms and conditions under which the DER facility will interconnect to, and operate in parallel with, the EDC's electric distribution system.

1.3 This Agreement does not constitute an agreement to purchase or deliver the interconnection customer's power.

1.4 Nothing in this Agreement is intended to affect any other agreement between the EDC and the interconnection customer.

1.5 Terms used in this Agreement are defined in Attachment 1 to this Agreement, unless otherwise noted.

1.6 Responsibilities of the Parties

1.6.1 The Parties shall perform all obligations of this Agreement in accordance with all applicable laws and regulations.

1.6.2 The EDC shall construct, own, operate, and maintain its interconnection facilities in accordance with this Agreement.

1.6.3 The interconnection customer shall construct, own, operate, and maintain its DER facility and interconnection facilities in accordance with this Agreement.

1.6.4 Each Party shall operate, maintain, repair, and inspect, and shall be fully responsible for, the facilities that it now or subsequently may own unless otherwise specified in the attachments to this Agreement. Each Party shall be responsible for the safe installation, maintenance, repair and condition of its respective lines and appurtenances on its respective sides of the point of interconnection.

1.6.5 The interconnection customer agrees to design, install, maintain and operate its DER facility so as to minimize the likelihood of causing an adverse system impact on the electric distribution system or any other electric system that is not owned or operated by the EDC.

1.7 Parallel Operation Obligations

Once the DER facility has been authorized to commence parallel operation, the interconnection customer shall abide by all operating procedures established by the applicable technical standards. The EDC shall use relevant technical standards adopted by the applicable regional transmission organization (RTO). If such standards do not exist, the parties shall negotiate adjustments or modifications to the IEEE 1547 technical standard necessary due to electric system conditions or constraints, or to unique generator characteristics. The EDC shall provide the interconnection customer with a written explanation for any departure from parallel operation obligations contained in the published technical standard.

1.8 Metering and Data Acquisition Equipment

The interconnection customer shall be responsible for the cost to purchase, install, operate, maintain, test, repair, and replace metering and data acquisition equipment specified in Attachments 6 and 7 of this Agreement.

1.9 Reactive Power

1.9.1 The interconnection customers shall design their DER facilities to maintain a power factor at the point of interconnection between .95 lagging and .95 leading at all times.

1.9.2 Any EDC requirements for meeting a specific voltage or specific reactive power schedule as a condition for interconnection shall be clearly specified in Attachment 4. Under no circumstance shall the EDC's additional requirements for voltage or reactive power schedules exceed the normal operating capabilities of the DER facility.

1.9.3 If the interconnection customer does not operate the DER facility within the power factor range specified in Attachment 4, or does not operate the distribute generation facility in accordance with a voltage or reactive power schedule specified in Attachment 4, the interconnection customer is in default under this Agreement, and the terms of Article 6.5 apply.

1.10 Standards of Operations

The interconnection customer shall obtain all certifications, permits, licenses and approvals necessary to construct, operate and maintain the facility and to perform its obligations under this Agreement. The interconnection customer is responsible for coordinating and synchronizing the DER facility with the EDC's system. The interconnection customer is responsible for any damage that is caused by the interconnection customer's failure to coordinate or synchronize the DER facility with the electric distribution system. The interconnection customer agrees to be primarily liable for any damages resulting from the continued operation of the DER facility after the EDC ceases to energize the line section to which the DER facility is connected. In Attachment 4, the EDC shall specify the shortest reclose time setting for its protection equipment that could affect the DER facility. The EDC shall notify the interconnection customer at least 10 business days prior to adopting a faster reclose time on any automatic protective equipment such as a circuit breaker or line recloser, that might affect the DER facility.

Article 2. Inspection, Testing, Authorization, and Right of Access

2.1 Equipment Testing and Inspection

The interconnection customer shall test and inspect its DER facility including the interconnection equipment prior to interconnection in accordance with EDC requirements. The interconnection customer shall not operate its DER facility in parallel with the EDC's electric distribution system without prior written authorization by the EDC as provided for in Articles 2.1.1-2.1.3. The EDC's requirements for testing and inspection shall not constitute or be construed as conforming or endorsing the design. Nor are such inspections any warranty of safety, durability or reliability of the interconnection customer's DER facility.

2.1.1 The EDC shall perform a witness test after construction of the DER facility is completed, but before parallel operation, unless the EDC specifically waives the witness test. The interconnection customer shall provide the EDC at least 15 business days' notice of the planned commissioning test for the DER facility. If the EDC performs a witness test at a time that is not concurrent with the commissioning test, it shall contact the interconnection customer to schedule the witness test at a mutually agreeable time. If the EDC does not perform the witness test within 10 business days after the commissioning test, the witness test is deemed waived unless the Parties mutually agree to extend the date for scheduling the witness test, or unless the EDC cannot do so for good cause, in which case, the Parties shall agree to another date for scheduling the test. If the witness test is not acceptable to the EDC, the EDC shall deliver in writing a detailed technical description of all deficiencies of the DER facility identified by the EDC during the witness test. The interconnection customer has 30 business days after receipt of the written description to address and resolve any deficiencies. This time period may be extended upon agreement between the EDC and the interconnection customer. If the interconnection customer fails to address and resolve the deficiencies to the satisfaction of the EDC, the applicable cure provisions of Article 6.5 shall apply. The interconnection customer shall, if requested by the EDC, provide a copy of documentation in its possession regarding testing.

2.1.2 If the interconnection customer conducts interim testing of the DER facility prior to the witness test, the interconnection customer shall obtain permission from the EDC before each occurrence of operating the DER facility in parallel with the electric distribution system. The EDC may, at its own expense, send qualified personnel to the DER facility to observe such interim testing, but it cannot mandate that these tests be considered in the final witness test. The EDC is not required to observe the interim testing or precluded from requiring the tests be repeated at the final witness test. During and leading up to the witness test, the EDC shall not limit the interconnection customer’s ability to test the DER facility during normal working hours except for safety and reliability reasons.

2.1.3 After the DER facility passes the witness test, the EDC shall affix an authorized signature to the certificate of completion and return it to the interconnection customer approving the interconnection and authorizing parallel operation. The authorization shall not be conditioned or delayed and the EDC shall return the signed certificate of completion to the interconnection customer no more than 10 business days after the date that the DER facility passes the witness test.

2.2 Commercial Operation

The interconnection customer shall not operate the DER facility, except for interim testing as provided in Article 2.1, until such time as the certificate of completion is signed by all Parties.

2.3 Right of Access

The EDC shall have access to the disconnect switch and metering equipment of the DER facility at all times. When practical, the EDC shall provide notice to the interconnection customer prior to using its right of access.

Article 3. Effective Date, Term, Termination, and Disconnection

3.1 Effective Date

This Agreement shall become effective upon execution by all Parties and the effective date shall be the date noted in the first paragraph of this Agreement.

3.2 Term of Agreement

This Agreement shall remain in effect unless terminated in accordance with Article 3.3 of this Agreement.

3.3 Termination

3.3.1 The interconnection customer may terminate this Agreement at any time by giving the EDC 30 calendar days prior written notice.

3.3.2 Either Party may terminate this Agreement after default pursuant to Article 6.5.

3.3.3 The EDC may terminate upon 60 calendar days' prior written notice for failure of the interconnection customer to complete construction of the DER facility within 12 months after the in-service date as specified by the Parties in Attachment 2, which may be extended by agreement between the Parties.

3.3.4 The EDC may terminate this Agreement, upon 60 calendar days' prior written notice, if the interconnection customer has abandoned, cancelled, permanently disconnected or stopped development, construction, or operation of the DER facility for a period of 60 calendar days or longer or if the interconnection customer fails to operate the DER facility in parallel with the EDC's electric system for three consecutive years.

3.3.5 Upon termination of this Agreement, the DER facility will be disconnected from the EDC's electric distribution system. Terminating this Agreement does not relieve either Party of its liabilities and obligations that are due or continuing when the Agreement is terminated.

3.3.6 If the Agreement is terminated, the interconnection customer loses its queue position.

3.4 Temporary Disconnection

A Party may temporarily disconnect the DER facility from the electric distribution system in the event one or more of the following conditions or events occurs:

3.4.1 Emergency conditions – shall mean any condition or situation: (1) that in the judgment of the Party making the claim is likely to endanger life or property; or (2) that the EDC determines is likely to cause an adverse system impact, or is likely to have a material adverse effect on the EDC's electric distribution system, interconnection facilities or other facilities, or it is likely to interrupt or materially interfere with the provision of electric utility service to other customers; or (3) that is likely to cause a material adverse effect on the DER facility or the interconnection equipment. Under emergency conditions, the EDC or the interconnection customer may suspend interconnection service and temporarily disconnect the DER facility from the electric distribution system. The EDC must notify the interconnection customer when it becomes aware of any conditions that might affect the interconnection customer's operation of the DER facility. The interconnection customer shall notify the EDC when it becomes aware of any condition that might affect the EDC's electric distribution system. To the extent information is known, the notification shall describe the condition, the extent of the damage or deficiency, the expected effect on the operation of both Parties' facilities and operations, its anticipated duration, and the necessary corrective action.

3.4.2 Scheduled maintenance, construction, or repair – the EDC may interrupt interconnection service or curtail the output of the DER facility and temporarily disconnect the DER facility from the EDC's electric distribution system when necessary for scheduled maintenance, construction, or repairs on EDC's electric distribution system. The EDC shall provide the interconnection customer with notice no less than 5 business days before an interruption due to scheduled maintenance, construction, or repair, or the EDC shall provide notice immediately if the scheduled maintenance, construction, or repair is scheduled less than 5 business days in advance. The EDC shall coordinate the reduction or temporary disconnection with the interconnection customer; however, the interconnection customer is responsible for out-of-pocket costs incurred by the EDC for deferring or rescheduling maintenance, construction or repair at the interconnection customer's request.

3.4.3 Forced outages – The EDC may suspend interconnection service to repair the EDC's electric distribution system. The EDC shall provide the interconnection customer with prior notice, if possible. If prior notice is not possible, the EDC shall, upon written request, provide the interconnection customer with written documentation, after the fact, explaining the circumstances of the disconnection.

3.4.4 Adverse system impact – the EDC must provide the interconnection customer with written notice of its intention to disconnect the DER facility, if the EDC determines that operation of the DER facility creates an adverse system impact. The documentation that supports the EDC's decision to disconnect must be provided to the interconnection customer. The EDC may disconnect the DER facility if, after receipt of the notice, the interconnection customer fails to remedy the adverse system impact, unless emergency conditions exist, in which case, the provisions of Article 3.4.1 apply. The EDC may continue to leave the generating facility disconnected until the adverse system impact is corrected.

3.4.5 Modification of the DER facility – The interconnection customer must receive written authorization from the EDC prior to making any change to the DER facility, other than a minor equipment modification. If the interconnection customer modifies its facility without the EDC's prior written authorization, the EDC has the right to disconnect the DER facility until such time as the EDC concludes, at the interconnection customer's cost, the modification poses no threat to the safety or reliability of its electric distribution system.

3.4.6 The EDC's compliance with Article 3 shall preclude any claim for damages for any lost opportunity or other costs incurred by the interconnection customer as a result of an interruption of service under Article 3. Any dispute over whether the EDC complied with Article 3 shall be resolved in accordance with the dispute resolution mechanism set forth in Article 8.

Article 4. Cost Responsibility for Interconnection Facilities and System Upgrades

4.1 Interconnection Facilities

4.1.1 The interconnection customer shall pay for, or reimburse the EDC, as applicable, for, the cost of the interconnection facilities itemized in Attachment 3. The EDC shall identify the interconnection facilities necessary to interconnect the DER facility with the EDC's electric distribution system, the estimated cost of those facilities, and the estimated time required to build and install those facilities, as well as an estimated date of completion of the building or installation of these facilities.

4.1.2 The interconnection customer is responsible for its expenses, including overheads, associated with owning, operating, maintaining, repairing, and replacing its interconnection equipment.

4.2 System Upgrades

The EDC shall design, procure, construct, install, and own any system upgrades. The actual cost of the system upgrades, including overheads, shall be directly assigned to, and shall be paid by, or reimbursed by, the interconnection customer whose DER facility caused the need for the system upgrades.

Article 5. Billing, Payment, Milestones, and Financial Security

5.1 Billing and Payment Procedures and Final Accounting

5.1.1 The EDC shall bill the interconnection customer for the design, engineering, construction, and procurement costs of EDC-provided interconnection facilities and system upgrades contemplated by this Agreement as set forth in Attachment 3. The billing shall occur on a monthly basis, or as otherwise agreed to between the Parties. The interconnection customer shall pay each bill within 30 calendar days after receipt, or as otherwise agreed to between the Parties.

5.1.2 Unless waived by the interconnection customer, within 90 calendar days after completing the construction and installation of the EDC's interconnection facilities and system upgrades described in Attachments 2 and 3 to this Agreement, the EDC shall provide the interconnection customer with a final accounting report of any difference between (1) the actual cost incurred to complete the construction and installation of the EDC's interconnection facilities and system upgrades; and (2) the interconnection customer's previous deposit and aggregate payments to the EDC for the interconnection facilities and system upgrades. If the interconnection customer's cost responsibility exceeds its previous deposit and aggregate payments, the EDC shall invoice the interconnection customer for the amount due and the interconnection customer shall pay the EDC within 30 calendar days. If the interconnection customer's previous deposit and aggregate payments exceed its cost responsibility under this Agreement, the EDC shall refund to the interconnection customer an amount equal to the difference within 30 calendar days after the final accounting report. If the difference between the budget estimate and the actual cost exceeds 20%, the EDC will provide a written explanation for the difference.

5.1.3 If a Party disputes any portion of its payment obligation pursuant to this Article 5, the Party shall pay in a timely manner all non-disputed portions of its invoice, and the disputed amount shall be resolved pursuant to the dispute resolution provisions contained in Article 8. A Party disputing a portion of an Article 5 payment shall not be considered to be in default of its obligations under this Article.

5.2 Interconnection Customer Deposit

Within 15 business days after signing and returning the interconnection agreement to the EDC, the interconnection customer shall provide the EDC with a deposit equal to 100% of the estimated, non-binding cost that exceeds the unused application fee amount to design, engineer, procure, install, or construct that particular portion of any such interconnection facilities or system upgrades. However, when the estimated date of completion of the interconnection facilities or system upgrades exceeds three months from the date of notification under Article 4.1.1 of this Agreement, this deposit may be held in escrow by a mutually agreed-upon third-party, with any interest to inure to the benefit of the interconnection customer. The parties may mutually agree to waive or modify the customer deposit requirement if alternative financial security arrangements are made under Article 5.4 of this Agreement. To the extent that this interconnection agreement is terminated for any reason, the EDC shall return all deposits provided by the interconnection customer, less any actual costs incurred by the EDC.

5.3 Milestones

The Parties shall agree on milestones for which each Party is responsible and list them in Attachment 5 of this Agreement. A milestone for any Party established under this provision may be extended by mutual agreement. If a Party anticipates that it will be unable to meet a milestone for any reason other than a force majeure event, it shall immediately notify the other Party of the reasons for not meeting the milestone and propose the earliest reasonable alternate date by which it can attain this and future milestones. The appropriate amendments shall be made to Attachment 5. The Party affected by the failure to meet a milestone shall not unreasonably withhold agreement to an amendment.

5.4 Alternative Financial Security Arrangements

By mutual agreement of the Parties, as an alternative to the customer deposit requirement in Article 5.2, the Parties may agree to provide the EDC with a guarantee, surety bond, letter of credit or other form of security that is reasonably acceptable to the EDC and is consistent with the Uniform Commercial Code of the jurisdiction where the point of interconnection is located. The security for payment shall be in an amount sufficient to cover the costs for constructing, designing, engineering, procuring and installing the applicable portion of the interconnection facilities and system upgrades and shall be reduced on a dollar-for-dollar basis for payments made to the EDC under this Agreement. In addition:

5.4.1 The guarantee must be made by an entity that meets the creditworthiness requirements of the EDC, and contain terms and conditions that guarantee payment of any amount that may be due from the interconnection customer, up to an agreed-to maximum amount.

5.4.2 The letter of credit or surety bond must be issued by a financial institution or insurer reasonably acceptable to the EDC and must specify a reasonable expiration date.

Article 6. Assignment, Limitation on Damages, Indemnity, Force Majeure, and Default

6.1 Assignment

This Agreement may be assigned by either Party. If the interconnection customer attempts to assign this Agreement, the assignee must agree to the terms of this Agreement in writing and such writing must be provided to the EDC. Any attempted assignment that violates this Article is void and ineffective. Assignment shall not relieve a Party of its obligations, nor shall a Party's obligations be enlarged, in whole or in part, by reason of the assignment. An assignee is responsible for meeting the same obligations as the assignor.

6.1.1 Either Party may assign this Agreement without the consent of the other Party to any affiliate (including mergers, consolidations, or transfers, or a sale of a substantial portion of the Party's assets, between the Party and another entity), of the assigning Party that has an equal or greater credit rating and the legal authority and operational ability to satisfy the obligations of the assigning Party under this Agreement.

6.1.2 The interconnection customer can assign this Agreement, without the consent of the EDC, for collateral security purposes to aid in providing financing for the DER facility.

6.2 Limitation on Damages

Except for cases of gross negligence or willful misconduct, the liability of any Party to this Agreement shall be limited to direct actual damages and reasonable attorney's fees, and all other damages at law are waived. Under no circumstances, except for cases of gross negligence or willful misconduct, shall any Party or its directors, officers, employees and agents, or any of them, be liable to another Party, whether in tort, contract or other basis in law or equity for any special, indirect, punitive, exemplary or consequential damages, including lost profits, lost revenues, replacement power, cost of capital or replacement equipment. This limitation on damages shall not affect any Party's rights to obtain equitable relief, including specific performance, as otherwise provided in this Agreement. The provisions of this Article 6.2 shall survive the termination or expiration of the Agreement.

6.3 Indemnity

6.3.1 This provision protects each Party from liability incurred to third parties as a result of carrying out the provisions of this Agreement. Liability under this provision is exempt from the general limitations on liability found in Article 6.2.

6.3.2 The interconnection customer shall indemnify and defend the EDC and the EDC's directors, officers, employees, and agents, from all damages and expenses resulting from a third party claim arising out of or based upon the interconnection customer's (a) negligence or willful misconduct or (b) breach of, or performance under, this Agreement.

6.3.3 The EDC shall indemnify and defend the interconnection customer and the interconnection customer's directors, officers, employees, and agents from all damages and expenses resulting from a third party claim arising out of or based upon the EDC's (a) negligence or willful misconduct or (b) breach of performance under this Agreement.

6.3.4 Within 5 business days after receipt by an indemnified Party of any claim or notice that an action or administrative or legal proceeding or investigation as to which the indemnity provided for in this Article may apply has commenced, the indemnified Party shall notify the indemnifying Party of such fact. The failure to notify, or a delay in notification, shall not affect a Party's indemnification obligation unless that failure or delay is materially prejudicial to the indemnifying Party.

6.3.5 If an indemnified Party is entitled to indemnification under this Article as a result of a claim by a third party, and the indemnifying Party fails, after notice and reasonable opportunity to proceed under this Article, to assume the defense of such claim, that indemnified Party may, at the expense of the indemnifying Party, contest, settle or consent to the entry of any judgment with respect to, or pay in full, the claim.

6.3.6 If an indemnifying Party is obligated to indemnify and hold any indemnified Party harmless under this Article, the amount owing to the indemnified person shall be the amount of the indemnified Party's actual loss, net of any insurance or other recovery.

6.4 Force Majeure

6.4.1 As used in this Article, a force majeure event shall mean any act of God, labor disturbance, act of the public enemy, war, acts of terrorism, insurrection, riot, fire, storm or flood, explosion, breakage or accident to machinery or equipment through no direct, indirect, or contributory act of a Party, any order, regulation or restriction imposed by governmental, military or lawfully established civilian authorities, or any other cause beyond a Party's control. A force majeure event does not include an act of gross negligence or intentional wrongdoing by the Party claiming force majeure.

6.4.2 If a force majeure event prevents a Party from fulfilling any obligations under this Agreement, the Party affected by the force majeure event ("Affected Party") shall notify the other Party of the existence of the force majeure event within one business day or as soon as possible. The notification must specify the circumstances of the force majeure event, its expected duration, and the steps that the Affected Party is taking and will take to mitigate the effects of the event on its performance. If the initial notification is verbal, it must be followed up with a written notification within one business day or as soon as reasonably possible. The Affected Party shall keep the other Party informed on a continuing basis of developments relating to the force majeure event until the event ends. The Affected Party may suspend or modify its obligations under this Agreement (other than the obligation to make payments) only to the extent that the effect of the force majeure event cannot be otherwise mitigated.

6.5 Default

6.5.1 No default shall exist when the failure to discharge an obligation (other than the payment of money) results from a force majeure event as defined in this Agreement, or the result of an act or omission of the other Party.

6.5.2 A Party shall be in default ("Default") of this Agreement if it fails in any material respect to comply with, observe or perform, or defaults in the performance of, any covenant or obligation under this Agreement and fails to cure the failure within 60 calendar days after receiving written notice from the other Party. Upon a default of this Agreement, the non-defaulting Party shall give written notice of the default to the defaulting Party. Except as provided in Article 6.5.3, the defaulting Party has 60 calendar days after receipt of the default notice to cure the default; provided, however, if the default cannot be cured within 60 calendar days, the defaulting Party shall commence the cure within 20 calendar days after original notice and complete the cure within six months from receipt of the default notice; and, if cured within that time, the default specified in the notice shall cease to exist.

6.5.3 If a Party has assigned this Agreement in a manner that is not specifically authorized by Article 6.1, fails to provide reasonable access pursuant to Article 2.3, and is in default of its obligations pursuant to Article 7, or if a Party is in default of its payment obligations pursuant to Article 5 of this Agreement, the defaulting Party has 30 days from receipt of the default notice to cure the default. In the case of default, the EDC shall continue to have the right of access to the customer's disconnect switch and metering equipment, as provided in Article 2.3.

6.5.4 If a default is not cured as provided for in this Article, or if a default is not capable of being cured within the period provided for in this Article, the non-defaulting Party shall have the right to terminate this Agreement by written notice, and be relieved of any further obligation under this Agreement and, whether or not that Party terminates this Agreement, to recover from the defaulting Party all amounts due under this Agreement, plus all other damages and remedies to which it is entitled at law or in equity. The provisions of this Article shall survive termination of this Agreement.

Article 7. Insurance

The EDC and the interconnection customer shall negotiate the amounts of the comprehensive/general liability insurance coverage that shall be continuously maintained by the interconnection customer during the term of this agreement. The interconnection customer agrees to provide the EDC with at least 30 calendar days advance written notice of cancellation, reduction in limits, or non-renewal of any insurance policy required by this Article.

Article 8. Dispute Resolution

8.1 Parties shall attempt to resolve all disputes regarding interconnection as provided in this Article in a good faith manner.

8.2 If there is a dispute between the Parties about implementation or an interpretation of the Agreement, the aggrieved Party shall issue a written notice to the other Party to the agreement that specifies the dispute and the Agreement articles that are disputed.

8.3 A meeting between the Parties shall be held within 10 business days after receipt of the written notice. Persons with decision-making authority from each Party shall attend the meeting. If the dispute involves technical issues, persons with sufficient technical expertise and familiarity with the issue in dispute from each Party shall also attend the meeting. The meeting may be conducted by teleconference. The informal process between the parties shall extend 30 days after the receipt of written notice, after which the dispute is deemed resolved and the timeframes for decisions within the interconnection process resume, unless one of the parties seeks resolution through non-binding arbitration procedures described in Article 8.4 or files a formal complaint at the Commission prior to the end of the 30-day period.

8.4 If the parties are unable to resolve the dispute through the process outlined in Article 8.3, either party may submit the interconnection dispute to an Ombudsman for non-binding arbitration. The party electing non-binding arbitration shall notify the other party of the request in writing. The non-binding arbitration process is limited to 60 days, absent mutual agreement of the parties and the Ombudsman to a longer period.

8.5 Each party shall bear its own fees, costs and expenses and an equal share of the expenses of the non-binding arbitration.

8.6 Within 10 days after the conclusion of the procedures in Article 8.4, either party may initiate a formal complaint with the Commission and ask for an expedited resolution of the dispute. If the complaint seeks expedited resolution, any written recommendation of the Ombudsman shall be appended to the complaint. The formal complaint shall proceed as a contested hearing pursuant to the Commission’s Rules of Practice

8.7 A party may, after good faith negotiations have failed, decline to pursue non-binding arbitration and instead initiate a formal complaint with the Commission. The formal complaint shall proceed as a contested hearing pursuant to the Commission's Rules of Practice.

8.8 Pursuit of dispute resolution may not affect an interconnection request or an interconnection applicant's queue position.

8.9 If the Parties fail to resolve their dispute under the dispute resolution provisions of this Article, nothing in this Article shall affect any Party's rights to obtain equitable relief, including specific performance, as otherwise provided in this Agreement.

Article 9. Miscellaneous

9.1 Governing Law, Regulatory Authority, and Rules

The validity, interpretation and enforcement of this Agreement and each of its provisions shall be governed by the laws of the State of Illinois, without regard to its conflicts of law principles. This Agreement is subject to all applicable laws and regulations. Each Party expressly reserves the right to seek change in, appeal, or otherwise contest any laws, orders or regulations of a governmental authority. The language in all parts of this Agreement shall in all cases be construed as a whole, according to its fair meaning, and not strictly for or against the EDC or interconnection customer, regardless of the involvement of either Party in drafting this Agreement.

9.2 Amendment

Modification of this Agreement shall be only by a written instrument duly executed by both Parties.

9.3 No Third-Party Beneficiaries

This Agreement is not intended to and does not create rights, remedies, or benefits of any character whatsoever in favor of any persons, corporations, associations, or entities other than the Parties, and the obligations in this Agreement assumed are solely for the use and benefit of the Parties, their successors in interest and, where permitted, their assigns.

9.4 Waiver

9.4.1 Except as otherwise provided in this Agreement, a Party's compliance with any obligation, covenant, agreement, or condition in this Agreement may be waived by the Party entitled to the benefits thereof only by a written instrument signed by the Party granting the waiver, but the waiver or failure to insist upon strict compliance with the obligation, covenant, agreement, or condition shall not operate as a waiver of, or estoppel with respect to, any subsequent or other failure.

9.4.2. Failure of any Party to enforce or insist upon compliance with any of the terms or conditions of this Agreement, or to give notice or declare this Agreement or the rights under this Agreement terminated, shall not constitute a waiver or relinquishment of any rights set out in this Agreement, but the same shall be and remain at all times in full force and effect, unless and only to the extent expressly set forth in a written document signed by that Party granting the waiver or relinquishing any such rights. Any waiver granted, or relinquishment of any right, by a Party shall not operate as a relinquishment of any other rights or a waiver of any other failure of the Party granted the waiver to comply with any obligation, covenant, agreement, or condition of this Agreement.

9.5 Entire Agreement

Except as provided in Article 9.1, this Agreement, including all attachments, constitutes the entire Agreement between the Parties with reference to the subject matter of this Agreement, and supersedes all prior and contemporaneous understandings or agreements, oral or written, between the Parties with respect to the subject matter of this Agreement. There are no other agreements, representations, warranties, or covenants that constitute any part of the consideration for, or any condition to, either Party's compliance with its obligations under this Agreement.

9.6 Multiple Counterparts

This Agreement may be executed in two or more counterparts, each of which is deemed an original, but all constitute one and the same instrument.

9.7 No Partnership

This Agreement shall not be interpreted or construed to create an association, joint venture, agency relationship, or partnership between the Parties or to impose any partnership obligation or partnership liability upon either Party. Neither Party shall have any right, power or authority to enter into any agreement or undertaking for, or act on behalf of, or to act as or be an agent or representative of, or to otherwise bind, the other Party.

9.8 Severability

If any provision or portion of this Agreement shall for any reason be held or adjudged to be invalid or illegal or unenforceable by any court of competent jurisdiction or other governmental authority, (1) that portion or provision shall be deemed separate and independent, (2) the Parties shall negotiate in good faith to restore insofar as practicable the benefits to each Party that were affected by the ruling, and (3) the remainder of this Agreement shall remain in full force and effect.

9.9 Environmental Releases

Each Party shall notify the other Party of the release of any hazardous substances, any asbestos or lead abatement activities, or any type of remediation activities related to the DER facility or the interconnection facilities, each of which may reasonably be expected to affect the other Party. The notifying Party shall (1) provide the notice as soon as practicable, provided that Party makes a good faith effort to provide the notice no later than 24 hours after that Party becomes aware of the occurrence, and (2) promptly furnish to the other Party copies of any publicly available reports filed with any governmental authorities addressing such events.

9.10 Subcontractors

Nothing in this Agreement shall prevent a Party from using the services of any subcontractor it deems appropriate to perform its obligations under this Agreement; provided, however, that each Party shall require its subcontractors to comply with all applicable terms and conditions of this Agreement in providing services and each Party shall remain primarily liable to the other Party for the performance of the subcontractor.

9.10.1 A subcontract relationship does not relieve any Party of any of its obligations under this Agreement. The hiring Party remains responsible to the other Party for the acts or omissions of its subcontractor. Any applicable obligation imposed by this Agreement upon the hiring Party shall be equally binding upon, and shall be construed as having application to, any subcontractor of the Party.

9.10.2 The obligations under this Article cannot be limited in any way by any limitation of subcontractor's insurance.

Article 10. Notices

10.1 General

Unless otherwise provided in this Agreement, any written notice, demand, or request required or authorized in connection with this Agreement ("Notice") shall be deemed properly given if delivered in person, delivered by recognized national courier service, or sent by first class mail, postage prepaid, to the person specified below:

If to Interconnection Customer:

Interconnection Customer:

Attention:

Address:

City:

State:

Zip:

Phone:

Fax:

E-Mail:

If to EDC:

EDC:

Attention:

Address:

City:

State:

Zip:

Phone:

Fax:

E-Mail:

Alternative Forms of Notice

Any notice or request required or permitted to be given by either Party to the other Party and not required by this Agreement to be in writing may be given by telephone, facsimile or e-mail to the telephone numbers and e-mail addresses set out above.

10.2 Billing and Payment

Billings and payments shall be sent to the addresses set out below:

If to Interconnection Customer:

Interconnection Customer:

Attention:

Address:

City:

State:

Zip:

If to EDC:

EDC:

Attention:

Address:

City:

State:

Zip:

10.3 Designated Operating Representative

The Parties may also designate operating representatives to conduct the communications that may be necessary or convenient for the administration of this Agreement. This person will also serve as the point of contact with respect to operations and maintenance of the Party's facilities.

Interconnection Customer's Operating Representative:

Attention:

Address:

City:

State:

Zip:

EDC's Operating Representative:

Attention:

Address:

City:

State:

Zip:

10.4 Changes to the Notice Information

Either Party may change this notice information by giving five business days' written notice before the effective date of the change.

Article 11. Signatures

IN WITNESS WHEREOF, the Parties have caused this Agreement to be executed by their respective duly authorized representatives.

For the Interconnection Customer:

Name:

Title:

Date:

For EDC:

Name:

Title:

Date:

Attachment 1

Definitions

Adverse system impact – A negative effect that compromises the safety or reliability of electric distribution or transmission systems or that materially affects the quality of electric service provided to customers. An adverse system impact shall take into consideration all higher queued requests in all of the EDC's interconnection queues, whether transmission, distribution subject to the jurisdiction of the Commission, or distribution subject to the jurisdiction of another state regulatory authority.

Applicable laws and regulations – All duly promulgated applicable federal, State and local laws, regulations, rules, ordinances, codes, decrees, judgments, directives, judicial or administrative orders, permits and other duly authorized actions of any governmental authority having jurisdiction over the Parties.

Business day – Monday through Friday, excluding State and federal holidays.

Calendar day – Any day, including Saturdays, Sundays and State and federal holidays.

Certificate of completion – A certificate, in a form approved by the Commission, that contains information about the interconnection equipment to be used, its installation and local inspections (see Appendix A).

Commissioning test – A test applied to a distributed energy resources facility by the applicant after construction is completed to verify that the facility does not create adverse system impacts and performs to the submitted specifications. At a minimum, the scope of the commissioning tests performed shall include the commissioning test specified IEEE Standard 1547 Section 5.4 "Commissioning tests".

Distributed energy resources (DER) facility – The equipment used by an interconnection customer to generate or store electricity that operates in parallel with the electric distribution system. A DER facility typically includes an electric generator, prime mover, and the interconnection equipment required to safely interconnect with the electric distribution system or a local electric power system.

Electric distribution company or EDC – Any electric utility subject to the jurisdiction of the Illinois Commerce Commission.

Electric distribution system – The facilities and equipment owned and operated by the EDC and used to transmit electricity to ultimate usage points such as homes and industries from interchanges with higher voltage transmission networks that transport bulk power over longer distances. The voltage levels at which electric distribution systems operate differ among areas, but generally carry less than 100 kilovolts of electricity. Electric distribution system has the same meaning as the term Area EPS, as defined in Section 3.1.6.1 of IEEE Standard 1547.

Force majeure event – Any act of God, labor disturbance, act of the public enemy, war, acts of terrorism, insurrection, riot, fire, storm or flood, explosion, breakage or accident to machinery or equipment through no direct, indirect, or contributory act of a Party, any order, regulation or restriction imposed by governmental, military or lawfully established civilian authorities, or any other cause beyond a Party's control. A force majeure event does not include an act of gross negligence or intentional wrongdoing.

Governmental authority – Any federal, State, local or other governmental regulatory or administrative agency, court, commission, department, board, or other governmental subdivision, legislature, rulemaking board, tribunal, or other governmental authority having jurisdiction over the Parties, their respective facilities, or the respective services they provide, and exercising or entitled to exercise any administrative, executive, police, or taxing authority or power; provided, however, that this term does not include the interconnection customer, EDC or any affiliate of either.

IEEE Standard 1547 – The Institute of Electrical and Electronics Engineers, Inc., 3 Park Avenue, New York, NY 10016-5997, Standard 1547 (2003), "Standard for Interconnecting Distributed Resources with Electric Power Systems".

IEEE Standard 1547.1 – The IEEE Standard 1547.1 (2005), "Conformance Test Procedures for Equipment Interconnecting Distributed Resources with Electric Power Systems".

Interconnection agreement or Agreement – The Agreement between the interconnection customer and the EDC governing the connection of the DER facility to the EDC's electric distribution system and the ongoing operation of the DER facility after it is connected to the EDC's electric distribution system.

Interconnection customer – The entity entering into this Agreement for the purpose of interconnecting a DER facility to the EDC's electric distribution system.

Interconnection equipment –A group of components or an integrated system owned and operated by the interconnection customer that connects an electric generator with a local electric power system, as that term is defined in Section 3.1.6.2 of IEEE Standard 1547, or with the electric distribution system. Interconnection equipment is all interface equipment, including switchgear, protective devices, inverters or other interface devices. Interconnection equipment may be installed as part of an integrated equipment package that includes a generator or other electric source.

Interconnection facilities – Facilities and equipment required by the EDC to accommodate the interconnection of a DER facility. Collectively, interconnection facilities include all facilities and equipment between the DER facility's interconnection equipment and the point of interconnection, including any modifications or additions necessary to physically and electrically interconnect the DER facility to the electric distribution system. Interconnection facilities are sole use facilities and do not include system upgrades.

Interconnection request – An applicant's request, on the required form, for the interconnection of a new DER facility, or to increase the capacity or change the operating characteristics of an existing DER facility that is interconnected with the EDC's electric distribution system.

Line section – That portion of an electric distribution system connected to an interconnection customer's site, bounded by automatic sectionalizing devices or the end of the distribution line.

Parallel operation or Parallel – The state of operation that occurs when a DER facility is connected electrically to the electric distribution system.

Point of interconnection – The point where the DER facility is electrically connected to the electric distribution system. Point of interconnection has the same meaning as the term "point of common coupling", defined in Section 3.1.13 of IEEE Standard 1547.

Queue position – The order an EDC receives a completed interconnection request relative to that specific EDC's other interconnection requests. It is established by the date that the EDC receives the completed interconnection request.

System upgrade − A required addition to the electric distribution or transmission system to accommodate the interconnection of the DER facility. System upgrades do not include interconnection facilities.

Witness test –Verification by the EDC, either by on-site observation or review of documents, that the interconnection installation evaluation required by the applicable technical standards has been performed.

Attachment 2

Construction Schedule, Proposed Equipment & Settings

This attachment shall include the following:

1. The proposed construction schedule for the distributed energy resources facility.

2. A one-line diagram indicating the distributed energy resources facility, interconnection equipment, interconnection facilities and metering equipment.

3. Component specifications for equipment identified in the one-line diagram.

4. Component settings.

5. Proposed sequence of operations.

6. A three-line diagram showing current potential circuits for protective relays.

7. Relay tripping and control schematic diagram.

Attachment 3

Description, Costs and Time Required to Build and Install the EDC's

Interconnection Facilities and System Upgrades

This attachment is to be completed by the EDC and shall include the following:

1. Required interconnection facilities and system upgrades.

2. An estimate of itemized costs charged by the EDC for interconnection, including overheads, based on results from prior studies.

3. An estimate for the time required to build and install the EDC's interconnection facilities and system upgrades based on results from prior studies and an estimate of the date upon which the facilities will be completed

Attachment 4

Operating Requirements for Distributed Energy Resources Facilities Operating in Parallel

The EDC shall list specific operating practices pursuant to Articles 1.9 and 1.10 of this Agreement and the conditions under which each listed specific operating practice applies.

Attachment 5

Milestones

This attachment shall list the milestones identified by mutual agreement of the parties pursuant to Article 5.3 of this Agreement.

Attachment 6

Monitoring and Control Requirements

The EDC may request a variance to the EDC's published monitoring and control requirements if necessary due to electric system conditions, constraints or unique generator characteristics. A written explanation of any modifications shall be provided below.

This attachment is to be completed by the EDC and shall include the following:

1. The EDC's monitoring and control requirements, along with a reference to the EDC's written requirements documents from which these requirements are derived.

2. An internet link to the requirements documents.

3. An explanation of any modifications to the EDC's published monitoring and control requirements.

Attachment 7

Metering Requirements

Any metering required for a distributed energy resources interconnection shall be installed, operated and maintained in accordance with applicable EDC tariffs and agreements.

This attachment is to be completed by the EDC and shall include the following:

1. The metering requirements for the distributed energy resources facility.

2. Identification of the appropriate tariffs that establish these requirements.

3. An internet link to these tariffs.

Attachment 8

As-Built Documents

This attachment is to be completed by the interconnection customer and shall include the following:

When it returns the certificate of completion to the EDC, the interconnection customer shall provide the EDC with documents detailing the as-built status of the following:

1. A one-line diagram indicating the distributed energy resources facility, interconnection equipment, interconnection facilities, and metering equipment.

2. Component specifications for equipment identified in the one-line diagram.

3. Component settings.

4. Sequence of operations.

5. A three-line diagram showing current potential circuits for protective relays.

6. Relay tripping and control schematic diagram.

Attachment 9

Application and Supporting Documentation

Attached to this Agreement are the interconnection customer's interconnection request application form and all other supporting documents used by the Parties to determine the requirements for connecting the distributed energy resources facility.

History

• Source: Amended at 46 Ill. Reg. 9788, effective May 26, 2022

83 Ill. Adm. Code 467.APPENDIX D Interconnection Feasibility Study Agreement

Interconnection Feasibility Study Agreement

This agreement ("Agreement") is made and entered into this

day of

by and between

("interconnection customer"), as an

individual person, or as a

organized and existing under the

laws of the State of

, and

("Electric Distribution

Company" (EDC)), a

existing under the laws of the

State of Illinois. Interconnection customer and EDC each may be referred to as a "Party", or collectively as the "Parties".

Recitals:

Whereas, interconnection customer is proposing to develop a distributed energy resources facility or modify an existing distributed energy resources facility consistent with the interconnection request

application form submitted by interconnection customer on

(Date)

; and

Whereas, interconnection customer desires to interconnect the distributed energy resources facility with EDC's electric distribution system; and

Whereas, interconnection customer has requested EDC to perform an interconnection feasibility study to assess the feasibility of interconnecting the proposed distributed energy resources facility to EDC's electric distribution system;

Now, therefore, in consideration of and subject to the mutual covenants contained in this Agreement the Parties agree as follows:

1. All terms defined in Section 467.20 of the Illinois Large Distributed Energy Resources Interconnection Standard shall have the meanings indicated in that Section when used in this Agreement.

2. The Interconnection customer elects and the EDC shall cause to be performed an interconnection feasibility study consistent with Section 467.70 of the Illinois Large Distributed Energy Resources Interconnection Standard.

3. The scope of the interconnection feasibility study shall be based upon the information set forth in the interconnection request application form and Attachment A to this Agreement.

4. The interconnection feasibility study shall be based on the technical information provided by interconnection customer in the interconnection request application form, as modified with the agreement of the Parties. The EDC has the right to request additional technical information from the interconnection customer during the course of the interconnection feasibility study. If the interconnection customer modifies its interconnection request, the time to complete the interconnection feasibility study may be extended by the EDC.

5. In performing the study, the EDC shall rely on existing studies of recent vintage to the extent practical. The interconnection customer will not be charged for existing studies; however, interconnection customer is responsible for the cost of applying any existing study to the interconnection customer specific requirements and for any new study that the EDC performs.

6. The interconnection feasibility study report shall provide the following information:

6.1 Identification of any equipment short circuit capability limits exceeded as a result of the interconnection;

6.2 Identification of any thermal overload or voltage limit violations resulting from the interconnection; and

6.3 A description and non-binding estimated cost of facilities required to interconnect the distributed energy resources facility to EDC's electric distribution system, as required under Section 467.70(e)(1) of the Illinois Large Distributed Energy Resources Interconnection Standard.

7. The interconnection customer shall provide a study deposit equal to 100 percent of the estimated non-binding study costs if the initial application fee deposit has been depleted. If the initial application fee deposit has been depleted, the study will not commence until the study deposit has been received by the EDC.

8. The interconnection feasibility study shall be completed and the results shall be transmitted to the interconnection customer within 45 business days after this Agreement is signed by the Parties or the complete study deposit has been received by the EDC, whichever is later.

9. Study fees shall be based on actual costs and will be invoiced to interconnection customer after the study is transmitted to the interconnection customer. The invoice must include an itemized listing of employee time and costs expended on the study.

10. The interconnection customer shall pay any actual study costs that exceed the deposit, without interest, within 30 calendar days after receipt of the invoice. The EDC shall refund any excess deposit amount, without interest, within 30 calendar days after the invoice.

In witness whereof, the Parties have caused this Agreement to be duly executed by their duly authorized officers or agents on the day and year first above written.

[Insert name of interconnection customer]

Signed:

Name (Printed):

Title:

[Insert name of EDC]

Signed:

Name (Printed):

Title:

Attachment A to Interconnection Feasibility Study Agreement

Assumptions Used in Conducting the Interconnection Feasibility Study

The interconnection feasibility study will be based upon the information in the interconnection request application form.

Information concerning the point of interconnection and configuration to be studied that is not otherwise provided in the application.

Note: This Attachment is to be completed by mutual agreement of the Parties. Any additional assumptions (explained below) may be provided by either the interconnection customer or the EDC.

History

• Source: Amended at 46 Ill. Reg. 9788, effective May 26, 2022

83 Ill. Adm. Code 467.APPENDIX E Interconnection System Impact Study Agreement

Interconnection System Impact Study Agreement

This agreement ("Agreement") is made and entered into this

day of

by and between

("interconnection customer"), as an

individual person, or as a

organized and existing under the

laws of the State of

, and

("Electric Distribution

Company" (EDC)), a

existing under the laws of the

State of Illinois. Interconnection customer and EDC each may be referred to as a "Party", or collectively as the "Parties".

Recitals:

Whereas, the interconnection customer is proposing to develop a distributed generation facility or modify an existing distributed generation facility consistent with the interconnection request

application form completed by interconnection customer on

(Date)

; and

Whereas, interconnection customer desires to interconnect the distributed generation facility to the EDC's electric distribution system; and

Whereas, the EDC has completed an interconnection feasibility study and provided the results of the study to the interconnection customer (this recital to be omitted if the Parties have agreed to forego the interconnection feasibility study); and

Whereas, the interconnection customer has requested the EDC to perform an interconnection system impact study to assess the impact of interconnecting the distributed generation facility to the EDC's electric distribution system;

Now, therefore, in consideration of and subject to the mutual covenants contained in this Agreement the Parties agree as follows:

1. All terms defined in Section 467.20 of the Illinois Large Distributed Generation Interconnection Standard shall have the meanings indicated in that Section when used in this Agreement.

2. The interconnection customer elects and the EDC shall cause to be performed an interconnection system impact study consistent with Section 467.70 of the Illinois Large Distributed Generation Interconnection Standard.

3. The scope of the interconnection system impact study shall be based upon the information set forth in the interconnection request application form and in Attachment A to this Agreement.

4. The interconnection system impact study shall be based upon the interconnection feasibility study and the technical information provided by interconnection customer in the interconnection request application form. The EDC reserves the right to request additional technical information from interconnection customer. If the interconnection customer modifies its proposed point of interconnection or interconnection request, or the technical information provided in the request is modified, the time to complete the interconnection system impact study may be extended.

5. The interconnection system impact study report shall provide the following information:

5.1 Identification of any equipment short circuit capability limits exceeded as a result of the interconnection;

5.2 Identification of any thermal overload or voltage limit violations resulting from the interconnection;

5.3 Identification of any instability or inadequately damped response to system disturbances resulting from the interconnection; and

5.4 Description and non-binding estimated cost of facilities required to interconnect the distributed generation facility to EDC's electric distribution system and to address the identified short circuit, thermal overload, voltage and instability issues, as required under Section 467.70(e)(2) of the Illinois Large Distributed Generation Interconnection Standard.

6. The interconnection customer shall provide a study deposit equal to 100 percent of the estimated non-binding study costs if the initial application fee deposit has been depleted. If the initial application fee deposit has been depleted, the study will not commence until the study deposit has been received by the EDC.

7. The interconnection system impact study, if required, shall be completed and the results transmitted to the interconnection customer within 45 business days after this Agreement is signed by the Parties or the complete study deposit has been received by the EDC, whichever is later.

8. Study fees shall be based on actual costs and shall be invoiced to the interconnection customer after the study is transmitted to the interconnection customer. The invoice shall include an itemized listing of employee time and costs expended on the study.

9. The interconnection customer shall pay any study costs that exceed the deposit within 30 calendar days after receipt of the invoice. EDC shall refund any excess deposit amount within 30 calendar days after the invoice.

In witness thereof, the Parties have caused this Agreement to be duly executed by their duly authorized officers or agents on the day and year first above written.

[Insert name of interconnection customer]

Signed:

Name (Printed):

Title:

[Insert name of EDC]

Signed:

Name (Printed):

Title:

Attachment A to Interconnection System Impact Study Agreement

Assumptions Used in Conducting the Interconnection System Impact Study

The interconnection system impact study shall be based upon the results of the interconnection feasibility study, subject to any modifications in accordance with Section 467.70 of the Illinois Distributed Generation Interconnection Standard, and the following assumptions:

Point of interconnection and configuration to be studied to the extent it is different from the information provided in the application or feasibility study.

---

---

Note: This Attachment A is to be completed by mutual agreement of the Parties. Any additional assumptions (explained below) may be provided by either the interconnection customer or the EDC.

---

83 Ill. Adm. Code 467.APPENDIX F Interconnection Facilities Study Agreement

Interconnection Facilities Study Agreement

This agreement ("Agreement") is made and entered into this

day of

by and between

("interconnection customer"), as an

individual person, or as a

organized and existing under the

laws of the State of

, and

("Electric Distribution

Company" (EDC)), a

existing under the laws of the

State of Illinois. Interconnection customer and EDC each may be referred to as a "Party", or collectively as the "Parties".

Recitals:

Whereas, the interconnection customer is proposing to develop a distributed generation facility or modify an existing distributed generation facility consistent with the interconnection request

application form submitted by the interconnection customer on

(Date)

; and

Whereas, the interconnection customer desires to interconnect the distributed generation facility with the EDC's electric distribution system; and

Whereas, the EDC has completed an interconnection system impact study and provided the results of that study to interconnection customer; and

Whereas, the interconnection customer has requested the EDC to perform an interconnection facilities study to specify and estimate the cost of the equipment, engineering, procurement and construction work needed to interconnect the distributed generation facility;

Now, therefore, in consideration of and subject to the mutual covenants contained in this Agreement, the Parties agree as follows:

1. All terms defined in Section 467.20 of the Illinois Large Distributed Generation Interconnection Standard shall have the meanings indicated in that Section when used in this Agreement.

2. The interconnection customer elects and the EDC shall cause an interconnection facilities study consistent with Section 467.70 of the Illinois Large Distributed Generation Interconnection Standard.

3. The scope of the interconnection facilities study shall be determined by the information provided in Attachment A to this Agreement.

4. An interconnection facilities study report (1) shall provide a description, estimated cost of system upgrades, and schedule for required facilities to interconnect the distributed generation facility to the EDC's electric distribution system; and (2) shall address all issues identified in the interconnection system impact study (or identified in this study if the system impact study is combined with this Agreement).

5. The interconnection customer shall provide a study deposit equal to 100 percent of the estimated non-binding study costs if the initial application fee deposit has been depleted.

6. In cases in which no system upgrades are required, the interconnection facilities study shall be completed and the results shall be transmitted to the interconnection customer within 15 business days after this Agreement is signed by the Parties. In cases in which system upgrades are required, the interconnection facilities study shall be completed and the results shall be transmitted to the interconnection customer within 35 business days after this Agreement is signed by the Parties or the complete study deposit has been received by the EDC, whichever is later. The study will not commence until the deposit has been received by the EDC.

7. Study fees shall be based on actual costs and will be invoiced to the interconnection customer after the study is transmitted to the interconnection customer. The invoice shall include an itemized listing of employee time and costs expended on the study.

8. The interconnection customer shall pay any actual study costs that exceed the deposit within 30 calendar days after receipt of the invoice. The EDC shall refund any excess deposit amount within 30 calendar days after the invoice.

In witness whereof, the Parties have caused this Agreement to be duly executed by their duly authorized officers or agents on the day and year first above written.

[Insert name of interconnection customer]

Signed:

Name (Printed):

Title:

[Insert name of EDC]

Signed:

Name (Printed):

Title:

Attachment A to Interconnection Facilities Study Agreement

Minimum Information that the Interconnection Customer Must Provide

with the Interconnection Facilities Study Agreement

Provide location plan and simplified one-line diagram of the distributed generation facilities.

For staged projects, please indicate size and location of planned additional future generation.

On the one-line diagram, indicate the generation capacity attached at each metering location. (Maximum load on CT/PT)

On the one-line diagram, indicate the location of auxiliary power. (Minimum load on CT/PT) Amps

One set of metering is required for each generation connection to the EDC's electric distribution system.

Number of generation connections:

Will an alternate source of auxiliary power be available during CT/PT maintenance?

Yes

No

Will a transfer bus on the generation side of the metering require that each meter set be designed for the total distributed generation capacity?

Yes

No

(Please indicate on the one-line diagram.)

What type of control system or PLC will be located at the distributed generation facility?

What protocol does the control system or PLC use?

Please provide a scale drawing of the site. Indicate the point of common coupling, distribution line, and property lines.

Number of third party easements required for EDC's interconnection facilities:

To be completed in coordination with EDC.

Is the distributed generation facility located in EDC's service area?

Yes

No

If No, please provide name of local provider:

Please provide the following proposed schedule dates:

Begin Construction Date:

Generator Step-up Transformers Receive Back Feed Power Date:

Generation Testing Date:

Commercial Operation Date:

83 Ill. Adm. Code 468.20 Definitions

Terms defined in Section 16-128A of the Act shall have the same meaning for purposes of this Part as they have under the Act, unless further defined in this Part.

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

"Applicant" means a person or entity that files an application with the Illinois Commerce Commission (Commission) requesting certification pursuant to Section 16-128A of the Act to install distribution generation facilities.

"Certificate holder" means an entity that has received certification pursuant to this Part and that is in good standing with the Commission.

"Directly supervised" means that there is a person on-site who meets the qualifications to perform distributed generation (DG) installations who is available for consultation and review of work performed by apprentices or electrical contractors who may be performing installations.

"Distributed generation facility" means the equipment used by an interconnection customer to generate or store electricity that operates in parallel with the electric distribution system. A distributed generation facility typically includes an electric generator, a prime mover, and the interconnection equipment required to safely interconnect with the electric distribution system or local electric power system.

"Entity" means an organization, institution or individual that has its own existence for legal or tax purposes and is involved in the business of installing distributed generation.

"Illinois Community College Board" is the State coordinating board for community colleges that administers the Public Community College Act [110 ILCS 805] in a manner that maximizes the ability of the community colleges to serve their communities.

"Install" means to complete the electrical wiring and connections necessary to interconnect the distributed generation facility with the electric utility's distribution system at the point of interconnection between the facility and the utility. The meaning of "install" in this Part specifically does not include:

Electrical wiring and connections to interconnect the distributed generation facility performed by utility workers on the electric utility's distribution system;

Electrical wiring and connections internal to the distributed generation facility performed by the manufacturer; or

Tasks not associated with the electrical interconnection of the distributed generation facility and the utility, including those relating to planning and project management performed by individuals such as an inspector, management planner, consultant, project designer, contractor or supervisor for the project.

"NEC" shall mean the National Electric Code adopted by the National Fire Protection Association, Inc, 1 Batterymarch Park, Quincy MA 02169 (NFPA 70E), effective August 25, 2010.

"Qualified person" means a person who performs installations on behalf of the certificate holder and who has either satisfactorily completed at least five installations of a specific distributed generation technology or has completed at least one of the following programs requiring lab or field work and received a certification of satisfactory completion: an apprenticeship as a journeyman electrician from a DOL registered electrical apprenticeship and training program; a North American Board of Certified Energy Practitioners (NABCEP) distributed generation technology certification program; an Underwriters Laboratories (UL) distributed generation technology certification program; an Electronics Technicians Association (ETA) distributed generation technology certification program; or an Associate in Applied Science degree from an Illinois Community College Board approved community college program in the appropriate distributed generation technology. To be considered a "qualified person", the experience and/or training relied upon must be with the same type of distributed generation technology for which the qualification status is sought.

"Retail customer" means the same as that term is defined in Section 16-102 of the Act. For purposes of this Part, a "retail customer" includes that retail customer's employees, officers and agents.

"Self-installer" means an individual who leases or purchases a cogeneration facility for his or her own personal use and installs such cogeneration or self-generation facility on his or her own premises without the assistance of any other person. [220 ILCS 5/16-128A(a)]

"USDOL registered electrician apprenticeship program" and "United States Department of Labor registered electrician apprenticeship program" means an electrician apprenticeship training program that is registered with the United States Department of Labor (USDOL).

"USDOL certification of satisfactory completion" means that person has received a nationally recognized and portable Certificate of Completion from an electrician apprenticeship program that is registered with USDOL.

Chapter I Illinois Commerce Commission

Subchapter c Electric Utilities

Part 468 Distributed Generation Installer Certification

83 Ill. Adm. Code 468.30 Applicability

After December 31, 2013, with the exception of self-installers, all entities that install distributed generation facilities shall be certified by the Commission under this Part prior to installing any distributed generation facilities in the State of Illinois.

83 Ill. Adm. Code 468.40 Application Procedures

a) The applicant shall file its application for certification under this Part and provide all information required by this Part.

b) Contents of documents filed by applicants shall be consistent with Subpart B of the Commission's Rules of Practice (83 Ill. Adm. Code 200).

c) Applications for certification shall be submitted with the appropriate fee payment.

d) Applications for certification under this Part shall be filed with the Chief Clerk of the Commission and shall be verified by a corporate officer pursuant to 83 Ill. Adm. Code 200.130 (the Commission's Rules of Practice).

83 Ill. Adm. Code 468.50 Required Application Information

Applications for certification under this Part shall contain the following information:

a) The applicant's name (including d/b/a, if any), street address, telephone number, facsimile number and website and email addresses. The applicant shall provide the business name as that name appears on its Illinois Secretary of State's Office registration. The applicant shall provide assumed business names if and only if those names are registered with the Illinois Secretary of State's Office. This information shall be kept current and any change shall be filed with the Chief Clerk of the Commission at the Commission's Springfield office within 15 days after the change occurs;

b) Contact information, including names, addresses, telephone numbers, facsimile numbers and e-mail addresses for persons or entities responsible for issues related to processing the application;

c) Applicant's Federal Employer Identification Number (FEIN) or Taxpayer Identification Number (TIN), as applicable;

d) A certification that the applicant will comply with informational and reporting requirements established under this Part;

e) A statement that the Applicant agrees to accept service by electronic means as provided for in 83 Ill. Adm. Code 200.1050 (the Commission's Rules of Practice);

f) An exhibit (with any confidential personal information such as a Social Security number redacted) containing the following information for each qualified person who will perform or directly supervise installations to satisfy the requirements of this Part:

1. A copy of the certification of satisfactory completion of the relevant training programs; and/or

2. An affidavit by each qualifying person attesting to having satisfactorily completed at least five installations of distributed generation facilities, the affidavit to include the type of each distributed generation facility (wind turbine, fuel cell, natural gas generator, etc.).

83 Ill. Adm. Code 468.60 Certification Requirements

An applicant shall be certified if its application satisfies the following requirements:

a) The applicant certifies that it will remain in compliance with all applicable laws and regulations and Commission rules and orders, including, but not limited to, the requirements of Sections 16-128(a) and 16-128A of the Act and this Part.

b) The applicant certifies that it will ensure that its employees, agents or contractors, or the employees, agents or contractors of any entity, agent or contractor with which it has contracted to perform those functions within the State of Illinois, shall:

1. Comply with applicable building and electrical codes, including those contained in the NEC;

2. Comply with the distributed generation facility manufacturer's installation instructions;

3. Install only distributed generation facilities that meet recognized industry standards; and

4. Ensure that all obligations required under this Part and Sections 16-128(a) and 16-128A of the Act are met prior to placing into, or returning into, use any distributed generation facility that the certificate holder installed.

c) The applicant certifies that it will comply with applicable licensing and municipal bonding requirements to do business in the State of Illinois.

d) The applicant certifies that every installation of a distributed generation facility will be performed only by:

1. a qualified person; or

2. an electrical contractor who is not a qualified person, provided he/she is directly supervised by a qualified person; or

3. a person who is not a qualified person but is enrolled in a training program that, upon satisfactory completion, will meet the requirement to become a qualified person provided he/she is directly supervised by a qualified person.

e) The applicant certifies that it is licensed to do business in the State of Illinois.

83 Ill. Adm. Code 468.70 Certifications Conditioned Upon Compliance

Each certification issued to an applicant is conditioned upon compliance with the provisions of this Part and Sections 16-128(a) and 16-128A of the Act. Violation of this Part or the Act make the certificate holder subject to penalties, including suspension, revocation, fines or a combination of sanctions.

83 Ill. Adm. Code 468.80 Annual Recertification and Reporting

a) A certificate holder shall recertify annually to remain in good standing with the Commission. Recertification involves submitting a recertification report that includes the information required by subsection (c).

b) By April 1 of each year, each certificate holder shall submit a recertification report identified with the name of the certificate holder as it appears in the most recent Commission order granting certification under this Part. The report shall be filed with the Chief Clerk of the Commission and shall be verified by a corporate officer pursuant to 83 Ill. Adm. Code 200.130 (the Commission's Rules of Practice).

c) The recertification report shall contain the following information:

1. A statement certifying that the certificate holder continues to maintain the required qualifications for the service authority granted in its certificate;

2. A list of all qualified persons who installed distributed generation facilities on behalf of the certificate holder during the previous calendar year. For each person, state whether the certificate holder provided the person's qualifications to the Commission with the certificate holder's original application or with a recertification report. If the latter, identify the relevant recertification report for each person by the calendar year that it covered;

3. A list of all qualified persons currently employed by the certificate holder. For each person not listed in response to subsection (c)(2), state when the person began employment and provide for each person proof of the person's qualifications consistent with Section 486.50(f);

4. A statement confirming the certificate holder's continuing compliance with all requirements set forth in this Part and Sections 16-128(a) and 16-128A of the Act; and

5. The number of distributed generation facilities, classified by installed generation capacity and fuel energy source (solar, wind, natural gas, etc.), that the certificate holder installed during the prior calendar year in each electric utility's service area.

d) The report shall not contain customer identifying information.

e) All reports shall provide the name, telephone number and email and mailing addresses of at least one person who is designated by the certificate holder to address questions pertaining to the report.

f) A certificate holder that does not submit a recertification report within 30 days after the April 1 annual recertification date is subject to suspension or revocation of its certificate under this Part.

History

• Source: Amended at 49 Ill. Reg. 14953, effective November 5, 2025

Chapter I Illinois Commerce Commission

Subchapter c Electric Utilities

Part 468 Distributed Generation Installer Certification

83 Ill. Adm. Code 468.90 Complaint Procedures

Complaints shall be filed in conformance with 83 Ill. Adm. Code 200.160 and 200.170 and 83 Ill. Adm. Code 280.170. The complaint shall comply with the Commission's Rules of Practice (83 Ill. Adm. Code 200).

83 Ill. Adm. Code 468.100 Commission Oversight

a) Upon complaint or on the Commission's own motion, the Commission may investigate all activities subject to this Part or Sections 16-128(a) or 16-128A of the Act, including violations of this Part or the statutes.

b) If, after notice and hearing, the Commission determines that an entity is installing distributed generation facilities without Commission certification, the Commission shall issue penalties for noncompliance.

Chapter I Illinois Commerce Commission

Subchapter c Electric Utilities

Part 468 Distributed Generation Installer Certification

83 Ill. Adm. Code 468.110 Maintenance of Records

The applicant shall agree to adopt and follow procedures ensuring that documentation regarding the installation of distributed generation facilities are retained for a period of not less than three calendar years after the calendar year in which they were created. These records shall be made available, upon request, to the Commission or its Staff on a confidential and proprietary basis.

83 Ill. Adm. Code 468.120 Fees

a) The following fees shall apply:

1. Application for certification $50

2. (Blank)

3. Returned check fee $25

b) Application and recertification fees are nonrefundable.

c) All fees under this Part shall be paid by certified check, cashier's check or money order made payable to "Illinois Commerce Commission/DG Certification". Each payment shall be accompanied by documentation identifying what fee is being paid, the entity's name, address and Federal Employer Identification Number (FEIN)/Taxpayer Identification Number (TIN).

History

• Source: Amended at 49 Ill. Reg. 14953, effective November 5, 2025

Chapter I Illinois Commerce Commission

Subchapter c Electric Utilities

Part 468 Distributed Generation Installer Certification

83 Ill. Adm. Code 468.130 Notification Requirements for Retail Customers Seeking Net Metering Service

Electric utilities shall require retail customers who seek net metering service from an electric utility to provide the following information related to the installation of the retail customer's distributed generation facility:

a) For a distributed generation facility that was self-installed, a statement from the retail customer certifying that the facility was self-installed;

b) For a distributed generation facility that was not self-installed:

1. The business name, address and phone number of the entity that installed the distributed generation facility;

2. The Commission docket number in which the entity obtained a certificate from the Commission; and

3. A copy of the invoice for the installation services or other information demonstrating that the designated entity installed the distributed generation facility.

83 Ill. Adm. Code 468.140 Initial Compliance Date

The initial date for compliance with this Part is December 31, 2013.

Part 469 Certification for the Installation, Maintenance or Repair of Electric Vehicle Charging Stations

83 Ill. Adm. Code 469.10 Definitions

Terms defined in Section 16-128A of the Public Utilities Act [220 ILCS 5/16-128A] shall have the same meaning for purposes of this Part as they have under Section 16-128A of the Public Utilities Act, unless further defined in this Part. The following terms, when used in this Part, shall have the meaning ascribed to them in this Section.

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

"Applicant" means a person or entity that files an application with the Illinois Commerce Commission (Commission) requesting certification pursuant to Section 16-128A of the Act to install, maintain or repair electric vehicle charging stations.

"Best's financial size category" refers to a numerical value that A.M. Best Company or its successor assigns to an insurance company based on the amount of that insurance company's policyholders' surplus and reserve funds.

"Best's rating" refers to a rating from A.M. Best Company or its successor that provides an overall opinion of an insurance company's ability to meet its obligations to policyholders.

"Certificate holder" or "Commission-certified IMR" means a person or entity that has received certification pursuant to this Part.

"Commercial general liability insurance" means insurance that covers suits against the insured for personal injury and property damages.

"Commercial purposes" means use by any person of an electric vehicle charging station not located on his or her own premises.

"Directly supervised" means that there is a qualified person on-site available for consultation and review of the installation, maintenance or repair work of electric vehicle charging stations performed by apprentices.

"DOL certification of satisfactory completion" means that person has received a nationally recognized and portable Certificate of Completion from a United States Department of Labor (DOL) registered apprenticeship program.

"DOL-registered electrician apprenticeship program" means an electrician apprenticeship training program that is certified by the DOL.

"Electric utility" means a corporation, company, limited liability company, association, joint stock company or association, firm, partnership or individual, their lessees, trustees, or receivers appointed by any court whatsoever that owns, controls, operates or manages, within Illinois, directly or indirectly, for public use, any plant, equipment or property used or to be used for or in connection with, or owns or controls any franchise, license, permit or right to engage in the production, storage, transmission, sale, delivery or furnishing of heat, cold, power, electricity; or a public utility, as defined in Section 3-105 of the Act, that has a franchise, license, permit or right to furnish or sell electricity to retail customers within a service area. [220 ILCS 5/3-105 and 16-102]

"Electric vehicle" means a battery-powered electric vehicle operated solely by electricity or a plug-in hybrid electric vehicle that operates on electricity and gasoline and has a battery that can be recharged from an external source. [20 ILCS 627/10]

"Electric vehicle charging station" means any facility or equipment that is used to charge a battery or other energy storage device of an electric vehicle. [220 ILCS 5/16-128A(d)]

"Entity" means an organization, institution or being that has its own existence for legal or tax purposes and is involved in the business of installing, maintaining or repairing electric vehicle charging stations.

"IMR" or "IMRs" means electric vehicle charging station installers, maintainers or repairers.

"Install", "installing" or "installation" means the major activities and actions required to connect, in accordance with applicable building and electrical codes, the conductors, connectors and all associated fittings, devices, power outlets or apparatuses mounted at the premises that are directly involved in delivering energy from the premises' electrical wiring to the electric vehicle charging station.

"Maintain", "maintaining" or "maintenance" means the major activities and actions required to keep in an appropriate, safe condition and operation the conductors, connectors and all associated fittings, devices, power outlets or apparatuses mounted at the premises that are directly involved in delivering energy from the premises' electrical wiring to the electric vehicle charging station.

"NEC" means the National Electrical Code adopted by the National Fire Protection Association, Inc., of 1 Batterymarch Park, Quincy, MA 02169 (NFPA 70E), effective August 25, 2010.

"Premises and operations insurance" coverage pays for bodily injury or property damage that occurs on an entity's premises or as a result of an entity's business operations.

"Products and completed operations insurance" coverage pays for bodily injury and property damage that occurs away from an entity's business premises and is caused by the entity's products or completed work.

"Qualified person" means a person who performs installation, maintenance or repair of electric vehicle charging stations and who has either satisfactorily completed at least five installations of an electric vehicle charging station or has completed at least one of the following programs requiring lab or field work and received a certification of satisfactory completion: an apprenticeship as a journeyman electrician from a United States Department of Labor Registered Electrician Apprenticeship and Training Program or an Underwriters Laboratories (UL) electric vehicle charging station installation certification program.

"Repair" or "repairing" means the major activities and actions required to restore to a safe, sound condition and operation the conductors, connectors and all associated fittings, devices, power outlets or apparatuses mounted at the premises that are directly involved in delivering energy from the premises' electrical wiring to the electric vehicle charging station.

"Retail customer" means

a single entity using electric power or energy at a single premises and that either is receiving or is eligible to receive tariffed services from an electric utility or that is served by a municipal system or electric cooperative; or

an entity that, on December 16, 1997, was receiving electric service from a public utility and was engaged in the practice of resale and redistribution of such electricity within a building prior to January 2, 1957, or was providing lighting services to tenants in a multi-occupancy building, but only to the extent such resale, redistribution or lighting service is authorized by the electric utility's tariffs that were on file with the Commission on December 16, 1997. [220 ILCS 5/16-102]. For purposes of this Part, a "retail customer" includes that retail customer's employees, officers, and agents. [220 ILCS 5/16-128A(d)]

"Self-installer" means an individual who leases or purchases an electric vehicle charging station for his or her own personal use and installs an electric vehicle charging station on his or her own premises without the assistance of any other person. [220 ILCS 5/16-128A(d)]

"Surplus Line Association of Illinois" is an organization of Illinois surplus line producers as defined in Section 445.1 of the Illinois Insurance Code [215 ILCS 5/445.1].

83 Ill. Adm. Code 469.20 Applicability

After January 1, 2014, with the exception of a self-installer, all persons or entities that install, maintain or repair electric vehicle charging stations in the State of Illinois shall be certified by the Commission under this Part prior to installing, maintaining or repairing electric vehicle charging stations in the State of Illinois.

83 Ill. Adm. Code 469.30 Application Procedures

a) The applicant shall file its application for certification under this Part and provide all information required by this Part.

b) Contents of documents filed by applicants shall be consistent with Subpart B of the Commission's Rules of Practice (83 Ill. Adm. Code 200).

c) Applications for certification shall be submitted with the applicable fee payment.

d) Applications for certification under this Part shall be filed with the Chief Clerk of the Commission and shall be verified by a corporate officer pursuant to Section 200.130 of the Commission's Rules of Practice (83 Ill. Adm. Code 200.130).

83 Ill. Adm. Code 469.40 Required Application Information

Applications for certification under this Part shall contain the following information:

a) The applicant's name (including d/b/a, if any), street address, telephone number, facsimile number, website and e-mail address. The applicant shall provide the business name as that name appears on its Illinois Secretary of State's registration, if applicable. The applicant shall provide assumed business names if and only if those names are registered with the Illinois Secretary of State. This information shall be kept current and any change shall be filed with the Chief Clerk of the Commission within 15 days after the change occurs.

b) Contact information including names, addresses, telephone numbers, facsimile numbers and e-mail addresses for persons or entities responsible for issues related to processing the application.

c) Applicant's Federal Employer Identification Number (FEIN) or Taxpayer Identification Number (TIN), as applicable.

d) A certification that the applicant will comply with informational and reporting requirements established under this Part.

e) A statement that the applicant agrees to accept service by electronic means as provided for in Section 200.1050 of the Commission's Rules of Practice (83 Ill. Adm. Code 200.1050).

f) An exhibit (with any confidential personal information such as a Social Security number redacted) containing the following information for each qualified person who will perform or directly supervise installations, maintenance, or repairs to satisfy the requirements of this Part:

1. A copy of the certification of satisfactory completion of the relevant training programs; and/or

2. An affidavit by each qualifying person attesting to having satisfactorily completed at least five installations of electric vehicle charging stations.

g) An applicant shall have in force, and provide proof that it has in force, general liability insurance that shall remain in effect for a period of not less than one year.

1. The applicant shall be deemed to have sufficient commercial general liability insurance, which is comprised of premises and operations insurance and products and complete operations insurance. The commercial general liability insurance shall have a coverage limit of at least $100,000 per occurrence and $300,000 aggregate limits for bodily injury.

2. In addition, the applicant shall have property damage insurance with limits of at least $25,000 or shall have a policy with a single limit for bodily injury and property damage of up to $300,000 per occurrence and $300,000 aggregate limits.

3. The commercial general liability insurance must be maintained with an insurance company whose Best's rating is A- or better and whose Best's financial size category is VII or larger, and whose contract of insurance is issued pursuant to Section 445 or 445a of the Illinois Insurance Code [215 ILCS 5/445 or 445a] and countersigned by the Surplus Line Association of Illinois or its successor.

4. The applicant shall provide a certificate of insurance as part of its application for certification. If the applicant or Commission-certified IMR renews or makes changes in its insurance coverage, the insurance coverage must be continuous and without interruption. The certificate of insurance and the insurance policies shall contain a provision that coverage afforded under the policies shall not be cancelled, allowed to expire, or subjected to a reduction in the limits in any manner unless at least 30 days prior written notice (10 days notice in the case of nonpayment of premium) has been given to the Commission. The IMR shall file a copy of the additional or replacement certificate of insurance with the Chief Clerk of the Commission and provide a copy to the "Policy Division – IMR Insurance Compliance" or its successor at least 15 days in advance of the effective date of the certificate of insurance. The filing shall include a cover letter that explains the purpose of the filing and shall be identified by the name of the IMR as it appears in the most recent Commission order granting the IMR certification.

83 Ill. Adm. Code 469.50 Certification Requirements

An applicant shall be certified if its application satisfies the following requirements.

a) The applicant certifies that it will remain in compliance with all applicable laws and regulations and Commission rules and orders including, but not limited to, the requirements of Sections 16-128(a) and 16-128A of the Act and of this Part.

b) The applicant certifies that it will ensure that its employees, agents or contractors that install, maintain or repair electric vehicle charging stations, or the employees, agents or contractors of any entity, agent or contractor with which it has contracted to perform those functions within the State of Illinois, shall:

1. Comply with applicable building and electrical codes, including those contained in the NEC;

2. Comply with the electric vehicle charging station manufacturer's installation, maintenance and repair instructions;

3. Install only electric vehicle charging stations that meet the standards UL2202 - Electric Vehicle (EV) Charging System Equipment, UL2231-1 - Personnel Protection Systems for Electric Vehicle (EV) Supply Circuits: General Requirements, UL2231-2 - Personnel Protection Systems for Electric Vehicle (EV) Supply Circuits: Particular Requirements for Protection Devices for Use in Charging System and UL2594 - Electric Vehicle Supply Equipment, developed by the Underwriters Laboratory, 333 Pfingsten Road, Northbrook IL 60062;

4. Ensure that all IMR obligations required under this Part and Sections 16-128(a) and 16-128A of the Act are met prior to the placing into, or returning into, use any electric vehicle charging station that the certificate holder installed, maintained or repaired; and

5. Submit notifications to the servicing electric utility in accordance with the requirements specified in the applicable tariffs of the servicing electric utility, Section 16-128A of the Act, and this Part.

c) The applicant certifies that it will comply with applicable municipal licensing and bonding requirements to do business in the State of Illinois.

d) The applicant certifies that every installation, maintenance and repair of an electric vehicle charging station will be performed only by:

1. a qualified person;

2. a person licensed as an electrical contractor in at least one municipality in the State of Illinois who is not a qualified person, provided he/she is directly supervised by a qualified person; or

3. a person enrolled in a training program that upon satisfactory completion will meet the requirement to become a qualified person, provided he/she is directly supervised by a qualified person.

e) The applicant certifies that it is licensed to do business in the State of Illinois.

83 Ill. Adm. Code 469.60 Certifications Conditioned Upon Compliance

Each certification issued to an applicant is conditioned upon compliance with the provisions of this Part and Sections 16-128(a) and 16-128A of the Act. Violation of this Part or the Act make the IMR subject to penalties, including certificate suspension, revocation, fines or a combination of sanctions.

83 Ill. Adm. Code 469.70 Annual Recertification and Reporting

a) A certificate holder shall recertify annually to remain in good standing with the Commission. Recertification involves submitting a Recertification Report that includes the information required by subsection (c) of this Section.

b) By April 1 of each year, each certificate holder shall submit a Recertification Report identified with the name of the certificate holder as it appears in the most recent Commission order granting certification under this Part. The report shall be filed with the Chief Clerk of the Commission and shall be verified by a corporate officer pursuant to Section 200.130 of the Commission's Rules of Practice (83 Ill. Adm. Code 200.130).

c) The Recertification Report shall contain the following information:

1. A statement certifying that the certificate holder continues to maintain the required qualifications for the service authority granted in its certificate;

2. A list of all persons who installed, maintained or repaired vehicle charging stations on behalf of the certificate holder during the previous calendar year. For each person, the report shall state whether the certificate holder provided the person's qualification to the Commission with the certificate holder's original application or with a recertification report. If the latter, the report shall identify the relevant recertification report for each person by the calendar year it covered;

3. A list of all qualified persons currently employed by the certificate holder. For each person not listed in response to subsection (c)(2), the report shall state when the person began employment and provide for each person proof of the person's qualifications consistent with Section 469.40(f);

4. A statement confirming the certificate holder's continuing compliance with all requirements set forth in this Part and Sections 16-128(a) and 16-128A of the Act; and

5. The number of electric vehicle charging stations, classified by customer class and charging capacity, that the certificate holder installed during the prior calendar year in each electric utility's service area.

d) The report shall not contain customer identifying information.

e) All reports shall provide the name, telephone number, email address and mailing address of at least one person designated by the certificate holder to address questions pertaining to the report.

f) A certificate holder that does not submit a Recertification Report within 30 days of the April 1 annual recertification date is subject to suspension or revocation of its certificate under this Part.

History

• Source: Amended at 49 Ill. Reg. 14958, effective November 5, 2025

Chapter I Illinois Commerce Commission

Subchapter c Electric Utilities

Part 469 Certification for the Installation, Maintenance or Repair of Electric Vehicle Charging Stations

83 Ill. Adm. Code 469.80 Complaint Procedures

Complaints shall be filed in conformance with 83 Ill. Adm. Code 200.160, 200.170 and 83 Ill. Adm. Code 280.170. The complaint shall comply with the Commission's Rules of Practice (83 Ill. Adm. Code 200).

83 Ill. Adm. Code 469.90 Commission Oversight

a) Upon complaint or on the Commission's own motion, the Commission may investigate any and all activities subject to this Part or Sections 16-128(a) and 16-128A of the Act, including violations of this Part or of Sections 16-128(a) and 16-128A of the Act.

b) If, after notice and hearing, the Commission determines that an IMR is installing, maintaining or repairing electric vehicle charging station facilities without Commission certification, the Commission shall issue penalties for noncompliance.

83 Ill. Adm. Code 469.100 Maintenance of Records

The certificate holder shall agree to adopt and follow rules and procedures ensuring that documentation regarding installing, maintaining and repairing electric vehicle charging stations are retained for a period of not less than three calendar years after the calendar year in which they were created. These records shall be made available by request to the Commission or its Staff on a confidential and proprietary basis.

83 Ill. Adm. Code 469.110 Fees

a) The following fees shall apply:

1. Application for certification $50

2. (Blank)

3. Returned check fee $25

b) Application and recertification fees are nonrefundable.

c) All fees under this Part shall be paid by certified check, cashier's check or money order made payable to "Illinois Commerce Commission/IMR Certification". Each payment shall be accompanied by documentation identifying what fee is being paid, the IMR's name, address and Federal Employer Identification Number (FEIN)/Taxpayer Identification Number (TIN).

History

• Source: Amended at 49 Ill. Reg. 14958, effective November 5, 2025

Chapter I Illinois Commerce Commission

Subchapter c Electric Utilities

Part 469 Certification for the Installation, Maintenance or Repair of Electric Vehicle Charging Stations

83 Ill. Adm. Code 469.120 Obligations of Electric Utilities, Imrs and Retail Customers

a) Each electric utility shall file a tariff or tariffs with the Commission setting forth the documentation that each retail customer who owns, uses, operates or maintains an electric vehicle charging station in the electric utility's service territory must provide to an electric utility. The electric utility's tariffs shall require the following information from retail customers:

1. The name, address, and electric utility account number of the retail customer who owns, uses, operates, or maintains the electric vehicle charging stations;

2. The location of the electric vehicle charging stations;

3. When an electric vehicle charging station is to be installed by an IMR, the business name, address and phone number of the IMR that is the certificate holder;

4. When an electric vehicle charging station is to be installed by an IMR, the Commission docket number in which the IMR obtained a certificate from the Commission;

5. The load and technical specifications of the charging stations;

6. Whether the charging station is for personal or commercial use; and

7. Upon completion of the installation of an electric vehicle charging station, a certification that the electric vehicle charging station was installed by the retail customer as a self-installer, or a copy of the invoice for the installation services or other information demonstrating that the designated IMR installed the electric vehicle charging station.

b) Retail customers shall comply with the following:

1. Prior to installation of an electric vehicle charging station, the retail customer shall provide notice in writing to the servicing electric utility of plans to install an electric vehicle charging station. The notice shall include the information specified in subsections (a)(1) through (a)(6);

2. Within 30 days after the installation date, the retail customer shall submit to the servicing electric utility the information specified in subsection (a)(7);

3. If a retail customer self-installs an electric vehicle charging station and elects to convert the electric vehicle charging station from personal use to commercial purposes, the retail customer shall take the following actions:

A) Have a Commission-certified IMR inspect the electric vehicle charging station to evaluate the adequacy and safety of the electric vehicle charging station and provide the results of the inspection to the servicing electric utility; and

B) Provide notice to the servicing electric utility at least 30 days in advance of the customer's plans to use the electric vehicle charging station for commercial purposes;

4. Each retail customer that installs an electric vehicle charging station, whether as a self-installer or through an IMR, shall ensure that documentation regarding the installation is retained for a period of not less than three calendar years after the calendar year in which the installation occurred; and

5. Each retail customer that self-installs an electric vehicle charging station shall ensure that documentation regarding conversion of self-installed electric vehicle charging stations to commercial use is retained for a period of not less than three calendar years after the calendar year in which the conversion occurred.

c) Electric vehicle charging station installers, maintainers and repairers shall comply with the following:

1. Each IMR that installs an electric vehicle charging station shall ensure that documentation regarding the installation is retained for a period of not less than three calendar years after the calendar year in which the installation occurred; and

2. Each IMR involved in the inspection of a self-installed electric vehicle charging station converted to commercial use shall ensure that documentation regarding the conversion is retained for a period of not less than three calendar years after the calendar year in which the inspection occurred.

83 Ill. Adm. Code 469.130 Initial Compliance Date

The initial date for compliance with this Part is January 1, 2014.

Chapter I ILLINOIS COMMERCE COMMISSION SUBCHAPTER c: ELECTRIC UTILITIES

Part 470 Governmental Electric Aggregation

83 Ill. Adm. Code 470.10 Definitions

"Aggregate Area" means the area within the geographic boundaries of a municipality, a township or the unincorporated areas of a county that has adopted an ordinance to aggregate residential and/or small commercial retail electric loads.

"Aggregation Customer" means a residential or small commercial retail customer receiving retail electric supplier (RES) service pursuant to an Aggregation Program.

"Aggregation Program" means a program offered by a municipality, township or county, individually or collectively, pursuant to Section 1-92 of the Illinois Power Agency Act and Section 16-104(b) of the PUA.

"Aggregation Supplier" means the retail electric supplier chosen by the Governmental Aggregator that provides electric supply service to the aggregated residential and small commercial retail electrical loads located within the Aggregate Area.

"Commission" means the Illinois Commerce Commission.

"Electric Utility" means an electric utility, as defined in Section 16-102 of the PUA.

"Governmental Aggregator" means the corporate authorities of a municipality, a township board, or a county board in the Aggregate Area that individually or collectively procure electricity to serve residential retail electrical loads located within its or their jurisdiction (Section 1-10 of the IPA Act). "Governmental Aggregator" shall have the same meaning as "aggregated entity" as used in Section 1-92 of the Illinois Power Agency Act.

"Incumbent Aggregation Supplier" means the Aggregation Supplier currently providing retail electric supply service pursuant to an Aggregation Program.

"IPA Act" means the Illinois Power Agency Act [20 ILCS 3855].

"Office of Retail Market Development" or "ORMD" has the meaning ascribed in Section 20-110 of the PUA.

"Opt-in Aggregation Program" means an Aggregation Program offered in accordance with Section 1-92 of the IPA Act and Section 16-104(b) of the PUA, whereby the corporate authorities of a municipality, township board, or county board adopt an ordinance to aggregate the electric loads of residential and small commercial retail customers, provided, however, that only those residential and small commercial retail customers that affirmatively elect to participate in the Opt-in Aggregation Program will have their electric load included in the Opt-in Aggregation Program.

"Opt-out Aggregation Program" means an Aggregation Program offered in accordance with Section 1-92 of the IPA Act and Section 16-104(b) of the PUA, whereby the corporate authorities of a municipality, township board, or county board adopt an ordinance to aggregate the electric loads of residential and small commercial retail customers, when the voters of the municipality, township or county previously passed, by a majority of electors voting on the question, a referendum granting the municipality, township or county the authority to arrange for the supply of electricity for its residential and small commercial retail customers, except for those customers who take no action and thus remain RES customers or customers on hourly service, or customers who affirmatively elect not to participate in the Opt-out Aggregation Program.

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

"Retail Electric Supplier" or "RES" means either:

an alternative retail electric supplier (ARES) as defined in Section 16-102 of the PUA and certified by the Commission pursuant to Section 16-115 of the PUA, meeting all obligations of an ARES pursuant to Section 16-115A of the PUA, and authorized to provide electric power and energy supply services in an Illinois electric utility's service territory; or

an Illinois electric utility as defined in Section 16-102 of the PUA providing service pursuant to Section 16-116 of the PUA and meeting all obligations provided in Sections 16-115A and 16-116 of the PUA.

"RES Customer" means a retail customer receiving RES service who is not an Aggregation Customer.

"RES Service" means electric supply service provided by a RES to retail electric customers.

"Retail Customer" shall have the meaning ascribed in Section 16-102 of the PUA.

"Small Commercial Retail Customer" shall have the meaning ascribed in Section 16-102 of the PUA.

"Utility Fixed-Price Service" means electric supply service provided by the electric utility to retail customers under fixed-price service tariffs.

"Utility Hourly Service" means electric supply service provided by the electric utility to retail customers, pursuant to tariff, that is not under fixed-price service tariffs.

83 Ill. Adm. Code 470.20 Construction of This Part

In the event of any conflict between this Part and the requirements provided in electric utility tariffs on file with the Commission as of April 1, 2015, this Part shall control.

83 Ill. Adm. Code 470.100 Transfer of Customer Information

a) Upon request of a Governmental Aggregator and receipt of a verification from the Governmental Aggregator that either an ordinance has been adopted authorizing an Opt-in Aggregation Program, pursuant to Section 1-92 of the IPA Act, or an ordinance has been adopted and a referendum passed authorizing an Opt-out Aggregation Program, pursuant to Section 1-92 of the IPA Act, the electric utility shall provide the information required in this subsection. If, however, the Governmental Aggregator is a township board, then the electric utility's obligation to provide customer account numbers is contingent upon the township board first providing an accurate customer list to the electric utility. The electric utility shall provide to the Governmental Aggregator, in electronic format, the following:

1. the account numbers, names and addresses of all residential and small commercial retail customers on utility fixed price service in the Aggregate Area that are reflected in the electric utility's records at the time of the request;

2. the account numbers, names and addresses of all residential and small commercial retail customers that receive, or have applied to receive, RES Service in the Aggregate Area that are reflected in the electric utility's records at the time of the request. The identification of customers that receive RES service, or have applied to receive RES service, shall not include the name of the RES providing those services; and

3. the account numbers, names and addresses of all residential and small commercial retail customers that receive utility hourly service in the Aggregate Area that are reflected in the electric utility's records at the time of the request.

b) If requested by the Governmental Aggregator, the Incumbent Aggregation Supplier shall provide the Governmental Aggregator with information that allows the Governmental Aggregator to identify Aggregation Customers. Unless otherwise agreed upon between the Governmental Aggregator and the Incumbent Aggregation Supplier, the identifying information shall be provided within 10 business days after the request.

83 Ill. Adm. Code 470.110 Protection of Customer Information

a) To protect the customer-specific information described in Section 470.100 and to ensure compliance with Section 1-92 of the IPA Act, the Aggregation Supplier shall establish and follow appropriate protocols to preserve the confidentiality of customer-specific information and limit the use of customer-specific information strictly and only to effectuate the provisions of Section 1-92 of the IPA Act. The Aggregation Supplier shall ensure that these protocols:

1. provide that the Aggregation Supplier shall not disclose, use, sell or provide customer-specific information to any person, firm or entity for any purpose outside of the Aggregation Program;

2. provide that the Aggregation Supplier shall not use the customer-specific information to market products other than the service the Aggregation Supplier has contracted to provide the Governmental Aggregator under the applicable Aggregation Program consistent with Section 1-92 of the IPA Act;

3. provide that if the Aggregation Supplier receives the account numbers of customers receiving or pending to receive RES service who have not opted into the Aggregation Program, the Aggregation Supplier shall destroy the customer numbers or return them to the Governmental Aggregator;

4. except as otherwise required by record retention obligations imposed by applicable law, within 30 days following: a customer's opt-out of the Aggregation Program, a customer's exit from the Aggregation Program, or the end of the term during which the Aggregation Supplier is providing service to the Aggregation Program, the Aggregation Supplier must dispose of, delete, and/or destroy all customer-specific information in whatever format that is in its possession as a result of having been the Aggregation Supplier to an Aggregation Program. The Aggregation Supplier may not use customer-specific information retained due to record retention obligations to market to customers; and

5. provide for the usage restrictions and additional records retention requirements set forth in Section 470.240.

b) Breaches of these confidentiality provisions by the Aggregation Supplier will be subject to the imposition of financial penalties by the Commission as described in Section 16-115B(b) of the PUA.

83 Ill. Adm. Code 470.200 Notification to the Commission

a) Aggregation Suppliers shall provide the following Aggregation Program information to the Commission's ORMD for posting on the Commission's public website:

1. the end date (expressed in month/year) of the aggregation contract and, if different, the end date (expressed in month/year) of the aggregation rate or rates;

2. the aggregation rate or rates (expressed in cents per kWh);

3. any fees for early termination of the contract by the customer;

4. whether the Aggregation Supplier is providing a green or clean energy product and a description of the product, and the clean energy or renewable requirement set by the Governmental Aggregator, if any;

5. whether the Aggregation Supplier is providing energy efficiency or demand response products and a description of the products, and the energy efficiency or demand response requirement set by the Governmental Aggregator, if any; and

6. a copy of the Aggregation Supplier's disclosure required by Section 1-92(f) of the IPA Act, if applicable, and any payments, inducements or donations, including civic contributions and consulting fees made by the Aggregation Supplier, either directly or indirectly, to the Governmental Aggregator.

b) The information required in subsection (a) shall be provided within three business days after the Governmental Aggregator and the Aggregation Supplier have determined this information to be final and this information has been made public, but no later than three business days after the customer disclosures required under Section 470.210 are sent.

c) No penalties shall be levied against an Aggregation Supplier pursuant to Section 16-115B(b) of the PUA for failure to comply with this Section unless:

1. Commission Staff has provided a notice to the Aggregation Supplier regarding its failure to comply with this Section and informing the Aggregation Supplier that it has one business day to remedy the failure, and the Aggregation Supplier fails to provide the information within one business day; or

2. the Aggregation Supplier has failed to provide the information to ORMD within the timeframe specified in subsection (b) three or more times in a calendar year.

83 Ill. Adm. Code 470.210 Customer Disclosures

a) Prior to enrolling or re-enrolling retail customers in an Opt-in or Opt-out Aggregation Program, or whenever there is a change in the rates, end date or choice of Aggregation Supplier of the Aggregation Program, the Aggregation Supplier shall verify that retail customers have been sent disclosures as required by Section 1-92 of the IPA Act evidenced by:

1. a written verification from the Governmental Aggregator that the required disclosure has been sent; or

2. the Aggregation Supplier has sent the required disclosures in compliance with subsection (b) of this Section, Section 470.220, Section 470.230 and Section 470.240.

b) If the Aggregation Supplier sends the required disclosure to retail customers, the disclosure shall state:

1. the legal name of the Aggregation Supplier, the name under which the Aggregation Supplier will market its products, if different, and its business address;

2. the Governmental Aggregator's name and, if available, the Governmental Aggregator's logo to be included on the envelope and first page of any disclosures, and the statement "Important Electricity Aggregation Information Enclosed" must be printed conspicuously on the envelope;

3. that customers may purchase their electricity supply from a RES (without providing a price comparison) or the electric utility (either utility fixed-price or hourly service) and the PlugInIllinois.org Internet address;

4. that customers may request from the Illinois Power Agency, without charge, a list of all supply options available to them in a format that allows comparison of prices and products;

5. the cost to obtain service pursuant to Section 16-103 of the PUA, how to access it, and the fact that it is available to customers without penalty if the customer is currently receiving service under that Section; the disclosure shall not contain a comparison of the proposed aggregation rate to the electric utility's fixed-price service rate;

6. the Aggregation Supplier's toll-free telephone number for billing questions, disputes and complaints;

7. a local or toll-free telephone number, with the available calling hours, that customers may call with any questions regarding the Aggregation Program; this number shall be provided by the Aggregation Supplier unless otherwise agreed to with the Government Aggregator and shall not be an electric utility number;

8. the prices, terms and conditions of the products and services being offered to the customer;

9. the presence or absence of early termination fees or penalties and applicable amounts or the formula pursuant to which they are calculated; and

10. that net metering customers, pursuant to Section 16-107.5(d)(3) and (e)(3) of the PUA, may forfeit credits for electric supply service and delivery service, or both, if they switch to the Aggregation Supplier.

83 Ill. Adm. Code 470.220 Opt-Out Aggregation Provisions

If the Aggregation Supplier sends the disclosures required by Section 1-92 of the IPA Act:

a) the customer disclosure sent for Opt-out Aggregation Programs shall also:

1. describe the method to opt out and the opt-out due date expressed as month, day and year;

2. include a statement that those customers who do not opt out of the Opt-out Aggregation Program will have been deemed to have authorized and agreed to being enrolled in the Opt-out Aggregation Program and to having their electric supply service switched to the Aggregation Supplier under the terms and conditions applicable to the opt-out aggregation program;

b) the opt-out due date shall be a minimum of 21 calendar days after the date of the disclosure postmark;

c) the Aggregation Supplier shall allow customers to opt out by the following methods:

1. by returning a postage paid postcard or similar notice supplied by the Aggregation Supplier; and

2. by at least one of the following additional methods:

A) telephone;

B) e-mail; or

C) Aggregation Supplier or Governmental Aggregator website.

83 Ill. Adm. Code 470.230 Opt-in Aggregation Provisions

a) If the Aggregation Supplier sends the required disclosures, the disclosure shall describe the affirmative actions needed to join the Aggregation Program.

b) The Aggregation Supplier shall verify a customer's request to join the Opt-in Aggregation Program in the same manner as an electric service provider confirms a change in a customer's selection of a provider of electric service under Section 2EE(a) through (c) of the Consumer Fraud and Deceptive Business Practices Act [815 ILCS 505].

83 Ill. Adm. Code 470.240 Res Customers

a) The Aggregation Supplier shall verify that residential and small commercial retail customers receiving, or pending to receive, non-aggregation RES service have been sent the disclosures identified in this subsection (a), as evidenced by a written verification from the Governmental Aggregator, or by the Aggregation Supplier having sent the disclosures. The disclosures to customers receiving or pending to receive non-aggregation RES service shall contain the following information:

1. Notification that an Aggregation Program is currently on-going in their municipality, township or unincorporated area;

2. A disclosure that adequately describes, in plain language, the prices, terms and conditions of the products and services being offered to the customer;

3. If the Aggregation Program contains a fee for the early termination from the program by the customer, the amount of that fee;

4. A description of the affirmative action necessary for the customer to join the Aggregation Program;

5. In addition, the body of the notice shall contain, in type size no smaller than the largest type size used in the body of the notice, the following statement:

"This notice is informational only. Your electric utility has informed us that you are currently served or have chosen to be served by a competitive retail electric supplier. If you want to continue to receive service from your chosen supplier, you do not need to take any additional action. Consult your contract or contact your chosen supplier for further details if you have questions about your contract, including whether you have a cancellation fee for early termination."

b) In the event the Aggregation Supplier sends the disclosures identified in subsection (a), the Aggregation Supplier shall send the required disclosure notice only one time during the term of the contract between the Governmental Aggregator and the Aggregation Supplier. The Aggregation Supplier shall send no additional disclosure notices to residential and small commercial retail customers receiving, or pending to receive, non-aggregation RES service during the remainder of the term of the contract between the Governmental Aggregator and the Aggregation Supplier.

c) Within 45 calendar days after the Aggregation Supplier sends the disclosure notice required by subsection (a), the Aggregation Supplier shall destroy all customer-specific information provided to it by the Governmental Aggregator or the utility regarding those customers.

d) The customer-specific information of customers receiving or pending to receive non-aggregation RES service that is provided to the Aggregation Supplier for purposes of providing the notices required by subsection (a) shall not be utilized by the Aggregation Supplier for marketing purposes.

e) If the Aggregation Supplier receives the account numbers of customers receiving, or pending to receive, non-aggregation RES service in the Aggregate Area as part of a list of account numbers created by the electric utility and supplied to the Aggregation Supplier by the Governmental Aggregator, the Aggregation Supplier shall not utilize those customer account numbers for any purpose and shall immediately destroy the customer account numbers or return them to the Governmental Aggregator.

f) Disclosures sent to customers receiving, or pending to receive, non-aggregation RES service shall not contain a comparison of the proposed aggregation rate to the customer's current RES rate, but may include the information contained in Section 470.210(b)(4).

g) If an Aggregation Supplier receives a request from a RES customer to join the Aggregation Program, the Aggregation Supplier shall inform the RES customer that he/she may be subject to fees for early termination pursuant to his/her current RES contract.

h) In the case of an Opt-out Aggregation Program, the Aggregation Supplier shall not switch RES customers to the Aggregation Program unless the RES customer elects to opt in. The Aggregation Supplier shall verify a RES customer's request to join the Aggregation Program in the same manner as an electric service provider confirms a change in a customer's selection of a provider of electric service under Section 2EE(a) through (c) of the Consumer Fraud and Deceptive Business Practices Act.

83 Ill. Adm. Code 470.250 Customers on Utility Hourly Service

a) Unless otherwise agreed to with the Governmental Aggregator, if the Aggregation Supplier sends the required disclosures, the disclosures shall be sent to customers on Utility Hourly Service and shall contain the following information:

1. that a customer may be denied his/her/its request to join the Aggregation Program based on the terms and conditions of the electric utility's applicable hourly service tariff;

2. that potential savings depend on the customer's actual hourly use patterns, that savings may vary, and that the disclosure shall contain no comparison of rates; and

3. a description of the affirmative action necessary for the customer to join the Aggregation Program.

b) Disclosures sent to customers on Utility Hourly Service shall not contain a comparison of the proposed aggregation rate to the electric utility's fixed-price service rate, but may include the information contained in Section 470.210(b)(4).

c) In the case of an Opt-out Aggregation Program, the Aggregation Supplier shall verify a Utility Hourly Service customer's request to join the Aggregation Program in the same manner as an electric service provider confirms a change in a customer's selection of a provider of electric service under Section 2EE(a) through (c) of the Consumer Fraud and Deceptive Business Practices Act.

83 Ill. Adm. Code 470.260 Failure to Comply

Unless otherwise noted, a violation of this Part shall be subject to the fines and penalties set forth in the PUA, including Section 16-115B(b), applicable to RES, and Sections 5-202 and 5-203, applicable to public utilities, including electric delivery utilities.

Chapter I Illinois Commerce Commission

Subchapter d Gas Utilities

Part 501 Standards of Service for Gas Utilities and Alternative Gas Suppliers

83 Ill. Adm. Code 501.5 Effectiveness of This Part

The provisions of this Part shall apply beginning January 1, 2017. For the rules effective through December 31, 2016, see 83 Ill. Adm. Code 500.

83 Ill. Adm. Code 501.10 Definitions and Incorporations by Reference

a) Definitions

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

"AGA" means the American Gas Association.

"Alternative Gas Supplier" has the same meaning as in Section 19-105 of the Act.

"ANSI" means the American National Standards Institute.

"Answer Time" means a measurement from the point the customer dialed the last digit of the natural gas public utility's or alternative gas supplier's telephone number and a natural gas public utility or alternative gas supplier representative or automated system is ready to render assistance or accept information to process calls.

"Auxiliary Equipment" means an integral device attached directly or remotely to a gas meter. The function of auxiliary equipment is to adjust gas meter usage measurements to account for changes in gas temperature or pressure.

"Bell Prover" means a cylindrical metal tank open at the top and nearly filled with liquid, in which a smaller calibrated cylindrical tank called the bell, open at the bottom and having a dome-shaped top, can be raised or lowered. As the operator raises (negative pressure) or lowers (positive pressure) the bell, the bell will displace a known volume of air.

"British Thermal Unit" or "BTU" means the quantity of heat required to raise the temperature of one pound of water one degree Fahrenheit from 58.5°F to 59.5°F under a standard pressure of 30 inches of mercury at 32°F, or 1054.804 Joules.

"Complaint" means an objection made to a natural gas public utility or alternative gas supplier, by a customer or another entity, as to its charges, facilities or service. Complaints include a customer or other entity identifying and asking a natural gas public utility or alternative gas supplier to address or resolve a problem or concern and shall not include contacts that are limited to inquiry or seeking information.

"Compressibility" means a gas volume correction factor calculated by using the parameters of natural gas composition, flowing gas temperature, and flowing gas pressure. The compressibility correction factor compensates for the deviation of gases from the ideal gas laws with increased pressure and with variations in temperature and gas composition. Compressibility is not to be confused with "supercompressibility", which is also defined in this Section.

"Coriolis Meter" means a gas meter that infers mass flow rate by measuring tube displacement resulting from the Coriolis effect.

"Corrector" means a device that corrects uncorrected gas meter volume according to the gas laws (Boyle's Law, Charles' Law, and Real Gas Law).

"Commission" means the Illinois Commerce Commission.

"Commission Referee Test" means the accuracy test of any gas meter made in the presence of one or more members of Commission Staff.

"Cubic Foot" means the unit of volume for purposes of measurement at a base temperature of 60°F at a base pressure of 14.73 pounds per square inch absolute.

"Custody Transfer Meter" means the meter, auxiliary equipment and tertiary equipment a utility uses to measure a customer's gas usage.

"Diaphragm Meter" means a positive displacement, bellows-type gas meter that alternately fills and empties compartments of known volume and totals the number of times the cycle occurs to determine the volume of gas passing through the meter.

"Defective Meter" means a meter whose condition is impairing service to a customer or a meter that has failed the requirements of Sections 501.170, 501.180, 501.190, 501.200, 501.210, 501.220 or 501.230.

"Flow Computer" means a device that electronically converts signals from a gas measurement system to a useful form such as flow rate.

"Fixed Factor" means the use of a gas pressure regulator to control gas pressure within an allowable pressure band over the required flow rate range considering the variation of inlet pressures and results in the application of a pressure correction factor applied via an arithmetic application or special index to a customer's measured usage.

"Master Bell" means a primary bell prover used as a reference standard for target proof correlations and bell prover interface recertification.

"Measurement Error" means an error in the calculation of a customer's gas usage due to the inaccuracy or improper setup of a utility's meter or other equipment whose function directly or indirectly affects the utility's measurement of a customer's gas usage.

"Meter Accuracy" means the overall performance of a particular meter in relationship to a known reference or portable standard.

"Meter Soaking Room" means a room maintained at the same atmospheric conditions as the meter proving room. The purpose of a meter soaking room is to store and acclimatize meters prior to testing to ensure meter testing accuracy that is not affected by temperature variations.

"Multi-path Ultrasonic Meter" means a device that derives gas flow rate by measuring the transit times of high-frequency sound pulses. Sound pulses transit between pairs of transducers located on or in the gas pipe.

"Natural Gas Supplier" means an alternative gas supplier or any other natural gas supplier providing the natural gas commodity to a customer under a gas utility tariff or rider.

"Orifice Meter" means an inferential meter that consists of an orifice plate perpendicular to the gas flow in a pipe. When gas flows across the orifice, it creates a pressure differential. Transmitters and transducers measure the pressure differential, static pressure, and other variables to determine the flow rate. The flow rate is proportional to the square root of the differential pressure across the orifice plate.

"Portable Standards" means instruments that utilities use in the field or the meter shop to test the accuracy of auxiliary and tertiary equipment, transmitters, and other equipment associated with correcting a meter's output.

"Proving Room" means a temperature-controlled room where the utility uses equipment to determine the accuracy of meters.

"Rated Capacity" or "Badged Capacity" means the hourly gas throughput of a meter as defined by the meter manufacturer.

"Reference Standards" means instruments that utilities use only for verifying the accuracy of portable standards, and whose accuracy is traceable back to the national standard maintained by the National Institute of Standards and Technology (NIST) or its successor.

"Rotary Meter" means a positive displacement meter that alternately fills and empties rotating compartments of known size and totals the number of times the cycle occurs to determine the volume of gas passing through the meter.

"Service Applicant" means a person who applies for residential or non-residential utility service for a location where the utility has not yet installed the meter.

"Small Commercial Customer" has the same meaning as in Section 19-105 of the Act.

"Sonic Nozzle Automatic Prover" means a device containing a parallel bank of sonic flow nozzles that it uses to determine actual gas volume passed through a gas meter in order to determine the gas meter's accuracy.

"Sub-metering" means the placement of a meter downstream of a custody transfer meter.

"Supercompressibility" means a value used in some flow equations for differential pressures (for example, orifice metering). In general, the supercompressibility factor is equal to the square root of the quotient of gas compressibility at base conditions divided by the gas compressibility at flowing conditions. Supercompressibility is not to be confused with "compressibility".

"Tertiary Equipment" means a device that electronically converts signals from a gas measurement system (meter or auxiliary equipment or both) to a useful form such as flow rate (for example, flow computers).

"Therm" means a unit of measurement representing a quantity of heat equivalent to 100,000 BTUs and expresses the energy content of natural gas.

"Transducer" means a sensing element capable of transforming values of physical properties such as pressure or temperature into equivalent electrical signals.

"Transmitter" means a device designed to enhance the transmission of information from a transducer to a flow computer by the addition of an electrical circuit that converts the transducer output to a standard signal in analog, digital or frequency form.

"Turbine Meter" means an inferential meter that measures gas flow by counting the revolutions of a rotor with blades, which turn in proportion to the gas flow velocity.

b) Incorporations by Reference. The following materials are incorporated by reference as of the date stated and include no later editions or amendments.

American Gas Association, 400 North Capitol Street, NW, Washington DC 20001

AGA Report No. 3, Orifice Metering of Natural Gas − Part 2: Specification and Installation Requirements, XQ0002 (April 2000)

AGA Report No. 7, Measurement of Natural Gas by Turbine Meter, XQ0601 (February 2006)

AGA Report No. 9, Measurement of Gas by Multipath Ultrasonic Meters, XQ0701 (April 1, 2007)

AGA Report No. 11, Measurement of Natural Gas by Coriolis Meter, XQ1301 (February 1, 2013)

AGA Gas Measurement Manuals – Part 15: Electronic Corrector, XQ9901 (May 1999)

AGA Gas Measurement Manuals – Part 8: Electronic Flow Computers and Transducers, Revised (1988), XQ8805 (May 1988)

American National Standards Institute and American Society for Quality (American National Standards Institute, 25 West 43rd Street, 4th Floor, New York, New York 10036)

Sampling Procedures and Tables for Inspection by Attributes, ANSI/ASQ Z1.4-2008 (January 1, 2008)

American National Standards Institute and American Gas Association (American National Standards Institute, 25 West 43rd Street, 4th Floor, New York, New York 10036)

Diaphragm-Type Gas Displacement Meters (Under 500 Cubic Feet Per Hour Capacity), ANSI B109.1-2000, AGA XQ0008 (June 2000)

Diaphragm-Type Gas Displacement Meters (500 Cubic Feet Per Hour Capacity and Over), ANSI B109.2-2000, AGA XQ0009 (June 2000)

Rotary-Type Gas Displacement Meters, ANSI B109.3-2000, AGA XQ0010 (June 2000)

History

• Source: Amended at 41 Ill. Reg. 351, effective December 29, 2016

83 Ill. Adm. Code 501.20 Application

This Part sets forth minimum requirements and shall apply to any natural gas public utility as defined in Section 3-105 of the Act and any alternative gas supplier as defined in Section 501.10. This Part shall not apply to any natural gas cooperative or to a municipal system when operating within its service territory. A public utility shall retain a record required by this Part for the period specified in 83 Ill. Adm. Code 510 unless this Part requires a longer retention period.

History

• Source: Amended at 41 Ill. Reg. 351, effective December 29, 2016

83 Ill. Adm. Code 501.30 Exemption or Modification

A utility or alternative gas supplier may file an application requesting modification of or exemption from any Section of this Part. The Commission may grant the modification or exemption if the utility or alternative gas supplier demonstrates that the requested modification or exemption is economically and technically sound and will not compromise safety, reliability or the service obligations of the utility or alternative gas supplier. A utility or alternative gas supplier shall file its requested exemption or modification pursuant to 83 Ill. Adm. Code 200 and shall set forth specific reasons and facts in its petition in support of the requested action.

83 Ill. Adm. Code 501.40 Complaints

a) A utility or alternative gas supplier shall investigate each complaint received. The utility or alternative gas supplier shall acknowledge the receipt of all written complaints orally or in writing.

b) A utility or alternative gas supplier shall document each complaint and make any records required by this Part available to Commission personnel upon request. Each record shall contain, at a minimum, the name and address of the complainant, the time of day and the date received, the nature of the complaint, the result of the investigation or analysis, when and by whom the investigation or analysis was conducted, the final disposition of the complaint, and the date of disposition.

c) A utility shall keep records of complaints related to pressure regulation or accuracy of metering equipment or data, other than requests for meter rereads, in the following manner. A utility will keep an index or file containing all complaints for three years, separated by year. If a utility chooses to maintain an index of these complaints, the index shall contain enough information to allow access to individual records of each complaint.

d) The provisions of this Section shall apply only to:

1. Natural gas public utilities; and

2. Alternative gas suppliers serving residential or small commercial customers and only to the extent the alternative gas suppliers provide services to residential or small commercial customers. [220 ILCS 5/19‑111(a)]

83 Ill. Adm. Code 501.50 Customer Call Centers

a) A utility or alternative gas supplier shall maintain a customer call center where customers can reach a representative of the utility or alternative gas supplier and receive current information regarding their accounts. At least once every six months, a utility or alternative gas supplier shall provide written information to customers explaining how to contact the call center, which can be accomplished through a bill message either by the alternative gas supplier or a utility in utility‑consolidated billing situations. The annual average answer time for calls placed to the call center shall not exceed 60 seconds when a representative or automated system is ready to render assistance and/or accept information to process calls. The annual abandon rate for calls placed to the call center shall not exceed 10%. A utility or alternative gas supplier shall maintain records of the call center's telephone answer time performance and abandoned call rate. A utility or alternative gas supplier shall keep these records for a minimum of two years and make these records available to Commission personnel upon request. If annual answer times and/or abandon rates exceed the limits established in this subsection (a), a utility or alternative gas supplier may provide the Commission or its personnel with explanatory details. At a minimum, these records shall contain the following information in monthly increments:

1. Total number of calls received;

2. Number of calls answered;

3. Average answer time;

4. Number of abandoned calls; and

5. Abandoned call rate. [220 ILCS 5/19-115(b)(5)]

b) A utility or alternative gas supplier that uses the same call center for both gas and electric service is not required to provide separate data for gas service and electric service.

c) A utility or alternative gas supplier that uses the same call center for gas or electric service in multiple jurisdictions is not required to provide separate data about Illinois customers unless calls of Illinois customers are routed to a separate area for handling or are identified or tracked separately.

d) A utility or alternative gas supplier that does not have electronic answering capability that meets the requirements of subsection (a) shall notify the Manager of the Commission's Consumer Services Division or its successor by January 1, 2017 and collaborate with Staff to develop individualized reporting requirements for the call volume and responsiveness of the call center. [220 ILCS 5/19‑115(b)(5)]

e) On or before March 1 of every year, a utility or alternative gas supplier shall file a report with the Chief Clerk of the Commission for the preceding calendar year on its answer time and abandon call rate for its call center as described in subsection (a). The report shall include an explanation of what service territories are included and a description of how calls are received and routed. For combined utilities, the report shall indicate which types of utility service are included in the report. When a utility or alternative gas supplier files its report with the Commission, it shall also provide a copy of its report to the Manager of the Consumer Services Division or its successor. [220 ILCS 5/19-115(b)(5)]

f) The provisions of this Section shall apply only to:

1. Natural gas public utilities; and

2. Alternative gas suppliers serving residential or small commercial customers and only to the extent those alternative gas suppliers provide services to residential or small commercial customers.

83 Ill. Adm. Code 501.100 Application of Subpart B

The purpose of this Subpart is to ensure that gas metering that could affect a customer's bill is accurate. This Subpart applies to all custody transfer meters and all meters that measure the gas usage associated with utility-owned equipment including usage by pipeline heaters, compressors, fuel gas, and storage field injections and withdrawals whose readings directly or indirectly affect a customer's gas utility bills. This Subpart does not apply to sub-metering that will not affect a customer's gas utility bills.

83 Ill. Adm. Code 501.110 Location and Installation of Meters

a) A utility shall install a meter on a service applicant's premises as near as practical to the point of entrance of gas service into the service applicant's building or utilization area as mutually agreed upon by the utility and service applicant. The utility shall install a meter in a readily accessible location and protect the meter from corrosion and other damage.

b) A utility shall not install a meter indoors unless outdoor installation is not possible or would make the meter installation financially infeasible. A utility shall not install an indoor meter in sleeping rooms, in small, unventilated areas, or in locations where the installation, reading or removal of the meter may prove difficult or hazardous. A utility shall not install indoor meters less than three feet from any ignition source or source of heat that might damage the meter. A utility shall not install a meter in a location where expected temperatures are likely to exist outside the range recommended by the meter manufacturer.

c) A utility shall not install a meter in front of a residential dwelling except with the consent of the service applicant or if no other practical external location is available.

d) A utility shall install all meters in a secured upright and level position. A utility may vary from this requirement if it installs a meter whose accuracy does not depend upon an upright and level installation. A utility shall install each meter to minimize anticipated stresses upon the connecting piping and the meter.

e) If it is not practical for a utility to locate a meter installa­tion in a place free of vehicular traffic hazards, the utility shall install meter protection such as guard posts or rails to protect the meter installation from damage. If the utility determines meter protection is necessary, then the utility shall inform the service applicant and include an estimate of the cost for the additional meter protection. The service applicant may install the guard posts or rails prior to the installation of the meter if the utility approves the proposed protection, or the service applicant may reimburse the utility for the cost and installation of the guard posts or rails.

f) A utility may refuse to install a meter or to serve a service applicant if, in the utility's judgment, the metering installation is hazardous or the service applicant's installation of piping or gas burning equipment is hazardous or of such character that the utility cannot provide service in a manner consistent with the requirements of Section 8-101 of the Act. In case of refusal, the utility shall inform the service applicant in writing of the reason for refusal to render service and make the service applicant aware of the refusal to provide service within five business days after the decision to refuse service.

g) A utility shall not install a meter without a temperature compensation device unless the utility uses a corrector or other acceptable auxiliary equipment to correct the meter's reading for temperature variation. A utility may install non‑temperature compensated meters in indoor locations if the utility uses only that type and size of meter in indoor locations.

h) Each diaphragm, rotary and turbine meter shall have a register or display on the meter or correcting device that displays consumption in a definite and known proportion to the actual energy consumption of the customer, that is plainly visible, and that a customer can read. A customer may waive this requirement in writing. This requirement shall not affect the utility's right to secure meters for safety reasons or in situations in which the meter is subject to excessive risk of damage or tampering. At the customer's request, a utility shall explain to the customer how to read the meter used for billing that customer.

i) A utility shall avoid installing a meter or auxiliary or tertiary equipment in locations where the meter or auxiliary or tertiary equipment is in direct contact with soil or concrete unless the manufacturer designed the meter or equipment for those conditions.

j) A utility shall have security seals installed on all meters and auxiliary and tertiary equipment or take measures to secure its equipment in order to deter unauthorized personnel from tampering with it.

k) A utility shall secure all meter bypass valves when not in use in order to deter unauthorized personnel from tampering with them while also providing a readily apparent visual indication of tampering or other diversion activities.

l) A utility shall secure a regulator that it uses in conjunction with fixed factor billing if it discovers tampering with the pressure setting.

History

• Source: Amended at 41 Ill. Reg. 351, effective December 29, 2016

83 Ill. Adm. Code 501.120 Meter and Equipment Handling Requirements

a) A utility shall store all meters not in service in a secure, weather-protected environment and stack the meters in an upright position or in a manner recommended by the manufacturer. The weather-protected environment requirement does not apply to utility vehicles used to transport meters.

b) A utility shall provide a secure means of transporting a meter prior to its installation and after its removal from service.

c) A utility shall cap the inlet and outlet connections of a meter when the meter is not in service. Meter caps are not necessary when a meter is located within a utility's proving room or meter soaking room or after the meter has been tested and is waiting for repair.

d) A utility shall protect all auxiliary and tertiary equipment prior to installation and after removal from service.

e) If a utility drops or in any way damages a meter or auxiliary or tertiary equipment prior to installation, the utility shall not place that equipment into service until the utility establishes the proper operation and accuracy of the equipment.

83 Ill. Adm. Code 501.130 Trained Personnel

A utility shall ensure that only trained personnel install, inspect, test and adjust meters and auxiliary and tertiary equipment. A utility shall ensure that its employees and agents have received adequate training regarding their specific responsibilities.

83 Ill. Adm. Code 501.140 Compressibility and Supercompressibility

a) A utility shall account for compressibility when metering gas at pressures greater than 15 pounds per square inch gauge (psig).

b) A utility shall account for supercompressibility in the flow equation used in orifice metering.

83 Ill. Adm. Code 501.150 Fixed Factor Delivery

a) A utility's regulator for fixed factor delivery shall control the delivery pressure at the outlet of the meter to ± 1% of the absolute billing pressure (delivery pressure (psi) + atmospheric pressure) over the range of expected regulator inlet pressures and customer load requirements. For example, for a 10 psig service and assuming an atmospheric pressure of 14.4 psi, the regulator shall control the delivery pressure at the outlet of the meter between 10.244 psig and 9.756 psig.

b) A utility may use fixed-factor delivery at delivery pressures of less than or equal to 15 psig. At pressures above 15 psig, a utility shall not use fixed factor delivery except for company-use metering that was in place on January 1, 2017.

c) A utility shall determine fixed factors for billing by measuring the pressure at the meter outlet with a calibrated pressure instrument while the regulator is delivering a steady flow to the meter, but at a flow rate that is less than 90% of the meter's capacity at the designated fixed-factor operating pressure.

d) Whenever a utility performs regulator or meter set maintenance that can affect the established fixed factor, the utility shall reestablish and reset the fixed factor if the reading falls outside of the allowable delivery pressure variations in subsection (a).

e) A utility shall verify that the regulator's delivery pressure meets the requirements of subsection (a) at least every 36 months. If a utility documents conditions at the meter that prevent verification, then the utility may delay verification until those conditions cease to exist or for four months, whichever is shorter. If a utility delays verification, it shall maintain for three years documentation of the conditions that prevented verification within the required 36 months and provide the documentation to an authorized representative of the Commission when requested.

f) A utility is not required to conduct the verification of the regulator's delivery pressure in subsection (e) for residential rate classes if those locations serve a customer at a pressure of 5.0 psi or less and the utility uses a meter with a rated capacity under 700 cubic feet per hour (at ½ inch differential) to measure the residential customer's usage.

g) A utility is not required to conduct the verification of the regulator's delivery pressure in subsection (e) for non-residential rate classes if those locations serve a customer at a pressure of 2.0 psi or less and the utility uses a meter with a rated capacity under 700 cubic feet per hour (at ½ inch differential) to measure the non‑residential customer's usage.

83 Ill. Adm. Code 501.160 Testing Facilities and Equipment

a) A utility shall provide laboratories, testing shops and other equipment, facilities and personnel as may be necessary to conduct the tests required by this Subpart or other orders of the Commission. A utility's laboratories, meter testing shops, and other equipment and facilities so provided shall be at all times available for inspection by authorized representatives of the Commission.

b) If a utility selects an agent to perform meter sample testing, meter accuracy tests when a meter is removed from service, and other requirements of this Subpart, or if a utility changes its agent, or if the agent changes the location where it will conduct meter tests, the utility shall notify the Director of the Safety and Reliability Division of the Commission in writing within 60 days after the selection or change. If an agent is selected or changed, the utility shall provide the following information about the new agent:

1. Name of agent;

2. Name of contact for agent;

3. Address and phone number of agent contact;

4. Address of location where agent will conduct meter tests;

5. Summary of meter types and sizes that agent will test;

6. Summary of services the agent will perform for the utility; and

7. Identification of what changes, if any, caused the need for the notification.

c) A utility shall provide meter testing equipment, including a bell prover of not less than two-cubic-foot capacity. A utility shall maintain each of its active provers of all types in proper adjustment in order to determine the average accuracy of meters to within one-half of one percent. A utility shall provide suitable thermometers, pressure gauges, and temperature recorders and shall adequately control the temperature of the meter testing room, meter soaking room, and air supply used in testing meters to achieve the meter testing accuracy stated in this subsection. The temperature of the meter testing and soaking room, when in use, shall not vary by more than 4°F during regular operating hours and shall not vary by more than 6°F throughout the year.

d) In the event a meter shop experiences temperature variances that exceed those provided in subsection (c), a utility shall immediately stop testing meters in the meter shop until the utility corrects the problem and the temperature returns to the normal levels for at least four continuous hours or the utility can demonstrate that the temperature variance between the meters and testing equipment is less than or equal to 1°F.

e) A utility that uses a transfer prover to test the accuracy of meters in the field shall verify the transfer prover's accuracy by testing a reference meter on the transfer prover at least every three months. If this testing shows a deviation of more than 0.5% in the reference meter accuracy, the utility must take all necessary repairs or actions to bring the transfer prover's testing of the reference meter to within 0.5% of the prior readings.

f) An authorized representative of the Commission may check or establish the accuracy of all testing equipment used or intended for use in determining the accuracy of custody transfer meters, as well as the methods of operating that equipment. If a utility uses an agent to test the accuracy of its meters, the utility shall include provisions within its agreement with its agent for the authorized representatives of the Commission to conduct on-site audits of the agent's facility. An authorized representative of the Commission shall perform an audit of the utility's testing equipment and methods at least every three years. The utility shall reimburse the Commission for all expenses related to audits of meter shops used or maintained by the utility or its agents located outside of this State.

g) A utility shall certify the accuracy of its testing equipment with measurement results that are traceable to the international system of units through at least one of the following national measurement institutes: the National Institute of Standards and Technology for the United States, the National Physical Laboratory for the United Kingdom, the National Research Council for Canada, National Measurement Institute, American Association of Laboratory Accreditation, and the Physikalisch-Technische Bundesanstalt for Germany. Unless specified in this subsection (g), the maximum certification interval is 36 months.

1. A utility shall certify sonic nozzle automatic provers at least every 12 months. A utility shall also conduct the following maintenance at least every 12 months on sonic nozzle automatic provers:

A) Inspect and clean nozzles and solenoids;

B) Strap and recertify a master bell during the bell interface recertification process;

C) Recalibrate prover sensors and instrumentation in accordance with manufacturer's specifications;

D) Test the function of the optical sensor; and

E) Perform a complete bell interface certification followed by a reference meter target proof analysis.

2. Utility verification checks on portable or reference equipment shall meet the following requirements:

A) A utility shall verify the accuracy of a portable standard against a reference standard at least every 12 months. If the portable standard exhibits an error greater than 0.5%, the utility shall adjust the portable standard to read within 0.5% or replace the portable standard, or shall apply the proper correction factor.

B) If a utility does not operate a reference standard, the utility shall certify or replace its portable standards at least every 12 months.

C) A utility shall certify a reference standard at least every 36 months.

D) A calibration certificate, verification certificate, or card signed or initialed by the person responsible for the calibration shall accompany a portable standard and a reference standard at all times. A utility, in lieu of maintaining the certificate or card with the device, may maintain the certificate or card in a central location or database that is available to Commission Staff upon request. A certificate or card shall provide the date and results of the last calibration or verification of the instrument. A utility, after each successive issuance of certificates or cards, shall keep any superseded certificates or cards on file for at least three years.

h) A utility that tests meters with a rated capacity of 800 cubic feet per hour or less shall use one or more reference meters to conduct equipment checks every week. A utility shall designate and label reference meters for meter shop use only, and shall not adjust reference meters in any manner once in service unless they are in need of repair. A utility shall fully document all alterations to a repaired reference meter, including before and after accuracies. A reference meter shall carry a rating of 800 cubic feet per hour or less and shall have a similar size to the meters the utility tests. Every week during periods when a utility expects to test meters, a utility shall test a reference meter on each prover that the utility uses to test meters of the reference meter's size. A utility shall record reference meter test results, including temperature, when testing on a sonic nozzle automatic prover, and shall record the test results, temperature test flow times and bell pressure when testing on a bell prover. If the reference meter tests indicate an accuracy problem with any equipment, the utility shall cease using that equipment until the utility repairs the equipment.

i) A utility shall allow meters tested within a meter testing facility to acclimate in the room containing the testing equipment or meter soaking room for at least 12 hours prior to testing. This acclimation time is not required if the utility can show that it has taken sufficient actions to bring the meter temperature and the testing equipment to within 1.0°F of each other.

History

• Source: Amended at 41 Ill. Reg. 351, effective December 29, 2016

83 Ill. Adm. Code 501.170 Meter Accuracy Requirements

a) Prior to installing a new, adjusted, refurbished, remanufactured or repaired gas meter, a utility shall ensure that the meter's average accuracy is not more than 1.0% slow and not more than 1.0% fast. If a utility finds that a meter is more than 1.0% fast or slow, the utility shall repair or retire the meter.

b) When a utility installs a meter, it shall verify the proper operation and settings of all auxiliary and tertiary equipment prior to activating a customer's service.

c) If a utility determines that a meter is in service and is mechanically defective, the utility shall repair or replace the meter.

1. The utility shall repair or replace the meter within 48 hours if the defective meter impedes the utility's ability to provide service to the customer, unless the utility and the customer agree upon a longer time interval not to exceed 30 days.

2. If the meter does not impede the customer's service, the utility must repair or replace the meter within 60 days unless the utility and the customer agree upon a longer time interval not to exceed 120 days.

3. If the meter is of sufficient size that portions of a customer's structure require modification to remove the meter, then the utility has 90 days to replace the meter unless the utility and the customer agree upon a longer time interval not to exceed 180 days.

d) A utility shall test the accuracy of a meter, and verify the proper operation and settings of auxiliary equipment and tertiary equipment, after the utility removes the meter from service.

e) For those metering installations where a utility transfers the auxiliary equipment and tertiary equipment from an existing meter to a replacement meter, the utility shall inspect the auxiliary equipment and tertiary equipment to verify proper operation within 60 days after the meter exchange.

83 Ill. Adm. Code 501.180 Diaphragm Meters

a) A utility shall install a new diaphragm meter set and revisions to an existing diaphragm meter set in accordance with the recommendations of ANSI B109.1, XQ0008 (June 2000) for diaphragm meters with a rated capacity less than 500 cubic feet per hour and in accordance with ANSI B109.2, XQ0009 (June 2000) for diaphragm meters with a rated capacity of 500 cubic feet per hour or greater.

b) A utility furnishing natural gas service with diaphragm meters shall ensure the use of suitable meter proving or testing equipment to determine the accuracy of the meter. The average accuracy of a diaphragm meter is determined by averaging the accuracy of the check and open flow rates.

1. The open rate is 95% to 105% of the rated capacity.

2. The check rate is 20% to 33% of the rated capacity.

3. The maximum allowable accuracy spread between the open and check rates' accuracy is 1.0%.

c) A utility shall conduct periodic accuracy tests on all installed diaphragm meters at least every 120 months unless the utility has provided notification to the Commission regarding its plans to conduct sample testing in accordance with Section 501.250.

History

• Source: Amended at 41 Ill. Reg. 351, effective December 29, 2016

83 Ill. Adm. Code 501.190 Rotary Meters

a) A utility shall install all rotary meters or revisions to existing rotary meter sets in accordance with the recommendations of ANSI B109.3, XQ0010 (June 2000).

b) A utility furnishing gas service through a rotary meter shall verify that the meter's accuracy meets the requirements of Section 501.170(a) before placing the meter in service.

1. A utility may rely on the manufacturer's factory accuracy test to demonstrate that a new rotary meter meets the Section 501.170(a) requirements only if the utility also conducts quality assurance reviews on its new rotary meters.

2. A utility that conducts quality assurance reviews must group the new meters into meter lots consisting of the same size and manufactured under the same conditions. The utility must then sample test these lots in accordance with a single sample plan for normal inspection, Inspection Level II, of ANSI/ASQ Z1.4-2008 using an acceptable quality level not to exceed 1.0%.

3. In the event that a meter lot fails, the utility must either return the meters to the manufacturer or test all of the meters in the lot to verify compliance with Section 501.170(a).

4. A utility shall retain a record of a meter's accuracy test for the life of the meter.

c) A utility shall differential test an in-service rotary type positive displacement meter at least every 60 months. If the meter's pressure differential for a given flow rate is more than 50% higher than the utility's initial differential test or the factory published differential curve, a utility shall return the differential to a value below the 50% limit. If the utility cannot return the meter's differential to below the 50% limit, the utility shall clean and retest the rotary meter within 7 days and, if the meter's pressure differential is still more than 50% higher than the utility's initial differential test or the factory published differential curve, the utility will replace the meter within 60 days. If the meter is of sufficient size that portions of a customer's structure require modification to remove the meter, then the utility will replace the meter within 90 days unless the utility and customer agree to a longer period, not to exceed 180 days.

d) If a utility documents conditions at the meter that prevent the utility from obtaining a differential reading from the meter, then the utility may delay verification until those conditions cease to exist or for four months, whichever is shorter. If a utility delays verification, it shall maintain for three years documentation of the conditions that prevented verification within the required 60 months and provide the documentation to an authorized representative of the Commission when requested.

e) In lieu of the differential test requirement in subsection (c), a utility may conduct an accuracy test of a rotary meter. The average accuracy of a rotary meter is determined by averaging the accuracy of the check and open flow rates.

1. The check rate is 10% to 33% of the meter's rated capacity.

2. The open rate is 60% to 105% of the meter's rated capacity. The utility may substitute the proving equipment's maximum capacity for the open flow rate if the meter's required testing volume exceeds the utility's testing equipment's capacity.

f) A utility shall maintain the most recent 10 years of inspection records, as well as the dates of all inspections of rotary meters.

History

• Source: Amended at 41 Ill. Reg. 351, effective December 29, 2016

83 Ill. Adm. Code 501.200 Turbine Meters

a) A utility furnishing natural gas service with turbine meters shall install new turbine meters or revisions to existing meter sets in accordance with the recommendations contained in AGA Report No. 7, Measurement of Natural Gas by Turbine Meters, XQ0601 (February 2006).

b) A utility shall accuracy test a turbine meter at least every 60 months.

1. A utility shall atmospherically test the accuracy of a turbine meter with an operating pressure not exceeding 25 psi at a minimum of four different flow rates of not less than 10% of meter capacity and not more than 105% of the meter capacity.

2. A utility shall accuracy test turbine meters with an operating pressure exceeding 25 psi at the expected operating pressure of the meter installation using at least five flow rates of not less than 10% of meter capacity and no more than 105% of the meter capacity. A utility may install a turbine meter at a location where the operating pressure falls within the range of 50% less than or two times greater than the pressure of the meter's accuracy test. For example, a turbine meter that was accuracy tested at 100 psi is acceptable for delivery pressures from 50 psi (50% of 100) through 200 psi (2 x 100).

3. A utility may accuracy test its turbine meters in natural gas or air. A utility that conducts accuracy tests with air shall account for the Reynolds number equivalence as set forth in AGA Report No. 7, Measurement of Natural Gas by Turbine Meters, Appendix E, XQ0601 (February 2006).

4. When tested at the expected delivery pressure of the in-service location, a turbine meter shall demonstrate a tested accuracy within ±1.0% of the accuracy shown over the manufacturer's entire published flow range.

c) A utility furnishing natural gas service with a dual rotor turbine meter that has an external means of verifying meter accuracy may extend the accuracy test requirement to at least every 120 months if the utility can demonstrate that it verifies the accuracy of the meter at least every six months and that the meter's performance meets the manufacturer's guidelines.

d) A utility shall spin test and, if necessary, lubricate its turbine meters at least every 12 months. If a turbine meter is not equipped with external lubrication provisions or external means of verifying the operation of the meter, a utility shall spin test the meter every six months. If the turbine meter's spin time is not equal to or greater than the minimum spin time specified by the manufacturer, the utility shall make corrections to the meter to allow the spin time to equal or exceed the manufacturer's specifications.

e) A utility is not required to conduct a spin test of its dual rotor turbine meter if the utility furnishes natural gas service with a dual rotor turbine that has an external means of verifying rotor health, the utility can demonstrate that it verifies the health of the rotor at least every six months, and the utility can demonstrate the performance of the rotor meets the manufacturer's guidelines.

f) A utility shall maintain the most recent five years of inspection records, as well as the dates of all inspections for the most recent 10 years, except accuracy tests. A utility shall maintain documents for each turbine meter's most recent accuracy test, the prior accuracy test, and the dates of any other accuracy test that occurred during the prior 10 years.

History

• Source: Amended at 41 Ill. Reg. 351, effective December 29, 2016

83 Ill. Adm. Code 501.210 Orifice Meters

a) A utility shall install all new orifice meters in accordance with the recommendation of AGA Report No. 3, Orifice Metering of Natural Gas and Other Related Hydrocarbon Fluids, Part 2, Specification and Installation Requirements, XQ0002 (April 2000 and June 2003).

b) A utility furnishing metered gas service through orifice meters shall provide and have available instruments capable of accurately determining the accuracy of the orifice plate diameters and instruments used to measure meter pressure and temperature to within 0.5%.

c) At least every six months, a utility shall inspect an orifice meter's orifice plate and meter body and inspect and verify the proper operation of all transmitters used to measure pressures and temperatures.

d) If a utility discovers that the orifice plate is deformed, damaged or bowed, the utility shall replace the plate within seven days. If the utility finds that the orifice plate is deformed, damaged or bowed on two consecutive inspections, the utility shall document the problem and conduct inspections at least every three months on the orifice plate until three consecutive inspections show no damage. If the utility cannot obtain three consecutive inspections showing no damage after 24 months, the utility shall take corrective action, such as installing a strainer upstream of the meter, to avoid continued damage to the orifice plate.

e) A utility shall maintain five years of inspection records.

83 Ill. Adm. Code 501.220 Multi-Path Ultrasonic Meters

a) A utility shall install a multi-path ultrasonic meter in accordance with the recommendations of AGA Report #9, Measurement of Gas by Multipath Ultrasonic Meters, XQ0701 (April 2007). Ultrasonic meters installed prior to April 2007 shall meet the installation recommendations of AGA Report #9, Measurement of Gas by Multipath Ultrasonic Meters, XQ9801 (June 1998), unless the meter is physically removed from service after January 1, 2017, then the meter must meet the installation recommendations of AGA Report #9, Measurement of Gas by Multipath Ultrasonic Meters, XQ0701 (April 2007).

b) At least every three months, a utility that installs a multi-path ultrasonic meter shall verify the proper operation of the meter so that the meter meets the manufacturer's tolerances using, at a minimum, all of the following inspection requirements:

1. Path velocities;

2. Gain levels;

3. Gain limits;

4. Performance percentage;

5. Meter output frequency range;

6. Speed of sound verification; and

7. Verification that the flow computer and ultrasonic meter have the correct settings for the installation, including:

A) Meter pulse uncorrected actual per cubic foot factor;

B) Internal diameter of pipe; and

C) Validation of flow computer operation by independent calculation of corrected volume, thermal output, and meter adjustment factors.

c) A utility that installs a multi-path ultrasonic meter shall flow calibrate the meter at least every 120 months. A utility shall test a multi-path ultrasonic meter as a metering package so that the utility tests the flow conditioner, thermowells, and affixed meter tubes as one unit with the meter. If the utility can demonstrate that the meter meets the manufacturing tolerances set forth in subsection (b) and the utility conducts an internal inspection of the meter body at least every 120 months to ensure the meter body has not accumulated internal deposits or incurred other damage that would affect the meter's accuracy, the utility may forego the 120-month flow calibration requirement.

d) The initial accuracy test of an ultrasonic meter shall include the metering package that consists of the ultrasonic meter, adequate upstream and downstream piping (per AGA Report #9, Measurement of Gas by Multipath Ultrasonic Meters, Section 7.2.2, XQ0701 (April 2007)), along with thermowells, sample probe, and any flow conditioning to ensure that there is no material difference between the velocity profile experienced by the meter in the laboratory and the velocity profile experienced in the final installation.

e) A utility shall maintain the most recent five years of inspection records. A utility shall also maintain documents for a multi-path ultrasonic meter's most recent accuracy test, the prior accuracy test, and the dates of any other accuracy test that occurred during the prior 10 years.

83 Ill. Adm. Code 501.230 Coriolis Meters

a) A utility shall install a Coriolis meter in accordance with the recommendations of AGA Report #11, Measurement of Natural Gas by Coriolis Meter, XQ1301 (February 2013).

b) A utility shall verify the proper operation of an installed Coriolis meter at least every 12 months by verifying that the meter meets the manufacturer's tolerances using, at a minimum, all of the following inspection requirements:

1. Meter zero flow check;

2. Meter sensor check; and

3. Meter transmitter check.

c) A utility shall calibrate a Coriolis meter at least every 120 months. However, if the utility can demonstrate that the meter meets the manufacturing tolerances set forth in Section 501.220(b) and the utility conducts an annual inspection of the meter body to ensure that the meter body has not incurred damage that would affect the meter's accuracy, the utility may forego the 120-month calibration requirement.

d) When a utility removes a Coriolis meter from service, the utility shall verify the meter's existing accuracy prior to altering the operation of the meter. This verification replaces the requirements of Section 501.170(d) for Coriolis meters.

e) A utility shall maintain the most recent five years of inspection records. A utility shall also maintain documents for each Coriolis meter's most recent accuracy test, the prior accuracy test, and the dates of any other accuracy test that occurred during the prior 10 years.

History

• Source: Amended at 41 Ill. Reg. 351, effective December 29, 2016

83 Ill. Adm. Code 501.240 Other Meter Types

A utility shall use only meter types specifically identified within this Part for natural gas custody transfer.

83 Ill. Adm. Code 501.250 Sample Testing of Diaphragm Meters

a) A utility may, at its option and upon giving notice to the Commission, adopt scientific sample procedures for new and in-service diaphragm meters.

b) A utility shall develop sample testing lots for new meters that consist of meters of a single type and size that were manufactured under the same conditions and at essentially the same time. All sample testing procedures shall be in accordance with Inspection Level II of ANSI/ASQ Z1.4-2008.

c) A utility shall establish meter sample testing lots for in-service meters that consist of meters of a similar type, size and year of installation or year of purchase. In the ninth and every subsequent year thereafter that the meters are in service, a utility shall test their accuracy in accordance with Inspection Level II of ANSI/ASQ Z1.4-2008.

d) In order to comply with the accuracy limits of Section 501.170, a utility's sample testing plan for new meters shall provide an acceptable quality limit not to exceed 1.0% in order to assure a process average of at least 99%.

e) A manufacturer shall test a new meter, and the resulting test record shall accompany the meter to retirement. A utility shall use the manufacturer's test as the initial test of the meter. However, if a utility tested the new meter prior to placing it into service, then the utility shall use its test as the meter's initial test.

f) A utility's sample testing plan for meters in service shall provide an acceptable quality limit of 6.5% in order to assure a process average of at least 93.5%. A meter is deviant if the average of its check-rate and capacity-rate accuracy test results in accuracy more than 3.0% fast or 3.0% slow. A utility must complete all sample tests by the end of the calendar year in which the tests are due for completion.

g) If a utility determines that a meter lot has failed sample testing, the utility shall remove all remaining meters in the failed lot from service within 24 months after completion of the current year's sampling.

History

• Source: Amended at 41 Ill. Reg. 351, effective December 29, 2016

83 Ill. Adm. Code 501.260 Meter Tests Requested by the Customer

a) Upon the request of a customer, if the utility or manufacturer has not tested the meter within 12 months prior to the request, a utility furnishing metered gas service shall, without charge, test the accuracy of a meter used to measure the customer's gas consumption if either the meter's rated capacity is less than 16,000 cubic feet per hour or the meter's rated capacity is equal to or greater than 16,000 cubic feet per hour and the test can be done without removing the meter. If a customer so desires, a utility shall allow the customer or its representatives to witness the meter test, whether conducted on the customer's premises or at the utility's metering shop. The utility shall provide a written summary of the results of the meter test to the customer within five business days.

b) A utility shall test a meter within 45 days after receiving a customer's request, unless the customer agrees to a later time. The utility shall conduct the meter test between 7 a.m. and 4 p.m. Monday through Friday, excluding holidays, unless the utility and the customer agree to a different day or time.

c) If a customer requests a test of a meter used to measure the customer's gas consumption and the customer wishes to witness the test, but the utility's testing facility is located out of state, the utility shall provide the option of having the meter tested at an in-state testing facility, if that location is more convenient for the customer, provided that the alternative location is in good standing with the Commission. A meter shop is in good standing if a Commission representative has conducted a review of the facility for compliance with the requirements of this Part within the last 40 months and the meter shop has no outstanding non‑compliance issues associated with its ability to accurately measure meter accuracy. A Commission representative shall advise, upon request by a utility, whether a meter shop is in good standing.

d) If a customer requests an accuracy test of a meter used to measure the customer's gas consumption, but the meter has a rated capacity equal to or greater than 16,000 cubic feet per hour and the requested test requires the physical removal of the meter, then the customer shall pay to the utility the costs associated with the test. A utility may not charge a customer more than $10,000 for the test unless the utility must send the meter to a non-affiliated third party for testing and, in that case, the utility may not charge a customer more than $25,000 for the test. In the testing costs charged to the customer, a utility may include meter removal and installation labor, costs associated with transportation of the meter to and from a meter shop, shop testing labor, transportation charges to send the meter to and from an outside testing facility, and outside testing lab fees. If a meter over‑registers by more than 2%, a utility shall reimburse a customer its payment of fees associated with the meter test. A utility shall provide to its customer an itemized written statement of the cost of a requested meter test, obtain the customer's agreement to pay the stated cost, and receive payment from the customer for the requested meter test before taking any action to remove the meter or begin the requested meter test.

e) No later than April 1 of each year, a utility shall provide a report to the Director of the Safety and Reliability Division regarding the number of customer-requested meter tests that the utility conducted in the prior calendar year. The report shall list the meter size, meter type, test results, and testing location for each meter tested.

f) A utility shall waive the 12-month waiting period identified in subsection (a) for customer-requested meter tests if a customer makes one of the following demonstrations:

1. A deviation in the customer's measured gas usage in excess of 10% occurred following the utility's installation of a different meter on the customer's service and the difference is not attributable to weather or the customer's process changes; or

2. Relevant facts that point to potential accuracy problems with the meter.

83 Ill. Adm. Code 501.270 Commission Referee Tests

a) Subject to the provisions of subsection (b), a customer may not request a referee test of a meter used to measure the customer's gas consumption if the utility that provides service to the customer does not have the necessary testing equipment.

b) If a customer requests a referee test of the meter used to measure the customer's gas consumption, but the utility's testing facility is located out of state, the utility shall provide the option of having the meter tested at an in-state testing facility, provided the alternative location is in good standing with the Commission and the location is capable of testing the meter. A meter shop is in good standing if a Commission representative has conducted a review of the facility for compliance with the requirements of this Part within the last 40 months and the meter shop has no outstanding non-compliance issues associated with its ability to accurately measure meter accuracy. A Commission representative shall advise, upon request of a utility, if a meter shop is in good standing.

c) A utility shall conduct a referee test of a meter within 45 days after receiving notice from a Commission representative of a customer's request if the meter testing facility that the utility uses to conduct the test is located in-state. The utility shall conduct the meter test between 7 a.m. and 4 p.m. Monday through Friday, excluding holidays, at a date and time agreed upon by the utility, the customer and the Commission representative, unless the utility, the customer and the Commission representative agree to a different day or time.

d) A utility shall conduct a referee test of a meter within 90 days after receiving notice from a Commission representative of a customer's request if the meter testing facility that the utility uses to conduct the test is located out of state and the customer requesting the referee test selects the out-of-state location, unless the customer agrees to a later time. The utility shall conduct the meter test between 7 a.m. and 4 p.m. Monday through Friday, excluding holidays, at a date and time agreed upon by the utility, the customer and the Commission representative, unless the utility, the customer and the Commission representative agree to a different day or time.

e) Upon written application to the Commission by a customer and upon notice to a utility by a Commission representative, a utility under the oversight of a Commission representative shall conduct an accuracy test of a meter that was the subject of the written request, provided the customer has not requested a meter accuracy test under this Section or under Section 501.260 in the 12 months prior to the request. A customer shall make a written request for a meter test and pay a fee, as provided in this subsection, to the Commission. A utility shall inform the customer or a Commission representative, upon request, of the size and type of meter used to serve the customer. If the accuracy test indicates that the meter over-registers by more than 2.0%, the utility shall refund the fee to the customer.

SCHEDULE OF FEES

Rated capacities in cubic feet per hour

Fee

Diaphragm meters up to 650

$40

Diaphragm meters from 651 to 1,500

$80

Diaphragm meters in excess of 1,500

$120

Rotary meters up to 1,500

$40

Rotary meters from 1,501 to 12,000

$80

Rotary meters from in excess of 12,000

$120

Turbine meter tested in utility shop at atmospheric pressure

$120

Metering types not listed but tested in utility shop

$120

f) If a customer is required to pay the costs of a meter test under Section 501.260 because of the type or size of the meter, the customer must pay the utility the same costs under this Section, in addition to the fee to the Commission under subsection (e).

g) Upon notice of a referee test from a Commission representative, a utility shall not disturb the meter that was the subject of the written referee test request in any manner, unless a Commission representative or the customer provides authorization. The utility shall document the authorization by recording the name of the person giving the authorization and the date and time of the authorization. The utility shall provide this authorization documentation to the Commission representative at the time of the referee test.

h) When a utility removes a meter for purposes of a referee test, the utility or Commission representative shall deliver the meter to the utility's meter testing facility, and the utility shall secure the meter to prevent potential tampering or disturbance from in-service conditions until the referee test begins.

i) A utility shall waive the 12-month waiting period identified in subsection (e) for Commission referee tests if a customer makes one of the following demonstrations:

1. A deviation in the customer's measured gas usage in excess of 10% occurred following the utility's installation of a different meter on the customer's service and the difference is not attributable to weather or the customer's process changes; or

2. Relevant facts that point to potential accuracy problems with the meter.

j) If a utility removes a meter for testing but before the testing occurs is notified by the customer that the customer plans to request a referee test of the meter, the utility shall not test the meter and shall secure the meter to prevent potential tampering or disturbance from in-service conditions until the referee test begins. If, after 60 days from when the utility removed the meter for testing, the customer has not filed a request with the Commission for a referee test, the utility shall send a notice in writing to the customer informing it of the following:

1. The notice shall state that the customer has 30 days in which to complete the request for the Commission referee test.

2. If the customer fails to make its request within the 30 days, the utility, at its option, may conduct the required testing of the meter.

k) The utility is responsible for contacting the Commission to verify the status of the customer's request for a referee test prior to testing the meter.

History

• Source: Amended at 41 Ill. Reg. 351, effective December 29, 2016

83 Ill. Adm. Code 501.280 Meter Tests Requested by Natural Gas Suppliers

a) Upon a natural gas supplier's request, provided that the utility or manufacturer has not tested the meter in question within 12 months prior to the request, a utility providing metering service shall test the meter in question within 45 days after receiving the request, unless the natural gas supplier agrees to a later time. The utility shall perform the meter test between 7 a.m. and 4 p.m. on Monday through Friday, excluding holidays, unless the utility and the natural gas supplier agree to a different day or time. The utility shall inform the customer of the natural gas supplier's request and the date and time of the test at least five business days prior to the agreed-upon test date. The utility shall perform the test in the presence of a representative of the natural gas supplier, unless the natural gas supplier waives the right to have a representative present. The utility shall allow the customer or its representative to observe the meter test. The utility shall provide a written summary of the results of the meter test to the natural gas supplier and the customer within five business days.

b) If a utility or manufacturer has tested a meter within the last 12 months, the utility is not obligated to retest the meter in response to the latest request. Instead, the utility may offer the results of the last test in response to the latest request.

c) If a requested meter test will not interrupt a customer's gas service, a utility may perform a meter test requested by a natural gas supplier at any time agreeable to the utility and the natural gas supplier. If a requested meter test will interrupt the customer's gas service, then a utility shall obtain permission from a customer to interrupt the customer's service to perform a requested test.

d) A utility may require a natural gas supplier to pay up to $10,000 ($25,000 if performed at a non-affiliated third-party location) for the actual costs of the meter test. A utility performing a meter test at the request of a natural gas supplier shall refund the natural gas supplier's payment if the meter test shows that the meter is under-registering by more than 2.0%. A utility shall provide to a natural gas supplier an itemized written statement of the cost of a requested meter test, obtain the natural gas supplier's agreement to pay the stated cost, and receive payment from the natural gas supplier for the requested meter test before taking any action to remove the meter or begin the requested meter test.

e) A natural gas supplier may request a meter test only for a current customer or for a prior customer if, at the time of the request, the supplier had provided gas supply to that customer within the prior three months.

f) A natural gas supplier may request a Commission referee test of a meter under the provisions of subsection (c) and Section 501.270, and shall be responsible for the fee prescribed by Section 501.270(e) and the actual cost, not to exceed $10,000, of the test. The utility shall inform the customer of the natural gas supplier's request and the date and time of the referee test at least five business days prior to the agreed upon test date. The utility shall perform the referee test in the presence of a representative of the natural gas supplier, unless the natural gas supplier waives the right to have a representative present. The utility shall allow the customer or its representative to observe the meter test. If the meter over-registers by more than 2.0%, the utility shall refund all fees it charged to the natural gas supplier and make any necessary meter data adjustment.

g) A utility shall conduct a referee test of a meter within 45 days after receiving notice from a Commission representative of a natural gas supplier's request if the meter testing facility that the utility uses to conduct the test is located in-state, unless the supplier agrees to a later time. The utility shall conduct the meter test between 7 a.m. and 4 p.m. Monday through Friday, excluding holidays, unless the utility, the third party supplier, and Commission representative agree to a different day or time.

h) A utility shall conduct a referee test of a meter within 90 days after receiving notice from a Commission representative of a natural gas supplier's request if the meter testing facility that the utility uses to conduct the test is located out of state, unless the supplier agrees to a later time. The utility shall conduct the meter test between 7 a.m. and 4 p.m. Monday through Friday, excluding holidays, unless the utility, the third party supplier, and Commission representative agree to a different day or time.

History

• Source: Amended at 41 Ill. Reg. 351, effective December 29, 2016

83 Ill. Adm. Code 501.290 Meter Installation Inspection

a) During installation of a meter, a utility shall inspect and verify the proper mechanical condition of the meter and the suitability of the meter location. The utility shall verify that service pipes and meter connections are free of leaks.

b) When a utility affixes or connects an auxiliary or tertiary device to a meter, the utility shall verify the proper operation of the meter and the affixed or connected device.

83 Ill. Adm. Code 501.300 Correctors

a) A utility shall install all correctors in accordance with the recommendations of AGA Gas Measurement Manual, Electronic Corrector, Part No. 15 (May 1999), XQ9901.

b) A utility that installs an electronic or mechanical corrector shall verify the proper operation of the corrector at least every 60 months.

1. Verification temperatures are 32°F and 75°F/or flowing gas temperature with a tolerance of ± 2.5°F.

2. Verification pressures are zero and flowing pressure with a tolerance of ± 1%.

c) A utility shall maintain the most recent 10 years of inspection records.

83 Ill. Adm. Code 501.310 Transmitters

a) A utility shall install all transmitters in accordance with the recommendations of AGA Gas Measurement Manual (Revised), Electronic Flow Computers and Transducers, Part No. 8 (1988), XQ8805.

b) A utility that installs digital and analog transmitters for use in conjunction with flow computers in custody transfer metering shall verify the proper operation of the transmitters at least every six months.

c) A utility must verify that its transmitters maintain a tolerance of ± 2.5°F at flowing gas temperature of the calibrated temperature span. A utility must verify that its transmitters maintain inspection pressures of zero and full-calibrated span with a tolerance of 1% of span.

d) A utility shall maintain the most recent five years of inspection records.

83 Ill. Adm. Code 501.320 Gas Chromatograph

a) A utility shall install all gas chromatographs according to the recommendations of the device's manufacturer.

b) A utility shall set all in-service gas chromatographs to perform an automatic calibration at least once every 24 hours. If the utility is using the chromatograph to assist the measurement calculation at a utility-owned natural gas storage facility and the facility is not injecting or withdrawing natural gas, the utility may suspend the calibration of the chromatograph until the facility resumes injecting or withdrawing natural gas.

c) A utility shall perform field verification of all in-service gas chromatographs at least every 3 months and verify that the un-normalized mole percent variance is within ± 1.5% of the gas contained within the calibrated gas cylinder.

d) A utility shall certify or replace the calibrated gas cylinders at least every 36 months.

83 Ill. Adm. Code 501.400 Corrections and Adjustments for Measurement Error

a) A utility shall observe the following provisions for adjusting customer bills whenever any test made by a utility or by the Commission shows a customer's measured gas usage to have an average error of more than 2.0%.

1. If the utility determines that a customer's measured gas usage contains an average error of more than 2.0% fast, the utility shall determine the billing adjustment for services provided by the utility based on the actual average error percentage found, not the difference between the allowable error (i.e., 2.0%) and the error found as a result of a test. The utility shall presume that the average error existed for a period of two years prior to the date the utility removed the measurement equipment that caused the error from service. If the measurement equipment was tested while in service, the utility shall presume that the average error existed for a period of two years prior to the date of the equipment's test.

2. If the utility determines a customer's measured gas usage contains an average error of more than 2.0% slow, the utility may determine a billing adjustment for services provided by the utility, in which event the billing adjustment shall be based on the actual average error percentage found, not the difference between the allowable error (i.e., 2.0%) and the error found as a result of a test. The utility shall presume that the average error existed for a period of one year prior to the date the utility removed from service the measurement equipment that caused the error for small commercial and residential customers and two years prior to the date the utility removed from service the measurement equipment that caused the error for all other customers. If the utility tested the measurement equipment while in service, the utility shall presume that the average error existed for a period of one year prior to the date of the measurement equipment's test for small commercial and residential customers and two years prior to the date of the measurement equipment's test for all other customers.

3. If the utility determines that the measurement error is due to a non-registering meter, the utility may determine a billing adjustment for services provided by the utility, in which event the billing adjustment shall be based on the presumption that the non-registration existed for a period of not more than 60 days when the utility reads the meter on a monthly schedule or 90 days when the utility reads the meter on a longer schedule. A utility may consider meters equipped with automatic meter reading devices as read on a monthly schedule. However, a utility may presume that the non-registration existed for a period of up to 180 days if the utility is unable to gain access to the meter within 20 business days after its initial request for access due to the customer's refusal to grant access, provided the utility offered to exchange the meter during or after the utility's normal working hours.

4. If a utility intends to make a billing adjustment pursuant to subsection (a)(1), (2) or (3), the utility shall notify the customer of the test results and applicable billing adjustment for the services provided by the utility, including an explanation of the billing adjustment, within 30 business days after the utility receives the test results. At the same time the utility provides notice to the customer, the utility shall provide the same notice to each alternative gas supplier serving the customer during the period over which the utility deems the average error to have occurred. The utility shall provide a billing adjustment to the customer for the services provided by the utility within 45 business days after the date of the notice to the customer.

5. A utility shall not determine a billing adjustment for services provided by the utility for a measurement error before the in-service date of the measurement equipment that caused the error, nor shall it provide for any correction before the date upon which the current customer first occupied the premises at which the inaccurate measurement equipment was located.

6. If a utility, a customer, an alternative gas supplier, or a natural gas supplier can show that the measurement equipment error has existed for a longer or shorter period than the presumed time for a billing adjustment set forth in this subsection (a), the utility shall determine the billing adjustment for the error using the longer or shorter time period, as applicable. This Section will not apply to occasions when the utility found the measurement equipment to under-register, but the utility did not meet all of the prescribed testing and maintenance requirements for the measurement equipment set forth in Subpart B.

7. When a utility finds that an error results from a gas meter registering gas leaking from the meter, the utility shall estimate the amount of leaked gas that the meter has registered in accordance with this subsection (a) to determine the billing adjustment.

8. The provisions of this subsection (a) do not apply to situations in which a utility detects tampering of the gas measurement equipment by the customer and the customer enjoyed the benefit of the tampering.

b) If a current or previous alternative gas supplier receives a notice of meter test results and applicable billing adjustment and explanation for services provided by the utility pursuant to subsection (a), the alternative gas supplier shall determine the applicable billing adjustment for its gas supply services pursuant to the terms and conditions of its contract with the customer using the same usage adjustment applied by the utility for the applicable time period. Within 45 days after receipt of the notice from the utility, the alternative gas supplier shall submit, if applicable, its resulting billing adjustment to the utility if consolidated billing is or was provided by the utility, or to the customer if single or dual billing is or was provided by the alternative gas supplier. An alternative gas supplier may include terms and conditions in its contracts that provide for billing that is not dependent on the volume of gas consumed by the customer, but its customer contract shall not otherwise eliminate a customer's right to a billing adjustment.

c) If an alternative gas supplier has signed a contract with a customer with billing that is not dependent on the volume of gas consumed by the customer and would require the alternative gas supplier to pay on behalf of the customer any under‑collected distribution charges that result from the billing adjustment for services provided by the utility, the alternative gas supplier shall pay the charges on behalf of the customer within 45 business days after the date of the notice of test, billing adjustment, and explanation received from the utility.

d) The applicable usage adjustments calculated pursuant to subsection (a) shall be used in determining the pool or supply requirements of the alternative gas supplier to the utility, or any adjustments to those requirements.

e) The provisions of this Section shall apply only to:

1. Natural gas public utilities; and

2. Alternative gas suppliers serving residential or small commercial customers and only to the extent that the alternative gas suppliers provide services to residential or small commercial customers.

83 Ill. Adm. Code 501.410 Information to Customers

a) Bills rendered to retail customers for service shall clearly show at least the following:

1. The date of the meter reading, the number of days in the billing period, the energy used, the meter constant if applicable, the type of service rendered, a complete description of the service or rate classification under which the customer receives service, and the type of reading that was used in the bill calculation (such as actual, estimated or customer reading), and, for meters for which beginning and ending meter readings are used as billing determinants, the reading of the meter at the beginning and the reading of the meter at the end of the period for which the bill is rendered.

2. In the event that a bill rendered to retail customers is not based on usage derived from meter readings, the bill must indicate the period of time for which the bill is rendered, the type of service rendered, and a complete description of the service or rate classification under which the customer receives service.

3. Minimum content requirements listed vertically for easy readability:

A) The total amount of the bill.

B) The monthly customer charge or portion thereof.

C) The demand charges.

D) If applicable, the cost of gas detailed by the number of therms used and the price per therm for each change in the unit price. For alternative gas suppliers, only the weighted average price per therm need be provided, unless otherwise provided in the contract between the customer and the alternative gas supplier.

E) If applicable, the cost of gas adjustment.

F) Any other applicable adjustments (other charges not under categories of charges but relating to services, energy or other programs provided to customer by the utility).

G) State tax.

H) Municipal tax.

I) Optional services listed separately.

4. The due date of the bill.

5. Definitions or explanations of any abbreviations and technical words used on the bill.

6. The name and the toll-free telephone number of each service provider whose services to the customer appear on the bill.

7. The average use per day for the period over which the bill is rendered and for the comparable period one year earlier, and an indication of the difference in temperatures between the two periods. If this information is not available for a customer, the bill shall so state.

b) A utility or alternative gas supplier, upon request by a customer, shall transmit at a minimum a statement of the actual consumption of therms by the customer at the customer's present service address for each billing period during the immediately preceding 12-month period for which that customer was receiving service.

c) All gas utilities shall have on file with the Commission a proposed tariff under Section 9-201 of the Act that contains a bill form complying with the requirements of subsection (a). By January 1, 2017, all billings shall comply with the requirements of subsection (a).

d) As mandated by Section 8-302 of the Act, whenever a customer for whom a gas utility provides metering service provides the utility with a written request asking the meter reader to leave a card showing the meter readings and dates, the gas utility shall have its meter reader leave a card showing these meter readings and dates.

e) At least annually, each gas utility shall disclose to each of its customers information about the customer's service in a clear and concise manner. The disclosure shall contain the following minimum requirements:

1. A description of the rates or charges for the rate classification under which the customer receives service.

2. An identification and explanation of optional or experimental rates or classifications available to customers.

3. An identification and explanation of all charges that are not related to costs incurred in service and the supply of energy to that customer.

f) In addition, for customers served under the residential and commercial classifications, a utility disclosure statement shall contain the following:

1. An explanation of the terms appearing on the customer's bill form.

2. An example of how to calculate a bill using the customer's existing rate.

g) Disclosure statements shall be provided by the utility:

1. To each new utility customer, not later than 60 days after the date of commencement of service, through a billing insert, separate mailing or direct customer contact by a representative of the utility.

2. To all affected customers in the event of a change in overall utility rate levels. The disclosure statement shall be transmitted, at a minimum, within the second complete billing cycle after the utility rates become effective following the issuance of a final order in any rate proceeding by the utility. If the disclosure is sent during a period in which proration occurs, a statement such as the following shall be incorporated in the text:

"This summary is being sent during a period in which proration occurs. Proration occurs when part of your bill is charged on old utility rates and part of your bill is charged on new utility rates. If an attempt is made to calculate your bill using this rate summary, your calculation will not yield the proper billing amount for this billing period, but will do so in subsequent months. We recommend that you retain this summary for future reference in computing proper billing amounts."

h) Each alternative gas supplier shall provide to all residential and small commercial customers (unless otherwise indicated in subsections (h)(1) through (5)) the following information:

1. Accurate, timely, and itemized billing statements that describe the products and services provided to the customer and their prices and that specify the gas consumption amount and any service charges and taxes. This subsection (h)(1) does not apply to small commercial customers. [220 ILCS 5/19-115(g)(3)(A)]

2. Billing statements that clearly and conspicuously disclose the name and contact information for the alternative gas supplier. [220 ILCS 5/19‑115(g)(3)(B)]

3. In the event that a bill rendered by an alternative gas supplier is not based on usage derived from meter readings, the bill must indicate the period of time for which the bill is rendered. This subsection (h)(3) does not apply to small commercial customers.

4. An additional statement, at least annually, that adequately discloses the average monthly prices, and the terms and conditions, of the products and services sold to the customer. This subsection (h)(4) does not apply to small commercial customers. [220 ILCS 5/19-115(g)(3)(C)]

5. An alternative gas supplier may satisfy its obligation to provide an additional annual statement disclosing a customer's terms and conditions by providing a notification that describes the means by which a customer can obtain the terms and conditions of the products and services sold to the customer, such as a reference to the alternative gas supplier's website or the customer service number where or through which a copy of the applicable terms and conditions can be downloaded or requested, provided that upon customer request, a written copy of the terms and conditions of the products and services sold to the customer shall be provided by the alternative gas supplier to the customer without charge to the customer.

i) "Retail customer", as used in this Section, means a single entity using natural gas at a single premises and that is receiving tariffed services from a gas utility, or a residential or small commercial customer receiving gas commodity service from an alternative gas supplier.

j) The provisions of this Section shall apply only to:

1. Natural gas public utilities; and

2. Alternative gas suppliers serving residential or small commercial customers and only to the extent that the alternative gas suppliers provide services to residential or small commercial customers.

83 Ill. Adm. Code 501.420 Meter Reading

A utility shall obtain an actual meter reading within 30 days after a customer switches from the utility to an alternative gas supplier or when the customer switches from one alternative gas supplier to another, unless circumstances beyond the utility's control prevent it from obtaining the meter reading.

83 Ill. Adm. Code 501.500 Pressure Regulation

A utility shall not provide service to any customer at a pressure, as measured at the outlet of the meter used to measure the customer's gas consumption, of less than 4 inches of water column or no more than 12 inches of water column except when the customer requested a higher delivery pressure. A utility is not in violation of this Section if the pressure variations occurred because of the operations of a customer in violation of its contract or the rules of the utility or other events beyond the utility's control.

83 Ill. Adm. Code 501.510 Pressure Survey

a) Each utility shall make pressure surveys, conduct hydraulic modeling, or both at such intervals and of such comprehensiveness as may be necessary to keep itself fully informed that its system provides sufficient pressure to ensure reliable service to its customers.

b) All readings taken by charts in pressure surveys shall be preserved and filed in a systematic manner, accompanied by information showing the date and place of the survey, the instrument used, and the name of the person making the survey. A utility may make use of a supervisory control and data acquisition system, electronic recording instruments using electronic filing and dating, or both, to meet the requirements of this subsection.

c) Each utility shall install and maintain recording pressure devices on its system as may be necessary to verify the adequacy of its system design. A utility may make use of a supervisory control and data acquisition system, electronic recording instruments using electronic filing and dating, or both, to meet the requirements of this subsection.

83 Ill. Adm. Code 501.520 Interruptions of Service

a) Each utility shall make all reasonable efforts to prevent interruptions of service. When interruptions occur, the utility shall reestablish service with the shortest possible delay, consistent with general safety and public welfare. Whenever a utility must interrupt its customers' service for the purpose of working on the system, the utility shall conduct this work at a time that will cause the least inconvenience to customers, and the utility shall notify, in advance and in writing, the customers who will be affected by the interruption. Advanced notification is not required whenever a utility interrupts service for emergency work on a matter that represents an existing or probable hazard to persons or property, and requires immediate repair or continuous action until the conditions are no longer hazardous. A utility shall notify the Director of the Safety and Reliability Division and the Director of the Consumer Services Division by phone during working hours or via fax or email during non-working hours if it has interrupted service to more than 50 customers for a period of 12 hours or more.

b) Each utility shall annually file a report with the Director of the Safety and Reliability Division by April 1 that details the prior calendar year's service interruptions that affected more than 25 customers for longer than eight hours. The utility shall include the following information in the report:

1. Indicate the number of service interruptions that:

A) Lasted 8 or more hours, but less than 12 hours.

B) Lasted 12 or more hours.

2. Dates of service interruption that exceeded 8 hours in length.

3. City and location of service interruptions that exceeded 8 hours in length.

4. Reason for service interruptions that exceeded 8 hours in length.

c) The provisions of this Section shall not apply to customers receiving gas service on an interruptible basis.

d) A utility shall measure a service interruption beginning at the time the utility becomes aware of the interruption and ending when the utility reestablishes service or makes a first attempt at visiting a customer's premises for the purpose of reestablishing service.

83 Ill. Adm. Code 501.530 Heating Value

Each utility shall exercise in good faith all reasonable best efforts to maintain a consistent heating value for the natural gas it provides to its customers. A utility shall take what actions it deems necessary to avoid daily heating value fluctuations in excess of 5% for the gas it provides to individual customers. A utility may allow the daily heating value of gas delivered to its customer to fluctuate in excess of 5% when a failure to take the gas would result in a supply shortage, or when, for the purpose of meeting the requirements of a peak load or an emergency, a utility makes use of a reserve or emergency supply, such as liquefied petroleum gas.

83 Ill. Adm. Code 501.540 Good Engineering Practice

A utility shall use accepted good engineering practice to plan, design, construct, operate and maintain its natural gas delivery facilities to ensure adequate, efficient, reliable, safe and least-cost service to customers.

83 Ill. Adm. Code 501.600 Extension of Distribution Mains in Urban Areas

a) Urban Customer

1. For the purposes of this Section, a customer shall be deemed to be an urban customer if his or her premises are located within the incorporated limits of a city, village or town, or in a territory where the conditions of service approximate the conditions of service normally found in recognized urban territory; provided, however, that a public utility may file with the Commission for its consideration maps showing the areas deemed to be urban and, when so filed and approved by order or otherwise by the Commis­sion, those maps shall govern. A utility shall consider a customer whose premises are not located in urban territory to be a rural customer.

2. The provisions of this Section shall not apply to applicants for service under tariffs allowing interruptions of service. A utility with service tariffs that allow the utility to interrupt service to a customer shall file with the Commission an extension provision or an agreement with the applicant that shall govern main extensions for service under those tariffs.

b) Free Extensions

1. If a utility determines that a main extension is necessary to provide firm gas service for an applicant or group of applicants whose premises are located in urban areas within which the utility operates, the utility, upon written request for service by the applicants, shall without charge make the necessary main extension along a street, highway or other right-of-way to the nearest point adjacent to the premises of the applicants, provided the extension does not exceed 100 feet of low pressure system main or 200 feet of high pressure system main per applicant, and provided further that no free extension shall be made from existing mains on which refunds are still due from previous deposits. When refunds are still due, any further extension shall be made only upon the applicant making a deposit equal to the full estimated cost of the further extension required.

2. For the purpose of this Section, high pressure system mains transport gas to the applicant's premises at a nominal pressure of two pounds or more per square inch, and low pressure system mains transport gas at a nominal pressure of less than two pounds per square inch.

c) Extension in Excess of Free Limits

1. If a utility determines that a main extension is necessary to provide firm gas service for an applicant or group of applicants in excess of the free limit specified in subsection (b), and the requested service is in an area where the utility operates, the utility shall make the extension upon agreement by the applicant or group of applicants to comply with the following provisions:

A) A utility may file in conjunction with its rate schedule a main extension provision that would provide the utility customer with the choice of obtaining the extension under the provision or under subsection (c)(1)(C). If a utility files a main extension provision and the Commission permits it to become effective, the applicant may, at his or her election, proceed either under the provision or under subsection (c)(1)(C).

B) A utility may file a main extension provision that operates in place of, and not as an alternative to, subsection (c)(1)(C), but in that case the main ex­tension provision shall not become effective except after a showing that it is generally more favorable to applicants than are the provisions of subsection (c)(1)(C), and after specific action by the Commission, by order or otherwise, permitting the provision to become effective. If the provision becomes effective, it shall govern the making of extensions in excess of the free limits.

C) The utility may require the applicant or group of applicants to deposit with the utility the estimated cost of the extension in excess of the free limit specified in subsection (b), determined in the manner designated in subsection (d). The utility then shall refund an amount equal to the average estimated cost, at the time of making the deposit, of constructing in the area 100 feet of low pressure main or 200 feet of high pressure main, for each additional customer whose service shall be taken from the original extension or from any extension thereof within a period of 10 years from the making of the original exten­sion, provided that the total amount refunded shall not exceed the original deposit.

2. A utility, when reaching agreement with a group of applicants, shall consider the group to be governed by the majority as applied to any specific extension to the extent this option is available.

d) A utility shall provide the applicant with a free estimate of the cost of the requested main extension along the expected route for the main extension designated by the utility. A utility shall also provide a free estimate of the cost of an alternative route if the applicant requests an alternative route and the utility expects the cost for the alternative route to not exceed the cost from the expected route by more than 50%.

e) A utility shall use, as the basis for determining the amount of a deposit, the distance the applicant is from the nearest available distribution main and a route that the utility would normally follow in making the extension and over which right-of-way is available.

f) A utility may petition the Commission for an investigation and determination of the reasonableness of any main extension if circumstances indicate that the additional revenues generated as a result of the main extension would be so meager as to make it unlikely to pay a fair compensation to the utility for its investment, operation, maintenance and replacement of the extension, or that for other substantial reasons the extension is unwarranted. If, after a hearing, the Commission orders a utility to construct an extension that has been challenged on any of these grounds, the applicant or group of applicants shall reimburse the utility for the construction costs to the extent necessary to ensure that the utility earns the Commission-authorized return from the required investment.

83 Ill. Adm. Code 501.610 Extension of Distribution Mains in Rural Areas

a) Rural Customer

1. A utility shall consider a customer whose premises are not located in urban territory, as described in Section 501.600, as a rural customer.

2. The provisions of this Section shall not apply to applicants for service under tariffs allowing interruptions of service. A utility with service tariffs that allow the utility to interrupt service to a customer shall file with the Commission an extension provision or an agreement with the applicant that shall govern main extensions for service under those tariffs.

b) Extension Provisions

1. If a utility determines that a main extension is necessary to provide firm gas service for an applicant or group of applicants whose premises are located in rural areas within which the utility operates, the utility, upon written request for service by the applicants, shall make the necessary main extension along a street, highway or other right-of-way to the nearest point or points adjacent to the point of connection with the service piping of such applicants, upon agreement by the applicant or group of applicants to comply with the provisions of this Section.

A) A utility may file, in conjunction with its rate schedule, a main extension provision that would provide the utility customer with the choice of obtaining the extension under the provision or under subsection (b)(1)(C). If a utility files a main extension provision and the Commission permits it to become effective, the applicant may, at his or her election, proceed either under the provision or under subsection (b)(1)(C).

B) A utility may file a main extension provision that operates in place of, and not as an alternative to, subsection (b)(1)(C), but in that case the main extension provision shall not become effective except after a showing that it is generally more favorable to applicants than are the provisions of subsection (b)(1)(C) and, after specific action by the Commission by order or otherwise, permitting the provision to become effective. If the provision becomes effective, it shall govern the making of extensions.

C) Deposits for Extensions

i) The utility may require the applicant or group of applicants to deposit with the utility the estimated cost of the extension determined in the manner desig­nated in subsection (c). Each sub­sequent customer to be connected within a period of 10 years from the date of making the original extension shall be required to deposit with the utility an amount equal to the sum of the estimated cost of the existing extension plus the estimated cost of any further extension necessary to serve the customer, divided by the number of depositors for the entire extension. The excess of this deposit over the estimated cost of any further extension necessary to serve the customer shall be divided equally by the utility among the previous depositors for the extension and shall be refunded to them in that amount. In no case shall the amount of the refund to a customer exceed the customer's deposit, nor shall the total of deposits for any exten­sion exceed the estimated cost of making the extension.

ii) The foregoing provisions depend upon agreement by applicants that deposits of applicants will be equal. If an applicant or group of applicants requests a new extension to an existing main that would increase present customers' deposits, the utility shall consider the new extension as an original extension and shall not require deposits from existing customers for the requested new original extension.

iii) If the point of connection with the service piping of an applicant is so located that the applicant could be served by extending a separate parallel main at less cost than the amount of deposit that would be required from the applicant for connection to the existing extension, a utility will not require the applicant to deposit in excess of the estimated cost of the separate main, and the applicant shall not share in any refunds so long as the applicant's deposit remains less than that of the other depositors on the existing extension.

2. A utility, when reaching agreement with a group of applicants, shall consider the group to be governed by the majority as applied to any specific extension.

c) A utility shall provide the applicant with a free estimate of the cost of the requested main extension along the expected route for the main extension designated by the utility. A utility shall also provide a free estimate of the cost of an alternative route if the applicant requests an alternative route and the utility expects the cost for the alternative route to not exceed the cost from the expected route by more than 50%.

d) A utility shall use, as the basis for determining the amount of a deposit, the distance the applicant is from the nearest available distribution main and a route that the utility would normally follow in making the extension and over which right-of-way is available.

e) A utility may petition the Commission for an investigation and determination of the reasonableness of any main extension if circumstances indicate that the additional revenues generated as a result of the main extension would be so meager as to make it unlikely to pay a fair compensation to the utility for its investment, operation, maintenance and replacement of the extension, or that, for other substantial reasons, the extension is unwarranted. If after a hearing the Commission orders a utility to construct an extension that has been challenged on any of these grounds, the applicant or group of applicants shall reimburse the utility for the construction costs to the extent necessary to ensure that the utility earns the Commission-authorized return from the required investment.

History

• Source: Amended at 41 Ill. Reg. 351, effective December 29, 2016

Part 505 Uniform System of Accounts for Gas Utilities

83 Ill. Adm. Code 505.10 Adoption of 18 Cfr 201 by Reference

The Illinois Commerce Commission adopts 18 CFR 201, as of June 15, 2006, as its uniform system of accounts for gas utilities, subject to the exceptions set forth in Subpart B of this Part. No incorporation in this Part includes any later amendment or edition.

History

• Source: Amended at 31 Ill. Reg. 11557, effective August 1, 2007

83 Ill. Adm. Code 505.20 Adoption of 18 Cfr 216 by Reference (repealed)

History

• Source: Repealed at 23 Ill. Reg. 1350, effective February 1, 1999

83 Ill. Adm. Code 505.200 Definitions

Definition 7, "Commission," is deleted and replaced by the following: "'Commission' means the Illinois Commerce Commission when not otherwise indicated in the context."

83 Ill. Adm. Code 505.210 General Instruction 1

General Instruction 1, "Classification of Utilities," is deleted and replaced by the following:

"A. This system of accounts applies to all utilities; provided, however, if in the opinion of any utility having annual operating revenues of less than $10,000,000, this system of accounts should prove to be unduly burdensome, such utility may, with the approval of the Director of Accounting of the Commission, group or combine certain accounts herein in order that the accounting requirements for small utilities may conform more nearly to the nature and volume of business transacted. Requests to group or combine accounts shall be made in writing, including a statement of the proposed modifications. In determining whether this system of accounts is unduly burdensome with respect to a utility, the Director of Accounting shall consider, among other things, whether compliance will require additional resources. The Director of Accounting shall make this determination within six months of receiving the written request. Having obtained such approval, the utility shall continue to use the system as modified on a consistent basis.

B. The Commission does not commit itself to the approval or acceptance of any item set out in any account, for the purpose of fixing rates or in determining other matters before the Commission."

History

• Source: Amended at 22 Ill. Reg. 9543, effective June 1, 1998

83 Ill. Adm. Code 505.250 General Instruction 5

In General Instruction 5, "Submittal of Questions," the phrase "Director of Accounting of the" is added between "the" and "Commission."

History

• Source: Amended at 18 Ill. Reg. 10701, effective July 1, 1994

83 Ill. Adm. Code 505.270 General Instruction 7 (repealed)

History

• Source: Repealed at 18 Ill. Reg. 10701, effective July 1, 1994

83 Ill. Adm. Code 505.280 General Instruction 7.1 (repealed)

History

• Source: Repealed at 18 Ill. Reg. 10701, effective July 1, 1994

83 Ill. Adm. Code 505.330 General Instruction 12

In General Instruction 12, "Records for Each Plant," in Paragraph B, the phrase "Director of Accounting of the" is added between "the" and "Commission."

History

• Source: Amended at 18 Ill. Reg. 10701, effective July 1, 1994

83 Ill. Adm. Code 505.340 General Instruction 13

In General Instruction 13, "Accounting for other departments," the term "proper authority" is deleted and replaced by the phrase "the Commission."

83 Ill. Adm. Code 505.370 General Instruction 16

In General Instruction 16, "Accounting for Costs of gas production by pipelines and pipeline affiliates," the phrase "Federal Energy Regulatory Commission (FERC)" is substituted for the word "Commission" wherever that word appears.

History

• Source: Amended at 18 Ill. Reg. 10701, effective July 1, 1994

83 Ill. Adm. Code 505.380 General Instruction 17

In General Instruction 17, "Long-Term Debt: Premium, Discount and Expense, and Gain or Loss on Reacquisition," in Paragraph J, "Alternate method," the phrase "Where a regulatory authority or group of regulatory authorities having prime rate jurisdiction over the utility" is deleted and replaced by the phrase "When the Commission."

83 Ill. Adm. Code 505.390 General Instruction 18

In General Instruction 18, "Comprehensive Interperiod Income Tax Allocation," in Paragraph B, the phrase "regulatory authority having rate jurisdiction over the utility" is deleted and replaced by the word "Commission."

83 Ill. Adm. Code 505.410 General Instruction 20

In General Instruction 20, "Accounting for leases" in Paragraph A, second sentence, the phrase which reads "is effective January 1, 1984" is replaced with "was effective August 15, 1985". In the third sentence of this paragraph, the phrase "reporting to the FERC," is amended to read "reporting to the Commission."

History

• Source: Amended at 22 Ill. Reg. 9543, effective June 1, 1998

83 Ill. Adm. Code 505.420 Gas Plant Instruction 2 (repealed)

History

• Source: Repealed at 18 Ill. Reg. 10701, effective July 1, 1994

83 Ill. Adm. Code 505.430 Gas Plant Instruction 3

In Gas Plant Instruction 3, "Components of construction cost," the changes set forth in the remainder of this Section are made.

a) In Paragraph (17)(b), the words "Federal Energy Regulatory" are added between "the" and "Commission's."

b) The following is added at the end of Paragraph (17)(b):

"If the balance for S (Short-term debt balances) exceeds the balance for W (Average balance in construction work in progress plus nuclear fuel in process of refinement, conversion, enrichment and fabrication), the maximum total AFUDC rate to be utilized will be the weighted average short-term debt rate. In instances where this occurs, the entire credit for AFUDC will be recorded in Account 432, Allowance for borrowed funds used during construction − credit."

c) The following is added as Paragraph (17)(c):

"(c) All deviations from the AFUDC formula shown in Gas Plant Instruction 3 (17)(a) above must have approval from the Commission before implementation. In determining whether to approve such deviations, the Commission will consider the degree to which current securities issues have changed the embedded cost included in the annual computation provided in the formula."

History

• Source: Amended at 28 Ill. Reg. 340, effective December 31, 2003

83 Ill. Adm. Code 505.450 Gas Plant Instruction 5 (repealed)

History

• Source: Repealed at 18 Ill. Reg. 10701, effective July 1, 1994

83 Ill. Adm. Code 505.470 Gas Plant Instruction 7

In Gas Plant Instruction 7, "Land and Land Rights," in Paragraph E, the phrase "411.6, Gains from Disposition of Utility Plant, or 411.7, Losses from Disposition of Utility Plant when such property has been recorded in Account 105, Gas Plant Held for Future Use, Account 105.1, Production Properties Held for Future Use, otherwise to account" is deleted.

History

• Source: Amended at 22 Ill. Reg. 9543, effective June 1, 1998

83 Ill. Adm. Code 505.500 Gas Plant Instruction 10

In Gas Plant Instruction 10, "Additions and Retirements of Gas Plant," in Paragraph E, the phrase "411.6, Gains from Disposition of Utility Plant, or 411.7, Losses from Disposition of Utility Plant when the property has been recorded in Account 105, Gas Plant Held for Future Use, Account 105.1, Production Properties Held for Future Use, otherwise to accounts" is deleted.

History

• Source: Amended at 22 Ill. Reg. 9543, effective June 1, 1998

83 Ill. Adm. Code 505.550 Gas Plant Instruction 15

Gas Plant Instruction 15, "Fees for applications filed with the Commission," is deleted in its entirety.

83 Ill. Adm. Code 505.900 Balance Sheet Chart of Accounts

In the Balance Sheet Chart of Accounts, delete the following accounts: 117.1, Gas stored – base gas; 117.2, System balancing gas; 117.3, Gas stored in reservoirs and pipelines – noncurrent; and 117.4, Gas owed to system gas. To replace the deleted accounts, add Account 117, Gas stored underground – Noncurrent.

History

• Source: Added at 22 Ill. Reg. 9543, effective June 1, 1998

83 Ill. Adm. Code 505.940 Income Chart of Accounts

In the Income Chart of Accounts, Account 426.1, "Donations," is deleted.

83 Ill. Adm. Code 505.970 Operation and Maintenance Expense Chart of Accounts

In the Operation and Maintenance Expense Chart of Accounts, the notation "(Reserved)" is deleted at Accounts 914 and 915. In the place of this notation at Account 914, the caption "Revenues from merchandising, jobbing and contract work" is added, and in the place of this notation at Account 915, the caption "Cost and expenses of merchandising, jobbing and contract work" is added.

83 Ill. Adm. Code 505.1020 Account 102 (repealed)

History

• Source: Repealed at 18 Ill. Reg. 10701, effective July 1, 1994

83 Ill. Adm. Code 505.1030 Account 103

In Account 103, "Experimental gas plant unclassified," the second sentence in Paragraph B is deleted.

83 Ill. Adm. Code 505.1050 Account 105

In Account 105, "Gas plant held for future use," changes set forth in the remainder of this Section are made.

a) The last sentence of Paragraph D is deleted, and in the first sentence of Paragraph D, the phrase "411.6 or 411.7, as appropriate, except when determined to be significant by the Commission" is deleted and replaced by the following phrase: "421.1 or 421.2, as appropriate, except as otherwise authorized or determined by the Commission. In determining whether to allow such an exception, the Commission shall consider, among other things, the prior rate treatment of the asset involved, the purpose for which the asset is used, and the length of time the asset is held.

b) The following is added as Paragraph F: "F. Gains or losses from abandonment shall be recorded in Account 434 or 435 as may be appropriate unless otherwise directed by the Commission. In determining whether to direct alternate recording, the Commission shall consider, among other things, the history of the land parcel, and the reason for abandonment."

c) Paragraph C is deleted in its entirety.

History

• Source: Amended at 9 Ill. Reg. 4022, effective April 1, 1985

83 Ill. Adm. Code 505.1051 Account 105.1

In Account 105.1, "Production properties held for future use," the changes set forth in the remainder of this Section are made.

a) The last sentence of Paragraph D is deleted, and in the first sentence of Paragraph D, the phrase "411.6 or 411.7, as appropriate, except when determined to be significant by the Commission" is deleted and replaced by the following phrase: "421.1 or 421.2, as appropriate, except as otherwise authorized or determined by the Commission."

b) The following is added as Paragraph F: "F. Gains or losses from abandonment shall be recorded in Account 434 or 435 as may be appropriate unless otherwise directed by the Commission."

c) Paragraph C is deleted in its entirety.

History

• Source: Amended at 9 Ill. Reg. 4022, effective April 1, 1985

83 Ill. Adm. Code 505.1080 Account 108 (repealed)

History

• Source: Repealed at 18 Ill. Reg. 10701, effective July 1, 1994

83 Ill. Adm. Code 505.1170 Account 117

In Account 117, Gas stored underground – Noncurrent, the following language replaces the instructions provided in Accounts 117.1, Gas stored – base gas, 117.2, System balancing gas, 117.3, Gas stored in reservoirs and pipelines – noncurrent, 117.4, Gas owed to system gas, and the special instructions to these accounts.

"A. This Account shall include the cost of recoverable gas purchased or produced by the utility which is stored in depleted or partially depleted gas or oil fields, or other underground reservoirs, and held for use in meeting service requirements of the utility's customers.

B. Gas stored during the year shall be priced at cost according to generally accepted methods of cost determination consistently applied from year to year. Transmission expenses for facilities of the utility used in moving the gas to the storage area and expenses of storage facilities shall not be included in the inventory of gas except as may be authorized or directed by the Commission.

NOTE B-1: In general, gas stored from the supply in an integrated system shall be priced at the average cost of the gas constituting the common supply of the system, although this general rule may be departed from where conditions of system operation of gas supply and utilization permit a valid presumption that the gas stored may be considered to be from specified sources, as indicated below.

NOTE B-2: When in harmony with the over-all system operation of gas supply and utilization, and the presumption is consistently observed from year to year, gas stored during the year may be presumed to be from total gas purchases, or from purchases from specified sources. When either of these presumptions is proper, the cost of gas stored shall be the weighted average cost of all gas purchased, or the weighted average cost of purchases from the specified sources, as appropriate. The weighted average cost may be the average for the preceding twelve months, except, where a significant change occurs in the cost of gas, the full effect of such change shall be reflected for the period after the change is effective.

NOTE B-3: When in harmony with the over-all system operation of gas supply and utilization, and the presumptions are consistently observed from year to year, gas stored during the year may be presumed to be from identified sources of the utility's own production. Such stored gas shall be priced at the weighted average cost of gas produced from the specified production areas. Where this presumption is made, or where the stored gas is identified as a matter of fact under circumstances which do not permit a proper application of the theory of displacement, the utility shall maintain separate records of the cost of gas produced from such areas and the derivation of the cost used for stored gas from such sources.

NOTE B-4: Where gas is purchased specifically for storage, or a price concession is received because of the storing of purchased gas, such gas shall be priced at the net contract price of the gas so purchased and stored.

NOTE B-5: The provisions of this instruction and the related footnotes shall not be construed as permitting or authorizing a restatement of the amounts at which stored gas inventories are stated on the utility's books at the effective date of this instruction, except as may be authorized by the Commission.

C. Withdrawals of gas may be priced according to the first-in-first-out, last-in-first-out, or weighted average cost method, in connection with which a "base stock" may be employed provided the method adopted by the utility is used consistently from year to year and the inventory records are maintained in accordance therewith. Approval of the Commission must be obtained for any other pricing method, or change in the pricing method adopted by the utility.

D. If the gas of any storage project is withdrawn below the amount established as "base stock" or encroaches upon native gas of a storage reservoir, and such gas is to be replaced within 12 months, it shall be permissible to price such gas at the estimated cost of replacement with purchased gas and to record a deferred credit therefor. For the purpose of this instruction, Account 808, Gas withdrawn from storage – Debit, shall be charged with the estimated cost of such replacement gas and Account 253, Other deferred credits, credited. When replacement of the gas is made, the amount in Account 253 shall be cleared and this account credited. This accounting will not affect normal accounting for inputs and withdrawals from storage.

E. Separate records shall be maintained for each storage project of the Mcf of gas delivered to storage, withdrawn from storage, and remaining in storage. The projects shall be grouped, however, for the purpose of maintaining inventory cost records of the cost of gas in storage. Exceptions to this general rule are permitted in any of the following circumstances:

(a) Projects at the supply end of long transmission lines,

(b) Projects located on separate noninterconnected pipeline systems, and

(c) Projects which by contractual arrangements approved by the Commission are devoted exclusively to the service of specified customers, and no portion of the gas withdrawals from any such project becomes part of the common system gas supply by displacement or otherwise.

Where the utility establishes specified volumes of gas as "base stock," separate inventory cost records by projects shall be maintained therefor.

F. Amounts debited to this Account for gas placed in storage shall be credited to Account 808.2, Gas delivered to storage – Credit. Amounts credited to this account for gas withdrawn from storage shall be debited to Account 808, Gas withdrawn from storage – Debit.

G. Adjustments for inventory losses due to cumulative inaccuracies of gas measurements, or from other causes, shall be charged to Account 823, Gas losses. In the operation of storage projects, the utility shall maintain such procedures of verification as will disclose and result in prompt accounting recognition of significant losses. This account shall be credited with an amount equal to that debited to Account 164.1, Gas stored underground – Current, to classify for balance sheet purposes such portion of the total inventory of gas stored underground as constitutes a current asset according to conventional rules for classification of current assets. (See Account 164.1.)"

History

• Source: Added at 22 Ill. Reg. 9543, effective June 1, 1998

83 Ill. Adm. Code 505.1641 Account 164.1

In Account 164.1, Gas stored underground – Current, the instructions shall be restated as follows:

"This Account shall be debited with such amounts as are credited to Account 117, Gas stored underground – Noncurrent, to reflect classification for balance sheet purposes of such portion of the inventory of gas stored underground as represents a current asset according to conventional rules for classification of current assets."

History

• Source: Added at 22 Ill. Reg. 9543, effective June 1, 1998

83 Ill. Adm. Code 505.1642 Account 164.2

In Paragraph D of Account 164.2, Liquefied natural gas stored, the term "Dth" is replaced with "Mcf" to be stated as follows:

"Withdrawals of gas may be priced according to the first-in-first-out, last-in-first-out, or weighted average cost method provided the method adopted by the utility is used consistently from year to year and inventory records are maintained in accordance therewith. Commission approval must be obtained for any other pricing method or for any change in the pricing method adopted by the utility. Separate records shall be maintained for each storage project of the Mcf of gas delivered to storage and remaining in storage."

History

• Source: Added at 22 Ill. Reg. 9543, effective June 1, 1998

83 Ill. Adm. Code 505.1643 Account 164.3

In Paragraph D of Account 164.3, Liquefied natural gas held for processing, the term "Dth" is replaced with "Mcf" to be stated as follows:

"Withdrawals of gas held for vaporization may be priced according to the first-in-first-out, last-in-first-out or weighted average cost method provided the method adopted by the utility is used consistently from year to year and inventory records are maintained in accordance therewith. Commission approval must be obtained for any other pricing method or for any change from the pricing method adopted by the utility. Separate records shall be maintained for Mcf of gas purchased for processing, processed, and remaining for processing."

History

• Source: Added at 22 Ill. Reg. 9543, effective June 1, 1998

83 Ill. Adm. Code 505.1660 Account 166

In Account 166, "Advances for gas exploration, development and production," the changes set forth in the remainder of this Section are made.

a) The acronym "FERC" is inserted before the phrase "Order No. 529" in Paragraph A, before the phrases "Order No. 499" and "Order No. 465" in Paragraph B, and before the phrase "Order No. 513" in Paragraph E.

b) In Paragraph J, the word "Secretary" is deleted and replaced by the word "Commission."

c) Notes A through G are deleted in their entirety.

83 Ill. Adm. Code 505.1740 Account 174

In Account 174, Miscellaneous current and accrued assets, delete the "A" designating the first paragraph as Paragraph A and delete Paragraph B.

History

• Source: Added at 22 Ill. Reg. 9543, effective June 1, 1998

83 Ill. Adm. Code 505.2010 Accounts 201, 202, 203, and 204

In Account 201, Common Stock Issued, Account 202, Common Stock Subscribed, Account 203, Common Stock Liability for Conversion, and Account 204, Preferred Stock Issued, the following changes are adopted:

a) Identify the NOTE as NOTE A.

b) Adopt the following as NOTE B:

"Records with respect to this account shall be maintained so as to identify the amount of discount, including underwriting discounts recorded in this account. The records shall be kept so as to show separately the amount of discount on common stock issuances and preferred issuances. Amounts which have been recovered through rates shall also be identified separately. The details of this account as to amounts of discount on common and preferred stock issuances and amounts recovered through rates shall be disclosed in the annual report to the Commission (ICC Form 21). This procedure may be followed for existing common stock expenses which have not been recovered through rates as of December 31, 1993."

History

• Source: Added at 18 Ill. Reg. 10701, effective July 1, 1994

83 Ill. Adm. Code 505.2070 Account 207

In Account 207, Premium on Capital Stock, add the following as NOTE A:

"Records with respect to this account shall be maintained so as to identify the amount of discount, including underwriting discounts recorded in this account. The records shall be kept so as to show separately the amount of discount on common stock issuances and preferred issuances. Amounts which have been recovered through rates shall also be identified separately. The details of this account as to amounts of discount on common and preferred stock issuances and amounts recovered through rates shall be disclosed in the annual report to the Commission (ICC Form 21). This procedure may be followed for existing common stock expenses which have not been recovered through rates as of December 31, 1993."

History

• Source: Added at 18 Ill. Reg. 10701, effective July 1, 1994

83 Ill. Adm. Code 505.2110 Account 211

In Account 211, Miscellaneous Paid In Capital, delete the word "all" in the last sentence of the first paragraph.

History

• Source: Added at 18 Ill. Reg. 10701, effective July 1, 1994

83 Ill. Adm. Code 505.2140 Account 214

In Account 214, Capital Stock Expense, add the following to NOTE B:

"The utility may elect to delay amortization of common stock expenses until the Commission determines the recoverability of such expenses through rates. In any case, only those common stock expenses which remain unrecovered through rates shall be recorded in this account. Common stock expenses that have been recovered through rates shall be amortized to Account 211, Miscellaneous Paid-In-Capital. This procedure may be followed for existing capital stock expenses which have not been recovered through rates as of December 31, 1993."

History

• Source: Added at 18 Ill. Reg. 10701, effective July 1, 1994

83 Ill. Adm. Code 505.2420 Account 242

In Account 242, Miscellaneous current and accrued liabilities, delete the "A" designating the first paragraph as Paragraph A and delete Paragraph B.

History

• Source: Added at 22 Ill. Reg. 9543, effective June 1, 1998

83 Ill. Adm. Code 505.3523 Account 352.3

In Account 352.3, Nonrecoverable natural gas, replace Paragraph B with the following language:

"Such nonrecoverable gas shall be priced at the acquisition cost of native gas or, when acquired for storage by purchase or presumed to be supplied from the utility's own production, priced as outlined in Paragraph B of Account 117, Gas stored underground – Noncurrent. After devotion to storage, the cost of the gas shall not be restated to effect subsequent price changes in purchased gas or changes in the cost of gas produced by the utility. When the utility has followed the practice of adjusting nonrecoverable gas to the weighted average cost of gas purchased or supplied from its own production, cost shall be the weighted average cost of such gas at the effective date of this Account."

History

• Source: Added at 22 Ill. Reg. 9543, effective June 1, 1998

83 Ill. Adm. Code 505.4090 Account 409 (reserved) (repealed)

History

• Source: Repealed at 18 Ill. Reg. 10701, effective July 1, 1994

83 Ill. Adm. Code 505.4160 Account 416

In Account 416, "Costs and expenses of merchandising, jobbing and contract work," Note A is deleted and replaced by the following: "NOTE A: Classification between operating and nonoperating functions will depend upon the nature of the revenues, costs and expenses. Refer to Accounts 914 and 915 for operating function classification."

83 Ill. Adm. Code 505.4261 Account 426.1 (Repealed)

History

• Source: Repealed at 28 Ill. Reg. 340, effective December 31, 2003

Chapter I Illinois Commerce Commission

Subchapter d Gas Utilities

Part 505 Uniform System of Accounts for Gas Utilities

83 Ill. Adm. Code 505.4390 Account 439

Account 439, "Adjustments to retained earnings." The phrase "Director of Accounting of the" is added before "Commission."

History

• Source: Amended at 18 Ill. Reg. 10701, effective July 1, 1994

83 Ill. Adm. Code 505.4810 Account 481

In Paragraph C of Account 481, Commercial and industrial sales, the term "Dth" is replaced with "Mcf" to be stated as follows:

"Records shall be maintained so as to show separately the revenues from commercial and industrial customers, as follows: Large commercial and industrial sales (wherein shall be included the revenues from customers which use large volumes of gas, generally in excess of 200,000 Mcf per year or approximately 800 Mcf per day of normal requirements. Reasonable deviations are permissible in order that transfers of customers between the large and small classifications may be minimized). Small commercial and industrial sales (wherein shall be included the revenues from customers which use volumes of gas generally less than 200,000 Mcf per year or less than approximately 800 Mcf per day of normal requirements)."

History

• Source: Added at 22 Ill. Reg. 9543, effective June 1, 1998

83 Ill. Adm. Code 505.4910 Account 491

In Account 491, Revenues from natural gas processed by others, the language in Paragraph B is restated as follows:

"The records supporting this Account must be maintained so that full information concerning determination of the revenues will be readily available concerning each processor of gas of the utility, including as applicable: (a) the Mcf of gas and approximately average Btu content thereof per cubic foot delivered to such other party for processing, (b) the Mcf of gas and approximately average Btu content thereof per cubic foot of gas received back from the processor, (c) the field, general production area, or other source of the gas processed, (d) Mcf of gas used for processing fuel, etc., which is chargeable to the utility, (e) total gallons of each product recovered by the processor and the utility's share thereof, (f) the revenues accruing to the utility, and (g) the basis of determination of the revenues accruing to the utility. Such records shall be maintained even though no revenues are derived from the processor."

History

• Source: Added at 22 Ill. Reg. 9543, effective June 1, 1998

83 Ill. Adm. Code 505.4950 Account 495

In Account 495, Other gas revenues, delete item 8.

History

• Source: Added at 22 Ill. Reg. 9543, effective June 1, 1998

83 Ill. Adm. Code 505.8050 Account 805

In Account 805, Other gas purchases, delete Paragraphs C and D.

History

• Source: Added at 22 Ill. Reg. 9543, effective June 1, 1998

83 Ill. Adm. Code 505.8060 Account 806

In Account 806, Exchange gas, restate as follows:

"This Account includes debits or credits for the cost of gas in unbalanced transactions where gas is received from or delivered to another party in exchange transactions and receipt and delivery of such gas is not completed during the accounting period. The costs are to be determined consistent with the accounting method adopted by the utility for its system gas. Contra entries to those in this Account are to be made to Account 174, Miscellaneous current and accrued assets, for gas receivable and to Account 242, Miscellaneous current and accrued liabilities, for gas deliverable under such transactions. Such entries must be reversed and appropriate contra entries made to this Account when gas is received or delivered in satisfaction of the amounts receivable or deliverable."

History

• Source: Added at 22 Ill. Reg. 9543, effective June 1, 1998

83 Ill. Adm. Code 505.8081 Account 808.1

In Paragraph A of Account 808.1, Gas withdrawn from storage – Debit, restate as follows:

"This Account shall include debits for the cost of gas withdrawn from storage during the year. Contra credits for entries to this Account shall be made to Account 117, Gas stored underground – Noncurrent, or Account 164.2, Liquefied natural gas stored, as appropriate."

History

• Source: Added at 22 Ill. Reg. 9543, effective June 1, 1998

83 Ill. Adm. Code 505.8082 Account 808.2

In Paragraph A of Account 808.2, Gas delivered to storage – Credit, restate as follows:

"This Account shall include credits for the cost of gas delivered to storage during the year. Contra debits for entries to this Account shall be made to Account 117, Gas stored underground – Noncurrent, or Account 164.2, Liquefied natural gas stored, as appropriate."

History

• Source: Added at 22 Ill. Reg. 9543, effective June 1, 1998

83 Ill. Adm. Code 505.8130 Account 813

In Account 813, Other gas supply expenses, delete Paragraph B.

History

• Source: Added at 22 Ill. Reg. 9543, effective June 1, 1998

83 Ill. Adm. Code 505.8230 Account 823

In Account 823, Gas losses, restate as follows:

"This Account shall include the amounts of inventory adjustments representing the cost of gas lost or unaccounted for in underground storage operations due to cumulative inaccuracies of gas measurements or other causes. (See Paragraph G of Account 117, Gas stored underground – Noncurrent.) If, however, any adjustment is substantial, the utility may, with approval of the Commission, amortize the amount of the adjustment to this Account over future operating periods."

History

• Source: Added at 22 Ill. Reg. 9543, effective June 1, 1998

83 Ill. Adm. Code 505.8456 Account 845.6

In Paragraph B of Account 845.6, Processing of liquefied or vaporized gas by others, the term "Dth" is replaced with "Mcf or Btu" to be stated as follows:

"Records supporting this Account shall be so maintained that there shall be readily available for each agreement: the name of the other party, Mcf or Btu of gas delivered to the other party for processing and the Mcf or Btu of gas received back by the utility after processing, points of delivery to and receipt of gas from the other party, and amount and basis of charges for the processing service."

History

• Source: Added at 22 Ill. Reg. 9543, effective June 1, 1998

83 Ill. Adm. Code 505.8540 Account 854

In Paragraph B of Account 854, Gas for compressor station fuel, the term "Dth" is replaced with "Mcf" to be stated as follows:

"Records shall be maintained to show the Mcf of gas consumed at each compressor station and the cost of such gas."

History

• Source: Added at 22 Ill. Reg. 9543, effective June 1, 1998

83 Ill. Adm. Code 505.8580 Account 858

In Paragraph B of Account 858, Transmission and compression of gas by others, the term "Dth" is replaced with "Mcf" to be stated as follows:

"Records supporting this Account shall be so maintained that there shall be readily available for each agreement: name of other party, Mcf of gas delivered to the other party for transmission or compression and the Mcf of gas received back by the utility after transmission or compression, points of delivery to and receipt of gas from other party, and amount and basis of charges for the transmission or compression service."

History

• Source: Added at 22 Ill. Reg. 9543, effective June 1, 1998

83 Ill. Adm. Code 505.9140 Accounts 914 and 915

Accounts 914 and 915, which are "Reserved" in 18 CFR 201, are changed to read as set forth in Appendix G, Exhibit A.

83 Ill. Adm. Code 505.9302 Account 930.2 (repealed)

History

• Source: Repealed at 28 Ill. Reg. 340, effective December 31, 2003

83 Ill. Adm. Code 505.APPENDIX G Operation and Maintenance Expense Accounts

Section 505.EXHIBIT A Accounts 914 and 915

914 Revenues from merchandising, jobbing and contract work.

915 Costs and expenses of merchandising, jobbing and contract work.

A. These accounts shall include respectively all revenues derived from the sale of merchandise and jobbing or contract work and all expenses incurred in such activities.

B. Records in support of these accounts shall be so kept as to permit summarization of revenues, costs and expenses by major items.

ITEMS

Account 914:

1. Revenues from sale of merchandise and from jobbing and contract work.

2. Discounts and allowances made in settlement of bills from merchandise and jobbing work.

Account 915:

Labor:

1. Canvassing and demonstrating appliances in homes and other places for the purpose of selling appliances.

2. Demonstrating and selling activities in sales rooms.

3. Installing appliances on customer premises where such work is done only for purchasers of appliances from the utility.

4. Installing pipe, or other property work on a jobbing or contract basis.

5. Preparing advertising materials for appliance sale purposes.

6. Receiving and handling customer orders for merchandise or for jobbing services.

7. Cleaning and tidying sales rooms.

8. Maintaining display counters and other equipment used in merchandising.

9. Arranging merchandise in sales rooms and decorating display windows.

10. Reconditioning repossessed appliances.

11. Bookkeeping and other clerical work in connection with merchandise and jobbing activities.

12. Supervising merchandising and jobbing operations.

Materials and Expenses:

13. Advertising in newspapers, periodical, radio, television, etc.

14. Cost of merchandise sold and of materials used in jobbing work.

15. Stores expenses on merchandise and jobbing stocks.

16. Fees and expenses of advertising and commercial artists' agencies.

17. Printing booklets, dodgers, and other advertising data.

18. Premiums given as inducement to buy appliances.

19. Light, heat, and power.

20. Rent of sales rooms or of equipment.

21. Transportation expense in delivery and pick-up of appliances by utility's facilities or by others.

22. Stationery and office supplies and expenses.

23. Taxes directly assignable to merchandising and jobbing operations.

24. Losses from uncollectible merchandising and jobbing accounts.

Note A: Classification between operating and nonoperating functions will depend upon the nature of the revenues, costs and expenses. Refer to Accounts 415 and 416 for non-operating function classification.

Part 506 Accounting for Non-Public Utility Business of Gas Utilities

83 Ill. Adm. Code 506.10 Maintenance of Books and Records and Commission Access

a) Gas utilities shall maintain all accounts, irrespective of whether the activity, transaction, or other matter being accounted for constitutes public utility business, in accordance with 83 Ill. Adm. Code 505, Uniform System of Accounts for Gas Utilities.

b) Activities, transactions and other matters pertaining to business other than public utility business shall be recorded in subaccounts of the accounts established in 83 Ill. Adm. Code 505. Allocations of revenues and charges made between the operations of the public utility business and the business other than public utility business shall be made to the principal utility account and to a subaccount created specifically for the non-public utility business. If a gas utility uses a method other than subaccounts to identify revenues and expenses related to certain functions, activities, or projects of the public utility business, it is appropriate for the gas utility to use the same method to identify revenues and expenses related to each non-utility business.

83 Ill. Adm. Code 506.20 Cost Allocation Guidelines

a) Written guidelines for allocating revenues and charges between the public utility business and the business other than public utility business shall be submitted to the Director of Accounting of the Commission for approval by February 12, 1998 unless the public utility conducts public utility business only or unless the public utility previously has submitted such guidelines.

b) When a public utility that does not conduct any business other than public utility business as of January 13, 1998 begins to conduct such other business after January 13, 1998, the public utility shall submit the guidelines for allocating revenues and charges between the public utility business and such other business prior to the initiation of such other business. These guidelines shall be submitted to the Director of Accounting of the Commission. If the Director of Accounting finds that the cost allocation guidelines provide a subsidy to the non-public utility business, the Director of Accounting will notify the gas utility in writing, and the gas utility will have 45 days to respond.

83 Ill. Adm. Code 506.30 Internal Audits

a) Public utilities shall conduct biennial internal audits, or internal audits conducted by independent public accountants, of the accounting, for the business other than public utility business. These audits shall test compliance with this Part, with the cost allocation guidelines submitted to the Director of Accounting of the Commission, with any applicable Commission orders, and with 83 Ill. Adm. Code 505. The audits shall include written reports of conclusions and associated workpapers which shall be available to the Commission Staff for review. The audit reports shall be submitted to the Commission's Director of Accounting within 30 days of completion.

b) The first such internal audit report shall be submitted to the Director of Accounting of the Commission on or before December 1, 1998. Succeeding audit reports shall be submitted to the Director of Accounting of the Commission on or before December 1 of each succeeding even numbered year.

Part 510 The Preservation of Records of Gas Utilities (general Order 187)

83 Ill. Adm. Code 510.10 Scope of This Part

a) This Part applies to all books of account and other records prepared by or on behalf of the public utility. See Item 73 of Appendix A for those records which come into possession of the public utility in connection with the acquisition of property, such as purchase, consolidation, merger, etc.

b) This Part shall not be construed as excusing compliance with any other lawful requirement for the preservation of records for periods longer than those prescribed herein.

c) This Part shall not be construed as requiring the preparation of accounts, records or memoranda not required to be prepared by other Parts, such as the Uniform System of Accounts, prescribed by the Illinois Commerce Commission (83 Ill. Adm. Code 415, 505, 605 and 710 – General Orders 179, 180, 183 and 199).

d) Records other than those listed in the annexed Appendix A may be destroyed at the option of the public utility; provided, however, that records which are used in lieu of those listed shall be preserved for the periods prescribed for the records used for substantially similar purposes; and, provided further, that retention of records pertaining to added services, function, plant, etc., the establishment of which cannot be presently foreseen, shall conform to the principles embodied herein.

83 Ill. Adm. Code 510.20 Designation of Supervisory Official

Each public utility subject to this Part shall designate one or more persons with official responsibility to supervise the utility's program for the preservation and the authorized destruction of its records.

83 Ill. Adm. Code 510.30 Protection and Storage of Records

The public utility shall provide reasonable protection for records subject to this Part from damage by fires, floods and other hazards; and, in the selection of storage spaces, safeguard the records from unnecessary exposure to deterioration from excessive humidity, dryness or lack of proper ventilation.

83 Ill. Adm. Code 510.40 Index of Records

All records which are herein required to be preserved shall be so arranged, filed and currently indexed by the utility that they may readily be identified and made available to representatives of the Illinois Commerce Commission.

83 Ill. Adm. Code 510.50 Preservation of Records on Microfilm

a) Certain records indicated in Appendix A may be microfilmed and such film retained in lieu of the original records, provided the procedures prescribed herein are followed.

b) Indicators are used in Appendix A to designate those records for which microfilm will be accepted in lieu of original records. These indicators, listed following the retention period, are as follows:

M – Indicates that microfilms may be substituted for retention of the original records at any time after use of the records for current recording purposes.

M – (with a numeral following) Indicates that microfilms may be substituted for retention of the original records only after the original records have been retained in their original form for at least the number of years corresponding to the numeral following the "M." Thus, "M-10" indicates that a microfilm copy may be made of and substituted for the original record only after the original record has been retained for at least ten years.

ME – Indicates records for which microfilms may be substituted for retention of the original records only for the period subsequent to the expiration, cancellation, supersedure or other condition shown in the column "Period to be Retained." Thus, for Item 9(e) of Appendix A, microfilms are not acceptable for current contracts; however, they are acceptable for expired or cancelled contracts, the retention period for which is three years after expiration or cancellation.

c) Absence of an "M" indicator, as explained above, indicates that microfilms may not be substituted for retention of the records described.

d) Prior to photographing, the records shall be so prepared, arranged, classified and identified as to readily permit the subsequent location, examination and reproduction of the photographs thereof. Any significant characteristic, feature or other attribute of the original records which photography would not reflect clearly (e.g., that the record is a copy or that certain figures thereon are red) shall be so indicated on the records at the time of such arrangement, classification and identification. When a number of the records to be microfilmed have in common such a characteristic or attribute, an appropriate notation identifying the characteristic or attribute may be indicated in a statement at the beginning of the roll of film instead of on each individual record.

e) Each roll of film shall include a microfilm of a certificate or certificates stating that the photographs are direct and facsimile reproductions of the original records and that they have been made in accordance with prescribed instructions. Such certificate or certificates shall be executed by a person or persons having personal knowledge of the facts covered thereby.

f) The photographic matter on each roll shall commence and end with a statement as to the nature and arrangement of the records reproduced, the name of the photographer, and the date. The film shall not be cut between statements. Supplemental or retaken film, whether of misplaced or omitted documents or of portions of a film found to be spoiled or illegible or of other matter, shall be attached to the beginning of the roll; and, in such event, the aforementioned certificate or certificates shall cover also such supplemental or retaken film and shall state the reasons for taking such films.

g) The film stock used and the processing thereof shall comply with the minimum standards of quality required by the Illinois State Records Commission. The utility shall be prepared to furnish, at its own expense, appropriate standard facilities for reading the microfilm; and, if the Illinois Commerce Commission so directs, furnish a facsimile of any record the original of which has been destroyed prior to the expiration of the retention period prescribed in Appendix A.

h) The microfilm shall be indexed and retained in such manner as will render them readily accessible and identifiable. They shall be stored in such manner as to provide reasonable protection from hazards such as fire, flood, theft, etc. The films should be cared for in such manner as to prevent cracking, breaking, splitting, etc.

i) Photographic reproduction is not limited to the microfilm process. With Illinois Commerce Commission approval, other reproduction techniques, comparable or better in quality than microfilming, may be used.

83 Ill. Adm. Code 510.60 Destruction of Records

The destruction of the records permitted to be destroyed under the provisions of this Part may be performed in any manner elected by the public utility concerned. Precautions should be taken, however, to macerate or otherwise destroy the legibility of records, the content of which is forbidden by law to be divulged to unauthorized persons.

83 Ill. Adm. Code 510.70 Premature Destruction or Loss of Records

When any records are destroyed before the expiration of the prescribed period of retention, a certified statement listing, as far as may be determined, the records destroyed and describing the circumstances of accidental or other premature destruction shall be filed with the Illinois Commerce Commission within ninety (90) days from the date of discovery of such destruction. Discovery of loss of records is to be treated in the same manner as in the case of premature destruction.

83 Ill. Adm. Code 510.80 Retention Periods Designated "destroy at Option"

Use of the retention period "Destroy at option" in this Part constitutes authorization for such optional destruction under the conditions specified for the particular types of records, unless such records are necessary to satisfy pending regulatory actions or directives.

83 Ill. Adm. Code 510.90 Schedule of Records and Periods of Retention

Appendix A annexed hereto shows the periods of time that designated records shall be preserved, and the records for which microfilms may be substituted therefor, in accordance with the foregoing instructions. It is not intended that more than one copy of any record be retained. See Item 74 of Appendix A for authority to destroy duplicates.

83 Ill. Adm. Code 510.100 "commission"

"Commission," as used hereafter in Appendix A, refers to the Illinois Commerce Commission.

83 Ill. Adm. Code 510.APPENDIX A Schedule of Records and Periods of Retention

Description of Records

Period to be Retained

CORPORATE AND GENERAL

Capital stock records:

(a)

Capital stock ledgers or other records showing the same information.

7 years after the stockholder's account is closed. (See NOTE 1.)

(M)

(b)

Capital stock subscription accounts, warrants, requests for allotments and other essential papers related thereto.

3 years after settlement.

(M)

(c)

Stubs or similar records of capital stock certificate issuance where not used as capital stock ledger records.

7 years after cancellation of certificate. If this record serves the purpose of a capital stock ledger, 1(a) is applicable.

(M)

(d)

Stock transfer registers.

7 years after last entry on page or sheet of the record.

(M)

(e)

Papers pertaining to or supporting transfers of capital stock.

3 years after transfer.

(M)

(f)

Cancelled capital stock certificates, where not used as capital stock ledger records.

7 years after cancellation. If this record serves the purpose of a capital stock ledger, 1(a) is applicable.

(M)

(g)

Change of address notices of stockholders.

Destroy at option after changes are recorded.

(M)

(h)

Bonds of indemnity and affidavits covering issuances of stock certificates to replace lost certificates.

7 years after expiration of bonds.

(M)

(i)

Letters, notices, reports, statements and other communications distributed to all stock holders of a particular class:

(1)

Formal communications addressed to all stockholders of a particular class, including notices of annual and special meetings of stockholders, and other notices, letters, reports or statements relating to corporate or stockholder actions.

10 years.

(M)

(2)

Interim reports of operations, speeches of corporate officers, notices of change of corporate address or telephone numbers, etc.

Destroy at option.

(M)

(j)

Dividend check registers, lists or similar records.

3 years.

(M)

(k)

Dividend checks.

3 years.

(M)

(l)

Third party dividend orders.

6 years after rescission order.

(M)

NOTE 1

For the purposes of this Part, a stockholder's account may be treated as a closed account at the time that such stockholder ceases to be a holder of record of the particular class of stock of the utility and the 7-year retention period prescribed herein shall run from that date. If such person subsequently acquires shares of capital stock of the utility and thus again becomes a stockholder of the utility, the record of such acquisition shall be treated as a new stockholder account.

Description of Records

Period to be Retained

Debt security records: (See NOTE 2.)

(a)

Registered bond and debenture ledgers.

3 years after redemption.

(M)

(b)

Bond and debenture subscription accounts, warrants, subscription notices, requests for allotment and essential papers related thereto.

3 years after settlement.

(M)

(c)

Stubs or similar records of bond and debenture certificates issued.

3 years after redemption.

(M)

(d)

Bond transfer registers and papers pertaining to or supporting transfers of registered bonds and debentures.

3 years after transfer.

(M)

(e)

Records of bond and debenture interest coupons paid and unpaid.

Destroy at option in compliance with NOTE 3.

(M)

(f)

Cancelled bonds and debentures and paid and unpaid interest coupons pertaining thereto.

Destroy at option in compliance with NOTE 3.

(g)

Authorization of holder to convert into other securities.

7 years after conversion

(M)

(h)

Trust indentures, loan agreements or other contracts or agreements securing debt securities issued.

7 years after redemption.

(ME)

(i)

Copy of reports, statements, letters or memoranda filed with Trustee(s) pursuant to provisions of trust indenture or other security instrument or agreement securing debt securities issued.

7 years after redemption, but see NOTE 4.

(M)

(j)

Paid or cancelled debt securities evidencing temporary borrowings.

Destroy at option.

(M)

(k)

Interest checks

3 years.

(M)

NOTE 2

The terms "bonds" and "debentures," as used in this Item, shall include all debt securities, such as bonds, debentures or notes other than debt securities which evidence temporary borrowings and which are expected to be repaid out of the proceeds of the sale of longer term securities. Typical of such temporary debt securities as described in Item 2(j) would be notes issued to banks evidencing temporary working capital and construction loans.

NOTE 3

Cancelled bonds and debentures and interest coupons pertaining thereto, and records of bond and debenture interest coupons, may be destroyed; provided that a certificate of destruction giving full descriptive reference to the destroyed, cancelled bonds and debenture and interest coupons pertaining thereto, and to the records of bond and debenture interest coupons, shall be made by the person or persons authorized to perform such destruction, and such certificate of destruction shall be retained by the utility for the period herein prescribed.

The certificate evidencing the destruction of interest coupons pertaining to bonds or debentures need not contain a listing of the bond or debenture serial numbers pertaining to such interest coupons.

When documents represent debt secured by mortgage, the certificate of destruction shall also be authorized by a representative of the Trustee(s) acting in conjunction with the person or persons destroying the documents or shall have the Trustee(s') acceptance thereon.

While the certificate of destruction above described may not be destroyed earlier than seven (7) years after the payment and discharge of the bonds, debentures or interest coupons described in such certificate, it may be microfilmed at the option of the utility and such microfilm substituted for the original document.

NOTE 4

Destroy at option provided that the Trustee(s) under such indenture or security instrument is a National Bank, a member of the Federal Reserve System or a subsidiary of any such National Bank or Federal Reserve System member bank; and, provided further, that the Trustee(s) has certified to the utility that copies of all such documents will be available in the offices of the trustee(s) for inspection at any time prior to redemption by holders of debt securities to which such documents relate and for inspection by an Federal or State regulatory authority prior to redemption and for an additional period of seven (7) years after redemption.

Description of Records

Period to be Retained

Authorizations from regulatory bodies for issuance of securities:

(a)

Copy of applications to regulatory bodies for authority to issue stocks, bonds and other securities, including a copy of exhibits in support of such applications.

Until all securities covered by a specific authorization are retired.

(M-10)

(b)

Official copy of opinions and orders of regulatory bodies granting authorize to issue securities.

Until all securities covered by a specific authorization are retired.

(M-10)

(c)

Reports filed with regulatory bodies in compliance with authorizations to issue securities, including supporting papers. (Reports of sales of securities, application of proceeds, etc.)

Until all securities covered by a specific authorization are retired.

(M-10)

Copy of registration statements and other data filed with the Securities and Exchange Commission:

(a)

In connection with offerings of securities for sale to the public, or the listing of securities on exchanges, including supporting papers.

Until all securities covered by a specific authorization are retired.

(M-10)

(b)

Copy of periodic reports and supporting papers filed in compliance with either the Securities Act of 1933 (15 U.S.C. 77a et seq.) or the Securities Exchange Act of 1934 (15 U.S.C. 78a et seq.).

Permanently.

(M-10)

Proxies and voting lists:

(a)

Proxies of holders of voting securities.

1 year.

(M)

(b)

Corporate charters or certificates of incorporation.

1 year.

(M)

Minute books of stockholders', directors', and directors' committee meetings.

Permanently.

(M-25)

Titles, franchises and licenses:

(a)

Deeds and other title (including abstracts of title and supporting data).

6 years after property is disposed of unless surrendered to transferee.

(b)

Corporate charters or certificates of incorporation.

Permanently.

(c)

Legal documents in connection with mergers, consolidations, reorganizations, receiverships, and similar actions, affecting the identity or organization of the utility.

Permanently.

(d)

By-laws.

Permanently.

(e)

Franchises and certificates authorizing operations as a public utility.

Permanently.

(f)

Licenses (including amendments thereof) granted by Federal of State authorities for construction and operation of utility plant.

Permanently.

(g)

Copy of formal orders of regulatory commissions served upon the utility.

Permanently.

Permits:

(a)

Permits and granted applications for the use of facilities of others.

6 years after expiration or cancellation.

(ME)

(b)

Copy of permits and applications granted others for the use of the utility's facilities.

6 years after expiration or cancellation.

(ME)

(c)

Applications for the use of facilities not granted and copy of such applications.

Destroy at option.

(M)

(d)

Permits, and applications therefore, of a temporary nature from municipalities or others to perform specific work, such as permits to open streets.

Destroy at option.

(M)

Contracts and agreements (except contracts provided for elsewhere):

(a)

Service contracts, such as for management, accounting, financial, legal and other such services.

6 years after expiration or cancellation.

(ME)

(b)

Contracts with other gas utilities for the purchase, sale or interchange of gas.

6 years after expiration or cancellation.

(ME)

(c)

Leases pertaining to rentals of property to or from others.

6 years after expiration or cancellation.

(ME)

(d)

Contracts and agreements with individual employees, labor unions, company unions, and other employee organizations relative to wage rates, hours and similar matters.

3 years after expiration or cancellation.

(ME)

(e)

Contracts, agreements and/or other essential records necessary to the carrying out of the functions of an employee's stock purchase or other type of employee's savings plan or pension plan.

3 years after expiration or cancellation.

(ME)

(f)

Memoranda essential to clarify or explain provisions of contracts and agreements.

For same periods as contacts to which they relate.

(ME)

(g)

Card or book records of contracts, leases and agreements made, showing dates of expirations and of renewals, memoranda of receipts and payments under such contacts, etc.

Destroy at option.

(M)

(h)

Summaries and abstracts of contracts, leases and agreements.

Destroy at option.

(M)

(i)

Contracts or agreements for the acquisition or disposal of investments. (Excluding temporary cash investments.)

6 years after expiration or cancellation.

(ME)

(j)

Contracts, agreements and records related thereto pertaining to patents, copyrights and licensing thereof.

6 years after expiation or cancellation.

(ME)

General and Subsidiary ledgers:

(a)

General ledgers and ledgers subsidiary or auxiliary to general ledgers, except ledgers provided for elsewhere.

Permanently.

(M-20)

(b)

Indexes to general ledgers and subsidiary ledgers except ledgers provided for elsewhere.

Permanently.

(M-20)

(c)

Trial balance sheets of general and subsidiary ledgers or equivalent records.

1 year.

(M)

Journals:

General and subsidiary journals, including departmental and divisional journals.

Permanently.

(M-20)

Journal vouchers and journal entries:

(a)

General, departmental, divisional and petty journal vouchers.

Permanently.

(M-20)

(b)

Materials and supplies disbursement, labor distribution, and other detail summarization and distribution records supporting journal vouchers journal entries: (See NOTE 5.)

(M-7)

(1)

Charging plant accounts.

7 years prior to date as of which original cost of plant has been unconditionally determined or approved by the Commission in

(a) an order entered in proceedings initiated for the purpose of making such determination or seeking such approval; or

(b) in an order entered in proceedings initiated pursuant to the provisions of Section 36, 41 or 64 of "An Act concerning public utilities", (Ill. Rev. Stat. 1981, ch. 111⅔, par. 1 et seq.); and, further, that continuing plant inventory records are maintained, and distributions appear in work order records or cost ledger; otherwise, permanently.

(2)

Charging all other accounts.

7 years.

(M)

(c)

Papers forming a part of or necessary to explain journal vouchers or journal entries except as covered in Item 12(b) above.

See Item 12(b)(1) and (2).

(d)

Schedules for recurring journal entries

Destroy when superseded.

(M)

(e)

Lists of standard journal entry numbers.

Destroy when superseded.

(M)

NOTE 5

Time tickets and material issued and material returned tickets may be destroyed at option if the basic information contained thereon is transcribed to other records, if such other records are retained in accordance with Item 12 of this Appendix. Basic information as regards time tickets includes, as a minimum, for the purposes of Item 12, hours worked and distribution of time to proper job or account. For material issued and material returned tickets, basic information includes, as a minimum, for the purposes of Item 12, identification of material by code or otherwise, quantity and distribution to proper job or account.

Description of Records

Period to be Retained

Cash books:

(a)

Treasurers' and auditors' general cash books.

3 years.

(M)

(b)

Cash books subsidiary or auxiliary to general cash books except those showing solely collections from customers.

3 years.

(M)

(c)

Subsidiary cash records showing solely customers' collections.

2 years.

(M)

(d)

Other cash records of a memorandum nature.

6 months.

(M)

Voucher registers of similar records showing the account distribution of payments made by voucher

See Items 12(b)(1) and (2).

Vouchers:

(a)

Paid and cancelled vouchers, analysis sheets showing detailed distribution of charges on individual vouchers and other supporting papers.

See Item 12 (b)(1) and (2).

(b)

Original bills and invoices for materials, services, etc., paid by voucher or otherwise.

See Item 12(b)(1) and (2).

(c)

Checks and receipts for payments by voucher or otherwise.

3 years.

(M)

(d)

Authorizations for the payment of specific vouchers.

See Item 12(b)(1) and (2).

(e)

Lists of unaudited bills (accounts payable), lists of vouchers transmitted, memoranda regarding changes in unaudited bills.

Destroy at option.

(M)

(f)

Voucher indexes

6 years.

(M)

Accounts receivable: (See Items 42 and 43 for accounts with customers for gas service and for merchandise sales.)

(a)

Records, registers, detail ledgers, related indexes thereto and summaries of distribution, including accounts receivable records pertaining to sales of utility plant.

6 years.

(M)

(b)

Accounting department copy of invoices issued and supporting papers which do not accompany the original invoices and authorizations for charges including supporting papers.

3 years.

(M)

(c)

Periodic statements of unsettled accounts and trial balances.

1 year.

(M)

(d)

Schedule of invoices to be issued.

Destroy at option.

(M)

Records of securities owned, in treasury, or with custodians.

6 years.

(M)

Insurance records:

(a)

Records of insurance policies in force, showing coverage, premiums paid and expiration dates.

Destroy at option after expiration of such policies.

(M)

(b)

Records of self-insurance against losses from fire or other casualty, and damages to property of others or to persons.

Destroy at option.

(M)

(c)

Detailed schedules or spread sheets of monthly insurance charges to operating expenses and other accounts.

Destroy at option.

(M)

(d)

Detailed schedules of monthly accruals for self-insurance.

Destroy at option.

(M)

(e)

Insurance policies.

Until liability of insurance company has expired.

(ME)

(f)

Records of amounts recovered from insurance companies in connection with losses and of claims against insurance companies, including reports of losses and supporting papers.

1 year after settlement or recovery.

(M)

(g)

Inspectors' reports and records of condition of property.

1 year after supersedure.

(ME)

(h)

Reports of minor losses not covered by insurance or less than minimum amount collectable.

Destroy at option.

(M)

(i)

Insurance maps of property and structures erected thereon.

Until superseded or property is disposed of.

(ME)

(j)

Records and statements relating to insurance requirements.

Destroy at option.

(M)

Tax Records:

(a)

Copy of schedules, returns and supporting working papers to taxing authorities and records of appeals:

(1)

Federal income, excess profits, undistributed income, and capital stock taxes.

10 years after settlement.

(ME)

(2)

State income taxes and state or local property taxes.

10 years after settlement.

(ME)

(3)

Other taxes.

10 years after settlement.

(ME)

(4)

Schedule of allocation of consolidated federal income taxes to subsidiary companies.

10 years after allocation.

(ME)

(5)

Records of annual determinations of deferred taxes on income, annual determinations of accounting adjustments for "reserve deferrals" of deferred taxes on income together with basic computations and records of annual plant additions and retirements and adjustments on which deferred tax accounting entries are based. (See NOTE 6.)

6 years after absorption of deferred credits.

(ME)

(b)

Tax bills from taxing authorities and receipts for payment.

See Item 12(b)(1) and (2).

(c)

Summaries of taxes paid by classes of taxes and by location.

6 years.

(M)

(d)

Summaries of taxes paid by taxing districts.

6 years.

(M)

(e)

Schedules of monthly accruals by classes of taxes and supporting papers showing how estimates of taxes to be paid were determined.

Destroy at option.

(M)

(f)

Restatements of schedules of taxes paid after giving effect to refunds and additional assessments.

6 years.

(M)

NOTE 6

For the purposes of this Part, "deferred taxes" and "deferred tax accounting" embrace provision for "future taxes on income," "prepaid taxes on income," or any other accounting procedure which attributes a tax on income to a year or years other than that of the specific year's tax return determining the tax liability.

Description of Records

Period to be Retained

Accountants' and auditors' reports:

(a)

Reports of examinations and audits by accountants and auditors not in the regular employ of the utility. (Including reports of public accounting firms and Commission accountants.)

25 years.

(M-10)

(b)

Internal audit reports and working papers.

3 years.

(M)

Tabulating machine and automatic data processing records (not including billing machine records):

(a)

Printed sheets or tapes showing the details and summaries of accounting data indicated on punched cards or tapes.

See Item 12(b)(1) and (2).

(b)

Punched cards or tapes including instructions and wiring diagrams used in assembling figures to be posted to an account.

Destroy at option if printed sheets or tapes are preserved; otherwise, see Item 12(b)(1) and (2).

PLANT AND ACCUMULATED PROVISION FOR

DEPRECIATION, DEPLETION AND AMORTIZATION

Plant ledgers:

(a)

Ledgers of utility plant accounts, including land and other ledgers, showing the cost of utility plant by prime accounts.

Permanently.

(M-20)

(b)

Continuing plant inventory records showing description, location, quantity, cost, etc., of physical units (or items) of utility plant owned.

Until record is superseded or 6 years after plant is retired, provided mortality data are retained as provided in Item 31.

(M)

Construction work in progress ledgers, work orders and supplemental records:

(a)

Construction work in progress ledgers.

See Item 12(b)(1) and (2).

(b)

Work order sheets to which are posted, in summary form or in detail, the entries for labor, materials and other charges for utility plant additions and the entries closing the work orders to utility plant in service at completion.

See Item 12(b)(1) and (2).

(c)

Authorizations for expenditures for additions to utility plant, including memoranda showing the detailed estimates of cost and the bases therefore. (Including original and revised or subsequent authorizations.)

10 years.

(M)

(d)

Requisitions and registers authorizations for utility plant expenditures.

10 years.

(M)

(e)

Completion or performance reports showing comparison between authorized estimates and actual expenditures for utility plant additions.

10 years.

(M)

(f)

Analysis or cost reports showing quantities of materials used, unit costs, number of man-hours, etc., in connection with completed construction projects.

See Item 12(b)(1) and (2).

(g)

Records and reports pertaining to progress of construction work, the order in which jobs are to be completed, and similar records which do not form a basis of entries to the accounts.

Destroy at option.

(M)

Retirement work orders and supplemental records:

(a)

Work order sheets to which are posted the entries for removal cost, materials recovered, and credits to utility plant accounts for cost of plant retired (see Item 31).

See Item 12(b)(1) and (2).

(b)

Authorizations for retirement of utility plant, including memoranda showing the basis for determination of cost of plant to be retired and estimates of salvage and removal costs.

10 years.

(M)

(c)

Registers of retirement work orders.

10 years.

(M)

Summary sheets, distribution sheets, reports, statements, and papers directly supporting debits and credits to utility plant accounts not covered by construction or retirement work orders and their supporting records.

25 years after clearance to plant account, provided continuing plant inventory records are maintained; otherwise, 6 years after plant is retired.

(M-15)

Appraisals and valuations made of the utility's property or investments, or of the property or investments of associated companies. (Including all records essential thereto.)

Until appraisal is superseded or property is disposed of.

(M)

Maps or map reproductions showing the location and physical characteristics of production, transmission and distribution systems of the utility.

Until map is superseded or 6 years after plant is retired, provided mortality data are retained as provided in Item 31.

(M)

Engineering records in connection with construction projects:

(a)

Maps or map reproductions, diagrams, profiles, plans, photographs, records of engineering studies, and similar records in connection with proposed construction projects:

(1)

If construction of project results wholly or in part.

Until record is superseded or 1 year after plant is retired, provided mortality data are retained as provided in Item 31.

(M)

(2)

If construction of project does not result.

Destroy at option after completely accounting for expenses incurred.

(M)

Contracts and other agreements relating to utility plant:

(a)

Contracts or agreements relating to acquisition, sale, or other disposition of operating units or system of utility plant.

Permanently.

(M-15)

(b)

Contracts or agreements relating to services performed in connection with construction or removal of utility plant (including contracts for the construction of plant by others for the utility, and for supervision and engineering relating to construction work).

6 years after plant is retired.

(M-15)

(c)

Contracts or agreements relating to maintenance of plant.

6 years after termination or cancellation of contract or agreement.

(ME)

Records pertaining to reclassification of utility plant accounts to conform to prescribed Uniform System Accounts, including supporting papers showing the bases for such reclassification.

See Item 12(b)(1).

Records supporting computations of depreciation, depletion and amortization expense of utility plant, including accumulated provisions therefore, and such data as life and salvage studies.

See Item 12(b)(1) and (2).

TREASURY

Statements of working funds and deposits:

(a)

Summaries and periodic statements of cash balances on hand and with depositories.

Destroy at option after funds have been returned or accounted for.

(M)

(b)

Statements of managers' and agents' cash balances on hand and with depositories.

Destroy at option after funds have been returned or accounted for.

(M)

(c)

Authorizations for and statements of transfer of funds from one depository to another.

Destroy at option after funds have been returned or accounted for.

(M)

(d)

Requisitions and receipts for funds furnished managers, agents and others.

Destroy at option after funds have been returned or accounted for.

(M)

(e)

Records of fidelity bonds of employees and others responsible for funds of the utility.

Until liability of bonding company has expired.

(M)

Records of deposits with banks and others:

(a)

Bank deposit books.

1 year.

(M)

(b)

Copy of bank deposit slips.

1 year.

(M)

(c)

Advice of deposits made when information thereon is shown on other records which are retained.

Destroy at option.

(M)

(d)

Statements from depositories showing the details of funds received, disbursed, transferred, and balances on deposit.

Destroy at option.

(M)

(e)

Bank reconcilement papers.

1 year.

(M)

(f)

Statements from banks of interest credits.

1 year.

(M)

(g)

Check stubs, registers or other records of checks issued.

3 years.

(M)

(h)

Correspondence and memoranda relating to the stopping of payment of bank checks and to the issuance of duplicate checks.

Destroy at option.

(M)

Records of receipts and disbursements:

(a)

Daily or other periodic statements of receipts or disbursements of funds.

2 years.

(M)

(b)

Records or periodic statements of outstanding vouchers, checks, drafts, etc., issued and not presented.

2 years.

(M)

(c)

Reports showing working funds transactions and summaries thereof.

Destroy at option.

(M)

(d)

Reports of revenue collections by field cashiers, pay stations, etc.

Destroy at option.

(M)

REVENUE ACCOUNTING AND COLLECTING

Customers' service applications and contracts:

(a)

Applications for gas service for which contracts have been executed.

Destroy at option.

(M)

(b)

Applications for gas service used in lieu of contacts.

1 year.

(M)

(c)

Contracts and card files or other records thereof with customers for gas service. (See also Item 9(b).)

1 year after expiration or cancellation.

(ME)

(d)

Applications for gas service which were withdrawn by applicant or not granted by the utility.

1 year.

(M)

(e)

Contracts for the lease of equipment to customers, including receipts for same.

1 year after expiration or cancellation.

(M)

(f)

Applications and contracts for extension of facilities covered by refundable deposits or guarantees of revenue, also records pertaining to such contracts.

1 year after entire amount is refunded.

(M)

(g)

Applications and contracts for extension of facilities for which donations or contributions are made by customers or others.

Permanently.

(M-15)

Rate schedules:

Official file copy of published rate sheets and schedules for gas service.

6 years after supersedure, suspension or expiration.

(ME)

Customers' guarantee deposits:

(a)

Customers' deposit ledgers or card records.

6 years after refund.

(ME)

(b)

Customers' deposit certificate books.

6 years after refund.

(ME)

(c)

Receipts for customers' deposits refunded.

6 years after refund.

(ME)

(d)

Receipts for interest on customers' deposits.

6 years after refund.

(ME)

(e)

Records of customers' deposits unclaimed.

7 years.

(M)

Meter reading sheets and records:

(a)

Superseded meter reading sheets.

Destroy at option if data are recorded on customers' ledger and retained as provided in Item 42(a) and (b); otherwise, 2 years.

(M)

(b)

Superseded indexes to meter books.

Ditto.

(c)

Meter reread sheets (special readings to check high or low consumption).

Ditto.

(d)

Customers' reading cards.

Ditto.

(M)

(e)

Meter reading documents used in lieu of meter reading sheets.

Ditto.

(f)

Connection and disconnection orders.

1 year.

(M)

Maximum demand charts and demand meter record cards.

2 years, except where charts are exchanged with the customer and the basic chart information is transferred to another record the charts need only be retained 1 year provided the record containing the basic data is retained 2 years.

(M)

Miscellaneous billing data:

(a)

Billing department's copy of contracts with customers (in addition to contracts in general file).

Destroy at option.

(M)

(b)

Service and inspection orders on which customers are charged and sundry charge advices.

1 year.

(M)

(c)

Authorizations for charges under gas service contracts.

1 year after expiration of contract.

(ME)

(d)

Standard billing sheets or schedules (showing computed bills of varying consumption according to rates).

Destroy at option.

(M)

Revenue summaries:

(a)

Summaries of monthly operating revenues according to classes of service of entire gas utility.

3 years.

(M)

(b)

Summaries of monthly operating revenues according to classes of service by towns, districts or divisions. (Including summaries of forfeited discounts and penalties.)

3 years.

(M)

Customers' ledgers and other records used in lieu thereof:

(a)

Customers' ledgers.

2 years.

(M)

(b)

Records used in lieu of customers' ledgers, such as bill summaries, registers, bill stubs, meter reading books, etc.

2 years.

(M)

(c)

Copy of large bills:

(1)

If details are transcribed to ledgers covered by Item 42(a) above.

Destroy at option.

(M)

(2)

If details are not transcribed to ledgers.

2 years.

(M)

(d)

Trial balances of ledgers referred to above.

1 year.

(M)

(e)

Indexes to customers' accounts.

2 years.

(M)

(f)

Change of address notices from customers.

Destroy at option after changes are recorded.

(M)

(g)

Cards and other records relating to forfeited discounts.

2 years.

(M)

Merchandise sales – accounting and collecting:

(a)

Contracts or sales agreements with customers and others for the sale or lease of merchandise.

1 year after expiration or cancellation.

(M)

(b)

Merchandise sales tickets and charge slips for work done.

Destroy at option.

(M)

(c)

Merchandise sales journals or registers and summaries of sales.

2 years.

(M)

(d)

Merchandise ledgers, installment records, and indexes thereto.

1 year after completion of payment.

(ME)

(e)

Merchandise sales return and adjustment tickets.

Destroy at option.

(M)

(f)

Cashiers' stubs for merchandise collections.

6 months.

(M)

(g)

Cashiers' periodic reports and statements of collections on merchandise accounts.

1 year.

(M)

(h)

Records of monthly statements to customers

Destroy at option.

(M)

(i)

Reports relating to status of merchandise accounts receivable.

1 year.

(M)

(j)

Job orders and supporting details of charges to customers for work done.

1 year.

(M)

(k)

Trial balances of merchandise ledgers.

1 year.

(M)

Collection reports and records:

(a)

Periodic reports, lists and summaries of collections of operating revenues by collectors, agents and general, local, divisional or district offices. (See Item 34(d).)

Destroy at option.

(M)

(b)

Bill stubs, copy of bills, collection slips and other records pertaining to collections, summarized or detailed in daily or periodic cash reports.

6 months.

(M)

(c)

Memorandum records of remittances from local or branch offices. (See Item 33 which pertains to all bank accounts, whether at general, local, divisional or district offices.)

1 year.

(M)

Customers' account adjustments:

(a)

Detailed records pertaining to adjustments of customers' accounts for overcharges, undercharges, and other errors, results of which have been transcribed to other records.

1 year.

(M)

(b)

Detailed records of high-bill complaints whether or not resulting in adjustments to customers' accounts.

1 year.

(M)

Uncollectible accounts and customers' credit records:

(a)

Records of ratings, credit classifications, and investigations of customers.

Destroy at option.

(M)

(b)

Ledger accounts and supporting details of customers' accounts considered to be uncollectible.

For period legally collectible.

(M)

(c)

Reports and statements showing age and status of customer's accounts.

1 year.

(M)

(d)

Data on unpaid final bills.

1 year.

(M)

(e)

Authorizations for writing off customers' accounts.

3 years.

(M)

PAYROLL AND PERSONNEL RECORDS

Payroll Records:

(a)

Payroll sheets or registers of payments of salaries and wages to individual officers and employees. (See Item 47(k), below, for pension or annuity payrolls, and Item 23(b) for construction payrolls.)

4 years.

(M)

(b)

Records showing the distribution of salaries and wages paid to officers and employees for each payroll period and summaries or recapitulation statements of such distribution.

See Item 12(b)(1) and (2).

(c)

Time tickets, time sheets, time books, time cards, workmen's reports and other records showing hours worked, description of work, and accounts to be charged.

See Item 12(b)(1) and (2).

(d)

Payroll checks, receipts for wages paid in cash, and other evidences of payment for services rendered by employees.

1 year.

(M)

(e)

Receipts for payrolls and pay checks delivered to paymasters or other employees for distribution.

Destroy at option.

(M)

(f)

Applications and authorizations for changes in wage and salary rates, summaries and reports of changes in payrolls, and similar records.

3 years.

(M)

(g)

Applications for payroll changes not authorized.

Destroy at option.

(M)

(h)

Payroll authorizations and records of authorized positions.

3 years.

(M)

(i)

Records of authorizations for deductions from payroll.

1 year after expiration or supersedure.

(ME)

(j)

Comparative or analytical statements of payrolls.

Destroy at option.

(M)

(k)

Pension or annuity payrolls.

4 years.

(M)

(l)

Pension or annuity pay checks.

1 year.

(M)

(m)

Employee's individual earnings record.

4 years.

(M)

Assignments and wage deduction orders:

(a)

Record of assignments and wage deduction orders, including files of orders, notices, etc., pertaining thereto.

Destroy at option.

(M)

(b)

Minor's salary releases.

Destroy at option.

(M)

Personnel records:

(a)

Employee's service records, length of service, and other pertinent data.

3 years after termination of employment.

(ME)

(b)

Applications for employment, requests for medical examination, medical examiner's report, photographs, and other identification records and other miscellaneous records pertaining to the hiring of employees.

Destroy at option.

(M)

Employees' welfare and pension records:

(a)

Records pertaining to costs of employees' recreational, educational, hospital benefit, accident prevention, and similar activities.

3 years.

(M)

(b)

Detailed records showing computations of accruals for pension liabilities.

25 years.

(M-3)

Instructions to employees and others:

(a)

Bulletins or memoranda of general instructions issued by the utility to employees pertaining to changes in accounting, engineering, operating, maintenance and construction policies, methods and procedures.

6 years after expiration or supersedure.

(ME)

(b)

Notices to employees on matters of discipline, deportment, and other similar subjects.

Destroy at option.

(M)

Organization diagrams and charts.

Destroy at option.

(M)

PURCHASES AND STORES

Purchases:

(a)

Advices or requisitions from storekeeper and others for the purchase of materials and supplies or services.

Destroy at option.

(M)

(b)

Bids received from vendors in connection with the purchase of materials and supplies.

3 years.

(M)

(c)

Purchase orders and specifications of materials ordered.

3 years.

(M)

(d)

Contracts for the purchase of materials and supplies:

(1)

Contracts for materials directly charged to plant accounts.

See Item 12(b)(1).

(2)

Contracts for other material.

See Item 12(b)(2).

(e)

Purchasing department copy of invoices for materials and supplies.

Destroy at option.

(M)

(f)

Registers or similar records of invoices.

3 years.

(M)

(g)

Price records or indexes of purchases.

Destroy at option.

(M)

(h)

Advices from vendors acknowledging receipt of orders for materials and supplies, notices of shipment, packing slips and copy of bills of lading.

Destroy at option.

(M)

(i)

Receipts or delivery tickets issued for materials and supplies received in installments and subsequently surrendered with and in support of invoices or bills covering complete purchases.

Destroy at option.

(M)

(j)

Demurrage or car records showing periods freight cars as held on company sidings.

Destroy at option.

(M)

(k)

Copy of notices to vendors for materials and supplies returned for credit or repair.

Destroy at option.

(M)

(l)

Lists or records of invoices transmitted to or from storekeepers.

Destroy at option.

(M)

(m)

Records and reports used for checking and tracing materials and supplies covered by invoices provided for in Item 53(e) above.

Destroy at option.

(M)

Material ledgers:

(a)

Ledger sheets and card records of materials and supplies received, issued, and on hand.

3 years, except that material account distributions are to be preserved in accordance with Item 12(b)(1) and (2).

(M)

(b)

Statements of materials and supplies on hand, per ledgers.

3 years.

(M)

Materials and supplies received and issued:

(a)

Records and reports pertaining to receipt of materials and supplies.

3 years.

(M)

(b)

Records of inspecting and testing materials and supplies.

Destroy at option.

(M)

(c)

Records showing the detailed distribution of materials and supplies issued during accounting periods.

See Item 12(b)(1) and (2).

(d)

Material disbursement tickets showing quantities, unit prices, and accounts to be charged for materials and supplies issued from stores for use.

See Item 12(b)(1) and (2).

(e)

Materials returned credit slips, showing details of materials returned to stock.

See Item 12 (b)(1) and (2).

(f)

Requisitions and receipts for materials and supplies issued, the details of the issue being set forth in the material disbursement tickets.

Destroy at option.

(M)

(g)

Records and reports of materials and supplies transferred from one department, storeroom or division to another.

Destroy at option.

(M)

(h)

Records and reports of materials recovered and returned to stock if transcribed to records covered by Item 55(c) above.

Destroy at option.

(M)

(i)

Records and reports of materials and supplies issued to individuals or gangs of employees to be accounted for when used or returned to stock.

Destroy at option after being accounted for.

(M)

(j)

Minor records and reports pertaining to materials and supplies not involving costs or final disposition, such as reports of unfilled requisitions, authorizations for additions to stock and similar records; also, storeroom copy of purchase orders and price records, other copies being retained in files of purchasing department.

Destroy at option.

(M)

Records of sales of scrap and materials and supplies:

(a)

Authorizations for sale of scrap and materials and supplies.

3 years.

(M)

(b)

Contracts for sale of scrap and materials and supplies.

3 years.

(M)

(c)

Memoranda pertaining to sale of scrap and materials and supplies.

Destroy at option.

(M)

Inventories of materials and supplies:

(a)

General inventories of materials and supplies on hand with records of adjustments of accounts required to bring stores records into agreement with physical inventories.

3 years.

(M)

(b)

Stock cards, inventory cards, and other detailed records pertaining to the taking of inventories if abstracted into records covered by Item 57(a) above.

Destroy at option.

(M)

(c)

Minor inventories of materials and supplies on hand if not reflected in adjustments of accounts.

Destroy at option.

(M)

OPERATIONS

Production:

(a)

Boiler and gas machine logs, including supporting data.

3 years.

(M)

(b)

Gas generation and output logs with supporting data.

3 years.

(M)

(c)

Temperature and atmospheric pressure logs.

3 years.

(M)

(d)

Coal, coke and oil reports.

3 years.

(M)

(e)

Residual reports.

3 years.

(M)

(f)

Recording instrument charts such as pressure (static and/or differential), temperature, specific gravity, heating value, etc.

3 years, except that where the basic chart information is transferred to another record the charts need only be retained 1 year provided the record containing the basic data is retained 3 years.

(M)

(g)

Tests of heating value at stations and outlying points.

3 years.

(M)

(h)

Records of gas produced, gas purchased, gas sent out and holder stock.

3 years.

(M)

(i)

Analysis of gas produced and purchased, including BTU and sulphur content..

3 years.

(M)

(j)

Records of general inspection and operating tests.

3 years.

(M)

(k)

Well records, including cleaning, bailing, shooting, etc.; records; rock pressure; open flow; production, gas analysis reports, etc.

1 year after field is abandoned.

(l)

Gasoline production.

3 years.

(m)

Gas production, by counties.

Destroy at option.

(n)

Gas measuring records.

3 years.

(o)

Tool records.

3 years.

(p)

Royalty records.

3 years.

Transmission and distribution:

(a)

Transmission line logs.

3 years.

(M)

(b)

Transmission and distribution department load dispatching operating logs.

3 years.

(M)

(c)

Service interruption logs and reports.

3 years.

(M)

(d)

Records of general inspections and operating tests.

3 years.

(M)

(e)

Reports on inspections and repairs

3 years.

(M)

(f)

Apparatus failure reports.

3 years.

(M)

(g)

Customer meter history records:.

(M)

(1)

Customer meter test records.

2 years.

(M)

(2)

Records of meter location, including date of installation.

Until superseded.

(M)

(3)

Meter repair records.

2 years.

(M)

(4)

Records of meter type and capacity.

For the life of the meter.

(M)

(5)

Other meter history record data such as purchase date, source, final disposition, etc.

Destroy at option provided mortality data are retained as provided in Item 31.

(M)

(h)

Meter shop reports (periodic reports summarizing tests, repairs, etc.)..

3 years.

(M)

(i)

Gas measuring records..

3 years.

(M)

(j)

Transmission line operating reports.

3 years.

(M)

(k)

Compressor operation reports.

3 years.

(M)

(l)

Gas pressure reports.

3 years.

(M)

(m)

Recording instrument charts such as pressure (static and differential), temperature, specific gravity, heating value, etc.

3 years, except that where the basic information is transferred to another record the charts need only be retained 1 year provided the record containing the basic chart data is retained 3 years.

(n)

Transformer history records.

For the life of the transformer.

(M)

(o)

Records of transformer inspections, oil tests, etc.

Destroy at option.

(M)

(p)

Pole, tower, structure, equipment and other history records.

For the life of the equipment.

(M)

Not applicable.

Customers' service:

(a)

Reports of inspecting and testing on customer's premises.

3 years.

(M)

(b)

Records and reports of customers' service complaints.

3 years.

(M)

(c)

Survey of customers' premises to determine type of service and equipment to be installed.

Destroy at option.

(M)

(d)

Records of installed customers' appliances.

Destroy at option.

(M)

Records of auxiliary and other operations:

Records of operations other than gas utility operations.

For the same periods as prescribed in this Part for similar records pertaining to gas operations.

STATISTICS

Statistics and Miscellaneous:

(a)

Periodic financial, operating and statistical reports regularly prepared in the course of business for internal administrative or operating purposes (and not used as the basis for entries to the accounts of the utility) to show the results of gas operations and the financial condition of the utility.

3 years.

(M)

(b)

All other statistical reports (not covered elsewhere in this Part) prepared for internal administrative or operating purposes only and not used as the basis for entries to the accounts of the utility.

Destroy at option.

(M)

Reports to stockholders:

(a)

Annual reports or statements to stockholders and essential supporting papers.

Permanently.

(b)

Written acknowledgments of receipts of reports to stockholders and written requests for copies of such reports.

Destroy at option.

(M)

Reports to Federal and State regulatory commissions:

(a)

Annual financial, operating and statistical reports and essential supporting papers.

Permanently.

(b)

Monthly and quarterly reports of operating revenues, expenses and statistics and essential supporting papers.

3 years after current year.

(M)

(c)

Special or periodic reports and essential supporting papers on the following subjects:

(1)

Transactions with associated companies.

3 years.

(M)

(2)

Budgets of expenditures.

3 years.

(M)

(3)

Accidents.

3 years.

(M)

(4)

Employees and wages.

3 years.

(M)

(5)

Loans to officers and employees.

3 years after fully paid.

(ME)

(6)

Issues of securities.

Until all securities covered are retired.

(M)

(7)

Purchases and sales of gas properties.

Permanently

(M)

(8)

Service interruptions.

6 years.

(M)

Tabulating cards, tapes, etc., used only in compilation of statistics, when the results are transcribed to other records covered by this Part. (See Item 21.)

Destroy at option after appropriate summaries have been made.

(M)

MISCELLANEOUS

Maintenance work orders and job orders:

(a)

Authorizations for expenditures for maintenance work to be covered by work orders, including memoranda showing the estimates of costs to be incurred.

3 years.

(M)

(b)

Work order sheets to which are posted in detail the entries for labor, material and other changes in connection with maintenance and other work pertaining to the utility's operations.

3 years.

(M)

(c)

Summaries of expenditures on maintenance work orders and job orders and clearances to operating and other accounts (exclusive of plant accounts).

3 years.

(M)

Budgets and other forecasts of estimated future income, receipts and expenditures in connection with financing, construction, operations, and acquisitions or dispositions of properties or investments by the utility and its associated companies, prepared for internal administrative or operating purposes, including revisions of such estimates and memoranda showing reasons for revisions; also records showing comparison of actual income and receipts and expenditures with estimates.

Destroy at option.

(M)

Injuries and damages:

(a)

Claim registers, card or book indexes and similar records in connection with claims presented against the utility in connection with accidents resulting in damage to the property of others or personal injuries.

2 years after settlement.

(M)

(b)

Papers, reports, statements of witnesses, etc., necessary to support or rejection of individual claims against the utility.

2 years after settlement.

(M)

(c)

Other papers, reports or statements pertaining to accidents, resulting in property damages or personal injuries, not necessary to the support or rejection of claims.

Destroy at option.

(M)

(d)

Detailed schedules or spread sheets of payments to others for personal injuries or for property damages.

2 years after settlement.

(M)

(e)

Detailed schedules of periodic accruals to reserves for injuries and damages or for self-insurance.

Destroy at option.

(M)

Correspondence:

(a)

Correspondence and indexes thereto relating to subjects covered by other items of this Part.

For the period prescribed for the item to which it relates where necessary to a proper explanation of same; otherwise, destroy at option.

(M)

(b)

Stenographers' notebooks and dictaphone or other mechanical device records.

Destroy at option.

(M)

(c)

Mailing lists of prospects for appliance sales, securities, etc.

Destroy at option.

(M)

Legal opinions and advice, pleadings, briefs, etc., relating to judicial proceedings; information furnished pursuant to subpoena or other legal requirements; copy of applications, complaints, etc., and other legal papers in proceedings before regulatory, taxing and other governmental authorities.

For the period prescribed for the item to which it relates.

Other miscellaneous records:

(a)

Reports of unclaimed items such as customers' deposits, employees' wages, dividends, etc., paid to the State of Illinois.

3 years.

(M)

(b)

Copy of advertisements by the utility in behalf of itself or any associated company in newspapers, magazines and other publications including records thereof. (Excluding advertising of product, appliances, employment opportunities, services, territory, routine notices and invitations for bids for securities, all of which may be destroyed at option.)

3 years.

(M)

(c)

Receipts and records pertaining to delivery of articles to employees, such as badges, keys and material receipt books.

Destroy at option.

(M)

(d)

Records of building space occupied by various departments of the utility.

Destroy at option.

(M)

(e)

Indexes of forms used by the utility.

Destroy at option.

(M)

(f)

Transmittal lists or forms used for indicating papers and records forwarded from one department to another, provided such lists do not contain data affecting the accounts of the utility.

Destroy at option.

(M)

Records of predecessors and former associates.

For the same periods as prescribed elsewhere in this Part for similar records of the utility, except that all such records may be destroyed at option after:

(a) Records of utility plant acquired have been established.

(b) Original cost of the acquired plant has been unconditionally approved by the Commission.

(c) Acquisition adjustment entries, including proposed or required amortizations, have been approved by the Commission.

Duplicate accounts, records and memoranda:

Duplicates, either in whole or in part, of accounts, forms, reports, correspondence and other records listed herein, when all significant information on the duplicate is shown on the original or other copy or on other records retained for the period prescribed in this Part.

Destroy at option.

(M)

Chapter I ILLINOIS COMMERCE COMMISSION SUBCHAPTER d: GAS UTILITIES

Part 512 Obligations of Alternative Gas Suppliers

83 Ill. Adm. Code 512.10 Definitions

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

"Alternative gas supplier" or "AGS" means Alternative Gas Supplier as defined in Section 19-105 of the Act.

"AGS sales agent" means "sales agent" as defined in Section 19-105 of the Act (220 ILCS 5/19-105). "AGS sales agent" does not include any agent, broker or consultant that is acting as agent for the customer and not soliciting enrollments on behalf of any individual AGS.

"Commission" means the Illinois Commerce Commission.

"Commission Approved Savings Guarantee Plan" means a savings guarantee plan offered to recipients of Low Income Home Energy Assistance Program (LIHEAP) funding, Low Income Home Water Assistance Program (LIHWAP) funding, or Percentage of Income Payment Plan (PIPP) funding which is approved by the Commission and which offers natural gas supply to customers at an amount that is less than the utility gas supply price.

"Complaint" means an objection made to an AGS by a customer or other entity as to its charges, facilities or service, the disposal of which complaint requires investigation or analysis.

"Customer," when used without additional modifying language, shall mean small commercial customers and residential customers collectively, as those terms are defined herein.

"Early termination fee" or "ETF" means a fee or penalty for terminating an agreement or contract for natural gas supply products or services provided by the AGS before the end of the contract term.

"Enrollment" means the process by which an AGS in any gas utility service area where customers are able to choose their natural gas supplier submits or executes a change in a customer's selection of a natural gas provider, enters into and effectuates a contract with a customer, and enrolls the consumer as a customer in the residential or small commercial gas transportation service program of the applicable gas utility.

"Fixed rate" means that the per-therm charge for natural gas supply remains the same for the term of the contract.

"Gas utility" means a gas utility as defined in Section 19-105 of the Act.

"Goodwill and institutional advertising" means any advertising either on a local or national basis designed primarily to bring the AGS’ name before the general public in such a way to improve the image of the AGS or to promote the AGS or the industry, and that does not:

contain information about prices, terms, or conditions of retail gas supply products or services offered by an AGS to customers; or

direct or induce customers to sign up for such products or services.

"Inbound enrollment call" means a telephone call to an AGS sales agent initiated by a customer that results in either an enrollment or a change of provision of the customer's natural gas supply service.

"In-person solicitation" means any enrollment attempt initiated or completed when an AGS sales agent is physically present with the customer.

"Letter of Agency" or "LOA" means the document described in Section 19-115(c)(1) of the Act.

"Pending enrollment" means a valid enrollment request has been submitted by an AGS and accepted by a gas utility but the beginning meter reading date upon which the switch will become effective has not yet occurred.

"Public utility" means "public utility" as defined by Section 3-105 of the Act.

"Rescission" or "to rescind" means the cancellation of an agreement or contract with an AGS before the AGS has submitted an enrollment request to the gas utility or within 10 business days after the date on the gas utility’s written notice to the customer confirming the switch.

"Residential customer" means a residential customer as defined in Section 19-105 of the Act.

"Send" or "Sent", when used in this Part to describe the action to be taken by an AGS of sending a document to a customer, may include, if agreed to by the receiving customer, transmission of the document to the customer via electronic delivery (e.g., fax or email).

"Small commercial customer" means small commercial customer as defined in Section 19-105 of the Act.

"Tariffed service" means tariffed service as defined by Section 19-105 of the Public Utilities Act (220 ILCS 5/19-105).

"Third party verification" or "TPV" means the process prescribed by Section 19-115(c)(2) of the Act.

"Transferred call" means any enrollment call to an AGS in which the customer did not directly dial an AGS Sales Agent. This includes calls that originate as live or automated calls to the customer, who then might select an option that results in the call being forwarded to an AGS Sales Agent. "Transferred call" does not include enrollment calls in which the customer directly dials an AGS call center and selects to be forwarded to an AGS Sales Agent from a call center menu or live operator. For purposes of enrollment compliance, transferred calls shall be treated as telemarketing within the meaning of Section 512.130.

"Transportation services" means transportation services as defined by Section 19-105 of the Act.

"Utility assistance recipient" means a utility customer that received financial assistance in the previous 12 months from either the Low Income Home Energy Assistance Program (LIHEAP), Low Income Home Water Assistance Program (LIHWAP), or, at the time of enrollment is participating in the Percentage of Income Payment Plan (PIPP). [220 ILCS 5/19-116]

"Utility gas supply cost" means the price per therm available from the Illinois Commerce Commission website applicable at the time the AGS offers or sell the products or services to the customer, including the date the price became effective and the date the price will expire.

"Variable rate" means that the per-therm charge for natural gas supply is subject to change during the term of the contract.

"Written" or "in writing" means a paper copy. When this Part requires information to be "written" or "in writing", an electronic copy satisfies that requirement so long as both the AGS and the customer have agreed to electronic communication.

83 Ill. Adm. Code 512.15 Compliance

Each AGS shall be in full compliance with each requirement set forth in this Part on or before May 1, 2023 unless the Commission grants an extension of time to an AGS for cause. Nothing in this Part modifies or limits compliance by the AGS with any requirement set forth in Public Act 101-590.

83 Ill. Adm. Code 512.30 Waiver

a) The Commission, on application or petition of an AGS or gas utility, may grant a temporary or permanent waiver from this Part, or any applicable subsections contained in this Part, in individual cases in which the Commission finds:

1. the provision from which the waiver is granted is not statutorily mandated;

2. no party will be injured by the granting of the waiver; and

3. the rule from which the waiver is granted would, as applied to the particular case, be unreasonable or unnecessarily burdensome.

b) The burden of proof in establishing a right to a waiver shall be on the party seeking the waiver.

83 Ill. Adm. Code 512.40 Alternative Gas Supplier Utility Assistance Recipient

An AGS shall not knowingly submit an enrollment to change a customer’s natural gas supplier if the gas utility’s records indicate that the customer received financial assistance in the previous twelve months from either the Low Income Home Energy Assistance Program (LIHEAP), Low Income Home Water Assistance Program (LIHWAP), or at the time of enrollment the customer is participating in the Percentage of Income Payment Plan (PIPP) unless the enrollment is pursuant to a Commission Approved Savings Guarantee Plan. [220 ILCS 5/19-116(a)] An agreement entered into between an AGS and a customer in violation of Section 19-116 of the Act is void and unenforceable.

83 Ill. Adm. Code 512.80 Application of Subpart B

The provisions of this Subpart shall only apply to an AGS serving or seeking to serve residential or small commercial customers, and only to the extent that an AGS provides services to residential or small commercial retail customers.

83 Ill. Adm. Code 512.100 Marketing Materials

a) All marketing materials, including but not limited to electronic marketing materials, in-person solicitations, and telephone solicitations, concerning prices, terms, and conditions of retail gas supply service shall contain information that adequately discloses the prices, terms, and conditions of the products or services and shall disclose the Utility Gas Supply Cost and shall disclose the date on which the Utility Gas Supply Cost shall become effective and the date on which it will expire.

b) All marketing materials, including, but not limited to, electronic marketing materials, in-person solicitations, and telephone solicitations, shall include the following statement:

"(Name of the alternative gas supplier) is not the same entity as your gas delivery company. You are not required to enroll with (name of alternative gas supplier). Beginning on (effective date), the utility gas supply cost rate per therm is (cost). The utility gas supply cost will expire on (expiration date). For more information go to the Illinois Commerce Commission's free website at www.icc.illinois.gov/ags/consumereducation.aspx.". [220 ILCS 5/19-115(g)(1)]

c) Subsections (a) and (b) do not apply to goodwill or institutional advertising.

83 Ill. Adm. Code 512.105 Use of Utility Logo and Name

a) An AGS shall not utilize the logo of a public utility in any manner.

b) An AGS shall not utilize the name of a public utility in any manner that is deceptive or misleading, including, but not limited to, implying or otherwise leading a customer to believe that an AGS is soliciting on behalf of or is an agent of a utility.

c) An AGS shall not utilize the name, or any other identifying insignia, graphics or wording, or that has been used at any time to represent a public utility company or its services or to identify, label or define any of its natural gas power and energy service offers. [815 ILCS 505/2DDD(c)(1)]

83 Ill. Adm. Code 512.110 Minimum Contract Terms and Conditions

The sales contract shall, in plain language, contain the disclosures specified in this Section in 12-point type size or larger, in the order presented in this Section, and in the same language as the sales solicitation. The UDS, which shall be in the same language as the sales contract and the sales solicitation, shall be appended to the sales contract. The disclosures specified in this Section shall appear at the beginning of the sales contract; no other contract terms, other than disclosures required under Part 412 if the AGS is also offering electric supply, may precede these disclosures. Any additional contract language shall use 10-point type size or larger. The sales contract shall include the following disclosures:

a) The legal name of the AGS and the name under which the AGS will market its products, if different;

b) The business address of the AGS;

c) The charges for service for the length of the contract by month and, if any charges are variable during the term of the contract,

1. an explanation of how the variable charges are determined,

2. the current rate per therm price, a one-year price history, or history for the life of the product if it has been offered less than one year,

3. the statement: "Variable. The variable rate may go up or down" followed by one of the following:

A) "and is subject to the savings guarantee described below" if the AGS provides a guarantee of savings pursuant to subsection (j);

B) "and will be less than the Utility Gas Supply Cost during" and describe the intervals during which the rate is guaranteed to be at or below the Utility Gas Supply Cost;

C) "and will be equal to the Utility Gas Supply Cost during" and describe the intervals during which the rate is guaranteed to equal the Gas Utility Supply Cost; or

D) "and the rate may be higher than the Utility Gas Supply Cost during any given period" if none of the above statements apply.

d) For any product for which the price includes a fixed periodic charge, including any charge which accrues monthly, weekly, or over any other period of time, that does not change with the customer's usage and does not include all supply and delivery service charges, the AGS shall provide an estimated total price per therm for natural gas service using sample monthly usage levels of 50, 100 and 300 therms;

e) For any product offered at a fixed monthly charge that does not change with the customer's usage and does not include all supply and delivery service charges, the AGS must provide a statement to the customer stating that the fixed monthly charge is not the total monthly amount for gas service and identifying which charges are not included in the fixed monthly charge;

f) The length of the contract in months, and whether the contract renews automatically, including any applicable renewal clause disclosed in a manner consistent with this Part;

g) The fact that customers shall have a right to terminate their agreements with alternative gas suppliers at any time without any termination fees or penalties;

h) If the AGS intends at any point during the term of the contract to seek a deposit or prepayment from the customer, the AGS shall identify whether and under what circumstances a deposit or prepayment will be required, along with a disclosure of the manner in which the deposit or prepayment will be calculated and the circumstances in which the deposit or prepayment will be refunded;

i) Any fees assessed by the AGS to a customer for switching to the AGS;

j) If an AGS represents that a customer will realize savings under any conditions or circumstances, the AGS shall provide a written statement, in plain language, describing the conditions or circumstances that must occur in order for the customer to realize the savings. The statement shall disclose the entity or entities and price or prices to which the AGS is comparing its own offer for purposes of assessing or calculating savings;

k) A statement that the customer may rescind the agreement by contacting the AGS or the gas utility within 10 business days after the date on the gas utility’s written notice to the customer confirming the switch;

l) The following statement: "(Insert name of AGS) is an independent seller of natural gas certified by the Illinois Commerce Commission. (Insert name of AGS) is not representing, endorsed by, or acting on behalf of, a utility or a utility program, a consumer group or consumer group program," unless the AGS is, through the consumer group, offering services at prices, terms and conditions that are available solely to members of that organization, "or a governmental body or program of a governmental body";

m) A statement that:

1. the gas utility remains responsible for the delivery of natural gas to the customer's premises and will continue to respond to any service calls and emergencies; and

2. the customer will receive written notification from the gas utility confirming a switch of the customer's gas supplier; and

n) The toll-free telephone numbers for the AGS, the gas utility, and the Commission's Consumer Services Division.

o) The statement: "A summary document entitled ‘The Uniform Disclosure Statement’ (UDS) is attached to this contract. The UDS has important disclosures, including information about your new rate and your right to end this contract without termination fees or penalties. Please read this contract and the UDS carefully."

83 Ill. Adm. Code 512.115 Uniform Disclosure Statement

a) All AGS product offers for residential and small commercial customers require a one-page (front and back of one 8.5 x 11 sheet of paper) Uniform Disclosure Statement (UDS) using the form in Appendix A.

1. All text in the UDS shall be printed in 12-point type or larger.

2. The UDS may include a logo of the AGS.

3. The UDS shall not contain any items other than those found in Appendix A or described in this Section.

b) The disclosures in the UDS shall conform to Appendix A and shall include the information listed in this subsection (b), in the order listed.

1. Name: The legal name of the AGS and the name under which the AGS will market its products, if different.

2. Address: The AGS’ business address and internet address.

3. Phone: The AGS’ toll-free telephone number and hours of operation.

4. Price: The AGS supply price per therm, or as otherwise stated below, and the number of months the price stays in effect.

A) If the price is a fixed monthly charge that does not change with the customer's usage, the fixed monthly charge shall be shown in dollars.

B) If the price is a custom price, the UDS shall include the word "custom" and the AGS shall replace "custom" with the price offered to a particular customer once the AGS has determined the custom price for the customer.

C) If the price is tied to a publicly available index or benchmark, the UDS shall state the index or benchmark and include the phrase "Refer to contract."

D) Variable Rate Products: For a variable rate product, the UDS shall state that the current rate per therm price and a one-year price history, or history for the life of the product if it has been offered less than one year, are available on the AGS’ website and at a toll-free number. An AGS shall not rename a product in order to avoid disclosure of price history.

5. Utility Gas Supply Cost to compare. "(Name of the alternative gas supplier) is not the same entity as your gas delivery company. You are not required to enroll with (name of alternative gas supplier). Beginning on (effective date), the utility gas supply cost rate per therm is (cost). The utility gas supply cost will expire on (expiration date). For more information go to the Illinois Commerce Commission’s free website at www.icc.illinois.gov/ags/consumereducation.aspx."

6. Other Periodic Charges: If the price includes a fixed charge that does not change with the customer's usage, including any charge that accrues monthly, weekly, or over any other period of time, that fixed periodic charge shall be disclosed in dollar amounts, shall show the fixed period of time for which that charge occurs and, unless the fixed periodic charge is monthly, the sum of the charges on a monthly basis.

7. Total Price with Other Periodic Charges: If the price includes a fixed charge that does not change with the customer's usage, including any charge that accrues monthly, weekly, or over any other period of time, and the fixed periodic charge does not include all supply and delivery service charges, the UDS shall display the total price per therm at sample usage levels of 50, 100 and 300 therms.

8. Length of the Contract: The length of the contract in months.

9. Subsequent Prices after the Initial Price: If the initial price remains in effect for the entire term of the contract, the UDS shall state "N/A" or "Not Applicable." If the price after the initial price does not change for the remainder of the term of the contract, the UDS shall state the price in cents per therm and the number of months that price will stay in effect. If the price after the initial price is a price that includes a fixed periodic charge that does not change with the customer's usage, and the charge does not include all supply and delivery service charges, the UDS shall display the total price in cents per therm at sample usage levels of 50, 100 and 300 therms. If the price after the initial price is a rate that changes at any time, the UDS shall include the following: "Variable. The variable rate may go up or down and the rate may be higher or lower than the Gas Utility’s rate during any given period."

10. Contract Renewal: The UDS shall disclose whether the contract renews automatically.

11. Rescission: The UDS shall include the following: "You have the right to rescind (stop) your enrollment within 10 business days after the date on your Gas Utility’s written notice confirming the switch of your supplier. You may call us at (insert toll-free number) or your utility at (insert toll-free number) to rescind."

12. Termination: The statement that: "You have the right to terminate an agreement with an alternative gas supplier AT ANY TIME WITH NO TERMINATION FEES AND NO PENALTIES. You may call us at (insert AGS’ toll-free number) to terminate this contract." The preceding portion in capital letters shall be capitalized and in bold.

13. Seller: The UDS shall include the following: "This is a sales solicitation and the seller is (insert AGS name), an alternative gas supplier. If you enter into a contract with the seller, (insert AGS name) will be your gas supplier. The seller is not endorsed by, representing, or acting on behalf of, a utility or a utility program, a consumer group or a consumer group program," unless the AGS is, through the consumer group, offering services at prices, terms and conditions that are available solely to members of that organization, "or a governmental body or program of a governmental body."

14. Questions/Information: The UDS shall include the following: "If you have any questions or concerns about this sales solicitation, you may contact the Illinois Commerce Commission's Consumer Services Division at 1-800-524-0795."

15. Date of Solicitation: The UDS shall state the date the customer was solicited.

16. AGS Sales Agent name and ID: The UDS shall include an AGS Sales Agent name and ID.

c) The UDS shall be provided in the same language as the solicitation and sales contract.

83 Ill. Adm. Code 512.120 In-person Solicitation

a) An AGS sales agent shall state that the sales agent represents an independent seller of natural gas certified by the Illinois Commerce Commission who is not employed by, representing, endorsed by, or acting on behalf of a utility, or a utility program, a consumer group or consumer group program, unless the AGS is, through the consumer group, offering services at prices, terms and conditions that are available solely to members of that organization, or a governmental body or program of a governmental body. [815 ILCS 505/2DDD(c)(2.3)]

b) When it would be apparent to a reasonable person that a customer's language skills in the language used for the solicitation are insufficient to allow the customer to understand and respond to the information conveyed by the agent in that language, or when the customer or another person informs the agent of this circumstance, the AGS sales agent shall find another representative fluent in the customer's language, use an interpreter, or end the in-person contact with the customer. In the event the AGS sales agent, individually or through an interpreter, makes a sales solicitation in a language other than English for any reason, the AGS sales agent shall present the UDS, sales contract, and third-party verification in the same language as the sales presentation. When an interpreter is used, a form consistent with Section 2N of the Consumer Fraud and Deceptive Business Practices Act [815 ILCS 505] must be completed.

c) AGS sales agents who engage in in-person solicitation for the purpose of selling natural gas offered by the AGS shall display identification on an outer garment. This identification shall be visible at all times and prominently display the following:

1. The AGS sales agent's full name in a reasonably sized font;

2. A Sales Agent ID number;

3. A photograph of the AGS sales agent; and

4. The trade name and logo of the AGS the sales agent is representing in the course of solicitation taking place.

d) The AGS sales agent shall leave the premises at the customer's, owner's or occupant's request. In the absence of local ordinances or regulations, AGS and their sales agents shall not conduct in-person solicitation at residential dwellings before 9:00 a.m. and after 7:00 p.m. or civil dusk, whichever is earlier.

e) The AGS sales agent shall, during the sales presentation to the customer, verbally disclose all items listed in Section 512.110(a) and (c) through (n) to the customer unless the sales presentation is terminated by the customer before the disclosures are completed. A sales agent may disclose the items in any order, provided that all applicable items are explained to the customer before the agent obtains the customer’s utility account number. However, an AGS may secure consent to obtain customer-specific usage information for the purposes of pricing a product through a verifiable customer consent or another Commission-approved process.

f) A copy of the UDS described in Section 512.115 and Appendix A, along with an explanation that it is a summary of the contract terms, must be left with the customer at the conclusion of the visit unless a customer refuses to accept a copy. Nothing in this subsection (f) prevents an AGS sales agent from providing the UDS electronically instead of in paper form to a customer upon that customer's request. The AGS sales agent shall also offer, at the time of the initiation of the solicitation, a business card or other material that lists the agent's name, identification number and title, and the AGS’ name and contact information, including telephone number.

g) In-person solicitations that lead to an enrollment require a third-party verification (TPV). The TPV shall be conducted in the same language that was used in the solicitation and shall include all of the items listed in Section 512.110(a) and (c) through (n). Each disclosure must be made individually to obtain clear acknowledgement of each disclosure. The AGS agent must be in a location where the agent cannot hear the customer while the TPV is conducted. The AGS shall not approach the customer after the TPV for a period of 24 hours unless contacted by the customer.

h) The contract shall be sent to the customer within one business day after the gas utility's confirmation to the AGS of an accepted enrollment.

i) The AGS sales agent shall not conduct any in-person solicitations at any building or premises where any sign, notice or declaration of any description whatsoever is posted that prohibits sales, marketing or solicitations. However, an AGS sales agent may meet with representatives of a small commercial customer and conduct an in-person solicitation at a building or premises where such a notice is posted if an authorized representative of the small commercial customer has previously scheduled an appointment to meet with an agent of the AGS at that building or premises.

j) The AGS sales agent must obtain consent to enter multi-unit residential dwellings. Consent obtained to enter a multi-unit dwelling from one prospective customer or occupant of the dwelling shall not constitute consent to market to any other prospective customers in the dwelling without separate consent.

k) Upon a customer's request, the AGS shall not conduct any further marketing to that customer until the customer requests to receive further marketing. The AGS shall notify its agents of the customer’s request not to be solicited.

Chapter I ILLINOIS COMMERCE COMMISSION SUBCHAPTER d: GAS UTILITIES

Part 512 Obligations of Alternative Gas Suppliers

83 Ill. Adm. Code 512.130 Telemarketing

a) In addition to complying with the Telephone Solicitations Act [815 ILCS 413], an AGS sales agent who contacts customers by telephone for the purpose of selling natural gas supply service shall provide the agent's name and identification number. The AGS sales agent shall state that the sales agent represents an independent seller of natural gas supply service, certified by the Illinois Commerce Commission. An AGS sales agent shall not state or otherwise imply that the sales agent is employed by, representing, endorsed by, or acting on behalf of, a utility or a utility program, a consumer group or a consumer group program, unless the AGS is, through the consumer group, offering services at prices, terms and conditions that are available solely to members of that organization, or a governmental body or a program of a governmental body. [815 ILCS 505/2DDD(c)(2.3)]

b) When it would be apparent to a reasonable person that a customer's language skills in the language of the solicitation are insufficient to allow the customer to understand and respond to a telephone solicitation in that language, or the customer or another person informs the agent of this circumstance, the agent must transfer the customer to a representative who speaks the customer's language, if such a representative is available, or terminate the call. When an interpreter is used, a form consistent with Section 2N of the Consumer Fraud and Deceptive Business Practices Act [815 ILCS 505] must be completed.

c) An AGS sales agent shall, during the sales presentation to the customer, disclose the items listed in Section 512.110(a) and (c) through (n), unless the sales presentation is terminated by the customer before the disclosures are completed. An AGS sales agent may disclose the items in any order provided that all applicable items are explained to the customer prior to the agent obtaining the customer’s utility account number. An AGS may secure consent to obtain customer-specific usage information for the purposes of pricing a product through a verifiable customer consent or another Commission-approved process.

d) Any telemarketing solicitation that lead to a telephone enrollment must be recorded and retained for a minimum of two years. All telemarketing calls that do not lead to a telephone enrollment, but last at least two minutes, shall be recorded and retained for a minimum of six months. The recordings shall be provided upon request to Commission staff. Recordings of a customer who has completed a telephone enrollment shall also be provided to that customer upon request.

e) For telemarketing that leads to a completed telephone enrollment, a third-party verification must be used to authorize a customer's enrollment. The third-party verification must require the customer to verbally acknowledge that the customer understands the all disclosures required by Section 512.110(a) and (c) through (n). Each item must be disclosed to the customer individually to obtain clear acknowledgment of each disclosure. An AGS sales agent initiating a 3-way conference call or a call through an automated verification system shall drop off the call and shall not participate in or listen to the call, but shall not cause the call to be terminated once the 3-way connection has been established. The AGS shall not contact the customer after the TPV for a period of 24 hours unless contacted by the customer.

f) The UDS and contract shall be sent, in writing, to the customer within one business day after the natural gas utility's confirmation to the AGS of an accepted enrollment.

g) Upon a customer's request, the AGS shall refrain from any further direct telemarketing to that customer. The AGS shall notify its agents of a customer's request.

83 Ill. Adm. Code 512.140 Inbound Enrollment Calls

a) An AGS sales agent shall state that the sales agent represents an independent seller of natural gas certified by the Illinois Commerce Commission. An AGS sales agent shall not state or otherwise imply that the sales agent is employed by, representing, endorsed by, or acting on behalf of, a utility or a utility program, a consumer group or consumer group program, unless the AGS is, through the consumer group, offering services at prices, terms and conditions that are available solely to members of that organization, or a governmental body or program of a governmental body. [815 ILCS 505/2DDD(c)(2.3)]

b) When it would be apparent to a reasonable person that a caller's language skills are insufficient to allow the customer to understand and respond to a telephone conversation or solicitation in the language spoken by the sales agent, or the customer or another person informs the agent of this circumstance, the agent must transfer the customer to a representative who speaks the customer's language, if such a representative is available, or end the call. When an interpreter is used, a form consistent with Section 2N of the Consumer Fraud and Deceptive Business Practices Act [815 ILCS 505] must be completed.

c) The AGS sales agent shall verbally disclose the items listed in Section 512.110(a) and (c) through (n). An AGS sales agent may disclose the items in any order so long as all applicable items are explained to the customer during the sales presentation.

d) All inbound enrollment calls that lead to an enrollment shall be recorded, and the recordings shall be retained for a minimum of two years. An inbound enrollment call that does not lead to an enrollment but lasts at least two minutes shall be recorded and retained for a minimum of six months. The recordings shall be provided upon request to Commission staff or a customer who has completed a telephone enrollment.

e) The AGS shall send the UDS and contract to the customer within one business day after the natural gas utility's confirmation to the AGS of an accepted enrollment.

83 Ill. Adm. Code 512.150 Direct Mail

a) If an AGS Sales Agent contacts customers for enrollment for natural gas supply service by direct mail, the direct mail material shall include all the disclosures required in Sections 512.110(a), (b) and (n) for the service being solicited.

b) Statements in any direct mail material shall not claim that the AGS sales agent represents, is endorsed by, or is acting on behalf of, a utility or a utility program, a consumer group or consumer group program, unless the AGS is, through the consumer group, offering services at prices, terms and conditions that are available solely to members of that organization, or a governmental body or program of a governmental body and shall not utilize false, misleading, materially inaccurate or otherwise deceptive language.

c) If a direct mail solicitation includes a written Letter of Agency ("LOA"), the direct mail solicitation shall include the items listed in Section 512.110(a) and (c) through (n) and also the UDS described in Section 512.115. The UDS shall be provided on a separate page from the other marketing materials included in the direct mail solicitation. If a written LOA is being used to authorize a customer's enrollment, the written LOA shall comply with Section 19-115(c)(1)(E) of the Public Utilities Act and shall contain a statement that the customer has read and understood each of the disclosures required by Section 512.110(a), (c), and (e) through (m). The LOA to be signed and returned to the AGS shall be separate from the documents containing the Section 512.110 disclosures and from the UDS, such that they can remain with the customer.

d) If the direct mail solicitation allows a customer to enroll by telephone, and the customer elects to do so, Section 512.140 shall apply. If the direct mail solicitation allows a customer to enroll online, and the customer elects to do so, Section 512.160 shall apply.

e) A copy of the contract must be sent to the customer within one business day after the natural gas utility's confirmation to the AGS of an accepted enrollment.

83 Ill. Adm. Code 512.160 Online Marketing

a) Each AGS offering natural gas supply service to customers online shall disclose all items listed in Section 512.110 for any services offered through online enrollment before requiring the customer to enter any personal information other than zip code, natural Gas Utility service territory, and type of service sought unless the AGS secures consent to obtain customer-specific information for the purposes of pricing a product through a verifiable customer consent or another Commission-approved method. The AGS marketing material shall not make any statements that it is a representative of, endorsed by, or acting on behalf of, a utility or a utility program, a consumer group or consumer group program, unless the AGS is, through the consumer group, offering services at prices, terms and conditions that are available solely to members of that organization, or a governmental body or a program of a governmental body.

b) The UDS and contract must be printable in a PDF format and shall be available electronically to the customer.

c) The enrollment website of the AGS shall, at a minimum, include:

1. All disclosures required by Section 512.110;

2. A statement that electronic acceptance of the terms is an agreement to initiate service and begin enrollment; and

3. An email address and toll-free phone number of the AGS where the customer can express a decision to rescind the contract.

83 Ill. Adm. Code 512.165 Rate Notice to Customers

a) Each AGS shall make publicly available on its website, without need for customer login, rates currently available to residential customers, including but not limited to fixed periodic charges and per-therm charges. Additionally, when a customer’s rates change during the term of an agreement or contract, the AGS shall make the new rates available to that customer on its website, and, if applicable, through the customer’s online account, at least 30 days prior to the effective date of any rate change. The AGS must disclose the period to which the rates will apply. In addition, each AGS shall provide the rate information to its residential variable rate customers who request it through the AGS’ toll-free number. The customer's contract shall contain the website address and toll-free phone number through which a customer may obtain variable rate information in accordance with this Section.

b) If the AGS charges for residential variable rate customers are included on the utility’s bill, the AGS shall use the allotted space on the utility’s bill to disclose the customer's variable rate that is in effect at the time the bill is received by the customer and the percentage change, if any, of the variable rate from one monthly billing period to the next. When there is insufficient available allotted space on the utility bill for the AGS to make these disclosures each month, the AGS shall ensure that no residential variable rate customer receives consecutive monthly bills that fail to disclose upcoming variable rates in the bill's message section.

c) If the AGS bills its residential variable rate customers directly, the AGS shall ensure that those customers' bills always contain the variable rate information described in this Section. Additionally, every AGS that issues a single bill for delivery and supply shall include the utility gas supply cost.

d) If the natural gas utility's implementation of Section 19-135 prevents an AGS from complying with this Section, the AGS shall include a bill message that contains the toll-free phone number and website address where the variable rate information can be obtained by the customer. The requirements of subsections (b) and (c) to provide notifications in customer bills do not apply if the AGS sends the notifications required by this subsection via a written communication sent at the same time as the customer's monthly bill.

e) If a residential variable rate customer's rate increases by more than 20% from one monthly billing period to the next, in addition to any notice required by this Section, the AGS shall send a separate, dated, written notice to the customer informing the customer of the upcoming rate change and including the utility gas supply cost.

f) Subsections (a) through (e) shall not apply to contracts that disclose the formula that will allow a customer to determine the variable rate based on a publicly available, whether for free or a fee, index or benchmark. For contracts to which subsections (a) through (e) do not apply:

1. The AGS shall provide sufficient information on its website, or through the customer’s online account to identify the inputs to the formula used to calculate the variable rate, including the timing and location of the index or benchmark price and any other information necessary to calculate the rate;

2. The AGS shall provide clear and unambiguous information on the index or benchmark and any risks represented by the potential volatility (price spikes) involved in the rate calculations; and

3. Notice of the rates shall be available on the AGS’ website and by toll-free telephone as soon as reasonably practicable.

g) If a contract includes a provision that results in a change to the residential customer's rate plan, including a change from a fixed rate to a variable rate, the AGS shall send a separate, dated, written notice of the upcoming change at least 30 days, but no more than 60 days, prior to the switch. The separate written notice shall include:

1. A statement printed or visible from the outside of the envelope or in the subject line of the email (if customer has agreed to receive official documents by email) that states "Upcoming Rate Plan Change";

2. The bill cycle in which the changes to the rate plan will begin; and

3. A statement in bold lettering, in at least 12-point type, that the rate can change for the remainder of the contract. If the customer is on a plan that changes from a fixed price to a variable price at the end of the contract term or during the contract term, and if the customer is eligible for one or more fixed rate offers from the AGS, the AGS shall include information about those offers, including information explaining how to enroll in the offers.

h) An AGS that currently enrolls residential customers on a variable rate product for three consecutive months in any gas utility's service territory, including products that automatically switch or convert to a variable rate during the term of the contract, or automatically renews customers on a variable rate product for three consecutive months in any gas utility’s service territory, must, for each such variable rate product, publicly disclose on the AGS’ website and make available through a toll-free number, the one-year variable rate price history, or history for the life of the product if it has been offered less than one year and shall include the utility gas supply cost. An AGS shall not rename a product in order to avoid disclosure of price history.

83 Ill. Adm. Code 512.170 Conduct, Training and Compliance of AGS Sales Agents

a) Each AGS shall conduct, or cause to be conducted, training for individual representatives engaged in in-person solicitation and telemarketing to residential customers on behalf of that AGS prior to conducting any such solicitations on the supplier’s behalf. After initial training, each AGS shall be required to conduct refresher training for its individual representatives every 6 months.

b) Each AGS shall perform criminal background checks on all employees and agents engaged in in-person solicitation. The AGS shall maintain a record confirming that a criminal background check has been performed on its employees or agents in accordance with this Section.

c) An AGS sales agent shall be knowledgeable of the requirements applicable to the marketing and sale of natural gas supply service to the customer class being targeted. In addition to this Part, requirements pertaining to the marketing and sales of natural gas supply service may be found in other Commission rules, the Act and the Consumer Fraud and Deceptive Business Practices Act [815 ILCS 505].

d) All AGS sales agents shall be familiar with natural gas supply services that they sell, including the rates, payment and billing options, and the customers' right to cancel. In addition, the AGS sales agents shall have the ability to provide the customer with a toll-free number for billing questions, disputes and complaints, as well as the Commission's toll-free phone number for complaints.

e) AGS sales agents shall not utilize false, misleading, materially inaccurate or otherwise deceptive language or materials in soliciting or providing services. AGS sales agents shall also fully comply with the requirements of Section 512.100 governing marketing materials.

f) No AGS sales agent shall make a record of a customer's Gas Utility account number unless all applicable disclosures are made to the customer and the customer has agreed to enroll with the AGS, the AGS has secured consent from the customer to obtain customer-specific information for the purposes of pricing a product through a verifiable customer consent or another Commission-approved method, or the "record" is a recording required by Section 19-115(c)(4) of the Act and Sections 512.130 and 512.140 of this Part.

g) All AGS sales agents shall complete a training program that covers the applicable Sections of this Part. The AGS shall document the training of its sales agents and provide a certification to the Commission, in a format to be specified by Commission staff, showing that an agent completed the training program prior to a sales agent being eligible to market or sell gas supply in Illinois. The AGS shall maintain records of certificates for three years after the date the training was completed. Upon request by the Commission or Commission staff, an AGS shall provide training materials and training records, including refresher training as described in subsection (a), within seven business days.

h) When an AGS contracts with an independent contractor or vendor to solicit customers on the AGS’ behalf, the AGS shall confirm that the contractor or vendor has provided training in accordance with this Section.

i) Each AGS shall monitor marketing and sales activities to ensure that its AGS agents are providing accurate and complete information and complying with all laws and regulations.

Chapter I ILLINOIS COMMERCE COMMISSION SUBCHAPTER d: GAS UTILITIES

Part 512 Obligations of Alternative Gas Suppliers

83 Ill. Adm. Code 512.180 Records Retention and Availability

a) An AGS must retain, for a minimum of the longer of two years or the length of the contract, verifiable proof of authorization to change suppliers for each customer. Upon request by the Commission or Commission staff, the AGS shall provide authorization records within seven business days.

b) Throughout the duration of the contract, and for two years after the contract ends, the AGS shall retain the customer's contract. Upon the customer's request, the AGS shall provide the customer a copy of the contract via email, U.S. mail or facsimile. The AGS shall send a copy of the contract within seven business days after receipt of the customer’s request if the customer is currently taking service under the contract or within fourteen business days if the customer is not currently taking service under the contract. The AGS shall not charge a fee for the copies if a customer requests fewer than three copies in a 12-month period.

83 Ill. Adm. Code 512.200 Application of Subpart C

The provisions of this Subpart shall only apply to an AGS serving or seeking to serve residential or small commercial customers and only to the extent the AGS provides services to residential or small commercial retail customers. In addition, Section 512.210 shall apply to gas utilities.

83 Ill. Adm. Code 512.210 Rescission of Sales Contract

a) A customer may rescind a contract with an AGS without penalty before the AGS submits the enrollment request to the gas utility. Within two business days after receipt of a valid electronic enrollment request from the AGS, the gas utility shall notify the customer in writing of the scheduled enrollment and provide the name of the AGS that will be providing natural gas supply service. The customer may also rescind the contract with the AGS without penalty within 10 business days after the date of the gas utility notice to the customer. The gas utility shall provide confirmation of an accepted enrollment to the AGS, including the date of the notice to the customer, at the same time that it provides a written enrollment notice to the customer. The written enrollment notice from the gas utility shall state the last day for the customer to make a request rescinding the enrollment and provide contact information for the AGS. The written enrollment notice from the gas utility shall also provide information regarding the customer's rights under this Section, including contact information for the utility and the Commission, if the customer believes the enrollment has been made in error or without the customer's consent.

b) A Customer wishing to rescind the pending enrollment with an AGS may do so by contacting either the gas utility or the AGS within 10 business days after the date of the gas utility's notice to the customer; provided, however, that if the gas utility’s tariff for transportation services requires a longer period for rescission, the customer may rescind the pending enrollment during the period for rescission established by the gas utility’s tariff for transportation services without incurring early termination fees.

c) In the event the residential customer provides notice of rescission to the gas utility, the gas utility shall notify the AGS within one business day after processing a valid rescission request from the customer.

83 Ill. Adm. Code 512.220 Termination of Sales Contract

a) Residential and small commercial customers shall have a right to terminate their contracts with alternative gas suppliers at any time without any termination fees or penalties. The contract shall disclose the right to terminate and provide a toll-free phone number that the customer may call in order to terminate the agreement. This requirement does not relieve the customer of obligations to pay for services rendered under the contract until service is terminated.

b) An AGS must process any Customer’s termination request by transmitting a termination request to the utility within two business days after receipt of the termination request from the Customer. The AGS shall document and retain for a period of two years all such customer requests to terminate service with the AGS. If unforeseen circumstances delay the transmission of the request to the utility, the AGS must transmit the request to the utility within the following two business days, provided, however, that the AGS must detail the reason for the delay in its records.

Chapter I ILLINOIS COMMERCE COMMISSION SUBCHAPTER d: GAS UTILITIES

Part 512 Obligations of Alternative Gas Suppliers

83 Ill. Adm. Code 512.230 Contract Renewal

a) Non-Automatic Renewal. The AGS shall clearly and conspicuously disclose any renewal terms in its contracts, including any cancellation procedure. The AGS shall send a notice of contract expiration separate from the bill at least 30 but no more than 60 days prior to the date of contract expiration. Nothing in this Section shall preclude an AGS from offering a new contract to the customer at any other time during the contract period. If the customer enters into a new contract prior to the end of the contract expiration notice period, the notice of contract expiration under this Section is not required. The separate written notice of contract expiration shall include:

1. A statement printed or visible from the outside of the envelope or in the subject line of the email (if customer has agreed to receive official documents by email) that states "Contract Expiration Notice";

2. The anticipated bill cycle in which the existing contract will expire;

3. A full description of the renewal offer, including the date service would begin under the new offer if a renewal offer was provided. If the new contract's terms differ from the existing contract, the AGS shall include a UDS that identifies the new terms, as well as a side-by-side comparison of the material changes between the existing contract and the new contract; and

4. A statement, in at least 12-point font, that the customer must provide affirmative consent to accept the renewal offer, that establishing service with another AGS can take up to 45 days, and that failure to renew the existing contract or switch to another AGS may result in the customer being reverted to the gas utility default service. The statement shall provide the length of the gas utility tariff minimum stay period, if applicable.

b) Automatic Renewal

1. Automatic Contract Renewal Statement

A) In addition to complying with the Illinois Automatic Contract Renewal Act [815 ILCS 601], beginning January 1, 2020, an AGS shall not sell or offer to sell any products or services to a consumer pursuant to a contract in which the contract automatically renews, unless an AGS provides to the consumer at the outset of the offer, in addition to other disclosures required by law, a separate written statement titled "Automatic Contract Renewal" that clearly and conspicuously discloses in bold lettering in at least 12-point font the terms and conditions of the automatic contract renewal provision, including:

i) the estimated bill cycle on which the initial contract term expires and a statement that it could be later based on when the utility accepts the initial enrollment;

ii) the estimated bill cycle on which the new contract term begins and a statement that it will immediately follow the last billing cycle of the current term;

iii) the procedure to terminate the contract before the new contract term applies; and

iv) the cancellation procedure. [815 ILCS 505/2DDD(f-5)(1)]

B) Disclosures compliant with Section 2DDD(f-5)(1) of the Consumer Fraud and Deceptive Business Practices Act [815 ILCS 505] shall constitute compliance with this subsection (b)(1). Nothing in this subsection (b)(1) applies to contracts entered into before January 1, 2020.

2. If the AGS sells or offers to sell the products or services to a consumer during an in-person solicitation or telemarketing solicitation, the disclosures described in subsection (b)(1) shall also be made to the consumer verbally during the solicitation.

3. For contracts that automatically renew after the initial term, the AGS shall send a notice of contract renewal separately from the bill at least 30 days but no more than 60 days prior to the end of the contract term. Nothing in this Section shall preclude an AGS from offering a new contract to the customer at any other time during the contract period. If the customer enters into a new contract prior to the end of the contract renewal notice period, the notice of contract renewal under this subsection is not required. Disclosures compliant with Section 2DDD(f-5)(2) of the Consumer Fraud and Deceptive Business Practices Act, as in force and effect on January 1, 2020, shall constitute compliance with this subsection (b)(3).

c) The separate written notice of contract renewal referenced in subsection (b) shall include a clear and conspicuous disclosure of the contract terms, including a full description of any renewal offers available to the customer. If the new contract terms differ from the terms of the existing contract, the AGS shall provide written notice of the new terms. The AGS shall include the phone number and email address (or internet address if no email address currently exists) to which a customer may submit a consumer inquiry or complaint to the Illinois Commerce Commission and the Office of the Attorney General. The AGS shall also include, as is applicable:

1. for a fixed rate or flat bill contract, a side-by-side comparison of the current fixed rate or flat bill to the new fixed rate or flat bill;

2. for a variable rate contract or time-of-use product in which the first month's renewal price can be determined, a side-by-side comparison of the current price and the price for the first month of the new variable or time-of-use price; or

3. for a variable or time-of-use contract based on a publicly available index, a side-by-side comparison of the current formula and the new formula. [815 ILCS 505/2DDD(f-5)(2)(H)]

d) An alternative gas supplier shall not automatically renew a consumer's enrollment after the current term of the contract expires when the current term of the contract provides that the consumer will be charged a fixed rate and the renewed contract provides that the consumer will be charged a variable rate, unless:

1. the alternative gas supplier complies with subsection (b); and

2. the customer expressly consents to the contract renewal in writing or by electronic signature at least 30 days, but no more than 60 days, before the contract expires. [815 ILCS 505/2DDD(f-5)(3)]

e) In addition to sending documentation required by subsection (b) by U.S. Mail or by electronic mail, an AGS must alert the customer to the information contained in subsection (c)(2) by one additional means of communication. The AGS may provide for the customer's choice one or more options for this additional notification. Permissible forms of notification an AGS may offer include email, text message/SMS, postcards, or phone calls. However, the Commission's policy preference is that an AGS use phone calls when an AGS is able to obtain a customer's express written consent to give notice in this manner. An AGS may provide the additional notification by directing the customer to a website that contains the entirety of the information required by subsection (b). Each AGS shall maintain records that the additional notification was sent to the customer for the longer of two years or one year after the customer is no longer served by the AGS.

83 Ill. Adm. Code 512.240 Assignment

An AGS that is certified to serve residential or small commercial customers shall not assign an agreement with a customer to any different AGS unless:

a) The new supplier is an AGS certified by the Commission;

b) The rates, terms, and conditions of the agreement being assigned do not change during the remainder of the time covered by the agreement;

c) The customer is given no less than 30 days prior written notice of the assignment; and

d) The written notice shall include contact information for the new supplier, contact information for the default gas utility should the customer not wish to take service with the new AGS, and contact information for the Commission’s Consumer Services Division; and

e) The supplier assigning the contract provides contact information that a customer can use to resolve a dispute. [220 ILCS 5/19-115(f)(4)]

83 Ill. Adm. Code 512.300 Application of Subpart D

The provisions of this Subpart shall only apply to an AGS serving or seeking to serve residential or small commercial retail customers and only to the extent the AGS provides services to residential or small commercial retail customers. In addition, Section 512.320(c)(1)(B) and (c)(1)(E) shall apply to gas utilities.

83 Ill. Adm. Code 512.310 Required Ags Information

a) Prior to an AGS initiating marketing to customers, and annually on or before January 1, the AGS shall file electronically with the Chief Clerk of the Commission the following documents and information:

1. A copy of its bill formats (if it bills customers directly rather than using natural Gas Utility consolidated billing) (combined billing for AGS services and natural Gas Utility services);

2. Standard customer contract;

3. Customer complaint and resolution procedures; and

4. The name, telephone number and email address of the company representative whom Commission employees may contact to resolve customer complaints and other matters.

b) If, at the time of annual filing, there are no changes to the documents or information on file with the Commission in compliance with subpart (a) above, the AGS may file a document that affirms there are no changes from the prior year’s filing.

c) The AGS must file updated information within 10 business days after changes in any of the documents or information required to be filed by this Section.

d) If the AGS has declared force majeure within the past 10 years on any contracts to deliver natural gas supply services, the AGS shall provide notice to the Commission Staff prior to marketing to residential and small commercial retail customers.

e) By January 1, 2020 and every January 1 thereafter, each AGS shall file with the Chief Clerk of the Commission, and provide a copy to the Commission's Consumer Services Division (CSD) and the Office of Retail Market Development (ORMD), the rates which it charged to residential customers in the prior year, including each distinct rate charged and whether the rate was a fixed or variable rate, the basis for the variable rate, and any fees charged in addition to the supply rate, including monthly fees, flat fees, or other service charges.

83 Ill. Adm. Code 512.320 Dispute Resolution

a) A residential or small commercial retail customer has the right to make a formal or informal complaint to the Commission, and an AGS contract cannot impair this right.

b) A customer or prospective customer for natural gas supply service may submit a complaint by U.S. mail, facsimile transmission, email or telephone to an AGS. The AGS shall initiate an investigation and advise the complainant of the status or any results of that investigation within 14 calendar days. If the AGS responds to the customer's or prospective customer's complaint verbally, the AGS shall inform the customer or prospective customer of the ability to request and obtain the AGS' response in writing. When the AGS responds, a customer or prospective customer shall be informed of the right to file a complaint with the Commission or the Office of the Illinois Attorney General.

c) Complaints to the Commission

1. Informal Complaints (see 83 Ill. Adm. Code 200.160)

A) The AGS shall inform the complainant of the complainant's ability to file an informal complaint with the Commission's Consumer Services Division (CSD) and provide contact information for the CSD. Informal complaints may be filed with the CSD by phone, via the internet, by fax or by mail. Information required to process a customer's informal complaint includes:

i) The customer's name, mailing and service addresses, and telephone number;

ii) The name of the AGS;

iii) The customer's natural Gas Utility and AGS account numbers;

iv) An explanation of the facts relevant to the complaint;

v) The complainant's requested resolution; and

vi) Any documentation that supports the complaint, including copies of bills or terms of service documents.

B) The Commission's CSD may resolve an informal complaint via phone by completing a three-way call involving the customer, the CSD staff and the AGS. If no resolution is reached by phone and a dispute remains, the CSD may send an informal complaint to the AGS. In the case of gas utility consolidated billing, the AGS shall notify the gas utility of any informal complaint received and the gas utility shall follow the procedures outlined in its billing service agreement with the AGS to withhold collection activity on disputed AGS charges on the customer's bill.

C) The AGS shall investigate all informal complaints and advise the CSD in writing of the results of the investigation within 14 days after the informal complaint is forwarded to the AGS.

D) The CSD shall review the complaint information and the AGS’ response and notify the complainant of the results of the Commission's investigation.

E) While an informal complaint process is pending:

i) The AGS shall not initiate collection activities for any disputed portion of the bill until Commission staff has closed the informal complaint; and

ii) A customer shall be obligated to pay any undisputed portion of the bill and the AGS (or the natural gas utility in the case of presenting the AGS’ charges on a consolidated bill) may pursue collection activity for nonpayment of the undisputed portion after appropriate notice.

F) The AGS shall keep a record for two years after closure by the CSD of all informal complaints. This record shall show the name and address of the complainant and the date and nature and adjustment or disposition of the informal complaint.

2. Formal Complaints. If the complainant is not satisfied with the results of the informal complaint process, the complainant may file a formal complaint with the Commission pursuant to Sections 10-101 and 19-115(d) of the Act and 83 Ill. Adm. Code 200.170.

83 Ill. Adm. Code 512.330 Failure to Comply

Unless otherwise noted, a violation of this Part shall be subject to the fines and penalties set forth in the Act.

83 Ill. Adm. Code 512.340 Severability

If any provision of this Part is found invalid by a court of competent jurisdiction, the remaining provisions shall remain in full force and effect.

83 Ill. Adm. Code 512.APPENDIX A Uniform Disclosure Statement

UNIFORM DISCLOSURE STATEMENT

Name:

Business Address:

Internet Address:

Phone and hours of operation:

Rates and Product Information

Price (in cents/therm) and number of months this price stays in effect:

Utility Gas Supply Cost to compare (in cents/therm):

Price:

Effective:

Expires:

(Name of the alternative gas supplier) is not the same entity as your gas delivery company. You are not required to enroll with (name of alternative gas supplier). Beginning on (effective date), the utility gas supply cost rate per therm is (cost). The utility gas supply cost will expire on (expiration date). For more information go to the Illinois Commerce Commission’s free website at www.icc.illinois.gov/ags/consumereducation.aspx.

Other periodic charges:

Total Price (in cents/therm) with other periodic charges:

50 therms

100 therms

300 therms

Length of contract:

Price after the initial price:

Contract Renewal

Contract Renewal:

Right to Rescind and Terminate

Rescission:

You have the right to rescind (stop) your enrollment within 10 business days after the date on your Gas Utility’s written notice confirming the switch of your supplier. You may call us at (toll-free number) or your utility at (toll-free number) to rescind.

Termination:

You have the right to terminate an agreement with an alternative gas supplier AT ANY TIME WITH NO TERMINATION FEES AND NO PENALTIES. You may call us at (insert AGS’ toll-free number) to terminate this contract.

This is a sales solicitation and the seller is (insert AGS name), an alternative gas supplier. If you enter into a contract with the seller, (insert AGS name) will be your gas supplier. The seller is not endorsed by, representing, or acting on behalf of, a utility or a utility program, a consumer group or consumer group program, unless the AGS is, through the consumer group, offering services at prices, terms and conditions that are available solely to members of that organization, or a governmental body or program of a governmental body.

If you have any questions or concerns about this sales solicitation, you may contact the Illinois Commerce Commission's Consumer Services Division at 800-524-0795.

Date:

Agent name/ID:

Chapter I Illinois Commerce Commission

Subchapter d Gas Utilities

Part 520 Training Programs for Natural Gas System Operating Personnel (general Order 204)

83 Ill. Adm. Code 520.10 Training Procedures

a) In order to reasonably assure the safety and well being of the populace, each natural gas system operator in Illinois shall develop training procedures which will assure that its field employees engaged in construction, operation, inspection and maintenance of the gas system are properly trained.

1. The procedures shall contain adequate descriptions of the types of training each job classification requires including those of field foremen, field crew leaders, leak inspectors, new construction inspectors, servicemen and corrosion technicians and/or equivalent classifications.

2. The procedures shall include scheduling of verbal instruction and/or on-the-job training for each job classification.

3. The procedures shall include provisions for evaluating the performance of personnel to assure their competency in performing the work assigned to them.

4. The procedures shall include subject matter relating to recognition of potential hazards, and actions to be taken toward prevention of accidents.

5. The procedures shall be updated periodically to include new materials, new methods of operation and installation, and changes in general procedures.

6. The procedures shall be made a part of the gas system's operation, inspection and maintenance plans, and shall be filed with the Commission.

7. The procedures shall be developed and ready for implementation within one year of the date of adoption of this Part.

b) Operators of small gas systems, such as municipal gas systems and master meter gas systems, may satisfy the requirements of Section 520.10(a) if the gas system personnel attend regularly scheduled instructional courses held by utility companies or participate in courses such as the Institute of Gas Technology (IGT) Gas Distribution Home Study Course, or programs developed and presented by community colleges, vocational schools, universities, consultants or other recognized gas distribution oriented agencies, which includes the procedures outlined in Section 520.10(a) which will pertain to their particular system.

83 Ill. Adm. Code 520.20 Definitions

As used in this Part, unless the context requires otherwise, the terms defined in Sections 520.10 through 520.30, inclusive, have the meanings ascribed therein.

83 Ill. Adm. Code 520.30 "natural Gas System"

"Natural Gas System" means transmission or distribution facilities that transport natural gas as defined in Sections 1-3 of the Illinois Gas Pipeline Safety Act (Ill. Rev. Stat. 1981, ch. 111⅔, pars. 551-553).

Part 525 Purchased Gas Adjustment Clause

83 Ill. Adm. Code 525.10 Applicability

a) The Gas Charge(s) shall be applied to all therms associated with the service classifications so identified in the filed rate schedules of all gas public utilities operating in the State of Illinois. If a utility elects to establish separate Gas Charge(s) for recovery of costs of a seasonal nature, such Gas Charge(s) shall be applied to therms associated with the appropriate seasonal period. The Gas Charge(s) shall be applied either to each therm billed during the effective month or to each therm delivered during the effective month. The utility shall elect whether a billed or a delivered method shall be used, and such election shall remain in effect until a utility request to effect a change is approved by the Commission. Each Gas Charge shall be determined in accordance with Section 525.60.

b) The number and design of Gas Charge(s) applicable to a given service may differ between services. For example, some services may include a single Gas Charge while other services may include separate commodity and non-commodity Gas Charges.

c) Utilities shall report monthly, in a format designated by the Illinois Commerce Commission ("Commission"), the Gas Charge(s), calculated under the provisions of Section 525.60 to be applied to service rendered or billed during the effective month. The reports required by this Section must be postmarked by the twentieth day of the filing month. A monthly report postmarked after that date but prior to the first day of the effective month will be accepted only if it corrects an error or errors from a timely filed report for the same effective month. Any other report postmarked after that date will be accepted only if submitted as a special permission request under the provisions of Section 9-201(a) of the Public Utilities Act [220 ILCS 5/9-201(a)].

d) A utility shall reflect the requirements of this Part on the first day of the utility's reconciliation year that begins on or after January 1, 1996. A utility implementing this Part after January 1, 1996, shall, from January 1, 1996, until the first day of its reconciliation year, file all tariffs pertaining to the utility's purchased gas adjustment clause in conformance with Section 9-201 of the Public Utilities Act [220 ILCS 5/9-201].

83 Ill. Adm. Code 525.20 Definitions

"Base period" shall mean the effective month or the remaining months in the reconciliation year which includes the effective month.

"Effective month" shall mean the month following the filing month, during which the Gas Charge(s) will be in effect.

"Filing month" shall mean the month in which a Gas Charge(s) is determined by the utility and filed with the Commission.

"Gas used by the utility" shall include all gas used by the utility except gas utilized in the manufacture of gas through a reforming process, and shall include gas furnished to municipalities or other governmental authorities without reimbursement in compliance with franchise, ordinance or similar requirements.

"Reconciliation year" shall mean the 12-month period defined in each utility's tariff for which actual gas costs and associated revenues are to be reconciled.

"System average cost of gas" shall mean the weighted average cost per therm of gas estimated to be purchased, withdrawn from storage, and manufactured during the base period or reconciliation year.

83 Ill. Adm. Code 525.30 Cost Basis

The Gas Charge(s) shall represent the utility's estimate of recoverable gas costs (as prescribed in Section 525.40) to be incurred during the base period, with an adjustment to such costs through use of Adjustment Factors (as prescribed in Sections 525.50, 525.60 and 525.70). Any Gas Charge(s) established to recover commodity gas costs (separately or in conjunction with non-commodity gas costs) shall use an estimate of the recoverable costs to be incurred during the effective month. Any Gas Charge(s) established to recover only non-commodity gas costs shall use an estimate of the recoverable costs to be incurred during the remaining months of the reconciliation year.

83 Ill. Adm. Code 525.40 Recoverable Gas Costs

a) Costs recoverable through the Gas Charge(s) shall include the following:

1. costs of natural gas and any solid, liquid or gaseous hydrocarbons purchased for injection into the gas stream or purchased as feedstock or fuel for the manufacture of gas, or delivered under exchange agreements;

2. costs for storage services purchased;

3. transportation costs related to such natural gas and any solid, liquid or gaseous hydrocarbons and any storage services; and

4. other out-of-pocket direct non-commodity costs, related to hydrocarbon procurement, transportation, supply management, or price management, net of any associated proceeds, and Federal Energy Regulatory Commission-approved charges required by pipeline suppliers to access supplies or services described in subsections (a)(1) through (3) of this Section.

b) Determinations of the Gas Charge(s) shall exclude the estimated cost of gas to be used by the utility, based on the system average cost of gas for the effective month.

c) The cost of gas estimated to be withdrawn from storage during the base period shall be included in the Gas Charge(s).

d) Recoverable gas costs shall be offset by the revenues derived from transactions at rates that are not subject to the Gas Charge(s) if any of the associated costs are recoverable gas costs as prescribed by subsection (a) of this Section. This subsection shall not apply to transactions subject to rates contained in tariffs on file with the Commission, or in contracts entered into pursuant to such tariffs, unless otherwise specifically provided for in the tariff. Taking into account the level of additional recoverable gas costs that must be incurred to engage in a given transaction, the utility shall refrain from entering into any such transaction that would raise the Gas Charge(s).

e) Revenues from penalty charges or imbalance charges, which the Commission has previously approved to prevent unauthorized actions of customers, shall offset gas costs.

f) Revenues from "cash-out" schedules, which the Commission has previously approved for transportation customers' monthly imbalances, shall offset gas costs. Under such schedules, the utility can charge customers for gas used in excess of the amount contracted for, or can refund to customers the avoided cost of gas not taken. Refunds by the utility pursuant to any such "cash-out" schedule shall be treated as gas costs recoverable under this Section.

83 Ill. Adm. Code 525.50 Adjustments to Gas Costs

a) The Adjustment Factor (Factor A) shall be treated as an addition to or an offset against actual gas costs. This Adjustment Factor shall include the total of the following items:

1. refunds, directly billed pipeline surcharges, unamortized balances of adjustments in effect as of the utility's implementation date, and other separately designated adjustments;

2. the cumulative difference between actual recoverable gas costs and purchased gas adjustment ("PGA") recoveries for months preceding the filing month; and

3. the unamortized portion of any Adjustment Factor(s) included in prior determinations of the Gas Charge(s).

b) If a utility determines the need to amortize the Adjustment Factor over a period longer than the base period, this Adjustment Factor shall be amortized over a period not to exceed 12 months. The utility shall, in the monthly filing in which Factor A is first amortized, include an amortization schedule showing the Adjustment Factor amount to be included in the base period. The associated carrying charge established by the Commission under 83 Ill. Adm. Code 280.70(e)(1) and in effect when the Adjustment Factor is first amortized shall be applied to each month's unamortized balance and included within Factor A.

83 Ill. Adm. Code 525.60 Determination of Gas Charge(s)

a) Each month the utility shall determine the Gas Charge(s) to be placed into effect for service rendered or billed during the effective month.

b) The Gas Charge(s) shall be determined in accordance with the following formula:

GC

=

(G + A + O/T) x 100

Where:

GC

=

The Gas Charge(s) in cents per therm rounded to the nearest 0.01¢; any fraction of 0.01¢ shall be dropped if less than 0.005¢ or, if 0.005 or more, shall be rounded up to the next full 0.01. A utility may establish separate Gas Charges for each type of gas cost

G

=

The sum of the estimated recoverable gas costs associated with the base period, as prescribed in Section 525.40. If separate Gas Charges are established, only costs related to the specific Gas Charge shall be included.

A

=

An amount representing the total adjustments to gas costs, as prescribed in Section 525.50. If a utility has elected to amortize the total adjustments to gas costs, Factor A shall include the amount applicable to the base period.

O

=

An amount representing the additional over- or under-recovery for a reconciliation year ordered by the Commission to be refunded or collected, including interest charged at the rate established by the Commission under 83 Ill. Adm. Code 280.70(e)(1) from the end of the reconciliation year to the order date in the reconciliation pro­ceeding. If the Commission determines it is necessary to amortize the additional over- or under-recovery, additional interest shall be charged in the same manner as that prescribed in Section 525.50 (b).

T

=

The estimated applicable therms of gas associated with service to be rendered or billed during the base period.

83 Ill. Adm. Code 525.70 Annual Reconciliation

a) In conjunction with a docketed reconciliation proceeding, the utility shall file with the Commission an annual reconciliation statement, which shall be certified by the utility's independent public accountants and verified by an officer of the utility. This statement shall show the difference between the following:

1. the costs recoverable through the Gas Charge(s) during the reconciliation year, as adjusted by Factor A and Factor O, and

2. the revenues arising through the application of the Gas Charge(s) to applicable therms during the reconciliation year.

b) If, after hearing, the Commission finds that the utility has not shown all costs to be prudently incurred or has made errors in its reconciliation statement for such reconciliation year, the difference determined by the Commission shall be refunded or recovered, as appropriate, under the Ordered Reconciliation Factor (Factor O), along with any interest or other carrying charge authorized by the Commission.

Part 530 Safety and Quality Standards for Gas Transportation for a Private Energy Entity by Gas Utilities

83 Ill. Adm. Code 530.10 Standards

a) Natural gas ("gas"), as defined in Section 1.07 of "AN ACT to provide for the use of gas transmission facilities by energy entities," (Ill. Rev. Stat. 1985, ch. 111 ⅔, par. 571.07) produced from wells in Illinois (including methane produced from the anaerobic decomposition of municipal refuse) for use in Illinois and to be transported by a gas public utility in Illinois must meet the following standards before the gas may be placed into the utility's gas system. These standards do not apply to contracts existing prior to the effective date of this Part.

1. The gas shall be commercially free from dust, gum, gum forming constituents, and other solid and/or liquid matter.

2. The gas shall contain not more than 5 pounds of water per one million standard cubic feet.

3. The gas shall not contain products in amounts that will result in detrimental corrosion which would cause premature failure of pipe, equipment or customer appliances over the normal life span of the pipe, equipment, or appliances.

4. The gas shall not contain more than .25 grain of hydrogen sulphide per 100 cubic feet and not more than 1 grain of total sulfur per 100 cubic feet.

5. The gas shall not contain more than 3% by volume of carbon dioxide.

6. The gas shall not contain more than .5% by volume of oxygen.

7. The gas shall not contain more than 5 parts per million by volume of halogenated hydrocarbons at any time.

8. The gas temperature shall be between the limits of 40° and 110° Fahrenheit when delivered to the utility for transportation.

9. The gas shall not cause a reduction in the Btu content of the gas delivered to the utility's customers unless the blended gases delivered to the individual customers are fully compensated by a Btu correction factor stated in the utility's tariffs.

10. The transported gas must be interchangeable with the utility's system gas so that the gas will burn in customers' equipment without any adjustments to the customers' equipment being required. Interchangeability will be determined in accordance with the American Gas Association's Research Bulletin 36, "Interchangeability of Other Fuel Gases with Natural Gases" (1952, Second Edition). No later amendment or edition is incorporated by this subsection.

b) Tests to determine the gas quality and containing gas quality are the responsibility of the energy entity. Treatment of the gas to cause the gas to meet the standards of this Part is the responsibility of the energy entity. Testing shall be subject to monitoring by the utility.

83 Ill. Adm. Code 530.15 Other Compounds

The gas, before and after burning, shall not contain the following compounds in excess of listed concentrations in parts per million.

Compound

Concentration

Pentane

600

Hexane

50

Benzene

10

Iso-octane

300

Methylbenzene

100

Ethylbenzene

100

m,p-xylene

100

o-xylene

100

Nonane

200

Isopropylbenzene

50

Naphthalene

10

83 Ill. Adm. Code 530.20 Delivery Requirements

Natural gas delivered by the private energy entities for transportation by a utility shall meet the following conditions:

a) The transportation of the gas for a private energy entity by the utility shall not result in increased revenue requirements for the utility.

b) The gas shall be delivered to the utility at a point of interconnection with the utility system which has sufficient capacity to transport the hourly gas deliveries requested by the private energy entity when such capacity is not required by the utility to meet the hourly gas demands of its customers. "Capacity of the utility system" means the various gas capacities in Mcf/hour (thousand cubic feet per hour) along the route of the mains that will be used to transport the private energy entity's gas and includes capacity that can be made available to transport the entity's gas by displacement of the utility's system.

c) The utility is not required to provide any system capacity (including any interconnections) for the transportation and delivery of private energy entity gas when the capacity is needed by the utility to meet the gas delivery requirements of its existing customers.

d) If sufficient capacity is not available, a private energy entity may contract with the utility for the utility for the utility to provide pipelines and associated equipment (such as regulating and pressure relief equipment) necessary to transport and deliver the private energy entity's gas.

e) The private energy entity shall provide the gas at pressures sufficient to inject the gas into the utility's system without exceeding the pressure limitation and operating limitations imposed on the piping system by 92 Ill. Adm. Code 1800.

f) The private energy entity shall contract with the utility to odorize the gas at levels used in the system by the utility.

g) Metering equipment shall be provided by the private energy entity, but shall be approved by the utility prior to installation. Meter reading and periodic calibration of the metering facilities will be subject to monitoring and witnessing by the utility. The energy entity may contract with the utility to provide the metering equipment and/or the maintenance and/or the reading thereof. In this event, the energy entity may monitor and witness the reading and periodic calibration of the meters.

83 Ill. Adm. Code 530.30 Rights of Parties

a) The utility will have the right to refuse the delivery and transportation of private energy entity's gas if any of the requirements specified in Section 530.10, 530.15 or 530.20 are not met.

b) The energy entity shall have the right to challenge any actions taken by the utilities under authority of this Part by filing an informal or formal complaint with the Commission pursuant to the Commission's Rules of Practice, 83 Ill. Adm. Code 200.

c) If any existing condition, in the judgment of any public utility or private energy entity, justifies deviation from Section 530.10(a)(1) through (8) of this Part in any particular case, a petition may be filed setting forth a full statement of such conditions and the reasons and purpose of such proposed deviation. The Commission shall allow such deviation if the deviation will not decrease the quality of gas delivered to customers and will not damage the transmission system of the utility.

Part 535 Background Checks and Mercury Compliance

83 Ill. Adm. Code 535.10 Definitions

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

"Commission" means the Illinois Commerce Commission.

"Confirmed reading" means a mercury vapor sample test result that was obtained in the absence of any interference or one that was obtained by an alternative mercury vapor analyzer in those cases where an interference exists.

"Emergency" means a potentially life-threatening situation.

"Independent contractor" means any sole proprietor, partnership, limited liability partnership, limited liability company, or corporation subject to a contract or other agreement regarding the performance of work, as defined in this Section, on public utility equipment.

"Pertinent safety law" refers to federal pipeline safety regulations and Occupational Health and Safety Administration standards associated with the construction, installation, maintenance, or operation of underground utilities or natural gas distribution facilities.

"Pertinent environmental law" refers to Illinois Environmental Protection Agency standards, Illinois Department of Public Health standards, and federal environmental standards associated with the construction, installation, maintenance, or operation of underground utilities or natural gas distribution facilities.

"Public utility" means the same as that term is defined in Section 3-105 of the Act [220 ILCS 5/3-105].

"Violation" means any final order issued by any federal or State court or agency of competent jurisdiction or written stipulation, admission, agreed settlement, or consent order containing an admission of liability for the violation, entered into within the last five years prior to the hiring, promoting, or transfer date as set forth in Section 535.100.

"Work" means any maintenance, replacement, or inspection of public utility equipment by a public utility or by a contractor for a public utility. "Work" shall not include meter readings and inspections of public utility equipment that only involve observations or taking readings.

83 Ill. Adm. Code 535.20 Application

This Part establishes the procedures for completing certificates that a public utility shall require from employees or contractors before any work is performed by these employees or contractors on a facility used for the distribution of natural gas and the procedures for the conducting of mercury vapor tests and the use of mercury vapor testing equipment by the public utility, its agents, or its contractors.

83 Ill. Adm. Code 535.100 Background Checks

a) Before hiring, promoting, or transferring an employee to perform work on facilities used for the distribution of natural gas to customers, a public utility shall require each employee or potential employee to complete a certificate listing violations of pertinent safety or environmental laws by the employee or potential employee. Exempt from this requirement are current employees of public utilities who were in positions with the public utilities that involved work on facilities used for the distribution of natural gas to customers of these public utilities on November 1, 2004. Also exempt are employees who are being transferred or promoted from a position requiring a certificate to another position requiring a certificate. [220 ILCS 5/8-501.5]

b) Before hiring an independent contractor to perform work involving facilities used for the distribution of natural gas to customers, a public utility shall require an owner or officer of the independent contractor to provide certificates listing violations of pertinent safety or environmental laws by the independent contractor. [220 ILCS 5/8-501.5]

c) A certificate of violations of pertinent safety and environmental laws violations completed by a potential public utility employee or current public utility employees who receive a promotion or transfer to a position described in subsection (a) shall contain the following information:

1. The name of applicant or employee;

2. The applicant or employee’s declaration of violations of pertinent safety and environmental laws, including the date of the violation and the amount of any penalty or fine assessed because of the violation;

3. A verified statement that the applicant or employee is providing truthful information;

4. Notice to the applicant or employee that willful omissions of information from this certificate are grounds for employment termination; and

5. The applicant or employee’s dated signature.

d) A certificate of violations of pertinent safety and environmental laws completed by an owner or officer of the independent contractor shall contain the following information:

1. Identification of the specific public utility contract being sought by the independent contractor;

2. The name and address of the independent contractor;

3. The name and position held in the independent contractor by the person completing the certificate;

4. The independent contractor's declaration of violations of pertinent safety and environmental laws, including the date of the violation and the amount of any penalty or fine, if any, assessed because of the violation;

5. A verified statement that the representative of the independent contractor is providing truthful information;

6. Notice to the independent contractor that willful omissions of information from this certificate are grounds for contract termination; and

7. The dated signature of the independent contractor owner or officer completing the certificate.

e) A public utility shall retain completed certificates of violations of pertinent safety and environmental laws and shall make these records available for inspection by the Commission.

1. A public utility shall keep a certificate completed by an independent contractor hired by the public utility for five years after the creation of the certificate;

2. A public utility shall keep certificates completed by its own employees for five years after employment termination.

f) Information provided in the certificates referred to in subsections (c) and (d) shall be considered by these public utilities in making employment decisions regarding those individuals or entities furnishing these certificates to these public utilities.

g) Independent contractors hired by the public utility shall provide new certificates annually.

83 Ill. Adm. Code 535.200 Work Performed on Regulators and Manometers

a) Prior to performing work at a customer location on a mercury-containing regulator or manometer used in providing natural gas service, a public utility shall test the air for mercury vapor in at least two locations: one location one foot above or away from the regulator or manometer and another location within three to five feet above the floor for indoor meters, or three to five feet above ground level for outdoor meters, immediately adjacent to the regulator or manometer.

b) After performing the work on a mercury-containing regulator or manometer used to provide natural gas service, a public utility shall test the air for mercury vapor at the same locations used for air sampling prior to performing the work on the regulator or manometer.

c) A public utility shall consider a confirmed reading at, or in excess, of the following levels as a positive indication of mercury.

1. 0.003 milligrams (3 micrograms) per cubic meter of air for mercury vapor air sample tests conducted inside of a residential customer location.

2. 0.010 milligrams (10 micrograms) per cubic meter of air for mercury vapor air sample tests conducted at non-residential locations and outside of a residential customer location.

d) When testing for mercury vapor, a public utility shall use mercury vapor testing equipment capable of detecting the presence of mercury at the levels required by subsection (c).

e) A public utility shall use mercury vapor testing equipment in accordance with the guidelines set forth by the manufacturer of the equipment.

f) A public utility shall not perform any mercury vapor air sample tests under conditions that would counter the manufacturer’s recommendations for use of the mercury vapor test equipment except for the following reasons:

1. A public utility may perform work on mercury-containing regulators or manometers located outdoors without conducting the required mercury vapor test if conditions are not suitable for accurate readings from its mercury vapor test equipment, but shall return to the work site and test for mercury vapor as soon as conditions are favorable for accurate readings from its mercury vapor test equipment; or

2. In an emergency, as defined in Section 535.10, a public utility may perform work on mercury-containing regulators or manometers without conducting the required mercury vapor test, if conditions are not suitable for accurate readings from its mercury vapor test equipment, but shall return to the work site and test for mercury vapor as soon as conditions are favorable for accurate readings from its mercury vapor test equipment.

83 Ill. Adm. Code 535.210 Reporting Mercury Tests

a) A public utility performing a mercury vapor air sample test required by Section 535.200 shall record the following information:

1. The name of the public utility providing natural gas service to the property;

2. The address where the mercury-containing regulator or manometer is or was located;

3. An indication of whether the regulator or manometer was located inside or outside of customer’s location;

4. An indication of whether a regulator or manometer is at the specified location;

5. An indication of whether the regulator or manometer remained at the specified location or was removed;

6. The name of the person conducting the test;

7. The date and time of the test;

8. The level of mercury vapor found at each test location;

9. A general description of each air sample test location;

10. The name and model number of the device used to conduct the test;

11. The date of original work and a listing of the conditions that existed that countered the manufacturer's recommendations for use of the mercury testing equipment if testing was postponed due to circumstances covered in Section 535.200(f)(2); and

12. The dated signature of the person completing the mercury vapor test report.

b) After performing mercury vapor air sample tests required by Section 535.200, a public utility shall, if requested by the occupant or owner of the property, provide a copy of the mercury vapor air sample test results to the occupant or owner of the property where the public utility performed the tests. If requested, the public utility shall mail a copy of the mercury vapor air sample test results in a first class envelope addressed to the occupant or owner within 10 working days after the date of the request.

c) A public utility shall retain the information required in subsection (a) for five years. A public utility shall make these records available for inspection by the Commission staff upon request.

d) Prior to performing a mercury vapor air sample test required by Section 535.200, a public utility shall inform the occupant or owner of the property that it intends to conduct a mercury vapor air sample test and that the occupant or owner has the right to request a copy of the test results. In an emergency, as defined in Section 535.10, notice required by this Section may be provided upon the resolution of the emergency.

83 Ill. Adm. Code 535.220 Mercury Reports to the Commission

a) No later than April 1 of each year, a public utility offering natural gas service shall file an annual mercury compliance report with the Chief Clerk of the Commission. The report shall contain the following information for the previous calendar year:

1. The number of locations that required a mercury vapor air sample test; and

2. An identification of the number of locations that contained confirmed readings in excess of the allowed levels and the concentration of mercury vapor detected by the public utility at each location as set forth in Section 535.200(c).

b) If a public utility reports no activity regarding the removal of mercury-containing regulators or manometers used in providing natural gas service for a period of three consecutive years and certifies by verified statement with the Chief Clerk of the Commission that there are no known locations with mercury-containing regulators or manometers used in providing natural gas service, then the utility is exempted from the reporting requirement.

c) A public utility’s exemption from the reporting requirements in this Section ends in the event that:

1. The public utility discovers a mercury-containing regulator or manometer used in providing natural gas service within its system; or

2. The public utility merges with another Illinois natural gas utility or acquires Illinois service territory from another public utility that has not met the requirements of subsection (b).

83 Ill. Adm. Code 535.230 Mercury Vapor Air Sample Test Result in Excess of Allowed Levels

a) For each confirmed mercury vapor air sample test result in excess of the levels set forth in Section 535.200(c), a public utility shall immediately notify all State and federal authorities with jurisdiction of its findings and implement the appropriate mercury contamination clean-up procedure with those authorities, to the extent such notification and clean-up is required under pertinent environmental laws or pertinent safety laws and to the extent that the utility has not previously developed protocols for notification and cleanup with State or federal authorities. Notifying all State and federal authorities with jurisdiction is not required should a public utility’s existing protocol with those authorities not require it.

b) If a public utility is required, as discussed under subsection (a), to conduct a clean-up, the public utility shall maintain a file of all correspondence regarding each location where it obtained a confirmed mercury vapor air sample test result in excess of the limits set forth in Section 535.200(c) for a period of five years after it receives confirmation from the appropriate State or federal authorities that its mercury clean-up activities are completed and no further work in this regard is needed.

83 Ill. Adm. Code 535.240 Certification of Equipment

A public utility, independent contractor, or their agents shall follow the manufacturer’s testing, maintenance, and certification recommendations for all mercury vapor testing equipment used to test for the presence of mercury vapor and shall keep the records of such testing, maintenance and certifications for five years after its last mercury vapor test required by Section 535.200.

Part 550 Non-Discrimination in Affiliate Transactions for Gas Utilities

83 Ill. Adm. Code 550.10 Definitions

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

"Affiliated interest" has the same meaning as in Section 7-101(2) of the Act.

"Affiliated interests in competition with alternative retail gas suppliers" shall include affiliated alternative retail gas suppliers that provide services to customers within the service territory of the gas utility with which it is affiliated, as well as affiliated interests that broker, sell, or market gas to customers within the service territory of the gas utility with which it is affiliated, or that provide consulting services directly related to the sale of gas to customers within the service territory of the utility with which it is affiliated.

"Alternative retail gas supplier" or "ARGS" means any entity that provides or arranges to provide gas supplies to a retail customer. A gas utility is not an ARGS where it is the final conveyer of gas to the retail customer.

"Corporate support" means corporate oversight and governance involving administrative services (including travel administration, security, printing, graphics, custodial services, secretarial support, mail services, and records management), financial management services (including accounting, treasury, internal audit, tax, and financial reporting and planning), data processing, shareholder services, human resources, employee benefits, regulatory affairs, legal services, lobbying, and non-marketing research and development activities. Corporate support also includes strategic planning.

"Emergency support" means the temporary provision of personnel and other resources when consumer safety is at risk or to help maintain service during emergencies where interruption of service can only be avoided or reduced through the sharing of employees.

"Gas utility" is a public utility, as defined in Section 3-105 of the Act [220 ILCS 5/3-105], that is engaged in the conveyance of gas by pipeline.

"Transportation services" are those services provided by a gas utility that enable a customer to obtain gas supplies from an ARGS.

"Unaffiliated entity" means any entity other than either the gas utility or any of the gas utility's affiliated interests.

83 Ill. Adm. Code 550.20 Non-Discrimination

a) Gas utilities shall not provide affiliated interests or customers of affiliated interests preferential treatment or advantages relative to unaffiliated entities or their customers in connection with services provided under tariffs on file with the Illinois Commerce Commission (Commission), including contracts filed under tariffs filed pursuant to Section 9-102.1 of the Act [220 ILCS 5/9-102.1]. This provision applies broadly to all aspects of service, including, but not limited to, responsiveness to requests for service, the availability of firm versus interruptible services, the imposition of special metering requirements, and all terms and conditions and charges specified in the tariff.

b) Except for corporate support transactions, transactions between a gas utility and one or more of its affiliated interests in competition with ARGS that are not governed by tariff sheets on file with the Commission shall not discriminate in relation to unafilliated ARGS.

c) Gas utilities and affiliated interests shall not notify potential or actual customers, either directly or indirectly, advertise to the public, or otherwise communicate that the gas utility provides any advantages relating to the scheduling, transportation or distribution of gas to affiliated interests or their customers relative to unaffiliated entities and their customers.

d) A utility shall process requests for similar services provided by the utility in the same manner and within the same time period for its affiliated interests or their customers as for unaffiliated entities.

e) If discretion is permitted in application of a tariff provision, gas utilities shall maintain a log detailing each instance in which it exercised discretion, as required in Section 550.140(c).

f) If a gas utility offers affiliated interests or customers of affiliated interests a discount, rebate, fee waiver or waivers of its ordinary terms and conditions for services provided under tariffs on file with the Commission, it shall contemporaneously offer the same discount, rebate, fee waiver or waivers of its ordinary terms and conditions to all unaffiliated entities and customers of unaffiliated entities, to the extent consistent with the tariffs. Gas utilities shall maintain a log of these instances, as required in Section 550.140(c).

g) When providing services as a component of any bundled service, a gas utility shall not offer affiliated interests or the customers of affiliated interests a discount, rebate, fee waiver or waivers unless the gas utility contemporaneously offers the same discount, rebate, fee waiver or waivers to all unaffiliated entities and customers of unaffiliated entities.

History

• Source: Expedited correction at 25 Ill. Reg. 15014, effective September 21, 2001

83 Ill. Adm. Code 550.30 Marketing and Advertising

a) A gas utility shall neither jointly advertise nor jointly market its services or products with those of an affiliated interest in competition with ARGS.

b) Nothing in subsection (a) shall be construed as prohibiting an affiliated interest in competition with ARGS from using the corporate name or logo of a gas utility or gas utility holding company.

c) When an affiliated interest in competition with ARGS markets or advertises to the public using the natural gas utility's name or logo, it shall include a legible disclaimer that states:

1. that the affiliated interest in competition with ARGS is not the same company as the gas utility;

2. that the prices of the affiliated natural gas supplier in competition with ARGS are not regulated by the Illinois Commerce Commission;

3. that a customer does not have to buy products or services from the affiliated interest in competition with ARGS in order to receive the same quality service from the gas utility.

When an affiliated interest in competition with ARGS advertises or communicates verbally through the radio or television to the public using the gas utility's company name or logo, the affiliated interest in competition with ARGS shall include at the conclusion of any such communication a legible disclaimer that includes all the disclaimers listed in subsections (c)(1), (2) and (3).

83 Ill. Adm. Code 550.40 Tying

Gas utilities shall not tie, as defined by State and federal anti-trust laws, the provision of any services to the taking of any goods and services from the gas utilities' affiliated interests.

83 Ill. Adm. Code 550.50 Release, Assignment, Transfer, and Brokering of Interstate Natural Gas Pipeline and Storage Services

Except to the extent reserved to the sole and exclusive jurisdiction of the Federal Energy Regulatory Commission (FERC), gas utilities shall not grant preferences regarding the release, assignment, transfer, or brokering of interstate natural gas pipeline and storage services to affiliated interests or their customers.

83 Ill. Adm. Code 550.60 Nondiscriminatory Provision of Information to Unaffiliated Entities

Employees of the gas utility's affiliated interests in competition with ARGS shall not have preferential access to any information about the gas utility's distribution systems.

83 Ill. Adm. Code 550.70 Customer Information

Gas utilities shall not provide any preferences to affiliated interests in the release of billing and usage data.

83 Ill. Adm. Code 550.80 Exception for Corporate Support Information

Except as proscribed by Sections 550.60 and 550.70, gas utilities may share information concerning corporate support with affiliated interests without being required to share this information with unaffiliated entities.

83 Ill. Adm. Code 550.85 Indirect Information Sharing

A gas utility shall neither directly nor indirectly provide preferential access to information to any of the utility's affiliated interests in competition with ARGS where the utility's direct sharing of this information with an affiliated interest in competition with ARGS would violate any Section of the Public Utilities Act or any Section of this Part.

83 Ill. Adm. Code 550.90 Confidentiality of Args Information

Gas utilities shall treat all information obtained from an ARGS as confidential information, and shall not provide this information to their affiliated interests or to unaffiliated entities unless the ARGS provides authorization to do so.

83 Ill. Adm. Code 550.100 Independent Functioning

Except in relation to corporate support and emergency support, gas utilities and affiliated interests in competition with ARGS that provide services to customers within the utility's service territory shall function independently of each other and shall not share services or facilities.

83 Ill. Adm. Code 550.110 Employees

a) Except in relation to corporate support and emergency support, gas utilities and their affiliated interests in competition with ARGS shall not jointly employ or otherwise share the same employees.

b) Gas utilities shall not jointly employ or otherwise share employees engaged in providing transportation services with their affiliated interests in competition with ARGS.

c) Subsections (a), (b), and (d) of this Section shall not apply to any employee covered by a collective bargaining agreement subject to federal labor law, including the Labor Management Relations Act and the National Labor Relations Act.

d) Each gas utility that has an affiliated interest in competition with ARGS shall maintain a log detailing the transfer of employees: from the utility to its affiliated interests in competition with ARGS; from the utility to its other affiliated interests; and from the utility's other affiliated interests to its affiliated interests in competition with ARGS. This subsection shall not apply to employee transfers to or from corporations that are affiliated interests of the gas utility solely because they share a common director. The log shall be made available to the Commission upon request.

83 Ill. Adm. Code 550.120 Transfer of Goods and Services

a) Transactions between a gas utility and its affiliated interests shall not be allowed to subsidize the affiliated interests.

b) Costs associated with the transfer of goods and services between a gas utility and its affiliated interests shall be priced as specified in, and allocated pursuant to, the Commission approved services and facilities agreement or affiliated interests agreement. Any transfer of goods and services between a gas utility and its affiliated interests that is not explicitly addressed in a Commission approved services and facilities or affiliated interests agreement is prohibited unless the transfer has been otherwise specifically approved by the Commission pursuant to Section 7-101 of the Act or approval has been waived by statute or Commission rule.

83 Ill. Adm. Code 550.130 List of Affiliated Interests

a) Each gas utility shall maintain an accurate list of all its affiliated interests. This list shall include the name and address of each affiliated interest and the name and business telephone number of at least one officer of each affiliated interest. The gas utility shall make this list available to the public upon request.

b) The gas utility shall file this list and a list denoting subsequent changes with the Chief Clerk of the Commission on a quarterly basis. The gas utility shall also send copies of the lists to the Manager of the Accounting Department and the Director of the Consumer Services Division of the Commission. The Chief Clerk of the Commission shall make the most recent lists of each gas utility available to the public upon request.

83 Ill. Adm. Code 550.140 Maintenance of Books and Records and Commission Access

a) A gas utility shall maintain books, accounts, and records separate from those of its affiliated interests.

b) Upon the request of the Commission, gas utilities shall make personnel available who are competent to respond to the Commission's inquiries regarding the nature of any transactions that have taken place between the gas utility and its affiliated interests, including but not limited to the goods and services provided, the prices, terms and conditions, and other considerations given for the goods and services provided.

c) Each gas utility shall maintain a log detailing: each instance in which it exercised discretion in the application of tariff provisions; each instance in which it offered affiliated interests or customers of affiliated interests services not governed by tariffs, except for corporate support transactions; and each instance in which it offered affiliated interests or customers of affiliated interests a discount, rebate, fee waiver or waivers of the gas utility's ordinary terms and conditions in connection with services provided under tariffs on file with the Commission. The gas utility shall make this log available to the Commission upon request. The log shall contain the following information:

1. the names of the affiliated interests and unaffiliated entities involved in the transaction;

2. a description of the transaction;

3. the time period over which the transaction applies; and

4. the quantities and locations involved in the transaction.

83 Ill. Adm. Code 550.150 Internal Audits

a) Gas utilities shall conduct biennial internal audits or have internal audits conducted by independent public accountants on transactions with affiliated interests. These audits shall test compliance with this Part, with any applicable Commission orders, with the gas utility's affiliated interest operating agreement(s) and/or guidelines, with 83 Ill. Adm. Code 505, and with 83 Ill. Adm. Code 506. The audits shall include written reports of conclusions and associated workpapers that shall be available to the Commission Staff for review. The audit reports shall be submitted to the Commission's Director of Accounting within 30 days after completion. Any audit performed pursuant to this Section may be designated as confidential with the Commission's Director of Accounting.

b) The first internal audit report shall be submitted on or before December 1, 2002. Succeeding audit reports shall be submitted on or before December 1 of each even numbered succeeding year.

c) Subsections (a) and (b) of this Section shall not apply to transactions with corporations that are affiliated interests of the gas utility solely because they share a common director or transactions with individuals that are affiliated interests of the gas utility solely because they are an elective officer or director of the gas utility.

History

• Source: Amended at 27 Ill. Reg. 1138, effective February 1, 2003

Chapter I Illinois Commerce Commission

Subchapter d Gas Utilities

Part 550 Non-Discrimination in Affiliate Transactions for Gas Utilities

83 Ill. Adm. Code 550.160 Complaint Procedures

Complaints alleging violations of this Part shall be filed pursuant to 83 Ill. Adm. Code 200.

Part 551 Certification of Alternative Gas Suppliers

83 Ill. Adm. Code 551.10 Definitions and Incorporations

a) Definitions

"Accountant's report" has the same meaning as in 17 CFR 210.1-02 and 210.2-02 as of April 1, 2001.

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

"Alternative gas supplier" or "AGS" has the same meaning as in Section 19-105 of the Act [220 ILCS 5/19-105].

"Applicant" means an entity that files an application with the Illinois Commerce Commission to provide residential or small commercial gas service as an alternative gas supplier under Section 19-115 of the Act [220 ILCS 5/19-115].

"Best's financial size category" refers to a numerical value that A.M. Best or its successor assigns to an insurance company based on the amount of that insurance company's policyholders' surplus and reserve funds.

"Best's rating" refers to a rating from A.M. Best or its successor that provides an overall opinion of an insurance company's ability to meet its obligations to policyholders.

"Certified", when used in regard to financial statements, has the same meaning as in 17 CFR 210.1-02 as of April 1, 2001.

"Commission" means the Illinois Commerce Commission.

"Dekatherm" means one thousand Mcf of natural gas at one thousand British Thermal Units per cubic foot or one million British Thermal Units.

"Dun & Bradstreet Business Information Report" means a credit report on businesses published by Dun & Bradstreet or its successor.

"Dun & Bradstreet Composite Credit Appraisal" means a number, one through four (one being the highest), that reflects Dun & Bradstreet's or its successor's overall assessment of a firm's creditworthiness.

"Experian Small Business Intelliscore report" means a credit report on individuals or businesses published by Experian or its successor.

"Financial statements" has the same meaning as in 17 CFR 210.3-01 to 210.3-05 as of April 1, 2001.

"Funds from operations interest coverage" equals (cash flow from operations exclusive of changes in working capital plus gross interest expense) divided by gross interest incurred before subtraction of capitalized interest and interest income.

"Funds from operations to average total debt" equals (cash flow from operations exclusive of changes in working capital plus depreciation adjustment for operating leases) divided by the average balance of total debt.

"Guarantee" means an undertaking by a guarantor to pay or fulfill the obligation upon failure of the principal obligor to fulfill its contractual obligations. A guarantee shall contain the following provisions:

The guarantee is one of payment and not of collection;

The guarantor's obligations under the guarantee are weighed equally with other guarantees;

The obligations from transactions entered into under the original guarantee must be the subject of an ongoing guarantee;

The guarantee reinstates if any guaranteed payment made by the primary obligor is recaptured as a result of bankruptcy or insolvency; and

The guarantee is binding on successors of the guarantor.

"Intelliscore" means a score range from 0 to 100 that reflects Experian's assessment of the likelihood of an individual or business becoming seriously delinquent on its outstanding obligations, as reported in the Experian Small Business Intelliscore report.

"Letter of credit" means an instrument issued by a bank guaranteeing the payment of a customer's (i.e., the applicant or AGS) drafts in favor of a third party up to a stated amount for a specified period.

"License bond" or "Permit bond" means an obligation of a surety to pay the monies that the licensee owes the State of Illinois for violations of the duties and obligations imposed on it as an AGS.

"Management position" means an employed position whereby an individual is responsible for directing, supervising, or administering the activities of a group of two or more people with fiscal responsibility and authority over that group.

"Material" has the same meaning as in 17 CFR 210.1-02 as of April 1, 2001.

"Mcf" means one thousand cubic feet at 14.73 pounds per square inch and 60 degrees Fahrenheit and free of water vapor.

"Parent" has the same meaning as in 17 CFR 210.1-02 as of April 1, 2001.

"Payment bond" means an obligation of a surety to pay the monies that the principal (i.e., the applicant or AGS) owes another party in the event that the applicant or AGS fails for whatever reason to perform its contracts.

"PAYDEX Score" is a number from 1 to 100 that represents Dun & Bradstreet's assessment of a company's payment performance, as reported in the Dun & Bradstreet Business Information Report.

"Pre-tax interest coverage" equals earnings from continuing operations before interest and taxes divided by gross interest incurred before subtraction of capitalized interest and interest income.

"Qualifying surety" or "insurance company" means a surety or insurer that is authorized by the U.S. Department of the Treasury pursuant to 31 USC 9305. A qualifying surety or insurer may not underwrite more than the amount specified by the U.S. Department of the Treasury on a single bond.

"Ratings agency" means Standard & Poor's or its successor, Moody's Investors Service or its successor, or Fitch Ratings or its successor.

"Residential customer", as used in this Part, means the same as the term is defined in Section 19-105 of the Act.

"Segment" refers to a component of an entity whose activities represent a separate major line of business or class of residential or small commercial customer.

"Small commercial customer", as used in this Part, means the same as the term is defined in Section 19-105 of the Act.

"Surplus Line Association of Illinois" is an organization of Illinois surplus line producers as defined in Section 445.1 of the Illinois Insurance Code [215 ILCS 5/445.1].

"Technical staff" means a staff of trained technical experts in gas and energy supply, including persons who have completed an accredited or otherwise recognized apprenticeship program or a formal education program and persons who possess no less than four years of experience working in a similar position with a utility, AGS or related business. This shall also include those persons registered as professional engineers as required by the Professional Engineering Practice Act of 1989 [225 ILCS 325].

"Total debt" equals notes payable plus the current portion of long-term debt, preferred stock and capitalized lease obligations plus long-term debt plus capitalized lease obligations plus total off balance sheet debt.

"Total debt to total capitalization" equals total debt divided by (total debt, plus minority interest, plus total preferred and preference stock, plus common equity).

"Unconditional guarantee" has the same meaning as "guarantee" with these additional provisions:

The guarantor has subjected itself to jurisdiction and service of process in accordance with the laws of the State of Illinois, and the guarantee will be construed in accordance with the laws of the State of Illinois without reference to conflict of laws principles; and

The guaranteed obligations are unconditional, irrespective of value, genuineness, validity, waiver, release, alteration, amendment, and enforceability of the guaranteed obligations.

b) Incorporations by Reference. No incorporation by reference in this Part includes any later amendment or edition beyond the date stated.

History

• Source: Amended at 28 Ill. Reg. 833, effective January 1, 2004

83 Ill. Adm. Code 551.20 Requirements for Applicants Under Section 19-110(e) of the Act

Each applicant for certification as an AGS shall include with its application the following items, as required by Section 19-110(e) of the Act [220 ILCS 5/19-110(e)]:

a) The applicant shall certify that it will comply with all applicable Federal, State, regional and industry rules, policies, practices, procedures and tariffs for the use, operation, maintenance, safety, integrity, and reliability of the interstate natural gas system and shall agree to submit good faith schedules of natural gas deliveries in accordance with applicable tariffs.

b) The applicant shall certify that it will provide service to residential or small commer­cial customers that are eligible to take service from an AGS.

c) The applicant shall certify that it will comply with informational and reporting requirements that the Commission may by rule establish. [220 ILCS 5/19-110(e)]

d) The applicant shall certify compliance with all other applicable laws and regulations and Commission rules and orders.

e) The applicant shall demonstrate that it is licensed to do business in the State of Illinois.

History

• Source: Amended at 28 Ill. Reg. 833, effective January 1, 2004

83 Ill. Adm. Code 551.30 Required Filings and Procedures

a) The applicant shall publish, as provided by the Notice by Publication Act [715 ILCS 5], notice of its application for certification in the Official State Newspaper within 10 days following the filing of the application for certification. The applicant shall file proof of publication with the Clerk of the Commission.

b) All applications for certification under this Part shall be verified as required by Sec­tion 200.130 of the Commission's "Rules of Practice" (83 Ill. Adm. Code 200.130).

c) The applicant shall identify the geographic area or geographic areas in which the applicant seeks to be authorized to offer service and the types of services it intends to offer. [220 ILCS 5/19-110(d)] The applicant shall provide the following:

1. Description of the applicant's business.

2. Description of the characteristics of residential or small commercial customer groups the applicant proposes to serve.

3. Proof that notification of an intent to serve in any allowed gas utility's service area has been previously provided to the agent designated by the gas utility pursuant to 83 Ill. Adm. Code 215.10 of each gas utility in whose service area the applicant intends to serve.

d) Itemized filing requirements

1. At the time an AGS files an application for certification under this Part, the applicant shall also file its statement in support of application, supporting documents, and schedules containing information showing that the applicant meets the requirements of Section 19-110 of the Act.

2. The applicant shall certify compliance with all terms and conditions required by Section 19-115 of the Act, to the extent that Section has application to the services being offered by the AGS.

e) Contents of documents shall be consistent with Subpart B of the Commission's "Rules of Practice" (83 Ill. Adm. Code 200: Subpart B).

History

• Source: Amended at 28 Ill. Reg. 833, effective January 1, 2004

Chapter I Illinois Commerce Commission

Subchapter d Gas Utilities

Part 551 Certification of Alternative Gas Suppliers

83 Ill. Adm. Code 551.40 Residential and Small Commercial Customer Records and Information

a) The applicant shall agree to adopt and follow rules and procedures ensuring that authorizations received from residential or small commercial customers, customer billing records, and requests for service transmitted to utilities are retained for a period of not less than two calendar years after the calendar year in which they were created. In addition to other lawful means of discovery, these records shall be made available by request to the Commission or its Staff on a confidential and proprietary basis, as necessary to carry out the Commission's obligations under the Act.

b) The applicant shall preserve the confidentiality of its residential and small commercial customers' data and shall agree to adopt and follow rules and procedures to preserve the confidentiality of those customers' data.

History

• Source: Amended at 28 Ill. Reg. 833, effective January 1, 2004

83 Ill. Adm. Code 551.50 License or Permit Bond Requirements

a) The applicant shall execute and maintain a license or permit bond issued by a qualifying surety or insurance company authorized to transact business in the State of Illinois in favor of the People of the State of Illinois. The amount of the bond shall equal $150,000. The bond shall be conditioned upon the full and faithful performance of all duties and obligations of the applicant as an AGS and shall be valid for a period of not less than one year. The cost of the bond shall be paid by the applicant. The applicant shall file this bond as part of its application for certification.

b) In the event that a license or permit bond is cancelled, expires or is drawn upon, the AGS shall execute and maintain an additional or replacement bond such that the cumulative value of all outstanding bonds never falls below the amount required in subsection (a) of this Section. The AGS shall file a copy of the additional or replacement bond with the Chief Clerk of the Commission and provide a copy to the Commission's Director of the Financial Analysis Division or its successor at least 15 days in advance of the effective date of the bond. The filing shall include a cover letter that explains the purpose of the filing and shall be identified by the name of the AGS as it appears in the most recent Commission order granting the AGS certification.

c) In the event that a license or permit bond is modified, the AGS shall file a copy of the modified bond with the Chief Clerk of the Commission and provide a copy of that bond to the Commission's Director of the Financial Analysis Division or its successor at least 15 days in advance of the effective date of the modification. The filing shall include a cover letter that explains the purpose of the filing and shall be identified by the name of the AGS as it appears in the most recent Commission order granting the AGS certification.

83 Ill. Adm. Code 551.60 Confidential Documentation

If an applicant or AGS believes any of the information to be disclosed by an applicant or AGS is privileged or confidential, the applicant or AGS should request that the Commission enter an order to protect the confidential, proprietary or trade secret nature of any data, information or studies pursuant to 83 Ill. Adm. Code 200.430. The applicant or AGS shall designate which information is privileged and confidential. Such information shall be marked as "confidential" and submitted separately under seal to the Chief Clerk of the Commission. The applicant or AGS is required to explain why that information is entitled to that protection in a supporting document pursuant to Section 551.30(d)(1).

83 Ill. Adm. Code 551.70 General Procedures for Applicants

a) An applicant that seeks to serve residential or small commercial customers within a geographic area that is smaller than a gas utility's service area shall demonstrate that the designation of this smaller area does not violate any part of Section 19-115 of the Act [220 ILCS 5/19-115]. An applicant may state in its application for certification any limitations that will be imposed on the number of residential or small commercial customers or maximum load to be served [220 ILCS 5/19-110(d)] and certify that it will not deny service to a residential or small commercial customer or group of customers nor establish any differences as to prices, terms, conditions, services, products, facilities, or in any other respect, whereby such denial or differences are based upon race, gender or income nor deny service to a residential or small commercial customer or group of customers based on locality nor establish any unreasonable difference as to prices, terms, conditions, services, products, or facilities as between localities. [220 ILCS 5/19-115(e)]

b) The applicant shall certify that it will comply with the following requirements with respect to the marketing, offering and provision of products or services to residential and small commercial customers:

1. Any marketing materials that make statements concerning prices, terms and conditions of service shall contain information that adequately discloses the prices, terms and conditions of the products or services that the alternative gas supplier is offering or selling to the residential or small commercial customer.

2. Before any residential or small commercial customer is switched from another supplier, the alternative gas supplier shall give the customer written information that adequately discloses, in plain language, the prices, terms and conditions of the products and services being offered and sold to the customer.

3. The alternative gas supplier shall provide to the residential customer accurate, timely, and itemized billing statements that describe the products and services provided to the customer and their prices and that specify the gas consumption amount and any service charges and taxes; and an additional statement, at least annually, that adequately discloses the average monthly prices, and the terms and conditions, of the products and services sold to the residential customer.

4. The alternative gas supplier shall provide refunds of any deposits with interest within 30 days after the date that the residential or small commercial customer changes gas suppliers or discontinues service if the customer has satisfied all of its outstanding financial obligations to the alternative gas supplier at an interest rate set by the Commission which shall be the same as that required of gas utilities.

5. The alternative gas supplier shall provide timely refunds of any undisputed overpayments upon oral or written request of the residential or small commercial customer. [220 ILCS 5/19-115(f)]

6. The alternative gas supplier shall file with the Commission and maintain procedures addressing the manner in which any disputed amount for which a residential or small commercial customer is billed may be resolved, stating that while the dispute is pending, the customer shall pay the undisputed portion of the bill or an amount equal to last year's bill at the same location for the same period, normalized for weather, whichever is greater. Any disputed amount in excess of last year's bill for the same address adjusted for weather shall not be included in the amount that must be paid by the due date. The alternative gas supplier is required to inform its customers how to contact the Commission's Consumer Services Division to pursue an unresolved dispute. The alternative gas supplier's billing statements shall include a toll-free number and other means by which a customer may contact it with inquiries or complaints.

7. The alternative gas supplier shall inform its residential and small commercial customers how to contact the Commission to obtain consumer education materials provided pursuant to Section 19-125 of the Act. [220 ILCS 5/19-125(b)]

History

• Source: Amended at 28 Ill. Reg. 833, effective January 1, 2004

83 Ill. Adm. Code 551.80 Financial Qualifications

An applicant shall be deemed to possess sufficient financial resources to be certified as an AGS able to serve available residential or small commercial customers if it meets any of the following criteria:

a) The applicant provides a copy of a Dun & Bradstreet Business Information Report that demonstrates, at a minimum, that the applicant has a Composite Credit Appraisal of "3" or lower and a PAYDEX score of "70" or higher. If the applicant does not have a Dun & Bradstreet Composite Credit Appraisal, the applicant provides a copy of an Experian Small Business Intelliscore report that demonstrates, at a minimum, that the applicant has an Intelliscore of "63" or higher. At the time of application for certification, the report shall be no more than 30 days old.

b) The applicant maintains at least one of the following short-term credit ratings: A-2 or higher from Standard & Poor's or its successor, P-2 or higher from Moody's Investors Service or its successor, or F-2 or higher from Fitch Ratings or its successor; or at least one of the following long-term credit ratings: BBB- or higher from Standard & Poor's or its successor, Baa3 or higher from Moody's Investors Service or its successor, or BBB- or higher from Fitch Ratings or its successor. The applicant shall provide with its application a copy of the ratings agency reports that present the ratings of the applicant.

c) The applicant maintains a borrowing agreement with an affiliate.

1. The affiliate must have at least one of the following short-term credit ratings: A-2 or higher from Standard & Poor's or its successor, P-2 or higher from Moody's Investors Service or its successor, or F-2 or higher from Fitch Ratings or its successor; or at least one of the following long-term credit ratings: BBB- or higher from Standard & Poor's or its successor, Baa3 or higher from Moody's Investors Service or its successor, or BBB- or higher from Fitch Ratings or its successor.

2. The amount of credit available to the applicant under the borrowing agreement shall be no less than the greater of $500,000 or 5% of the amount of the applicant's revenue for its most recently completed fiscal year adjusted for any amount of revenue expected from customer accounts purchased or under contract to be purchased from another AGS. The amount of revenue for the applicant's most recently completed fiscal year must appear in the applicant's certified financial statements, or those of the applicant's parent, that have received an accountant's report that certifies those financial statements to be free of material misstatement. If the applicant is using the certified financial statements of its parent, the amount of credit available under the borrowing agreement shall be determined using the applicable revenue amount from the segment information section of the certified financial statements of the applicant's parent.

A) If the applicant is listed separately in the segment information section, the applicant's revenue shall be used.

B) If the segment information section is broken down by operation, or other means, the revenue for the entire segment of which the applicant is part shall be used, unless a certified breakdown of the segment by company is provided.

3. The borrowing agreement shall be valid for a period of not less than one year.

4. The applicant shall provide a copy of the following:

A) The ratings agency reports that present the ratings of the affiliate with which the applicant maintains the borrowing agreement;

B) The borrowing agreement;

C) The applicant's certified financial statements, or those of the applicant's parent, as applicable;

D) The accountant's report for the applicant's certified financial statements or those of the applicant's parent, as applicable; and

E) Documents supporting any estimate of revenue from customer accounts purchased or under contract to be purchased from another AGS.

d) The obligations of the applicant to unaffiliated companies arising from the acquisition of natural gas that can be delivered to residential or small commercial customers in the State of Illinois, for sale or lease or in exchange for other value received are covered under a guarantee, payment bond, or letter of credit.

1. This option is only available to an applicant that will engage in activi­ties that could result in the applicant holding an ownership interest in or taking title to natural gas for the purpose of sale or resale to Illinois residential or small commercial customers.

2. The guarantee, payment bond, or letter of credit shall be in an amount that is no less than the greater of $500,000 or 5% of the amount of the applicant's revenue from the sale of natural gas for the most recently completed fiscal year adjusted for any amount of revenue expected from customer accounts purchased or under contract to be purchased from another AGS. The amount of revenue for the applicant's most recently completed fiscal year must appear in the applicant's certified financial statements, or those of the applicant's parent, that have received an accountant's report that certifies those financial statements to be free of material misstatement. If the applicant is using the certified financial statements of its parent, the amount of credit available under the borrowing agreement shall be determined using the applicable revenue amount from the segment information section of the certified financial statements of the applicant's parent.

A) If the applicant is listed separately in the segment information section, the applicant's revenue shall be used.

B) If the segment information section is broken down by operation, or other means, the revenue for the entire segment of which the applicant is part shall be used, unless a certified breakdown of the segment by company is provided.

3. The guarantee, payment bond, or letter of credit shall be valid for a period of not less than one year.

4. Guarantee. The guarantor shall be an affiliate of the applicant that maintains at least one of the following short-term credit ratings: A-2 or higher from Standard & Poor's or its successor, P-2 or higher from Moody's Investors Service or its successor, or F-2 or higher from Fitch Ratings or its successor; or at least one of the following long-term credit ratings: BBB- or higher from Standard & Poor's or its successor, Baa3 or higher from Moody's Investors Service or its successor, or BBB- or higher from Fitch Ratings or its successor. The guarantee shall obligate the guarantor to make contractually required payment, net of set-offs for any amounts owed to the applicant, to the supplier for services rendered or gas supplied in the event the applicant defaults. The applicant shall provide a copy of the following:

A) The ratings agency reports that present the ratings of the affiliate that is the guarantor;

B) The guarantee;

C) The applicant's certified financial statements, or those of the applicant's parent, as applicable, including the accountant's report. If the amount of the guarantee is without dollar limitation, neither the applicant's certified financial statements, nor those of the applicant's parent, are required; and

D) Documents supporting any estimate of revenue from customer accounts purchased or under contract to be purchased from another AGS.

5. Payment Bond. An applicant using a payment bond or payment bonds shall provide a copy of the following:

A) The payment bonds;

B) The certified financial statements of the applicant or those of the applicant's parent, as applicable;

C) The accountant's report for the certified financial statements of the applicant or those of the applicant's parent, as applicable; and

D) Documents supporting any estimate of revenue from customer accounts purchased or under contract to be purchased from another AGS.

6. Letter of Credit. The letter of credit shall be irrevocable and issued by a financial institution with a long-term obligation rating of A- or higher from Standard & Poor's or its successor, A3 or higher from Moody's Investors Service or its successor, or A- or higher from Fitch Ratings or its successor. The applicant shall provide a copy of the following:

A) The letter of credit;

B) The ratings agency report that presents the long-term obligation rating of the financial institution extending the credit;

C) The certified financial statements of the applicant or those of the applicant's parent, as applicable;

D) The accountant's report for the certified financial statements of the applicant or those of the applicant's parent, as applicable; and

E) Documents supporting any estimate of revenue from customer accounts purchased or under contact to be purchased from another AGS.

e) The applicant certifies that it will offer to reimburse its Illinois residential and small commercial customers for the additional costs those customers incur to acquire natural gas as a result of the applicant's failure to comply with a contractual obligation to supply such energy. The applicant's prospective obligation to reimburse Illinois residential and small commercial customers shall be covered by an unconditional guarantee or payment bond. Any dollar limitation on the unconditional guarantee or payment bond shall equal not less than an estimate of the maximum monthly number of Mcf of natural gas the applicant expects to schedule over the next 12 months times the 12-month average of the "Average City Gate Price, by State" for Illinois, as disclosed for the most recent 12-month period in the Energy Information Administration's (EIA) "Natural Gas Monthly". The most recent 12 months of data is available on the EIA's internet website (www.eia.doe.gov). The Average City Gate Price used shall be from not more than 28 days prior to the date of the application. The unconditional guarantee or payment bond shall be valid for a period of not less than one year.

1. Unconditional Guarantee. The guarantor shall be an affiliate of the applicant that maintains at least one of the following short-term credit ratings: A-2 or higher from Standard & Poor's or its successor, P-2 or higher from Moody's Investors Service or its successor, or F-2 or higher from Fitch Ratings or its successor; or at least one of the following long-term credit ratings: BBB- or higher from Standard & Poor's or its successor, Baa3 or higher from Moody's Investors Service or its successor, or BBB- or higher from Fitch Ratings or its successor. The applicant shall provide a copy of the following:

A) The ratings agency reports that present the ratings of the affiliate that is the guarantor;

B) The unconditional guarantee; and

C) A good faith estimate of the maximum daily amount of natural gas in dekatherms the applicant will schedule during the remainder of the current calendar year.

2. Payment Bond. The payment bond or payment bonds shall be issued by a qualifying surety authorized to transact business in the State of Illinois or by a surety whose Best's rating is A- or better and whose Best's financial size category is VII or larger, and whose contract of insurance is issued pursuant to Section 445 or 445a of the Illinois Insurance Code [215 ILCS 5/445 or 445a] and countersigned by the Surplus Line Association of Illinois or its successor. The applicant shall provide a copy of the following:

A) The payment bonds or the contract of insurance with the countersignature of the Surplus Line Association of Illinois or its successor as applicable; and

B) A good faith estimate of the maximum daily amount of natural gas in dekatherms the applicant will schedule during the remainder of the current calendar year for residential and small commercial customers.

f) The applicant maintains a line of credit or revolving credit agreement.

1. The line of credit or revolving credit agreement must be from a financial institution with a long-term obligation rating of A- or higher from Standard & Poor's or its successor, A3 or higher from Moody's Investors Service or its successor, or A- or higher from Fitch Ratings or its successor.

2. The amount of the line of credit or revolving credit agreement shall be no less than the greater of $500,000 or 5% of the amount of the applicant's revenue for the most recently completed fiscal year adjusted for any amount of revenue expected from customer accounts purchased or under contract to be purchased from another AGS. The amount of revenue for the applicant's most recently completed fiscal year must appear in the applicant's certified financial statements, or those of the applicant's parent, that have received an accountant's report that certifies those financial statements to be free of material misstatement. If the applicant is using the certified financial statements of its parent, the amount of credit available under the borrowing agreement shall be determined using the applicable revenue amount from the segment information section of the certified financial statements of the applicant's parent.

A) If the applicant is listed separately in the segment information section, the applicant's revenue shall be used.

B) If the segment information section is broken down by operation, or other means, the revenue for the entire segment of which the applicant is part shall be used, unless a certified breakdown of the segment by company is provided.

3. The line of credit or revolving credit agreement shall be valid for a period of not less than one year.

4. The applicant shall provide a copy of the following:

A) The line of credit or revolving credit agreement;

B) The ratings agency report that presents the long-term obligation rating of the financial institution extending the credit;

C) The applicant's certified financial statements, or those of the applicant's parent, as applicable;

D) The accountant's report for the applicant's certified financial statements, or those of the applicant's parent, as applicable; and

E) Documents supporting any estimate of revenue from customer accounts purchased or under contract to be purchased from another AGS.

g) The applicant earns 12 points on the financial ratios set forth in subsection (g)(1):

1. Financial Ratios

A) Pre-Tax Interest Coverage (rounded to the nearest 0.1)

4.4 or above: 5 points

3.9 to 4.3: 4 points

3.4 to 3.8: 3 points

2.9 to 3.3: 2 points

2.4 to 2.8: 1 point

2.3 or below: 0 points

B) Funds from Operations Interest Coverage (rounded to the nearest 0.1)

4.9 or above: 5 points

4.4 to 4.8: 4 points

3.9 to 4.3: 3 points

3.4 to 3.8: 2 points

2.9 to 3.3: 1 point

2.8 or below: 0 points

C) Funds from Operations to Average Total Debt (rounded to the nearest 1%)

38% or above: 5 points

33% to 37%: 4 points

28% to 32%: 3 points

23% to 27%: 2 points

18% to 22%: 1 point

17% or below: 0 points

D) Total Debt to Total Capitalization (rounded to the nearest 1%)

50% or below: 5 points

51% to 53%: 4 points

54% to 56%: 3 points

57% to 59%: 2 points

60% to 62%: 1 point

63% or above: 0 points

2. The applicant shall provide the following:

A) The applicant's certified financial statements for its most recently completed fiscal year;

B) The accountant's report for the applicant's certified financial statements; and

C) A schedule showing the calculation of each financial ratio with a reference to the applicant's certified financial statements provided for each input of the calculation.

History

• Source: Amended at 28 Ill. Reg. 833, effective January 1, 2004

83 Ill. Adm. Code 551.90 Technical Qualifications

a) An applicant that uses natural gas transmission or distribution facilities that it owns, controls, or operates in serving customers shall be deemed to possess sufficient technical capabilities to serve residential or small commercial customers if it maintains a technical staff on duty or on call 24 hours each day to operate and maintain applicant's facilities as needed, and meets the criteria in subsections (b) and (c) of this Section.

b) An applicant shall be deemed to possess sufficient technical capabilities to serve residential or small commercial customers if it has individuals on its staff with demonstrated four years natural gas sales experience and two years experience working with rules and practices established by the North American Energy Standards Board or its successor.

c) The applicant shall include in its application an exhibit containing occupational background information on the persons who are being used to meet the requirements of this Section.

d) In the event the applicant does not meet the length of experience qualifications set forth in subsection (b), the applicant shall demonstrate the extent its technical resources and abilities match the services that it intends to provide to its residential or small commercial customers. The Commission may impose such terms and conditions as deemed necessary in order to insure the applicant is technically qualified, commensurate with the anticipated scope of the service to be provided and residential or small commercial customers to be served.

History

• Source: Amended at 28 Ill. Reg. 833, effective January 1, 2004

83 Ill. Adm. Code 551.100 Managerial Qualifications

An applicant shall be deemed to possess sufficient managerial capabilities to serve residential or small commercial customers if it has two or more individuals in management positions with four or more years demonstrated experience in a management position with enterprise financial and administration responsibilities including profit and loss responsibilities and four years natural gas sales experience, and provides the information required in subsections (a) and (b) of this Section.

a) The applicant shall include in its application an exhibit containing occupational background information on the persons who are being used to meet the requirements of this Section.

b) The applicant shall include in its application an exhibit containing a corporate organizational chart and indicating the position of persons indicated in subsection (a) of this Section.

c) In the event the applicant does not meet the managerial qualifications set forth in this Section, the applicant shall demonstrate the extent its managerial resources and abilities match the services that it intends to provide to its residential or small commercial customers. The Commission may impose such terms and conditions as deemed necessary in order to insure the applicant is managerially qualified, commensurate with the anticipated scope of the service to be provided and residential or small commercial customers to be served.

History

• Source: Amended at 28 Ill. Reg. 833, effective January 1, 2004

83 Ill. Adm. Code 551.110 Commission Order in Proceedings

The Commission shall issue an order granting or denying an application within 45 days after the date on which a complete application has been filed with the Commission and notice of the application's filing is published in the Official State Newspaper as provided by the Notice of Publication Act [715 ILCS 5], provided that the Commission can extend the time for considering an application filed under this Part by up to 90 days, and can schedule a hearing on such an application. The Commission shall extend the time for considering an application and schedule a hearing if:

a) The applicant has proposed limitations on the number of residential or small commercial customers or the amount of load to be served;

b) A party to the application proceeding has formally requested that the Commission hold hearings in a pleading that contains a verified prima facie showing that one or more of the allegations or certifications in the application is false or misleading;

c) Other facts or circumstances exist that will necessitate additional time or evidence in order to determine whether a certificate should be issued; or

d) The applicant has proposed to serve an area smaller than the service area of a gas utility.

History

• Source: Amended at 28 Ill. Reg. 833, effective January 1, 2004

83 Ill. Adm. Code 551.120 General Procedures for Reporting Continuing Compliance with Certification Requirements

a) An AGS shall continue to remain in compliance with the provisions of the Act and this Part, as now or hereafter amended. If an AGS received a certificate before the effective date of any provision of this Part, that provision applies to applicants seeking certification to serve residential or small commercial customers with the same natural gas demand or usage characteristics as the AGS serves, the AGS shall demonstrate that it has come into compliance with such provision no later than January 31 of the year following the year during which such amendment took effect.

b) All reports required under this Part shall be under oath and shall be filed with the Chief Clerk of the Commission with copies provided to the Commission's Director of the Energy Division or its successor and the Commission's Director of the Financial Analysis Division or its successor. The reports shall be identified with the name of the AGS as it appears in the most recent Commission order granting the AGS certification.

c) All reports made to the Commission by an AGS 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.

History

• Source: Amended at 28 Ill. Reg. 833, effective January 1, 2004

83 Ill. Adm. Code 551.130 Erroneous or Defective Reports

a) When any report is erroneous or defective or appears to the Commission to be erroneous or defective, the Commission may notify the AGS to amend that report within 30 days, and before or after the termination of the period the Commission may examine the officers, agents, or employees, and books, records, accounts, vouchers, plant, equipment and property of the AGS, and correct items in the report the Commission finds defective or erroneous.

b) Any AGS that fails to make and file any report required by the Commission within the time specified or to specifically answer to any question propounded by the Commission within 30 days after the time it is lawfully required to do so, or within such further time, not to exceed 90 days, as may in its discretion be allowed by the Commission, shall, after notice and hearing, forfeit its certificate.

83 Ill. Adm. Code 551.140 Financial Reporting Requirements

The AGS shall provide a copy of only those documents that the AGS requires to demonstrate that it continues to possess sufficient financial resources to serve the residential or small commercial customers for which it has received a certificate of service authority. The applicable documents shall be submitted at the times specified below:

a) An AGS that seeks to demonstrate that it maintains sufficient financial resources to provide the services for which it has received a certificate of service authority using the criteria set forth in Section 551.80(a) shall submit an updated copy of a Dun & Bradstreet Business Information Report that demonstrates, at a minimum, that the AGS has a Composite Credit Appraisal of “3” or lower and a PAYDEX score of “70” or higher. If the AGS does not have a Dun & Bradstreet Composite Credit Appraisal, the AGS shall file an updated copy of an Experian Small Business Intelliscore report that demonstrates, at a minimum, that the AGS has an Intelliscore of “63” or higher. The applicable updated report shall be filed between January 1 and January 31 of each year. The report shall be no more than 30 days old at the date of the annual filing.

b) An AGS that seeks to demonstrate that it maintains sufficient financial resources to provide the services for which it has received a certificate of service authority using the criteria set forth in Section 551.80(b), (c), (d)(4), (d)(6), (e)(1), (e)(3), or (f) shall submit a copy of the latest ratings report presenting the short-term or long-term credit or obligation ratings of the AGS, creditors, affiliates, or guarantors, as applicable, from the ratings agencies between January 1 and January 31 of each year and within 15 days following any downgrade of such ratings previously filed with the Commission to a rating below A-1 or A-, if issued from Standard & Poor's or its successor, P-1 or A3, if issued from Moody's Investors Service or its successor, or F-1 or A-, if issued from Fitch Ratings or its successor. Within 30 days after a downgrade of the short-term or long-term credit or obligation ratings of the AGS or its creditors, affiliates, or guarantors, as applicable, to a level below the minimum required under this Part, the AGS shall submit a report that identifies the subsection under which the AGS is seeking to demonstrate that its financial resources remain sufficient for providing the services for which it has received a certificate of service authority and includes the information and documents that subsection requires.

c) An AGS that seeks to demonstrate that it maintains sufficient financial resources to provide the services for which it has received a certificate of service authority using the criteria set forth in Section 551.80(c), (d), (e), or (f) shall submit a copy of any modified, replacement or additional borrowing agreements, unconditional guarantees, lines of credit, revolving credit agreements, payment bonds, and letters of credit, as applicable, at least 15 days in advance of any modification, cancellation or expiration of the financial agreements.

d) Between January 1 and January 31 of each year, an AGS that seeks to use the criteria specified in Section 551.80(d) to demonstrate that it maintains sufficient financial resources to provide the services for which it has received a certificate of service authority shall provide the maximum daily amount of natural gas scheduled in dekatherms during the previous calendar year and the date on which that amount was scheduled. If the AGS has been serving Illinois residential or small commercial customers for less than 12 months, the AGS shall also provide an estimate of the maximum daily amount of natural gas in dekatherms it will schedule during the current calendar year.

e) An AGS that seeks to demonstrate that it maintains sufficient financial resources to provide the services for which it has received a certificate of service authority using the criteria set forth in Section 551.80(c), (d), (f), or (g) shall submit a copy of its certified financial statements, or those of its parent, and accountant's report, as applicable, within 120 days after the close of its fiscal year.

f) An AGS that has contracted to acquire customer accounts from another AGS shall, at least 15 days in advance of any acquistion, demonstrate that it maintains suffient financial resources to provide the service for which it has received a certificate of service authority using the criteria set forth in Section 551.80(c), (d) or (f) and providing an estimate of the amount of revenue expected from the customer accounts under contract to be acquired, including supporting documents.

History

• Source: Amended at 28 Ill. Reg. 833, effective January 1, 2004

83 Ill. Adm. Code 551.150 Managerial Reporting Requirements

An AGS shall certify during January of each year that it continues to maintain the required managerial qualifications for the service authority granted in its certificate. An AGS that meets the managerial qualifications requirements by entering into one or more contracts with others to provide the required services must identify each agent or contractor on whom the AGS relies to meet the requirements of this Part and must certify that the agent or contractor will comply with all Sections of this Part applicable to the function or functions to be performed by the respective agent or contractor.

83 Ill. Adm. Code 551.160 Technical Reporting Requirements

An AGS shall certify during January of each year that it continues to maintain the required technical qualifications for the service authority granted in its certificate. An AGS that meets the technical qualifications requirements by entering into one or more contracts with others to provide the required services must identify each agent or contractor on whom the AGS relies to meet the requirements of this Part and must certify that the agent or contractor will comply with all Sections of this Part applicable to the function or functions to be performed by the respective agent or contractor.

83 Ill. Adm. Code 551.170 Information Reporting Requirements

No later than March 1 of every year, each AGS shall file with the Chief Clerk of the Commission, and provide to the Commission's Director of the Energy Division or its successor, a report stating the total annual dekatherms delivered and sold to residential and small commercial customers within each utility service territory in the preceding calendar year and the total revenues associated with the sale of natural gas to residential and small commercial customers within each utility service territory in the preceding calendar year. An AGS shall also provide any information and answer any questions upon request of the Commission.

History

• Source: Amended at 28 Ill. Reg. 833, effective January 1, 2004

Part 556 Qualifying Infrastructure Plant Surcharge

83 Ill. Adm. Code 556.10 Definitions

Terms defined in Section 9-220.3 of the Public Utilities Act shall have the same meaning for purposes of this Part as they have under that Section of the Act, unless further defined in this Part. The following terms, when used in this Part, shall have the meaning ascribed to them in this Section.

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

"Base rate revenues" means the utility's revenues recovered through base rates, as determined in the utility's last rate case proceeding, excluding:

revenues recovered under negotiated contract rates authorized by Section 9-102.1 of the Act;

revenues recovered under billing services offered to alternative gas suppliers or application charges assessed to alternative gas suppliers; and

revenues recovered under cost recovery riders that recover specific costs outside of rate cases, including, by way of example and not limitation, costs recovered under the rider authorized by this Part, gas costs recovered under 83 Ill. Adm. Code 525, manufactured gas plant remediation costs, costs for implementing energy efficiency and on-bill financing programs under Sections 8-104 and 19-140 of the Act, and add-on taxes.

Base rate revenues may include costs and revenues associated with uncollectible expense automatic adjustment clause tariffs authorized by Section 19-145 of the Act, revenue decoupling mechanisms, and base rate storage cost recovery.

"Baseline amount" means an amount equal to the utility's average of total depreciation expense, as reported on page 336, column (b) of the utility's ILCC Form 21, for the calendar years 2006 through 2010. [220 ILCS 5/9-220.3(d)(4)]

"Commission" means the Illinois Commerce Commission.

"Costs associated with investments in qualifying infrastructure plant" shall include a return on qualifying infrastructure plant and recovery of depreciation and amortization expense on qualifying infrastructure plant, net of the depreciation included in the utility's base rates on any plant retired in conjunction with the installation of the qualifying infrastructure plant. [220 ILCS 5/9-220.3(b)]

"Depreciation expense" shall be calculated by applying the utility's approved depreciation rates, including removal and salvage, to the end-of-month QIP balance, for each category of QIP identified in Section 556.40(a)(1) through (a)(7). The resulting depreciation expense for QIP shall be reduced by the depreciation included in the utility's base rates on any plant retired in conjunction with the installation of the qualifying infrastructure plant. [220 ILCS 5/9-220.3(b)]

"Difficult to locate main" refers to a main from which a utility cannot obtain a reliable locating signal.

"Difficult to locate service pipe" means a service pipe from which a utility cannot obtain a reliable locating signal.

"Information sheet" means a tariff sheet filed in accordance with this Part to initiate or modify a QIP surcharge percentage.

"Qualifying infrastructure plant" or "QIP" is the qualifying infrastructure plant eligible to be recovered through the QIP surcharge as described in Section 556.40. It includes only plant additions placed in service not reflected in the rate base used to establish the utility's delivery base rates. [220 ILCS 5/9-220.3(b)]

"Qualifying infrastructure investment" means QIP and "costs associated with investments in qualifying infrastructure plant". It shall not include costs or expenses incurred in the ordinary course of business for the ongoing or routine operations of the utility, including, but not limited to:

operating and maintenance costs; and

costs of facilities that are revenue-producing, which means facilities that are constructed or installed for the purpose of serving new customers. [220 ILCS 5/9-220.3(c)]

"QIP surcharge percentage" is the percentage determined in accordance with Section 556.60 for filing in an information sheet.

"Rate zone" means the entire service area to which a particular base rate applies.

"Reconciliation year" means the calendar year period for which actual costs associated with QIP and the QIP surcharge revenues are reconciled.

83 Ill. Adm. Code 556.20 Applicability

a) Pursuant to Section 9-220.3 of the Act, a natural gas utility serving more than 700,000 customers may file a tariff for a qualifying infrastructure plant surcharge (QIP surcharge) which adjusts rates and charges to provide for recovery of costs associated with investments in qualifying infrastructure plant, independent of any other matters related to the utility's revenue requirement. [220 ILCS 5/9-220.3(a)(1)]

b) The QIP surcharge shall be applied to gas bills of customers of natural gas utilities having an effective QIP surcharge and information sheet in effect and on file with the Illinois Commerce Commission (Commission).

83 Ill. Adm. Code 556.30 Terms and Conditions

a) The cumulative amount of increases billed under the QIP surcharge, since the utility's most recent delivery service rate order, shall not exceed an annual average 4% of the utility's delivery base rate revenues, but shall not exceed 5.5% in any given year for any utility. [220 ILCS 5/9-220.3(g)] If, pursuant to Section 556.80(a), a different QIP surcharge percentage is ordered by the Commission to be applied to the rate zones of a utility, then the above maximum thresholds established in this subsection shall apply to each rate zone of the utility.

b) The QIP surcharge percentage shall apply only to base rate revenues.

c) On the effective date of new delivery base rates, the QIP surcharge shall be reduced to zero with respect to qualifying infrastructure investment that is transferred to the rate base used to establish the utility's delivery base rates, provided that the utility may continue to charge or refund any reconciliation adjustment determined in a Commission reconciliation order. [220 ILCS 5/9-220.3(g)]

d) The utility shall provide notice of the QIP surcharge and of subsequent filings and billing to its customers in the following manner:

1. The utility shall maintain and keep open to public inspection a copy of each filing of a QIP surcharge tariff and subsequent information sheets and shall post public notice in each office of the utility in accordance with 83 Ill. Adm. Code 255.20(a).

2. For the initial filing of a QIP surcharge tariff, the utility, regardless of size, shall provide notice by newspaper publication in accordance with 83 Ill. Adm. Code 255.20(f)(1). For the initial filing of the QIP percentage information sheet, the utility shall provide notice of the filing of the initial billing of the QIP surcharge percentage to each customer in the form of a message on the customer's bill, an insert included with the bill, or a separately mailed notification.

3. The utility shall provide customers with a general explanation of the QIP surcharge. The explanation shall appear on or be included with the initial billing of the new QIP surcharge percentage. The explanation may be provided as a message on the customer's bill, as a separately mailed notification, or as information on the back of the customer's bill, as included in the utility's form of bill on file with the Commission.

4. Except as provided in this subsection (d), or by law or by Commission order, no other notice of the filing or billing of the QIP surcharge or an information sheet is required.

e) The QIP surcharge shall be presented as a separate line item on customers' bills as the "Qualified Infrastructure Plant" charge, or as an abbreviation that clearly conveys its meaning, and shall show the applicable percentage.

f) The revenues resulting from a QIP surcharge shall be recorded by the utility with a separate revenue identifier or in a separate revenue subaccount.

83 Ill. Adm. Code 556.40 Qualifying Infrastructure Plant, or Qip

a) QIP shall be related to one or more of the following:

1. The installation of facilities to retire and replace underground natural gas facilities, including facilities appurtenant to facilities constructed of those materials such as meters, regulators, and services, and that are constructed of cast iron, wrought iron, ductile iron, unprotected coated steel, unprotected bare steel, mechanically coupled steel, copper, Cellulose Acetate Butyrate (CAB) plastic, pre-1973 DuPont Aldyl "A" polyethylene, PVC, or other types of materials identified by a State or federal governmental agency as being prone to leakage;

2. The relocation of meters from inside customers' facilities to outside;

3. The upgrading of the gas distribution system from a low pressure to a medium pressure system, including installation of high-pressure facilities to support the upgrade;

4. Modernization investments by a combination utility as defined in Section 16-108.5(b) of the Act to install:

A) Advanced gas meters in connection with the installation of advanced electric meters pursuant to Sections 16-108.5 and 16-108.6 of the Act; and

B) The communications hardware and software and associated system software that creates a network between advanced gas meters and utility business systems and allows the collection and distribution of gas-related information to customers and other parties in addition to providing information to the utility itself;

5. Replacing high-pressure transmission pipelines and associated facilities identified as having a higher risk of leakage or failure or installing or replacing high-pressure transmission pipelines and associated facilities to establish records and maximum allowable operating pressures;

6. Replacing difficult to locate mains and service pipes and associated facilities; and

7. Replacing or installing transmission and distribution regulator stations, regulators, valves, and associated facilities to establish over-pressure protection. [220 ILCS 5/9-220.3(b)(1) through (b)(7)]

b) With respect to the installation of the facilities identified in subsection (a)(1), the natural gas utility shall determine priorities for such installation with consideration of projects either:

1. Integral to a general government public facilities improvement program, or

2. ranked in the highest risk categories in the utility's most recent Distribution Integrity Management Plan where removal or replacement is the remedial measure. [220 ILCS 5/9-220.3(b)]

c) A natural gas utility that is subject to its delivery base rates being fixed at their current rates pursuant to a Commission order entered in Docket No. 11-0046, notwithstanding the effective date of its tariff shall reflect in a QIP surcharge only those projects placed in service after the fixed rate period of the merger agreement has expired by its terms. [220 ILCS 5/9-220.3(a)(5)]

d) The amount of qualifying infrastructure investment eligible for recovery under the QIP surcharge in the applicable calendar year is limited to the lesser of:

1. The actual qualifying infrastructure plant placed in service in the applicable calendar year; and

2. The difference by which total plant additions in the applicable calendar year exceed the baseline amount, and subject to the limitation in Section 556.30(a). [220 ILCS 5/9-220.3(d)(3)]

e) A natural gas utility can recover the costs of qualifying infrastructure investments through an approved QIP surcharge tariff from the beginning of each calendar year subject to the reconciliation initiated under Section 556.100, during which the Commission may make adjustments to ensure that the limits defined in this Part are not exceeded. Further, if total plant additions in a calendar year do not exceed the baseline amount in the applicable calendar year, the Commission, during the reconciliation for the applicable calendar year, shall adjust the amount of qualifying infrastructure investment eligible for recovery under the tariff to zero. [220 ILCS 5/9-220.3(d)(3)]

83 Ill. Adm. Code 556.50 Recoverable Costs – Return on Qip

a) The pre-tax return (PTR) is the return on the QIP. The pre-tax return shall be calculated using the weighted cost of debt and weighted cost of equity determined in the utility's last gas rate case proceeding. The weighted cost of equity shall be multiplied by the gross revenue conversion factor (GRCF). The product shall be added to the weighted cost of debt to obtain the pre-tax return.

b) The pre-tax return shall be calculated by using the following formulas:

PTR

=

((WCCE + WCPE) x GRCF) + WCLTD + WCSTD

GRCF

=

1

(1 – (PPTRIT+ SIT)) x (1 - FIT)

Where:

GRCF

=

Gross Revenue Conversion Factor.

PPTRIT

=

Illinois Personal Property Tax Replacement Income Tax rate in effect at the time of the filing.

SIT

=

Illinois State income tax rate in effect at the time of the filing.

FIT

=

Federal income tax rate in effect at the time of the filing.

PTR

=

Pre-tax return.

WCCE

=

Weighted cost of common equity approved in the utility's last rate case proceeding.

WCPE

=

Weighted cost of preferred equity approved in the utility's last rate case proceeding.

WCLTD

=

Weighted cost of long term debt and credit facilities fees approved in the utility's last rate case proceeding.

WCSTD

=

Weighted cost of short term debt approved in the utility's last rate case proceeding.

83 Ill. Adm. Code 556.60 Determination of the Qip Surcharge Percentage

a) The QIP surcharge percentage shall be expressed as a percentage carried to two decimal places. The QIP surcharge percentage shall be applied to the charges billed to each customer that represent base rate revenues as defined in Section 556.10. In calculating the QIP surcharge percentage, the utility may choose the number of billing periods for which the QIP surcharge percentage shall be in effect when the tariffs are submitted to the Commission for approval.

b) The QIP surcharge percentage shall be calculated by using the following formula:

S%

=

(NetQIPxPTRxNBP/12)+(NetDepxNBP/12)+(R)+(O+INT)/NBPo

x 100

PBR

Where:

S%

=

QIP surcharge percentage.

NetQIP

=

Actual cost of QIP less accumulated depreciation and any accumulated deferred income tax liabilities net of deferred tax assets resulting from the additional QIP.

PTR

=

Pre-tax return as described in Section 556.50.

NetDep

=

Annualized depreciation expense applicable to NetQIP less the annualized depreciation expense applicable to the plant being retired as defined in Section 556.10.

R

=

Utility-determined reconciliation component calculated as described in Section 556.100(c). The reconciliation component shall be collected or refunded over the nine-month period from April through December. For S% in effect from April through December, R shall reflect 1/9 of the total R for each month.

O

=

Commission-ordered adjustment.

INT

=

The calculated interest attributable to the O component. This interest shall be calculated at the rate established by the Commission under 83 Ill. Adm. Code 280.7(e)(1). The interest shall accrue from the end of the reconciliation year to the order date in the reconciliation proceeding.

PBR

=

The projected gas base rate revenues for the applicable billing periods that S% will be in effect.

NBP

=

Number of billing periods that S% will be effective prior to the scheduled recalculation.

NBPo

=

Number of billing periods (O + INT) will be collected or refunded.

83 Ill. Adm. Code 556.70 Application for Qip Surcharge Tariff

A filing by a utility that seeks approval of a QIP surcharge tariff shall include testimony and the following exhibits:

a) The utility shall provide a history of the installation, relocation, upgrading, modernization, and replacement rates of qualifying infrastructure plant. The utility shall provide five years of data by year for each of the categories, if applicable, found in Section 9-220.3(b)(1) through (b)(7) of the Act, based on projects that the utility plans to include in the QIP surcharge. If data or records are not available, the utility may use estimates. If the utility relies on estimates, the utility shall explain why the actual data was not available and how the estimate was determined.

b) The utility shall provide specific plans for its initial year of qualified infrastructure investment, and an estimate of qualified infrastructure investment for the two years following the initial year, including future replacements of underground natural gas facilities. The utility shall provide a schedule showing the qualified infrastructure investment listed by priority as defined in Section 9-220.3(b)(1) of the Act. The schedule shall explain the prioritization and provide the rationale for the investments to be included as QIP, which may include a history of leaks, or incidents of damage by location.

c) The utility shall provide an explanation for the proposed rate of replacement identified in subsection (b), relative to the rates identified in subsection (a), if applicable. The utility shall include specific data to justify the replacement rate for each of the categories of investment provided for in Sections 9-220.3(b)(1) through (b)(7) of the Act.

d) The utility shall provide any other information requested by the Commission that demonstrates that the proposed QIP surcharge tariff complies with Section 9-220.3 of the Act.

83 Ill. Adm. Code 556.80 Approval or Withdrawal of Qip Surcharge Tariff

a) The Commission shall issue an order approving, or approving with modification to ensure compliance with Section 9-220.3 of the Act, the QIP surcharge tariff no later than 120 days after such filing of the tariffs filed pursuant to this Part. The utility shall have 7 days following the date of service of the order to notify the Commission in writing whether it will accept any modifications so identified in the order or whether it has elected not to proceed with the tariff. If the order includes no modifications or if the utility notifies the Commission that it will accept such modifications, the QIP surcharge tariff shall take effect on the first day of the calendar year in which the Commission issues the order, subject to petitions for rehearing and appellate procedures. [220 ILCS 5/9-220.3(a)(3)]

b) In approving the QIP surcharge tariff for a utility having more than one rate zone, the Commission may determine that it is appropriate for different QIP surcharge tariffs to be applied in the different rate zones of the utility.

c) After the QIP surcharge tariff takes effect, the utility may, upon 10 days' notice to the Commission, file to withdraw the QIP surcharge tariff at any time, and the Commission shall approve such filing without suspension or hearing, subject to a final reconciliation as provided in Section 556.100. [220 ILCS 5/9-220.3(a)(3)]

d) When a natural gas utility withdraws the QIP surcharge tariff, the utility shall not recover any additional charges through the QIP surcharge approved pursuant to this Part, subject to the resolution of the final reconciliation. The utility's qualifying infrastructure investment net of accumulated depreciation may be transferred to the natural gas utility's rate base in the utility's next general rate case. The utility's delivery base rates in effect upon withdrawal of the QIP surcharge tariff shall not be adjusted at the time the QIP surcharge tariff is withdrawn. [220 ILCS 5/9-220.3(a)(4)]

83 Ill. Adm. Code 556.90 Information Sheet Filings to Amend the Qip Surcharge

a) The amount of qualifying infrastructure investment shall be shown on an Information Sheet supplemental to the QIP surcharge tariff and filed with the Commission monthly or some other time period at the option of the utility. The Information Sheet shall be accompanied by data showing the calculation of the qualifying infrastructure investment adjustment. Unless otherwise ordered by the Commission, each qualifying infrastructure investment adjustment shown on an Information Sheet shall become effective pursuant to the utility's approved QIP surcharge tariffs. [220 ILCS 5/9-220.3(e)(1)]

b) After a QIP surcharge tariff is in effect, the QIP surcharge percentage shall be filed with the Commission or postmarked on an information sheet with supporting data no later than the 20th day of the month preceding the effective date of the QIP surcharge percentage. An information sheet with supporting data filed after that date, but prior to the effective date, shall be accepted only if it corrects an error or errors from a timely filed information sheet for the same effective date. Any other information sheet with supporting data shall be accepted only if it is submitted as a special permission request to become effective on less than 45 days' notice under Section 9-201(a) of the Act.

c) A new QIP surcharge percentage may become effective on the first day of the billing cycle or the first day of the calendar month, with a new R component becoming effective, if required, on the first billing cycle effective for April or the first day of April. A QIP surcharge percentage shall continue in effect until replaced by a subsequent information sheet filing pursuant to subsection (a).

d) A utility shall file an information sheet each period in accordance with the utility's tariff and shall reflect the continuing aggregation of qualifying infrastructure investment costs, regardless of whether the QIP surcharge percentage changes.

e) A utility shall submit with each information sheet the following documentation:

1. A calculation of the QIP surcharge percentage, PTR and GRCF;

2. A detailed schedule providing the following information for each completed QIP-eligible project:

A) Plant account number and title;

B) Category of project;

C) Project name;

D) Description of project;

E) Dollar amount in the month of closing; and

F) Month and year of closing;

3. A schedule showing the calculation of accumulated depreciation on associated QIP;

4. A schedule showing the calculation of accumulated deferred income taxes associated with QIP; and

5. A detailed schedule showing the calculation of depreciation expense.

f) If the utility has already provided data responsive to subsection (c)(2), in a prior information sheet filing, the utility may incorporate the data by reference and need not provide duplicative data with each filing.

83 Ill. Adm. Code 556.100 Annual Reconciliation

a) A utility that has a QIP surcharge in effect shall file with the Commission an annual petition to initiate a reconciliation proceeding. The petition shall comply with the following provisions:

1. For each calendar year in which a surcharge tariff is in effect, the natural gas utility shall file a petition on or before March 20 of the following year with the Commission to initiate hearings to reconcile amounts billed under each surcharge authorized with the actual prudently incurred costs recoverable under this tariff in the preceding year. The petition filed by the natural gas utility shall include testimony and schedules that support the accuracy and the prudence of the qualifying infrastructure investment for the calendar year being reconciled. [220 ILCS 5/9-220.3(e)(2)]

2. The petition filed shall also include the number of jobs attributable to the qualifying infrastructure investments whose costs are recovered through the QIP surcharge tariff. [220 ILCS 5/9-220.3(e)(2)] The utility shall describe in its petition how it determined the number of jobs.

3. As required by this Section, the annual reconciliation shall include a calculation of the R component necessary to adjust revenue collected under the QIP surcharge in effect during the reconciliation year to an amount equivalent to the actual level of prudently-incurred qualified infrastructure investment for the reconciliation year.

b) After a hearing on the petition, the Commission shall determine the amount of the adjustment, if any, that should be made through the O component to the level of revenue collected by operation of the QIP surcharge during the reconciliation year. The adjustment shall be calculated so that the amount of the revenue equals the actual level of prudently incurred qualified infrastructure investment costs for the reconciliation year, to the extent that the adjustment has not already been reflected through an adjustment made by the utility to the R component of the QIP surcharge percentage.

c) The R component shall be calculated by using the following formula:

R

=

(ActNetQIP x PTR) + ActNetDep - QIPRev + Rpy + Opy

Where:

R

=

Utility-determined reconciliation component.

ActNetQIP

=

The average actual cost of the investment in QIP for the reconciliation year net of the actual accumulated depreciation and accumulated deferred income tax liabilities net of deferred tax assets resulting from the additional QIP associated with the investment in QIP based on the 13-month average for the reconciliation year.

PTR

=

Pre-tax overall rate of return authorized by the Commission in the utility's last rate case calculated as described in Section 556.50 [220 ILCS 5/9-220.3(f)].

ActNetDep

=

Actual depreciation expense related to the investment in QIP for the reconciliation year. Depreciation expense shall be net of depreciation expense applicable to the plant being retired, as defined in Section 556.10.

QIPRev

=

Actual QIP revenues collected during the reconciliation year through the QIP surcharge.

Rpy

=

The R component from the previous reconciliation year.

Opy

=

The sum of the O components and the calculated interest attributable to the O components included in the calculation of the QIP surcharge percentage during the reconciliation year.

d) Each annual reconciliation shall include the following schedules:

1. A schedule showing the actual monthly costs associated with the qualified infrastructure investment for the reconciliation year;

2. A schedule showing the actual monthly revenues arising from the application of the QIP surcharge during the reconciliation year;

3. A schedule showing the reconciliation component determined by the utility of the amount to be recovered or refunded over a nine-month period commencing on April 1; and

4. A schedule showing the utility's calculation of actual operating income and 13-month average rate base for the reconciliation year. The calculation of actual operating income and 13-month average rate base shall be adjusted for the impact of adjustments accepted by the Commission in the utility's last rate case represented by the pro rata percentages of net plant and operating expenses approved by the Commission compared to the net plant and operating expenses requested by the utility in its initial filing. In calculating the amount of federal and State income tax expense reflected in operating income, the utility shall show as deductible interest expense for tax purposes the product that results when the weighted embedded cost-of-debt reflected in the overall rate of return calculation used in the utility's last rate proceeding is multiplied by the rate as shown in the annual reconciliation.

e) The first reconciliation year shall take effect on the first day of the calendar year in which the Commission issues an order approving the QIP surcharge tariff and shall end on December 31 of the same calendar year. Subsequent reconciliation years shall end on December 31.

f) When the utility files its annual reconciliation petition, the utility shall provide to the Commission's Manager of the Accounting Department electronic copies of the following items:

1. Copies of all work papers pertaining to the reconciliation;

2. A summary of all work orders or projects that support the costs claimed for recovery through the QIP surcharge;

3. The total annual amounts invested, for each of the categories described in Section 9-220.3(b)(1) through (b)(7) of the Act, for qualifying infrastructure investment that support the costs claimed for recovery through the QIP surcharge;

4. Copies of the applicable general ledger or comparable material supporting the recovery of the QIP surcharge;

5. A detailed worksheet showing the calculation of any utility-determined reconciliation component (R component) amount based upon the annual reconciliation; and

6. Information regarding the prudence of the utility's investment in QIP.

g) The annual reconciliation shall be verified by an officer of the utility.

83 Ill. Adm. Code 556.110 Annual Internal Audit

The utility shall submit annually to the Commission's Manager of the Accounting Department, no later than July 31 for the previous calendar year, an internal audit report that determines whether the QIP surcharge and information provided under the Annual Reconciliation in Section 556.100 have been calculated in accordance with this Part and Section 9-220.3 of the Act. The initial internal audit shall be submitted no later than July 31 of the year following the effective date of the QIP surcharge tariff. Internal audits conducted under this Part shall determine whether:

a) Internal controls are effectively preventing the double recovery of costs through the QIP surcharge and other approved tariffs;

b) The QIP surcharge percentage is being properly billed to customer bills;

c) QIP surcharges are properly calculated;

d) Costs recovered through the QIP surcharge are recorded in the appropriate accounts; and

e) Costs recovered through the QIP surcharge are properly reflected in the calculation of the QIP surcharge percentage and the annual reconciliation.

83 Ill. Adm. Code 556.120 Gas Utility Commitments

A natural gas utility that has in effect a QIP surcharge tariff shall:

a) Recognize that the General Assembly identifies improved public safety and reliability of natural gas facilities as the cornerstone upon which Section 9-220.3 of the Act is designed, and qualifying projects should be encouraged, selected, and prioritized based on these factors; and [220 ILCS 5/9-220.3(d)(1)]

b) Provide information to the Commission as requested to demonstrate that:

1. The projects included in the QIP surcharge tariff are indeed qualifying projects; and

2. The projects are selected and prioritized taking into account improved public safety and reliability. [220 ILCS 5/9-220.3(d)(2)]

83 Ill. Adm. Code 556.130 Annual Qip Plan Update

Beginning in 2015, a utility with an approved QIP surcharge tariff shall file with the Commission by April 1 of each year an annual QIP plan update on e-Docket in the docket that approved the utility's QIP surcharge tariff, with copies provided to the Commission's Director of the Financial Analysis Division and Director of the Safety and Reliability Division. The annual QIP plan update shall provide the specific plan for that calendar year's qualified infrastructure investment, including planned replacements of underground natural gas facilities during the year. The initial annual QIP plan update shall be submitted no later than April 1 of the year following the effective date of the initial QIP surcharge tariff. The annual QIP plan update shall include the following information for projects included in the update for which costs are anticipated to be incurred during the calendar year of the update:

a) A schedule showing each QIP project included in the update by the classification of the project as defined in Section 556.40(a), with the following information:

1. The project title;

2. The priority of the project;

3. The accumulated cost of the project at the beginning of the calendar year;

4. The projected cost to be incurred during the calendar year;

5. The anticipated total cost of the project to have been incurred by the end of the calendar year; and

b) A listing of each QIP project included in the update by priority, with the following information:

1. An explanation and justification for the prioritization of the project;

2. A brief description of the project;

3. An indication of whether the project was ranked within the highest risk categories in the utility's most recent Distribution Integrity Management Program; and

4. The rationale for the investment to be included as QIP, which may include a history of leaks, or incidents of damage by location.

Part 590 Minimum Safety Standards for Transportation of Gas and for Gas Pipeline Facilities

83 Ill. Adm. Code 590.10 Standards

a) Incorporations by Reference

1. The Illinois Commerce Commission (Commission) adopts the standards contained in 49 CFR 191.1, 191.3, 191.5, 191.7, 191.9, 191.11, 191.13, 191.15, 191.17, 191.22, 191.23, 191.25, 191.29, 192 (excluding Section 192.12), 193 and 199 as of April 29, 2021, as its minimum safety standards for the transportation of gas and for gas pipeline facilities.

2. Reports otherwise required under 49 CFR 191, as incorporated by subsection (a)(1), that pertain only to the downhole portion of an "underground natural gas storage facility", as that term is defined in 49 CFR 192.3 as of April 29, 2021, need not be filed with the Commission.

b) No later amendment or editions are incorporated by this Part.

History

• Source: Amended at 46 Ill. Reg. 10859, effective June 10, 2022

83 Ill. Adm. Code 590.20 Submission of Federal Reports to the Commission

Each person who engages in the transportation of gas or who owns or operates pipeline facilities shall file with the Commission any report filed with the federal Pipeline and Hazardous Materials Safety Administration pursuant to 49 CFR 191.11, 191.13, 191.17, and 191.25, except that reports otherwise required to be filed with the Commission under this Section that pertain only to the downhole portion of an "underground natural gas storage facility", as that term is defined in 49 CFR 192.3 as of April 29, 2021, need not be filed with the Commission.

History

• Source: Amended at 46 Ill. Reg. 10859, effective June 10, 2022

83 Ill. Adm. Code 590.30 Submission of Plans, Procedures and Programs

a) Each person who engages in the transportation of gas or who owns or operates pipeline facilities shall make electronically available to the Commission any plans, procedures and programs required by or necessary to implement requirements of Section 590.10(a).

b) Each person identified in subsection (a) shall make all necessary documents electronically available to the Commission by either:

1. requesting an external user account with the Commission; or

2. posting the documents on a technology platform hosted by the person and providing to the Commission password-protected access to the platform.

c) Each person identified in subsection (a) shall make electronically available as set forth in subsection (b) any revisions to the plans, procedures and programs defined in subsection (a).

History

• Source: Added at 39 Ill. Reg. 10381, effective July 14, 2015

83 Ill. Adm. Code 590.40 External User Accounts

a) Each person seeking to make electronic documents available to the Commission in the manner prescribed by Section 590.30(b)(1) must have an active external user account.

b) The application for an external user account is available on the Commission's website or can be obtained by calling or e-mailing the Chief Clerk's office.

c) The external user account 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 Chief Clerk's office.

e) The user is responsible for keeping confidential the user ID and password. A user ID 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 the Commission's information technology staff to recover a password for a user who has forgotten his or her password.

f) Because of the unique user ID 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 the filings.

History

• Source: Added at 39 Ill. Reg. 10381, effective July 14, 2015

Part 595 Reports of Accidents or Incidents by Persons Engaged in the Transportation of Gas, or Who Own or Operate Gas Pipeline Facilities

83 Ill. Adm. Code 595.10 Exemption from 83 Ill. Adm. Code 220

a) All persons engaged in the transportation of gas, or who own or operate pipeline facilities, shall report accidents or incidents under the provisions of this Part.

b) Public utilities required to report accidents under 83 Ill. Adm. Code 220 shall report all accidents or incidents, as defined in Section 595.110, under the provisions of this Part in lieu of the report required by 83 Ill. Adm. Code 220.

History

• Source: Amended at 10 Ill. Reg. 8970, effective June 1, 1986

83 Ill. Adm. Code 595.110 Definitions

"Accident or incident", for the purposes of this Part, shall mean any or all of the events listed in 49 CFR 191.3 as of January 1, 2011, the cause of which is gas escaping from pipeline facilities or liquefied natural gas facilities. No later amendment or editions are incorporated by this definition.

"Commission" shall mean the Illinois Commerce Commission.

"Gas" shall mean natural gas, flammable gas or gas which is toxic or corrosive.

"Liquefied natural gas facility" means a pipeline facility that is used for liquefying natural gas or synthetic gas or transferring, storing, or vaporizing liquefied natural gas.

"Person" shall mean any individual, firm, joint venture, partnership, corporation, association, municipalities, cooperative association, and includes any trustee, receiver, assignee or personal representative thereof.

"Pipeline facilities" shall include new and existing pipe, rights-of-way and any equipment, facility or building used in the transportation of gas or the treatment of gas during the course of such transportation.

"Transportation of gas" shall mean the gathering, transmission or distribution of gas by pipeline or its storage within this state and not subject to the jurisdiction of the Federal Energy Regulatory Commission under the Natural Gas Pipeline Safety Act.

History

• Source: Amended at 37 Ill. Reg. 195, effective January 1, 2013

83 Ill. Adm. Code 595.120 Reporting of Accidents or Incidents

a) A report of each accident or incident shall be filed with the Commission not later than 30 days after the accident or incident occurred. The report shall be made on the appropriate U.S. Department of Transportation Incident Report Form for Gas Distribution Systems or for Gas Transmission and Gathering Systems. If the accident investigation is incomplete after the expiration of the 30 day period, an additional report will be filed upon its completion, or every 90 days until the investigation is completed. Reports required under this Part shall be filed with the Commission in electronic form by a person who has an external user account provided under 83 Ill. Adm. Code 590.40.

b) Information required by this form must be provided to comply with Section 6 of the Illinois Gas Pipeline Safety Act [220 ILCS 20]. Failure to do so may result in penalties pursuant to Section 7 or 7.5 of the Illinois Gas Pipeline Safety Act.

History

• Source: Amended at 43 Ill. Reg. 5752, effective May 2, 2019

83 Ill. Adm. Code 595.130 Immediate Reports

The Commission shall be notified of all such accidents or incidents as soon as possible, consistent with the public welfare and safety. Such notification shall include the location and time of the accident or incident, a brief description of what occurred, the individual in charge of the repair operation, and the individual to be contacted by the Commission should the Commission request additional information. Such immediate reports shall be made by telephone by calling 217-782-5050, which is available on a 24-hour basis. This telephone number is to be used only for the reporting of accidents or incidents as defined in Section 595.110.

Part 596 Public Availability of Inspection Information

83 Ill. Adm. Code 596.10 Definitions

"Commission" shall mean the Illinois Commerce Commission.

"Gas" shall mean natural gas, flammable gas or gas that is toxic or corrosive.

"Inspection information" shall include all information that has come to the Commission in the course of any inspection or other activity performed by any agent or employee of the Commission under the jurisdiction of the Illinois Gas Pipeline Safety Act [220 ILCS 20] (Act), including, without limitation, any account, record, memorandum, book, paper, document, plan, report, plant, facility, equipment or other property of any person subject to Commission jurisdiction under the Act, including any evaluation and associated evaluation documentation of such inspections or other activity by any agent or employee of the Commission irrespective of the medium in which the information exists.

"Person" shall mean any individual, firm, joint venture, partnership, corporation, association, municipality, or cooperative association and includes any trustee, receiver, assignee or personal representative.

"Pipeline facilities" shall include new and existing pipe, rights-of-way and any equipment, facility or building used in the transportation of gas or the treatment of gas during the course of that transportation.

"Transportation of gas" shall mean the gathering, transmission or distribution of gas by pipeline or its storage within this State and not subject to the jurisdiction of the Federal Energy Regulatory Commission under the Natural Gas Pipeline Act (49 USC 60101 et seq.).

83 Ill. Adm. Code 596.20 Public Availability of Inspection Information

Any inspection information regarding any person who either engages in the transportation of gas or who owns or operates pipeline facilities within this State under the jurisdiction of the Commission under the Illinois Gas Pipeline Safety Act, except to the extent that information is confidential or proprietary, shall be made available to the public by the Commission and may be posted on the Commission's website.

83 Ill. Adm. Code 596.30 Confidential or Proprietary Information

Any person, as set forth in Section 596.20, who believes that any inspection information is confidential or proprietary shall request that the Commission enter an order to protect the confidential or proprietary information pursuant to 83 Ill. Adm. Code 200.430. For purposes of this Section, a "proceeding" shall mean the docketed proceeding established by the Commission to consider the request of any person that the Commission enter an order to protect confidential or proprietary information. Any party granted the right to intervene in the proceeding shall be given an opportunity to respond to any person requesting an order protect confidential or proprietary information. The petitioning party shall be given an opportunity to reply to such response. All response and replies shall be filed and served as provided in 83 Ill. Adm. Code 200.190(e).

83 Ill. Adm. Code 596.40 Pre-Existing Inspection Information

To the extent that the Commission seeks to make inspection information gathered previous to October 1, 2012 available to the public or post that inspection information to the Commission's website, it shall make available copies of all inspection information to be posted or otherwise made available to the public to the affected person to review for a period of at least 60 days. The person shall be permitted to request that the Commission enter an order to protect the confidential or proprietary information prior to the information being posted to the Commission's website or any other public dissemination pursuant to Section 596.30.

83 Ill. Adm. Code 596.50 Inspection Information Posted on Commission Website

In all cases other than those addressed in Section 596.40, any affected person shall be given 14 days to review all inspection information attributed to the person, prepared based on information provided by the person, or otherwise gathered from the person prior to it being posted to the Commission's website for review, or otherwise being made available to the public.

Subchapter e Water Utilities

Part 600 Standards of Service for Water Utilities (general Order 24)

83 Ill. Adm. Code 600.10 Statutory

"An Act concerning public utilities" (Ill. Rev. Stat. 1981, ch. ch. 111⅔, pars. 1 et seq.) contains the following provisions:

a) Article I, Section 10.15, Definitions

"Service" is used in its broadest and most inclusive sense, and includes not only the use or accommodation afforded consumers or patrons, but also any product or commodity furnished by any public utility and the plant, equipment, apparatus, appliances, property and facilities employed by, or in connection with, any public utility in performing any service or in furnishing any product or commodity and devoted to the purposes in which such public utility is engaged and to the use and accommodation of the public.

b) Article IV, Section 54, Standards of Service

The Commission shall have power to ascertain, determine and fix for each kind of public utility suitable and convenient standard commercial units of service, product or commodity, which units shall be lawful units for the purposes of this Act; to ascertain, determine and fix adequate and serviceable standards for the measurements of quantity, quality, pressure, initial voltage or other condition pertaining to the performing of its service or to the furnishing of its product or commodity by any public utility, and to prescribe reasonable regulations for examining, measuring and testing such service, product, or commodity, and to establish reasonable rules, regulations, specifications and standards to secure the accuracy of all meters and appliances for examining, measuring, or testing such service, product or commodity.

83 Ill. Adm. Code 600.20 Authorization of Rules

In accordance with the statutory provisions in Section 54 of "An Act concerning public utilities" above, the attached revised rules for water service applicable to public water utilities have been prepared and approved by the Commission to be effective January 1, 1975.

83 Ill. Adm. Code 600.30 Application of Rules

a) Except as hereinafter otherwise provided, this Part sets forth the minimum general requirements and shall apply to any public utility defined as such by the Illinois Public Utilities Act, which is now or hereafter may be engaged in providing public water service and which comes under the jurisdiction of the Commission.

b) This Part shall supersede any rate, rule, regulation or condition of service which any water utility presently has on file with the Commission. Any rate, rule, regulation or condition of service which fails to meet the minimum general requirements in this Part shall be considered null and void and the utility shall refile such rate, rule, regulation or condition of service to conform with the provisions of this Part.

83 Ill. Adm. Code 600.40 Saving Clause

The adoption of this Part shall in no way preclude the Commission from altering or amending it, in whole or in part, or from requiring or permitting any other or additional service, equipment, facility or standard, either upon complaint, upon its own motion, or upon the application of any utility; and, furthermore, this Part shall in no way relieve any utility from any of its duties under the laws of this state.

83 Ill. Adm. Code 600.50 Definitions

The word "Commission," used in this Part, shall be construed to mean the Illinois Commerce Commission.

The word "customer," used in this Part, shall be construed to mean any person, firm, or corporation, municipality or other political subdivision of the state taking water service from any such utility.

The word "utility," used in this Part, shall be construed to mean public utility.

83 Ill. Adm. Code 600.60 Modification or Exemption from Rules

If hardship results from the application of any rule herein prescribed, or if unusual difficulty is involved in complying with any rule or otherwise upon good cause shown, a formal application or written request, as may be appropriate under the circumstances, may be made to the Commission for the modification of the particular rule or for an exemption from its provision. Upon good cause shown the Commission may then modify that rule or provide an exemption for that utility.

83 Ill. Adm. Code 600.110 Records and Reports

a) Attention is invited to the requirements of Section 16 of "An Act concerning public utilities," which presently reads as follows:

"Each public utility shall have an office in one of the cities, villages or incorporated towns in this State in which its property or some part thereof is located, and shall keep in said office all such books, accounts, papers, records and memoranda as shall be ordered by the Commission to be kept within the State. The address of such office shall be filed with the Commission. No books, accounts, papers, records or memoranda ordered by the Commission to be kept within the State shall be at any time removed from the State, except upon such conditions as may be prescribed by the Commission."

b) All records required by this Part shall be kept within the state and shall be available for inspection by the Commission or its staff, except as permitted by order of the Commission.

c) The rules prescribed in 83 Ill. Adm. Code 615 (General Order 189), as revised from time to time, will govern the destruction of records of water utilities.

83 Ill. Adm. Code 600.120 System Records

Each utility shall keep daily records which shall substantially reflect and provide for continuity of operations of its plant. The utility shall also keep, insofar as practicable, a record of such details of system operation as may be necessary to substantially reproduce its operation. Such records shall show the quantities of water pumped from each source of supply.

83 Ill. Adm. Code 600.130 Pressure Record

a) Each utility furnishing service within a given contiguous service area to 300 or more customers or a population equivalent of 1,000 persons shall maintain a graphic pressure gauge located at its plant or at some central point in the distribution system where continuous records shall be made of the pressure in the mains at that point. All records or charts shall be identified, dated and filed chronologically and shall be open to inspection by the public.

b) Each utility shall furnish and place other recording pressure gauges at such locations and for such periods as may be determined by the Commission.

83 Ill. Adm. Code 600.140 Maps and Records

a) Each utility shall maintain reasonably accurate up-to-date maps which shall show the area for which certificates of convenience and necessity have been issued by the Commission. Where applicable, the maps shall indicate each area by Docket Number.

b) Each utility shall also maintain reasonably accurate up-to-date supply diagrams and distribution maps. The supply diagram shall contain a plot plan of the supply facilities showing equipment, capacities, and flow directions. The distribution map shall show all mains indicating their general location and size, all hydrants and all valves. Such maps and other such information as necessary shall enable the utility to promptly and accurately advise interested individuals as to the location of mains and services.

c) Separate valve, hydrant and service connection records shall be kept for each valve, hydrant and service connection. Each record shall give the date of installation, size, make and model (if known), location, number and history of maintenance where applicable.

d) Maps showing the certificated area of the utility (when the Commission has issued a certificate for a specific area) and the principal transmission and distribution mains shall be submitted to the Commission by March 31, 1975. Maps showing additions and changes thereto in each calendar year shall be submitted by March 31 of each succeeding year. If there are no changes in such calendar year, the utility shall so notify the Commission in writing of this fact and, in those cases, it will not be necessary to refile such maps. Because of the necessity of such maps, any utility not possessing same shall begin an immediate program to permit the preparation and filing thereof. In the event such maps cannot be filed within the period above stated, the utility shall request Commission approval for additional time.

83 Ill. Adm. Code 600.150 Customer Meter Test Records

Each utility shall keep a record for each meter showing the make, size, style, number and date of purchase of the meter. Such record shall also reflect at all times the results of the latest test conducted on the meter, the reason for the test and the testing method used.

83 Ill. Adm. Code 600.160 Meter Bills

a) Except as hereinafter set forth, bills rendered periodically to customers for metered service shall show the date and the reading of the meter at the beginning and the end of the period for which the bill is rendered, the due date of the bill, the volume of water used, the amount of the bill and a condensed statement of the principal rates.

b) In cases, however, whereby reason of the use of postal or other card form of billing, or for other good reasons, the information set forth in the preceding paragraph cannot reasonably be placed on such bills, any utility shall present for filing with the Commission, in conjunction with its rules, a proposed form of billing. Upon the said proposed form being approved or passed to the files by the Commission, billing shall be made in accordance therewith. The Commission may reject or require modification of any such proposed form of billing, or at its discretion, require a hearing thereon.

c) In those cases where the principal rates are not shown on the bill, the utility shall provide each customer a copy of the rates at least once each year and following a change in the rates. Said notice may accompany the regular bill for service.

d) In addition to the above, each utility shall file with the Commission Water Engineering Staff within 30 days from the date of this order, two copies of the bill form presently in use. Each time said form is changed, the utility shall file 2 copies of the new form with the staff and, if required, file a copy with the Commission.

83 Ill. Adm. Code 600.170 Complaint Records

a) A full and prompt investigation shall be made of each complaint received. The word "complaint," as used in this Section, shall be construed to mean substantial objection made to a utility by a customer as to its charges, facilities, or service, the disposal of which complaint requires investigation or analysis. The receipt of all written complaints shall be acknowledged in writing or by personal contact.

b) A record shall be kept of each complaint, showing the name and address of the complainant, the time of day and date received, the nature of the complaint, the result of the investigation, when and by whom conducted, the final disposition of the complaint and the date of such disposition.

c) Complaints shall be summarized at least quarterly by each operating office. Said summaries shall categorize complaints by type and number and shall be kept for 3 years.

83 Ill. Adm. Code 600.210 Quality of Service

Each utility shall furnish a safe water supply suitable for drinking and free of any hazards to health in adequate quantities to meet the needs of its customers. The water should be free from objectionable odor and taste and should be colorless. It shall conform to the standards for drinking water as established by the State of Illinois, Environmental Protection Agency or any successor agency or organization.

83 Ill. Adm. Code 600.220 Interruptions of Service

a) Each utility shall make all reasonable efforts to prevent interruptions of service. When interruption occurs, the utility shall re-establish service with the shortest possible delay consistent with general safety and public welfare. The Commission shall be notified promptly if service is interrupted for a period of 12 hours or more in any major portion of the distribution system.

b) Whenever service is to be interrupted for the purpose of working on the system, this work shall be done at a time which will cause the least inconvenience to customers and those customers who will be most seriously affected by such interruption shall, so far as practical, be notified in advance. The utility shall also notify the proper officer of the fire department at least 6 hours in advance, if at all possible, as to the extent of the interruption. At the completion of repairs, the same officer shall be notified that service has been restored.

c) Each utility shall keep a record of all interruptions affecting service to the entire system and to any major portion of the distribution system. This record shall show the date, time of day, duration, extent and cause of the interruption.

83 Ill. Adm. Code 600.230 Adequacy of Service

a) Each utility shall furnish and maintain sufficient facilities to provide a continuous and adequate supply of water at reasonable pressure. Unless other acceptable provisions are made to insure continuous service, the utility should be able to meet the maximum daily demand with its largest well and/or pump out of service.

b) An average pressure of at least 35 pounds per square inch (psi) is recommended at the customer's service connection. Under normal operating conditions, pressure below 20 psi at the customer's service connection will not be considered reasonable.

83 Ill. Adm. Code 600.240 Inspection and Maintenance of Valves and Hydrants

Each utility shall establish a valve and hydrant inspection program. Valves and hydrants shall be kept in good operating condition and should be inspected at least annually. Valves and hydrants found to be inoperable shall be repaired or replaced. Valve covers shall be maintained at grade level and not paved over. Each inspection and all maintenance performed shall be properly noted on the valve or hydrant record card.

83 Ill. Adm. Code 600.250 Emergency Telephone Number

a) In addition to a toll free phone number available during normal working hours, each utility shall maintain a toll free number available 24 hours a day for emergency situations. Said numbers shall be published in the telephone directory in each area served by the utility.

b) Within 30 days from the effective date of this Part each utility shall notify the Commission Water Engineering Staff of such numbers and promptly advise said staff of any changes in the numbers. In cases where the numbers are changed the utility shall notify its customers in printing. Said notice may accompany the next regular billing.

83 Ill. Adm. Code 600.260 Metered Service

All general water service furnished within the State of Illinois shall be by metered measurement, unless otherwise approved by the Commission.

83 Ill. Adm. Code 600.300 Testing Facilities

Each utility furnishing water service to any of its customers on a metered basis shall, unless specifically excused by the Commission, make provision for a suitable meter testing laboratory and equipment or apparatus as may be necessary to make the tests required by this Part and other orders of this Commission. Meter testing equipment shall, at all reasonable hours, be accessible for inspection and use by authorized representatives of the Commission.

83 Ill. Adm. Code 600.310 Test and Allowable Error

a) The accuracy of a water meter shall be tested by comparing the actual amount of water passing through it with the amount indicated on the dial.

b) The test shall be conducted in accordance with the standards for testing Cold Water Meters as prescribed by the American Water Works Association (AWWA C705-60) with quantities and flows for positive displacement meters as follows:

TEST FLOWS (G.P.M.) & QUANTITY

MINIMUM

INTERMEDIATE

MAXIMUM

Size of

Flow

QUANTITY

FLOW

QUANTITY

FLOW

QUANTITY

meter

G.P.M.

Gal.

Cu.Ft.

G.P.M.

Gal.

Cu.Ft.

G.P.M.

Gal.

Cu.Ft.

⅝"

¼

10

1

2

10

1

15

100

10

¾"

½

10

1

3

10

1

25

100

10

1"

¾

10

1

4

10

1

40

100

10

1½"

1½

100

10

8

100

10

80

1000

100

2"

2

100

10

15

100

10

120

1000

100

3"

4

100

10

20

100

10

250

1000

100

4"

7

100

10

40

100

10

350

1000

100

6"

12

100

10

60

100

10

700

1000

100

No meters shall be placed in service when the accuracy is different than follows:

NEW METERS

REPAIRED METERS

MINIMUM RANGE

95-101.5%

90-101.5%

INTERMEDIATE RANGE

98.5-101.5%

98.5-101.5%

MAXIMUM RANGE

98.5-101.5%

98.5-101.5%

c) The utility may make such additional tests as it may deem necessary but in a manner that will not unreasonably inconvenience the customer.

83 Ill. Adm. Code 600.320 Meter Tests on Premises

Tests may be made at the place the meter is installed, provided the method employed by the utility for so testing a meter has been submitted to and has received the approval of the Commission.

83 Ill. Adm. Code 600.330 Installation of Meters

No meter shall be placed in service unless it has been tested previous to its installation and found accurate within the limits prescribed in Section 600.310. This test shall be made either by the utility or the meter manufacturer. If made by the latter, the utility must obtain a copy of the result of the manufacturer's test.

83 Ill. Adm. Code 600.340 Frequency of Tests

Unless otherwise approved by the Commission, each service water meter shall be periodically inspected and tested in accordance with the following schedule, or as often as the results may warrant, to insure that the meter accuracy is maintained within the limits set out in Section 600.310:

⅝ inch meter – 10 years or for each 100,000 cubic feet registered

¾ inch meter – 6 years or for each 300,000 cubic feet registered

1 inch meter – 6 years or for each 300,000 cubic feet registered

Meter 1½ inch and over – 4 years

83 Ill. Adm. Code 600.350 Meter Tests Requested by Customer

a) Each utility furnishing metered water service shall, without charge, test the accuracy of any meter upon request by the customer served by such meter, provided that the meter in question has not been tested by the utility or by the Commission within two years previous to such request. If the customer so desires, he or his representatives shall have the privilege of witnessing the test. A written report, giving the results of the test, shall be made to the customer.

b) When a meter which has been in service less than two years since its last test is found to be accurate within the limits specified in Section 600.310, the customer shall pay a fee to the utility not to exceed the following:

1. 1 inch meter or smaller – $7.50

2. 1½ inch or 2 inch meter – $15.00

c) Fees for testing meters not included above or so located that the cost will be out of proportion to the fee specified will be determined by the Commission upon receipt of a complete description of the case.

83 Ill. Adm. Code 600.360 Commission Referee Tests

a) Upon written application to the Commission by any customer, a test will be made of the customer's meter by a representative of the Commission. For such a test a fee as provided for in Section 600.350 must accompany the application.

b) If the meter is found to be registering more than 1.5 percent fast on the average when tested as prescribed in Section 600.310, the utility shall refund to the customer the amount of the fee.

c) The utility shall in no way disturb the meter after a customer has made an application for a referee test until authority to do so is given by the Commission or the customer in writing.

83 Ill. Adm. Code 600.370 Service to New Customers

The utility shall extend service to customers under the following terms and conditions:

a) The utility will provide all supply plant (backbone plant) at its cost and expense without requiring contributions or tap-on-fees from customers, developers or promoters, except in those unusual cases where extensive plant additions are required before customers can be attached. In such instances the utility may require the customer, developer and/or promoter to advance funds, subject to refund as customers are attached, or require a revenue guarantee in lieu of customers being attached. Each contract for such an advance or revenue guarantee shall be filed with the Commission for approval.

b) Unless other terms and conditions are formally approved by the Commission, the utility shall extend its water mains from the end of existing mains on the following terms and conditions:

1. Upon application being made for an extension of a water main, the utility shall determine the necessary size, location and characteristics of the main and of all valves, fittings and other appurtenances and shall make an estimate of the cost of the proposed extension, including pipe, valves, fittings, all other appurtenances and other materials and all other costs such as labor, permits, etc., including the utility's expense for supervision, engineering, insurance, tools and equipment, accounting and other overhead expenses. Extensions made under this Section shall be on the basis of a main size of eight (8) inches in diameter unless the requirements of the customer or customers to be served call for a larger main, in which case the cost shall be based on the larger main. In special cases, exceptions to the size of main can be made by the utility to comply with good engineering principles.

2. If the estimated cost of the extension is not greater than one and one-half (1½) times the utility's estimate of annual revenue to be received from customers who will immediately attach to the extension, the utility will finance and make the extension without the requirement of any payment.

3. If the estimated cost of the extension exceeds one and one-half (1½) times the utility's estimate of annual revenue to be received from customers who will immediately attach to the extension, the applicant or applicant's authorized agent shall contract for such extension and shall deposit with the utility the estimated cost of the extension less one and one-half (1½) times such estimated annual revenue.

4. Original prospective customers to be considered in (2) and (3) above shall be those who sign a contract for at least one year's water service and guarantee to the utility that they will take water service at their premises within thirty (30) days after the date water is turned into the main, and whose street service connections are directly connected to the mains installed under said extension. Estimates of annual revenue shall be made by the utility and shall be the average revenue received from similarly situated customers. Where there are no similarly situated customers, the utility shall make an estimate of the annual bill.

5. The utility shall make refunds during the first ten (10) years after the date upon which the deposit aforesaid was made and only to the depositor, his successors or assigns, as follows:

A) Should the actual cost of the extension be less than the estimated cost, the utility shall refund the difference as soon as the actual cost has been ascertained. Should the actual cost of the extension exceed the estimated cost, the difference shall be used as an offset against any refunds that may become due pursuant to (B), (C) and (D) below.

B) Upon completion of the first yearly billing period of the original customers, for whom there were no similarly situated customers, as defined in subparagraph (4) above, the utility shall refund an amount equal to one and one-half (1½) times the difference between the annual revenue originally estimated by the utility and the actual revenue received, provided the actual revenue is greater than the estimated revenue. If the actual revenue is less than the estimated revenue, the difference shall be used as an offset against revenues which would otherwise become the basis for refund pursuant to (C) below.

C) During the first ten (10) years from the date of the aforesaid deposit the utility shall refund, for each additional new customer taking service from said extension under a regular yearly contract, at the end of the first year's billing for service to such additional new customer, an amount equal to one and one-half (1½) times the annual average water revenue of similarly situated customers. If there are no similarly situated customers, the utility shall refund one and one-half (1½) times the actual annual revenue received.

D) If the extension abuts property which the applicant does not own or have an interest in, the utility shall pro-rate the cost of the extension on a front foot or per lot basis and, if during the term of the extension agreement the owner or occupant of such property requests water service, the utility shall collect from such new applicant an amount equal to his pro-rata cost of the extension less one and one-half (1½) times the estimated annual revenue to be received from said new applicant. The utility shall refund money so collected to the original applicant, such refund being in addition to the refund provided for in paragraph (C) above.

E) The total amount refunded to the original applicant pursuant to paragraphs (A), (B), (C) and (D) above shall not exceed the original deposit, without interest, and the utility shall not require any deposit pursuant to the provisions of paragraph (D) in excess of the unrefunded deposit of the original applicant. At the expiration of said 10 year period the refund account will be closed and no further refunds will be made.

6. All mains, valves, fittings and other appurtenances and materials installed in accordance with this Section shall be and remain the sole property of the utility.

7. The utility shall have the right to further extend its mains from and beyond the terminus of each main extension made under this Section. The applicant making a deposit hereunder shall not be entitled to any refund on account of any other or further extension or the attachment of any services or hydrants to any other or further extension.

8. When the utility desires to install a main larger than eight inches (8") in diameter for a purpose other than the applicant's service requirements, then the utility shall pay the additional cost of the larger main.

9. All water main extensions, except those that may be installed by the utility without the necessity of a contract, will be made by contract with the applicant in accordance with the conditions of this particular Section as outlined above.

10. Any main extension agreement made pursuant to this Section and the right to refund thereunder shall not be assigned by the applicant without the prior written consent of the utility.

c)

1. The utility shall furnish, install and maintain at its expense the permanent service connection, meter and any other appliance necessary to deliver and measure the water furnished. Temporary service connections and fire service connections shall be installed in accordance with the rules and regulations of the utility on file with the Commission. In those cases where services are installed in advance of paving, the cost of such services shall be included in the deposit for the main extension. The total cost of such services shall be computed and said amount divided by the number of services so installed. Such average cost so computed shall be refunded immediately to the applicant who made the deposit upon a customer being connected to such a preinstalled service.

2. The "service connection" furnished by the utility after the adoption of this Part shall include a shut off device at the main (corporation cock), a shut off device located near the curb line or property line (curb cock and curb box) and the water service line between the main and the curb cock and curb box. In those instances where outside meters are installed, a separate curb cock will not be required if the meter setting is located near the curb line or property line and includes a shut off valve. When the outside meter setting is installed near the curb line or property line, the water service line furnished by the utility shall extend from the main to the meter setting. The service connection shall be installed perpendicular to the main where practical. It shall be located so that no portion of the customer's service line shall pass through lands, buildings or parts of buildings which are not the property of the applicant for service.

3. The customer shall be responsible to furnish, install and maintain in good repair the necessary pipe to make the connection from the curb stop or outside meter setting to the building to be served. Said line shall be known as the "customers' service line." No tees or branch connections shall be allowed before the meter unless to serve another meter.

83 Ill. Adm. Code 600.400 Sale of Water

No utility shall furnish, transmit, sell or deliver water except at the rates shown in the tariff schedule of the utility on file with the Commission in accordance with the provisions of the Public Utilities Act as amended.

83 Ill. Adm. Code 600.410 Credit Deposits

No utility shall demand, attempt to collect or collect credit deposits except under conditions allowed by rules of the Commission as may be in effect from time to time.

Part 602 Notice Requirements for Subtractor's Identification for Water and Sewer Utilities

83 Ill. Adm. Code 602.10 Applicability

This Part applies to any public utility, as defined in Section 3-105 of the Public Utilities Act [220 ILCS 5/3-105], that provides water service or disposal of sewage.

83 Ill. Adm. Code 602.20 Definitions

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

"Office of the public utility" means and includes only those offices maintained by the public utility for the purpose of the public transacting business with the public utility. It does not mean or include places of business maintained primarily for another purpose, such as stores, banks, offices or organizations other than the public utility, where arrangements may have been made for the receipt of payments of bills due to the public utility or for the receipt of requests for service or for the transaction of other incidental business relating to the public utility, and it does not include a public utility office maintained primarily for operation purposes or rendering utility services to the public.

"Subcontractor" means any contractor, subcontractor, agent, individual or other entity that provide a services under contract or other payment arrangement to a public utility for the performance of services related to the physical infrastructure of the public water or sewer utility. Employees of the public utility are not subcontractors. For purposes of this Part, "subcontractor" excludes any contractor, subcontractor, agent, individual or other entity that makes contact with the customer by telephone, in writing, or through any means other than by personal contact.

83 Ill. Adm. Code 602.30 Notice to Customers

Notice to customers of the obligations of subcontractors for presenting proper identification when contacting customers.

a) Notice to the public. The public utility shall post in two public and conspicuous places in each office of the public utility a notice not less than seven by ten inches in size printed in black on a white background, reading substantially as follows:

PUBLIC NOTICE

No subcontractor of this public utility is authorized to contact any customer for the purpose of soliciting or receiving payment of any kind for any service provided by this utility. Employees of this utility shall carry proper identification and unilaterally present such identification to each customer when initiating contact with that customer. While subcontractors are not authorized to contact customers to solicit payment for services, whenever a subcontractor contacts a customer for any other purpose, the subcontractor is required to carry proper identification and unilaterally to present that identification to customers.

An employee of this public utility will assist any person that has questions about this notice.

b) Written notice

1. By March 1 of each year, each water or sewer public utility shall provide written notice of required identification of subcontractors and utility employees to each of its customers. This written notice may be included with the customer's billing for utility services. The written notice shall detail the information to be contained in the identification of each employee of the water or sewer public utility that is authorized to contact customers for the purpose of soliciting or accepting payment for services provided. The written notice shall detail the information to be contained in the identification of subcontractors and further notify customers that subcontractors are not authorized to contact customers for the purpose of soliciting or accepting payment for services that are provided by the utility. The written notice shall also inform the customers that notice is posted in the utility's office and that an employee of the public utility is available for assisting customers in understanding the contents of the notice.

2. At the time each new customer is accepted for service, the utility shall provide the customer written notice of required identification of employees of the public utility and subcontractors. This written notice shall contain the information that is required by subsection (b)(1).

83 Ill. Adm. Code 602.40 Identification Requirements

Each public utility shall include in any contract or agreement with any subcontractor the requirement that any individual working on behalf of that subcontractor shall present picture identification when visiting a customer's home or place of business. Upon arrival at a customer's home or place of business, any subcontractor performing work shall immediately show to the customer, if the customer is on the premises, identification that states the name of the individual performing the work and that contains the individual's picture.

83 Ill. Adm. Code 602.50 Notice of Work Authorization Requirements

Upon arrival at a customer's home or place of business, any subcontractor performing work shall immediately show to the customer a Notice of Work Authorization containing the following information:

a) The Notice of Work Authorization shall contain in 12-point boldface type on the face of the document a statement that the contracting utility has authorized the subcontractor to perform work on the utility's behalf.

b) The Notice of Work Authorization shall be printed in 12-point black type and shall contain language that identifies:

1. The customer's billing name and address;

2. The name of the contracting utility, including the utility's customer service contact information;

3. The name of the subcontracting company that is authorized to perform the work;

4. The description of the service to be provided to the customer, including the purpose of the subcontractor's visit; e.g., inspection, repair, test;

5. The Illinois Commerce Commission's Consumer Services Division contact information, including telephone number and web address, business location and hours of operation;

6. A statement in 12-point boldface type that no payment is to be given to the subcontractor. If any portion of the charge for the service provided by the subcontractor will ultimately be billed to the customer, the Notice of Work Authorization shall inform the customer that he/she will receive a separate bill from the utility; and

7. The statutory citation and text of the law prohibiting payment to the subcontractor providing the service on behalf of the customer's utility.

c) If any portion of the Notice of Work Authorization is written in a language other than English, then all portions of the Notice of Work Authorization shall be written in that language.

d) The Notice of Work Authorization shall not be combined with inducements or promotional material of any kind.

e) A copy of the Notice of Work Authorization shall be left with the customer.

f) The Notice of Work Authorization shall take substantially the form found in Exhibit A of this Part.

83 Ill. Adm. Code 602.60 Records

a) Each public utility shall retain a paper or electronic record of the written notice that is to be provided by March 1 of each year and the date on which the written notice was made.

b) Each public utility shall retain a paper or electronic record that identifies each new customer and the date on which each new customer was notified in writing of his or her right to see proper identification.

c) Each public utility shall retain a paper or electronic record of each contract or other agreement with each subcontractor that provides for the requirement that any individual working on behalf of that subcontractor shall present picture identification when visiting a customer's home or place of business.

83 Ill. Adm. Code 602.70 Sanctions

Upon complaint or upon its own motion the Commission may find that a public utility has not met the requirements or standards established in this Part. Upon such a finding, the Commission may pursue any penalties, including, but not limited to, injunctive relief, that are within the authority granted to it under the Act.

83 Ill. Adm. Code 602.EXHIBIT A Notice of Work Authorization

UTILITY LOGO

UTILITY ADDRESS and CONTACT INFORMATION

NOTICE OF WORK AUTHORIZATION FOR CUSTOMERS

This is to inform you that

(EMPLOYEE NAME)

of

(CONTRACTOR NAME)

has been engaged by

(UTILITY NAME)

to perform

(DESCRIPTION OF SERVICES)

at

(CUSTOMER NAME)

at

(CUSTOMER ADDRESS)

on

(DATE)

.

All utility or contractor employees performing services at a customer's home or place of business must present picture identification upon arrival. Pursuant to Section 8-306(1)

of the Illinois Public Utilities Act, employees of

(CONTRACTOR NAME)

are not

authorized to solicit payment for these services, or on the behalf of

(UTILITY NAME)

. If any portion of the charges for the services

performed today is to be billed to you, you will be sent a separate bill from your utility.

If you have any questions related to this activity, please contact us at

(UTILITY'S CUSTOMER SERVICE NUMBER)

. A copy of these notice requirements, and applicable

legal provisions, is posted in our office and on our website at

(UTILITY WEBSITE)

.

This notice is provided in compliance with rules established by the Illinois Commerce Commission in 83 Ill. Adm. Code 602. For additional information about Commission rules, you may contact Commission Staff at:

Illinois Commerce Commission

Consumer Services Division

527 East Capitol,

Springfield, Illinois 62701

www.icc.illinois.gov/consumer

1-800-524-0795 (Monday through Friday, 8:30 a.m. to 5:00 p.m.)

220 ILCS 5/8-306(l) 83 Ill. Adm. Code 602.

Part 605 Uniform System of Accounts for Water Utilities

83 Ill. Adm. Code 605.10 Adoption of Uniform System of Accounts by Reference

The Illinois Commerce Commission (Commission) adopts the Uniform System of Accounts for Class A Water Utilities (1996) of the National Association of Regulatory Utility Commissioners (NARUC) as its uniform system of accounts for water utilities, subject to the exceptions set forth in Subpart B of this Part. No incorporation in this Part incorporates any later amendment or edition.

History

• Source: Amended at 22 Ill. Reg. 11742, effective July 1, 1998

83 Ill. Adm. Code 605.100 Accounting Instruction 1

Accounting Instruction 1, "General – Classification of Utilities," is deleted and replaced by the following:

"A. For the purpose of applying the system of accounts prescribed by the Commission, water utilities are divided into two classes, as follows:

Class A – Utilities having annual water operating revenues of $1,000,000 or more.

Class B – Utilities having annual water operating revenues of less than $1,000,000.

B. This system of accounts applies to Class A utilities. Class B utilities shall keep all the accounts of this system of accounts applicable to their affairs. Class B utilities may, however, keep accounts for operating revenues and operating expenses under the accounts of the condensed classifications provided by this Part. (See Accounting Instruction 40.)

C. The class to which any utility belongs shall originally be determined by the average of its annual water operating revenue for the last three consecutive years. Subsequent changes in classification shall be made when the annual water operating revenues for each of the three immediately preceding years shall exceed $1,000,000 on a stand alone basis of the annual water and sewer operating revenues.

D. Class B utilities desiring more detailed accounting may adopt the accounts prescribed for Class A utilities. Class B utilities are not required to comply with more detailed accounts than what otherwise may be their case."

History

• Source: Amended at 22 Ill. Reg. 11742, effective July 1, 1998

83 Ill. Adm. Code 605.105 Accounting Instruction 2

The following is added to Accounting Instruction 2, "General – Records":

"G. The Commission does not commit itself to the approval or acceptance of any item set out in any account for the purpose of fixing rates or in determining other matters before the Commission, such as security issues, original cost determinations, or contract approvals."

83 Ill. Adm. Code 605.110 Accounting Instruction 13

Accounting Instruction 13, "General - Records for Each Plant," shall have the following paragraph added:

"The term 'plant' as here used means each source of supply, each pumping station (small booster stations may be grouped), each water treatment plant and the transmission and distribution system in each city or village, or such other operating areas as certificated by the Commission."

83 Ill. Adm. Code 605.115 Accounting Instruction 18

In paragraph D of Accounting Instruction 18, the clause "For contributed utility plant, the accumulated depreciation or amortization account shall be charged" is replaced by "For contributed utility plant, the accumulated depreciation or amortization account shall be credited."

History

• Source: Amended at 22 Ill. Reg. 11742, effective July 1, 1998

83 Ill. Adm. Code 605.120 Accounting Instruction 19

a) The Note in Item 3 of Accounting Instruction 19, Utility Plant – Components of Construction Cost, is revised to state:

"Note: The cost of individual items of equipment of small value or of short life, including small portable tools and implements, shall not be charged to utility plant accounts unless the correctness of the accounting therefor is verified by current inventories. The cost shall be charged to the appropriate operating expense or clearing accounts, according to the use of such items, or, if such items are consumed directly in construction work, the cost shall be included as part of the cost of the construction unit.

b) In Accounting Instruction 19, "Utility Plant – Components of Construction Cost", Item 17 is deleted (except for the note) and replaced with the following:

"Allowance for funds used during construction" ('AFUDC') includes the net cost for the period of construction of borrowed funds used for construction purposes and a reasonable rate on other funds when so used, not to exceed allowances computed in accordance with the formula prescribed in paragraph (a). No AFUDC charges shall be included in these accounts upon expenditures for construction projects that have been abandoned.

1. The formula and elements for the computation of AFUDC shall be:

A(i) = s(S/W) + d(D/(D + P + C)) (1 - S/W)

A(e) = [1 - S/W] [p(P/(D + P + C)) + c (C/(D + P + C))]

A(1)

=

Gross allowance for borrowed funds used during construction rate

A(e)

=

Allowance for other funds used during construction rate

S

=

Average short term debt

s

=

Short-term debt interest rate

D

=

Short-term debt interest rate

d

=

Long-term debt interest rate

P

=

Preferred stock

p

=

Preferred stock cost rate

C

=

Common equity

p

=

Common equity cost rate

W

=

Average balance in construction work in progress

2. The rates shall be determined annually except that the rates may be adjusted for current year security issues which affect the weighted average of long-term debt and/or preferred stock or when the return on equity awarded a current rate case exceeds the computational return on equity. The balances for long-term debt, preferred stock, and common equity shall be the actual book balances as of the end of the prior year. The cost rates for long-term debt and preferred stock shall be the weighted average cost. The cost rate for common equity shall be the rate granted common equity in the last rate proceeding before the Commission. If such cost rate is not available, the average rate actually earned during the preceding three years shall be used. The short-term debt balances and related cost and the average balance for construction work in progress shall be estimated for the current year with appropriate adjustments as actual data become available."

History

• Source: Amended at 22 Ill. Reg. 11742, effective July 1, 1998

83 Ill. Adm. Code 605.125 Accounting Instruction 21

a) In Paragraph B(5) of Accounting Instruction 21, "Utility Plant – Purchased or Sold," delete "according to the regulatory treatment of the Commission." (See also Accounting Instruction 39(B)(1), paragraph 4, for adjustment to Account 108, "Accumulated Depreciation," if Accounting Instruction 39(B)(2) is applicable.)

b) In Paragraph D of Accounting Instruction 21, add "for approval based on compliance with this Part" to the end of the paragraph.

83 Ill. Adm. Code 605.130 Accounting Instruction 22

In Accounting Instruction 22, "Utility Plant – Accounting for Capital and Operating Leases," delete Paragraph B and replace with the following:

"B. If the amount of the lease is material, then it will be recorded as a capital lease or as an operating lease as may be applicable. Materiality is defined as the magnitude of an omission or misstatement of accounting information that, in light of surrounding circumstances, makes it possible that the judgment of a reasonable person relying on the information would have been changed or influenced by the omission or misstatement."

83 Ill. Adm. Code 605.135 Accounting Instruction 29

In Paragraph B of Accounting Instruction 29, "Utility Plant – Transfers of Property," delete the phrase "market value" and replace with "net book cost."

83 Ill. Adm. Code 605.138 Accounting Instruction 26

Paragraph B of Accounting Instruction 26 is modified to state as follows:

"Exclude from equipment accounts hand and other portable tools, which are likely to be lost or stolen or which have a relatively small value or short life, unless the correctness of the accounting therefor as utility plant is verified by current inventories. Special tools acquired and included in the purchase price of equipment shall be included in the appropriate plant account. Portable drills and similar tool equipment when used in connection with the operation and maintenance of a particular plant or department, such as pumping, transmission and distribution, etc., or in "stores", shall be charged to the plant account appropriate for their use."

History

• Source: Added at 22 Ill. Reg. 11742, effective July 1, 1998

83 Ill. Adm. Code 605.140 Accounting Instruction 30

Paragraph C of Accounting Instruction 30, "Utility Plant – Common Plant," shall be restated as follows:

"The utility shall be prepared to show at any time by utility plant accounts (301 to 348) the following:

a) the book cost of common utility plant, '

b) the allocation of such cost to the respective departments using the common utility plant, and

c) the basis of the allocation."

History

• Source: Amended at 22 Ill. Reg. 11742, effective July 1, 1998

83 Ill. Adm. Code 605.145 Accounting Instruction 32

In Accounting Instruction 32, "Utility Plant – Plant Account Matrix," delete Paragraph B and replace it with the following:

"B. The 'functional' operations for the water system are listed below along with the designated suffix:

.1 Intangible plant

.2 Sources of supply plant

.3 Pumping plant

.4 Water treatment plant

.5 Transmission and distribution plant

.6 General plant"

83 Ill. Adm. Code 605.150 Accounting Instruction 33

a) Delete Paragraphs A and B of Accounting Instruction 33, "Operating Income – Depreciation Expense."

b) Relabel Paragraph C as A, and replace "When the straight-line method is used, the" with "Depreciation."

c) Relabel Paragraph D as B, and add "(See Accounting Instruction 39.)" at the end of the paragraph.

83 Ill. Adm. Code 605.155 Accounting Instruction 34

a) In Paragraph C(1) of Accounting Instruction 34, "Operating Income – Income Taxes," delete "Certain regulatory bodies have required" and replace with "The Commission requires" in the first sentence. In the second sentence of Paragraph C(1), delete "They have" and replace with "It has."

b) In Paragraph C(2) of Accounting Instruction 34, delete the second sentence.

83 Ill. Adm. Code 605.160 Accounting Instruction – Example

Delete the material in the Accounting Instructions labeled "EXAMPLE" following Accounting Instruction 34 and preceding Accounting Instruction 35.

83 Ill. Adm. Code 605.165 Accounting Instruction 37

Delete Paragraph B of Accounting Instruction 37 and replace with the following:

"B. The functional operations for the water system are listed with the designated suffix:

.1 Source of supply expenses – operating and maintenance

.2 Pumping expenses – operations

.3 Pumping expenses – maintenance

.4 Water treatment expenses – operations

.5 Water treatment expenses – maintenance

.6 Transmission and distribution expenses – operations

.7 Transmission and distribution expenses – maintenance

.8 Customer account expenses

.9 Administrative and general expenses"

History

• Source: Amended at 22 Ill. Reg. 11742, effective July 1, 1998

83 Ill. Adm. Code 605.170 Accounting Instruction 40

a) Class A Utilities shall maintain the accounts listed in subsections (a)(1) through (a)(8) of this Section.

1. Utility Operating Accounts

Account No.

400

Operating Revenues

401

Operating Expenses

403

Depreciation Expenses

406

Amortization of Utility Plant Adjustments

407

Amortization Expense

407.1

Amortization of Limited Term Plant

407.2

Amortization of Property Losses

407.3

Amortization of Other Utility Plant

407.4

Amortization of Regulatory Assets

407.5

Amortization of Regulatory Liabilities

408

Taxes Other Than Income

408.10

Utility Regulatory Assessment Fees

408.11

Property Taxes

408.12

Payroll Taxes

408.13

Other Taxes and License

409

Income Taxes

409.10

Federal Income Taxes, Utility Operating Income

409.11

State Income Taxes, Utility Operating Income

409.12

Local Income Taxes, Utility Operating Income

410

Provision for Deferred Income Taxes

410.10

Deferred Federal Income Taxes

410.11

Deferred State Income Taxes

410.12

Deferred Local Income Taxes

411

Provision for Deferred Income Taxes – Credit

411.10

Provision for Deferred Income Taxes – Credit,

Utility Operating Income

412

Investment Tax Credits

412.10

Investment Tax Credits Deferred to Future Periods,

Utility Operations

412.11

Investment Tax Credits Restored to Operating Income,

Utility Operations

413

Income From Utility Plant Leased to Others

414

Gains (Losses) From Disposition of Utility Property

2. Other Income and Deductions

415

Revenues from Merchandising, Jobbing

Contract Work

416

Costs and Expenses of Merchandising, Jobbing and

Contract Work

419

Interest and Dividend Income

420

Allowance for Funds Used During Construction

421

Nonutility Income

426

Miscellaneous Nonutility Expenses

3. Taxes Applicable to Other Income and Deductions

408

Taxes Other Than Income

408.20

Taxes Other Than Income, Other Income and

Deductions

409

Income Taxes

409.20

Income Taxes, Other Income and Deductions

410

Provision for Deferred Income Taxes

410.20

Provision for Deferred Income Taxes, other Income

and Deductions

411

Provision for Deferred Income Taxes – Credit

411.20

Provision for Deferred Income Taxes – Credit,

Other Income and Deductions

412

Investment Tax Credits

412.20

Investment Tax Credits – Net, Nonutility Operations

412.30

Investment Tax Credits Restored to Nonoperating

Income, Utility Operations

4. Interest Expense

427

Interest Expense

427.1

Interest on Debt to Affiliated Interests

427.2

Interest on Short-term Debt

427.3

Interest on Long-Term Debt

427.4

Interest on Customer Deposits

427.5

Interest – Other

428

Amortization of Debt Discount and Expense

429

Amortization of Premium on Debt

5. Extraordinary Items

433

Extraordinary Income

434

Extraordinary Deduction

409.30

Income Taxes, Extraordinary Items

6. Retained Earnings Accounts

435

Balance Transferred From Income

436

Appropriations of Retained Earnings

437

Dividends Declared – Preferred Stock

438

Dividends Declared – Common Stock

439

Adjustments to Retained Earnings

7. Water Operation Revenue Accounts

A) Water Revenue

460

Unmetered Water Revenue

461

Metered Water Revenue

461.1

Metered Sales to Residential Customers

461.2

Metered Sales to Commercial Customers

461.3

Metered Sales to Industrial Customers

461.4

Metered Sales to Public Authorities

461.5

Metered Sales to Multiple Family Dwellings

462

Fire Protection

462.1

Public Fire Protection

462.2

Private Fire Protection

464

Other Sales to Public Authorities

465

Sales to Irrigation Customers

466

Sales for Resale

467

Interdepartmental Sales

B) Other Water Revenues

469

Guaranteed Revenues

470

Forfeited Discounts

471

Miscellaneous Service Revenues

472

Rents from Water Property

473

Interdepartmental Rents

474

Other Water Revenues

8. Water Operation and Maintenance Expense Accounts

601

Salaries and Wages – Employees

603

Salaries and Wages – Officers, Directors and

Majority Stockholders

604

Employee Pensions and Benefits

610

Purchased Water

615

Purchased Power

616

Fuel for Power Production

618

Chemicals

620

Materials and Supplies

631

Contractual Services – Engineering

632

Contractual Services – Accounting

633

Contractual Services – Legal

634

Contractual Services – Management Fees

635

Contractual Services – Testing

636

Contractual Services – Other

641

Rental of Buildings/Real Property

642

Rental of Equipment

650

Transportation Expense

656

Insurance – Vehicle

657

Insurance General

658

Insurance – Workman's Compensation

659

Insurance – Other

660

Advertising Expense

666

Regulatory Commission Expenses – Amortization

of Rate Case Expense

668

Water Resource Conservation Expense

667

Regulatory Commission Expenses – Other

670

Bad Debt – Expense

675

Miscellaneous Expenses

b) Class B utilities shall maintain the accounts listed in subsections (b)(1) through (b)(8) of this Section.

1. Utility Operating Accounts

Account No.

400

Operating Revenues

401

Operating Expenses

403

Depreciation Expenses

406

Amortization of Utility Plant Acquisition Adjustments

407

Amortization Expenses

407.1

Amortization of Limited Term Plant

407.2

Amortization of Property Losses

407.3

Amortization of Other Utility Plant

407.4

Amortization of Regulatory Assets

407.5

Amortization of Regulatory Liabilities

408

Taxes Other Than Income

409

Income Taxes

410

Provision for Deferred Income Taxes

411

Provision for Deferred Income Taxes – Credit

412

Investment Tax Credits

413

Income From Utility Plant Leased to Others

414

Gains (Losses) From Disposition of Utility Property

2. Other Income and Deductions

415

Revenues from Merchandising, Jobbing and

Contract Work

416

Costs and Expenses of Merchandising, Jobbing

and Contract Work

419

Interest and Divided Income

420

Allowance for Funds Used During Construction

421

Nonutility Income

426

Miscellaneous Nonutility Expenses

3. Taxes Applicable to Other Income and Deductions

408

Taxes Other Than Income

409

Income Taxes

410

Provision for Deferred Income Taxes

411

Provision for Deferred Income Taxes – Credit

412

Investment Tax Credits

4. Interest Expense

427

Interest Expense

428

Amortization of Debt Discount and expense

429

Amortization of Premium on Debt

5. Extraordinary Items

433

Extraordinary Income

434

Extraordinary Deduction

409.30

Income Taxes, Extraordinary Items

6. Retained Earnings Accounts

435

Balance Transferred From Income

436

Appropriations of Retained Earnings

437

Dividends Declared – Preferred Stock

438

Dividends Declared – Common Stock

439

Adjustments to Retained Earnings

7. Water Operation Revenue Accounts

A) Water Revenue

460

Unmetered Water Revenue

461

Metered Water Revenue

462

Fore Protection

464

Other Sales to Public Authorities

465

Sales to Irrigation Customers

466

Sales for Resale

467

Interdepartmental Sales

B) Other Water Revenues

469

Guaranteed Revenues

470

Forfeited Discounts

471

Miscellaneous Service Revenues

472

Rents from Water Property

473

Interdepartmental Rents

474

Other Water Revenues

8. Water Operation and Maintenance Expense Accounts

601

Salaries and Wages

604

Employee Pensions and Benefits

610

Purchased Water

615

Purchased Power

616

Fuel for Power Production

618

Chemicals

620

Materials and Supplies

631

Contractual Services

641

Rental of Building/Real Property

642

Rental of Equipment

650

Transportation Expense

656

Insurance

660

Advertising Expense

666

Regulatory Commission Expense

668

Water Resource Conservation Expense

670

Bad Debt Expense

675

Miscellaneous Expenses

History

• Source: Amended at 22 Ill. Reg. 11742, effective July 1, 1998

Chapter I Illinois Commerce Commission

Subchapter e Water Utilities

Part 605 Uniform System of Accounts for Water Utilities

83 Ill. Adm. Code 605.175 Accounting Instruction 39

Add the following material as Accounting Instruction 39, Transition Rules – Contributions in Aid of Construction

"A. The transition rules are to govern the accounting for Contributions in Aid of Construction. They are based on the premise that the integrity of the "contribution" account was preserved during the period encompassed by the Commission's ratemaking policy of allowance of depreciation expense as a recoverable operating expense on property which was the contra to the "contribution" account.

B. The rules provide for recording the impairment of the "contributions" account which occurred subsequent to the change in Commission policy of disallowance of depreciation expense on "contributed property" for ratemaking purposes.

1. Subsidiary records will be maintained for Account 271, "Contributions in Aid of Construction" and Account 272, "Accumulated Amortization of Contributions in Aid of Construction." Subsidiary accounts of Account 271 shall segregate the Contributions in Aid of Construction recorded prior to the change in ratemaking policy from amounts recorded subsequent thereto. The subsidiary accounts of Account 272 shall be maintained to provide a segregation of the accumulated amortization charges which relate to or correlate to the "contribution" segregated balances. The "pre" and "post" segregation categories will coincide with the effective date of the first definitive Commission Order applicable to the subject utility which applies the ratemaking disallowance policy.

2. Utilities that discontinued recording depreciation expense in their books of account subsequent to is disallowance for ratemaking purposes shall record the impairment of the "contribution" account for the period from date of disallowance to December 31, 1986 by debit to Account 272, "Accumulated Amortization of Contributions in Aid of Construction" and credit to the appropriate sub-account of Account 108, "Accumulated Depreciation".

3. Utilities that continued to record depreciation expense in their books of account subsequent to its disallowance for ratemaking shall record the impairment of the "contribution" account by debit to Account 272, "Accumulated Amortization of Contributions in Aid of Construction" and credit to Account 439, "Adjustments to Retained Earnings". It shall cover the period from date of disallowance to December 31, 1986.

4. The amortization of the "pre" disallowance balance of Account 271 shall continue until it is fully amortized at which time it shall be written off against its related Account 272 balance.

5. Within six months of the effective date of this System of Accounts (83 Ill. Adm. Code 605), each utility shall submit its proposed journal entries for recording the implementation of the transition rules to the Director of Accounting of the Commission to ascertain whether the utility has complied with Accounting Instruction 39.

6. Should an impairment of the "contribution" account have occurred prior to the period covered by the transition rules in this Accounting Instruction, the utility shall submit its proposed journal entries to record such impairment accompanied by a complete explanation to the Director of Accounting for acceptance and approval. The Director of Accounting shall accept and approve the journal entries if an impairment has occurred and if the entries reflect the level of impairment."

History

• Source: Amended at 22 Ill. Reg. 11742, effective July 1, 1998

83 Ill. Adm. Code 605.180 Plant Account Matrix

Delete the Plant Account Matrix of the NARUC Uniform System of Accounts and replace it with the material in TABLE A.

History

• Source: Amended at 22 Ill. Reg. 11742, effective July 1, 1998

83 Ill. Adm. Code 605.185 Expense Accounts Matrix

Delete the Water Operation and Maintenance Expense Accounts Matrix of the NARUC Uniform System of Accounts and replace it with the material in TABLE B.

History

• Source: Amended at 22 Ill. Reg. 11742, effective July 1, 1998

83 Ill. Adm. Code 605.200 Retirement Units Generally

a) A retirement unit is defined as the smallest item of property which, on replacement, is required to be written out of the plant account. Expressed another way, a retirement unit is an item of property which is not replaced through the maintenance accounts.

b) The adoption of a list of retirement units should not be construed as requiring a classification of utility plant in the accounts corresponding to the list of the retirement units. The retirement unit is used for the purpose of distinguishing between items replaced through the plant accounts and those replaced through maintenance and can be used in plant accounting regardless of the classification reflected by the plant accounts. For example, the plant account might show only the total cost of a structure although it may be composed of a number of retirement units.

c) The Retirement Unit Accounts 301 through 348 are to be added to the NARUC Uniform System of Accounts.

83 Ill. Adm. Code 605.204 General Instructions with Respect to Structures and Equipment

a) With respect to structures and equipment, treat as retirement units any item of property which is readily separable from and separately useful from the larger assembly of which it forms a part and which has a life of several years. It is, of course, contemplated that consideration will be given to the cost of an item and that certain items otherwise meeting the above distinction but which cost $100 or less would not be considered a retirement unit (see Note at Accounting Instruction 19(3)).

b) Treat, also, as retirement units portions of structures or equipment replaced in cases where the replacement operates to extend the life of the structure or equipment or where it is necessary to record the replacement in the plant accounts in order that the records may, as nearly as practicable, show the cost of the structure or equipment as it actually exists.

c) Wherever appropriate, the retirement of any unit of property in the structures or equipment accounts shall include all costs of associated items which pertain solely to that unit, such as the costs of foundations; supports, ladders, runways, enclosures, guards; driving mechanisms; indicating, recording and measuring devices with their mountings; starting, control, regulating, protective, and safety devices; switchboards; special lighting conduits and wiring; pipes; duct; spouts; chutes; hoppers; ect.

83 Ill. Adm. Code 605.205 Retirement Unit Instructions

a) The list of retirement units is representative but not necessarily exhaustive. The appearance of a retirement unit under an account warrants the inclusion of the unit in the account mentioned only when the function, character, primary purpose, and text of the account also indicates inclusion inasmuch as the same unit frequently appears in more than one list.

b) The omission of an item from the list in an account or its inclusion in a functional system, does not preclude its treatment as a retirement unit if it costs more than $100 and is not an integral part of a larger retirement unit. The term "integral part" is used in a physical rather than a functional sense. For instance, both the pump and heat exchanger mounted separately in a vaporizing system will be considered retirement units, as contrasted with a packaged unit where both would be considered an integral part of the package.

83 Ill. Adm. Code 605.206 List of General Retirement Units

a) In all accounts where they occur, the following shall be considered a retirement unit if costing more than $100 and not an integral part of the retirement unit specifically listed:

1. Assembly for two or more retirement units;

2. Blower or fan;

3. Control installation, automatic, semi-automatic, or remote (such as pressure, speed, level, weight and volume regulators);

4. Coupling device (such as a speed reducer, speed increaser, clutch coupling, etc.);

5. Driving unit (such as a prime mover, motor, gas engine, etc.);

6. Enclosure for two or more retirement units (fence, guard railing, ect.);

7. Foundation for a unit of equipment, when not an integral part of a building and which is not intended to outlast the equipment for which provided;

8. Instrument or device for indicating, measuring, recording, or weighing;

9. Landscaping, grading of land improvements (complete at one location);

10. Piping, a run of any system (oil, steam, water, etc.) (6 inch and over in size, with or without valves, between two or more units of property and/or a header) (See subsection (b));

11. Piping header, 6 inch and over in size (See subsection (b));

12. Platforms, ladders, stairs, runways (complete section);

13. Pump;

14. Road, walk, parking lot, etc.;

15. Tank, vessel, bin, sphere, holder, etc.;

16. Valve, power operated, pressure reducing, atmospheric relief, 6 inch nominal pipe size and larger or relatively costly valve; and

17. Weighing device.

b) Whenever appropriate, the "piping" cost of additions and retirements shall include all costs for pipes, valves, fittings, specials, covering, hangers, supports, etc. pertaining to the run or header in question.

c) In Retirement Unit Accounts 301 and 348, the article "a," "an," or "the," as appropriate, should be read in connection with each listed retirement.

83 Ill. Adm. Code 605.210 Variances

a) The retirement units listed in this Part are prescribed and are to be accounted for in accordance with Accounting Instruction 27.

b) The list of units may be expanded by any water utility without authorization from the Commission.

c) If adherence to the list of retirement units contained in this Part would cause a utility undue hardship, such as the loss of revenue, the utility should file a petition for relief in accordance with the Commission's Rules of Practice, 83 Ill. Adm. Code 200, giving a full disclosure of the facts and a suggested modification of the list necessary to avoid the hardship. The Commission will approve a suggested modification if the economic benefits of the modification outweigh the economic cost and the modification does not preclude required reporting.

83 Ill. Adm. Code 605.301 Retirement Unit Account 301 Organization

a) Item

1. Actual cost of obtaining certificates authorizing an enterprise to engage in the public utility business.

2. Fees and expenses for incorporation.

3. Fees and expenses for mergers or consolidations.

4. Office expenses incident to organizing the utility.

5. Stock and minute books and corporate seal.

b) This account shall not include any discounts upon securities issued or assumed; nor shall it include any costs incident to negotiating loans, selling bonds or other evidences of debt, or expenses in connection with the authorization, issuance and sale of capital stock.

c) Exclude from this account and include in the appropriate expense account the cost of preparing and filing papers in connection with the extension of the term of incorporation unless the first organization costs have been written off. Where charges are made to this account for expenses incurred in mergers, consolidations or reorganizations, amounts previously included herein or in similar accounts in the books of the companies concerned shall be excluded from this account.

83 Ill. Adm. Code 605.302 Retirement Unit Account 302 Franchises

Any payments to the federal government, to a state or political subdivision thereof in consideration for franchises, consents, or certificate rights for a specified term of more than one year.

83 Ill. Adm. Code 605.303 Retirement Unit Account 303 Land and Land Rights

a) Each parcel of land owned in fee.

b) Each land right, water right or other right having a life of more than one year.

83 Ill. Adm. Code 605.304 Retirement Unit Account 304 Structures and Improvements

a) Any applicable unit of structures and improvements used for utility purposes which is not properly includible in other accounts.

b) List

Air conditioning or ventilating system

Boiler, furnace, hot-water heater, or automatic stoker

Bulkhead

Burner system, gas, oil, or stoker

Cesspool or septic tank

Chimney

Coal or ash conveying system

Door and frame

Dormer or monitor

Elevator complete with operator mechanism

Equipment item, such as motor, generator, engine, turbine, pump, compressor, ventilating fan, air washer, elevator or similar item of equipment includible in structures with or without associated wiring, control equipment, etc.

Fence

Fire escape system

Fire protection system

Floor (complete)

Foundation when includible in structures

House lighting or power panel

Landscaping (complete project)

Lighting fixtures, with or without associated wiring and conduit

Manhole or catch basin

Radiator

Refrigeration system

Retaining wall

Road, path, pavement or walk

Roof, with or without supporting members (a structure of irregular shape having more than one roof level may have several isolated roofs, each of which shall be considered an entire roof. In the case of structures to which lateral extensions have been made even though having but one roof level, that part of the roof covering an entire section built at one time shall be considered an entire roof).

Screen

Sewer run between catch basin or manhole

Sky-light or ventilator

Stairway (complete between floor or operating level)

Storage bin (complete)

Storm window or storm door

Structure

Substructure

Superstructure

Tank

Tunnel, subway or areaway

Vault

Wall

Window and frame

Yard drainage system

Yard lighting system

c) Include any applicable unit not specifically listed in subsection (b) but which is consistent with the utility's practice in accounting for units of property for retirement purposes.

83 Ill. Adm. Code 605.305 Retirement Unit Account 305 Collecting and Impounding Reservoirs

a) Items

Abutment

Aerator

Apron

Boom

Bridge or draw span

Bulkhead

By-pass channel, canal or diversion facility

Canal

Conduit (drainage)

Crib

Culvert

Dam

Dike

Fish ladder

Fence (complete)

Flashboard facility

Flume

Flush, inlet or outlet chamber

Forebay

Gate

Gate hoist

Gate hoist track

Gatehouse

Gate section

Gravity section

Heating or thawing system

Intake chamber

Intake screen

Landscaping (complete project)

Manhole or catch basin

Measuring facility (weir, etc.)

Paving

Penstock

Pier

Piling, system of, to protect any of the structures

Piping, within the structure (any two or more continuous standard lengths of pipe, with appurtenances)

Retaining wall

Riprap (any continuous area)

Road, walk or walkway (complete)

Sewer, complete (run between catch basin or manhole)

Sluiceway

Spillway or channel

Substructure, power plant

Tailrace or raceway

Tank surge

Trash rack

Tunnel

Valve

Valve vault

Wall (wing, cutoff or baffle)

Wicket

Wiring, light or power system

b) Include any applicable unit not specifically listed in subsection (a).

83 Ill. Adm. Code 605.306 Retirement Unit Account 306 Lake, River and Other Intakes

a) Items

Conduit

Crib

Fence

Gate

Gatehouse

Gatehouse equipment

Gate, operating mechanism

Intake pipe, complete up to suction header, or any two or more continuous standard lengths

Intake screen or rack

Intake screen operating mechanism

Intake well

Lighting or power system

Manhole

Piling tunnels

Suction well

Valve

Valve vault

b) Include any applicable unit not specifically listed in subsection (a).

83 Ill. Adm. Code 605.307 Retirement Unit Account 307 Wells and Springs

a) Items

Air piping in each well (complete)

Casing, complete

Collecting basin

Collecting pipe, any two or more continuous standard lengths of pipe with appurtenances

Eduction pipe

Fence

Landscaping (complete project)

Lighting or power system

Manhole

Overflow spillway or channel

Piling

Sewer (complete)

Screen or strainer (complete)

Tank

Tunnel

Valve

Valve vault

Well or spring structure

b) Include any applicable unit not specifically listed in subsection (a).

83 Ill. Adm. Code 605.308 Retirement Unit Account 308 Infiltration Galleries and Tunnels

a) Items

Conduit

Gatehouse

Gatehouse equipment

Gate operating mechanism

Manhole or vault

Piping, any two or more continuous standard lengths, including appurtenances

Tunnel or gallery

Valve

Valve operating mechanism

b) Include any applicable unit not specifically listed in subsection (a).

83 Ill. Adm. Code 605.309 Retirement Unit Account 309 Supply Mains

a) Items

Aqueduct

Air chamber

Blow-off or overflow

Bridge or culvert

Canal

Conduit

Crossing, special construction for railway, highway, creek, river and bridge

Electrolysis control equipment

Gate

Gatehouse

Gauge or recorder

Main, any two or more continuous standard lengths of pipe, including fittings

Manhole

Meter

Meter house

Pressure regulator

Surge tank

Tunnel

Valve

Valve vault

b) Include any applicable unit not specifically listed in subsection (a).

c) "Mains" shall include pipe, fittings, specials, joints, pavement cut and replaced, tunnelling, excavation and backfill, shoring and bracing and protection of openings (also include permits, etc.)

83 Ill. Adm. Code 605.310 Retirement Unit Account 310 Power Production Equipment

a) Items

Central generator cooling system

Central lubricating system

Condensing and cooling system

Engine and turbine plant piping

Engine-driven generating installation

Instruments and meters

Turbo-generator installation

b) Wherever appropriate, the "piping" costs of additions and retirements shall include all costs for pipes, valves, fittings, specials, covering, hangers, supports, etc., pertaining to the run or header in question.

83 Ill. Adm. Code 605.311 Retirement Unit Account 311 Pumping Equipment

a) Each principal item involved with pumping equipment driven by electric power or diesel engines.

b) Items

Auxiliary equipment for engines and pumps such as oiling systems, cooling systems, condensers, etc.

Engines and motors for driving pumps

Ladders, stairs and platforms if a part of pumping unit

Pumps, including setting, gearing, shafting and belting

Other accessories

83 Ill. Adm. Code 605.320 Retirement Unit Account 320 Water Treatment Equipment

a) Aerators (except when located at reservoir)

Air compressor

Basin

Pipe, run of any class, 2 inches or over in size, between two or more units of property

Spray nozzle

Substructure

b) Chemical Treating plant

1. Items

Agitating equipment complete

Ammonia machine

Basin

Carbonating equipment

Chemical manufacturing plant

Chemical conveying or handling equipment

Chemical pump

Chlorine machine

Coke, complete replacement

Dry feed machine

Dry storage bin

Electrolytic cell

Foundation, independent of structure

Gravity feed or pump feed apparatus

Motor

Piping, run of any class, 2 inches over in size, between two or more units of property

Rate controller

Sludge pump or other sludge equipment

Softening equipment not provided for elsewhere

Solution feed equipment

Solution tank

Switchboard

Weighing equipment

2. Any applicable item not specifically listed in subsection (b)(1).

c) Clear Water Basin

Basin

Piping, run of any class, 2 inches or over in size, between two or more units of property

Roof

Substructure

Valve

d) Filter Plant

1. Items

Air blower and compressor

Filter

Piping, run of any class 2 inches or over in size, between two or more units of property

Rate controller

Sand and gravel, complete replacement

Substructure

Underdrain system

Valve control system

Valve operating mechanism

Wash trough

Wash water tank

2. Any applicable unit not specifically listed in subsection (d)(1).

e) Mixing Tanks

1. Items

Chemical conveying or handling equipment

Piping, run of any class, 2 inches or more in size, between two or more units of property

Tank

2. Any applicable unit not specifically listed in subsection (e)(1).

f) Sedimentation or Coagulation Basin

1. Items

Basin

Baffle or weir

Coagulant storage tank

Feeder equipment

Industrial railroad

Orifice device

Piping, run of any class, 2 inches or more in size, between two or more units of property

Screen or hoist

Sludge removal apparatus

2. Any applicable unit not specifically listed in subsection (f)(1).

g) Softening Plant

1. Items

Carbonating chamber

Chemical conveying or handling equipment

Clear water basin

Carbon dioxide gas generator

Carbon dioxide compressor

Gravel, complete replacement

Meter

Mixing tank

Piping, run of any class, 2 inches or more in size, between two or more units of property

Salt solution or brine tank and appurtenances

Salt solution pump

Salt storage bin

Sedimentation or coagulation basin

Substructure

Tank

Underdrain system

Wash water controller

Zeolite, complete replacement

2. Any applicable unit not specifically listed in subsection (g)(1).

h) Wherever appropriate, the "piping" costs of additions and retirements shall include all costs for pipes, valves, fittings, specials, covering, hangers, supports, etc., pertaining to the run or header in question.

83 Ill. Adm. Code 605.330 Retirement Unit Account 330 Distribution Reservoirs and Standpipes

a) Items

Aerator (when installed as an integral part of distribution reservoirs)

Bridge or culvert

Catch basin

Channel

Corrosion protection system

Dam

Embankment

Fence, complete

Gate house

Gate house equipment

Gate or valve

ate or valve operating mechanism

Landscaping (complete project)

Lighting or power system

Manhole

Piping within reservoir, two or more standard lengths

Retaining wall

Road or path

Screen

Screen operating mechanism

Sewer, complete

Spillway

Standpipe or tank

Vault or pit

Water level indicating or recording apparatus

b) Include any applicable unit not specifically listed in subsection (a).

83 Ill. Adm. Code 605.331 Retirement Unit Account 331 Transmission Mains and Distribution Mains

a) Items

Air chamber

Bridge or culvert

Canal

Gate

Gate house

Gauge or recorder

Main, any two or more continuous standard lengths of pipe, including fittings

Manhole or vault

Main line meter

Meter house

Pressure regulator

Surge tank

Tunnel

Valve

b) "Mains" shall include pipe, fittings, specials, joints, pavement cut and replaced, tunnelling, excavation and backfill, shoring and bracing and protection of openings (also includes permits, etc.)

83 Ill. Adm. Code 605.333 Retirement Unit Account 333 Services

a) Main to curb (stub).

b) Length inside curb, which is carried on utility's books (extension).

c) The above includes pavement cut and replaced, excavation, tunnelling, pipe and fittings, curb cock and box, tapping main as appropriate depending on location of the operation performed.

83 Ill. Adm. Code 605.334 Retirement Unit Account 334 Meters and Meter Installations

a) Meter, including meter couplings or meter flanges.

b) Meter installation (complete).

83 Ill. Adm. Code 605.335 Retirement Unit Account 335 Hydrants

Hydrant branch

Hydrant

Valve

Valve box

83 Ill. Adm. Code 605.339 Retirement Unit Account 339 Other Plant and Miscellaneous Equipment

Any applicable unit of other intangible, source of supply, pumping, water treatment and transmission and distribution plant not provided for elsewhere.

83 Ill. Adm. Code 605.340 Retirement Unit Account 340 Office Furniture and Equipment

Each principal item or such equipment such as:

Adding or calculating machine (including coin counters)

Bookcase (complete)

Blueprint machine

Cabinet

Chair

Checkwriter

Desk

Dictating machine (recording or reproducing)

Duplicating machine (including letter press)

Electronic data processing equipment

Photostat machine

Rug or removable floor covering

Safe

Sofa or lounge

Table

Typewriter

Wardrobe

83 Ill. Adm. Code 605.341 Retirement Unit Account 341 Transportation Equipment

a) Each principal item of equipment such as:

Airplane

Automobile

Bicycle

Boat

Dray

Electric vehicle

Motorcycle

Repair car or truck

Tractor

Trailer

Truck

b) Include other type of transportation vehicles not specifically listed in subsection (a).

83 Ill. Adm. Code 605.342 Retirement Unit Account 342 Stores Equipment

Counter

Crane, hoist or chainfall

Locker

Motor

Portable elevating and stocking equipment

Scale

Shelving of bins, section of

Warehouse truck or dolly

Wheelbarrow

83 Ill. Adm. Code 605.343 Retirement Unit Account 343 Tools, Shop and Garage Equipment

a) Items

Air compressor

Anvil

Aquaphone

Battery charging equipment (complete)

Bench

Boiler, portable

Concrete mixer

Crane, hoist or chainfall

Cutting, tapping or thawing machine

Drilling machine

Drill press

Electric welding machine

Engine

Forge

Furnace

Gasoline pump, oil pump and storage tank

Gauge

Ladder

Lathe

Meter testing apparatus

Motor

Pipe machine (cutting and threading)

Pipe pusher (machine)

Planner

Pneumatic tool

Portable lighting equipment

Portable valve operating device

Power-driven greasing machine

Power saw

Pump, portable

Riveter

Shaper

Smithing equipment

Surveying and leveling equipment

Vise

b) Include any applicable unit not specifically listed in subsection (a).

83 Ill. Adm. Code 605.344 Retirement Unit Account 344 Laboratory Equipment

a) Each principal item of equipment such as:

Autoclave

Barometer

Camera

Centrifuge

Comparator

Distilling apparatus

Furnace

Incubator

Microscope

Oven

Pitometer

Rain Guage

Refrigerator

Scale

Sterilizer

Stop watch

Testing machine

Thermometer

Voltmeter

b) Include any unit of bacteriological, electric, chemical, hydraulic, or research equipment not specifically listed in subsection (a).

83 Ill. Adm. Code 605.345 Retirement Unit Account 345 Power Operated Equipment

a) Items

Air compressor, including driving unit and vehicle

Backfilling machine

Boring machine

Bulldozer

Derrick, crane or hoist

Digger

Engine

Pile driver

Pipe cleaning machine

Pipe coating or wrapping machine

Tractor (crawler type)

Trencher

Scraper

Steam shovel

b) Include any other applicable unit not specifically listed in subsection (a).

c) This account includes only such large units as are generally self-propelled or mounted on moveable equipment.

83 Ill. Adm. Code 605.346 Retirement Unit Account 346 Communication Equipment

a) Each principal item of equipment such as:

Antenna

Booth

Inter-communicating telephone system

Motor generator set

Poles and fixtures used wholly for communication use

Radio receiver

Radio transmitter

Remote control system

Storage battery

Switchboard

Telephone instrument

Testing instrument

b) Include any applicable unit not specifically listed in subsection (a).

83 Ill. Adm. Code 605.347 Retirement Unit Account 347 Miscellaneous Equipment

a) Items

Billiard tables, including equipment

Bowling alley, including equipment

Hospital and infirmary equipment

Kitchen equipment

Miscellaneous recreational equipment

Radio

Restaurant equipment

Soda foundation

Television

b) Include any other unit which is not includible in other utility plant accounts on a functional basis.

83 Ill. Adm. Code 605.348 Retirement Unit Account 348 Other Tangible Property

Any unit of tangible utility plant which is not provided for elsewhere.

83 Ill. Adm. Code 605.1030 Account 103

In Account 103, "Property Held for Future Use," add "Director of Accounting of the" before "Commission" in Paragraph B.

History

• Source: Amended at 22 Ill. Reg. 11742, effective July 1, 1998

83 Ill. Adm. Code 605.1080 Account 108 (repealed)

History

• Source: Repealed at 22 Ill. Reg. 11742, effective July 1, 1998

83 Ill. Adm. Code 605.1081 Account 108.1

In Paragraph A(4) of Account 108.1, "Accumulated Depreciation of Utility Plant in Service," delete the phrase "if such amortization is recognized by the Commission."

History

• Source: Amended at 22 Ill. Reg. 11742, effective July 1, 1998

83 Ill. Adm. Code 605.1240 Account 124

In Account 124, "Utility Investments," delete the phrase "for the purpose of insuring adequate water service (i.e., source of water supply)."

83 Ill. Adm. Code 605.1410 Account 141

In Account 141, "Customer Accounts Receivable," delete Paragraph B.

83 Ill. Adm. Code 605.2150 Account 215

In Account 215, "Unappropriated Retained Earnings," add "(See Accounting Instruction 39)" to the last sentence.

83 Ill. Adm. Code 605.2180 Account 218

a) In Note B of Account 218, "Proprietary Capital (for proprietorships and partnerships only)," delete the words "earned surplus" and replace with "retained earnings."

b) Add as Note C: "Amounts payable to the proprietor as just and reasonable compensation for services performed (that level of compensation which would be paid to an equally qualified non-proprietor employee in the same cirucumstances) shall not be charged to this account but to appropriate operating expense or other accounts."

83 Ill. Adm. Code 605.2710 Account 271

In Account 271, "Contributions in Aid of Construction," add the phrase "(See Accounting Instruction 39)" to the end of Paragraph B.

83 Ill. Adm. Code 605.2720 Account 272

In Paragraph A of Account 272, "Accumulated Amortization of Contributions in Aid of Construction," delete the phrase "if recognized by the Commission" and replace it with "(See Accounting Instruction 39)."

History

• Source: Amended at 22 Ill. Reg. 11742, effective July 1, 1998

83 Ill. Adm. Code 605.2830 Account 283

In Account 283, "Accumulated Deferred Income Taxes – Other," delete Paragraph E.

83 Ill. Adm. Code 605.3330 Account 333

In Paragraph C of Account 333, "Services," delete the clause "and, in any event, shall be retired by the end of the second year following that during which the service became inactive unless reused in the interim."

83 Ill. Adm. Code 605.4030 Account 403

In Paragraph A of Account 403, "Depreciation Expense," delete the second sentence.

83 Ill. Adm. Code 605.4120 Account 412

In Account 412, "Investment Tax Credits," delete Paragraph B(1) and replace with the following:

"(1) In amortizing the deferred investment tax credits related to property used in utility operations, the annual proportional amount credited to Account 412, 'Investment Tax Credits,' the utility must use Internal Revenue Code Section 46(f)(2) (26 U.S.C.46(f)(2)) treatment in proportional amortization to be credited to subaccount 412.11, 'Investment Tax Credits Restored to Operating Income, Utility Operations.'"

83 Ill. Adm. Code 605.4200 Account 420

In Account 420, "Allowance for Funds Used During Construction," delete the second sentence, retaining the reference to Accounting Instruction 19.

83 Ill. Adm. Code 605.4330 Account 433

In Account 433, "Extraordinary Income," delete the phrase "Upon approval of the regulatory authority."

83 Ill. Adm. Code 605.4340 Account 434

In Account 434, "Extraordinary Deductions," delete the phrase "Upon approval of the Commission."

83 Ill. Adm. Code 605.6600 Account 660

Delete the material in Account 660, "Advertising Expenses," and replace with the following:

"This account shall include the cost of labor, materials used and expenses incurred in advertising designed to promote or retain the use of utility service, except advertising the sale of merchandise by the utility. The account shall be maintained so that informational and instructional advertising can be readily ascertained. For expenses related to merchandising, jobbing, and contract work, see Account 416, 'Cost and Expenses of Merchandising, Jobbing, and Contract Work.'"

83 Ill. Adm. Code 605.TABLE A Prescribed Plant Account Matrix

Water Utility Plant Accounts

.1

.2

.3

.4

.5

.6

Intangible Plant

Source of Supply

Pumping Plant

Water Treatment Plant

Transmission & Distribution Plant

General Plant

301

Organization

301.1

302

Franchises

302.1

303

Land and Land Rights

303.2

303.3

303.4

303.5

303.6

304

Structures and Improvements

304.2

304.3

304.4

304.5

304.6

305

Collecting and Impounding Reservoirs

305.2

306

Lake, River and Other Intakes

306.2

307

Wells and Springs

307.2

308

Infiltration Galleries and Tunnels

308.2

309

Supply Mains

309.2

310

Power Generation Equipment

310.3

311

Pumping Equipment

311.3

320

Water Treatment Equipment

320.4

330

Distribution Reservoirs and Standpipes

330.5

331

Transmission and Distribution

Mains

331.5

333

Services

333.5

334

Meters and Meter Installations

334.5

335

Hydrants

335.5

336

Backflow Prevention Devices

336.5

339

Other Plan and Miscellaneous Equipment

339.1

339.2

339.3

339.4

339.5

340

Office Furniture and Equipment

340.6

341

Transportation Equipment

341.6

342

Stores Equipment

342.6

343

Tools, Shop and Garage Equipment

343.6

344

Laboratory Equipment

344.6

345

Power Operated Equipment

345.6

346

Communication Equipment

346.6

347

Miscellaneous Equipment

347.6

348

Other Tangible Plant

348.6

History

• Source: Amended at 22 Ill. Reg. 11742, effective July 1, 1998

83 Ill. Adm. Code 605.TABLE B Prescribed Expenses Accounts Matrix

WATER OPERATION AND MAINTENANCE EXPENSE ACCOUNTS

CLASS A

.1

.2

.3

.4

Source of Supply and Operation Expenses

Pumping Expenses – Operations

Pumping Expenses – Maintenance

Water Treatment Expense Operations

601

Salaries and Wages – Employees

601.1

601.2

601.3

601.4

603

Salaries and Wages – Officers, Directors and Majority Stockholders

604

Employee Pensions and Benefits

610

Purchased Water

610.1

615

Purchased Power

615.1

615.2

615.4

616

Fuel for Power Production

616.1

616.2

616.4

618

Chemicals

618.1

618.4

620

Materials and Supplies

620.1

620.2

620.3

620.4

631

Contractual Services – Eng.

631.1

631.2

631.3

631.4

632

Contractual Services – Acct.

633

Contractual Services – Legal

634

Contractual Services – Management Fees

635

Contractual Services – Testing

635.1

635.2

635.3

635.4

636

Contractual Services – Other

636.1

636.2

636.3

636.4

641

Rental of Building/Real Property

641.1

641.2

641.3

641.4

642

Rental of Equipment

642.1

642.2

642.3

642.4

650

Transportation Expenses

650.1

650.2

650.3

650.4

656

Insurance – Vehicle

Insurance – General Liability

Insurance – Workman's Compensation

658.1

658.2

658.3

658.4

659

Insurance – Other

660

Advertising Expense

Regulatory Commission Expenses Amortization of Rate Case Expense

667

Regulatory Commission Expense – Other

668

Water Resource Conservation Expense

668.1

670

Bad Debt Expense

675

Miscellaneous Expenses

675.1

675.2

675.3

675.4

WATER OPERATION AND MAINTENANCE EXPENSE ACCOUNTS

.5

.6

.7

.8

.9

Water Treatment Expenses – Maint.

Trans. & Dist. Expenses Oper.

Trans. & Dist. Expenses Maint.

Customer Accounts Expenses

Water Admin. & General Expenses

601

Salaries and Wages – Employees

601.5

601.6

601.7

601.8

601.9

603

Salaries and Wages –

Directors and Majority

Stockholders

603.9

604

Employee Pensions

and Benefits

604.9

610

Purchased Water

615

Purchase Power

615.6

615.8

615.9

616

Fuel for Power

Production

616.6

616.8

616.9

618

Chemicals

618.6

620

Materials and Supplies

620.5

620.6

620.7

620.8

620.9

631

Contractual Services – Eng.

631.5

631.6

631.7

631.8

631.9

632

Contractual Services –

Acct.

633

Contractual Services –

Legal

633.9

634

Contractual Services –

Management Fees

634.9

635

Contractual Services –

Testing

635.5

635.6

635.7

635.8

635.9

636

Contractual Services –

Other

636.5

636.6

636.7

636.8

636.9

641

Rental of Building/Real

Property

641.5

641.6

641.7

641.8

641.9

642

Rental of Equipment

642.5

642.6

642.7

642.8

642.9

650

Transportation Expenses

650.5

650.6

650.7

650.8

650.9

656

Insurance – Vehicle

656.9

657

Insurance – General

Liability

657.9

658

Insurance – Workman's

Compensation

658.5

658.6

658.7

658.8

658.9

659

Insurance – Other

659.9

660

Advertising Expense

660.9

666

Regulatory Commission

Expenses Amortization of

Rate Case Expense

666.9

667

Regulatory Commission

Expenses – Other

667.9

670

Bed Debt Expense

670.8

675

Miscellaneous Expense

675.5

675.6

675.7

675.8

675.9

WATER OPERATION AND MAINTENANCE EXPENSE ACCOUNTS

CLASS B

.1

.2

.3

.4

Source of

Water

Supply and

Pumping

Pumping

Treatment

Operation

Expenses –

Expenses –

Expense

Expenses

Operations

Maintenance

Operations

601

Salaries and Wages – Employees

601.1

601.2

601.3

601.4

603

Salaries and Wages – Officers,

Directors and Majority Stockholders

604

Employee Pensions and Benefits

610

Purchased Water

610.1

615

Purchased Power

615.1

615.2

615.4

616

Fuel for Power Production

616.1

616.2

616.4

618

Chemicals

618.1

618.4

620

Materials and Supplies

620.1

620.2

620.3

620.4

631

Contractual Services – Eng.

631.1

631.2

631.3

631.4

632

Contractual Services – Acct.

633

Contractual Services – Legal

634

Contractual Services – Management

Fees

635

Contractual Services – Other

635.1

635.2

635.3

635.4

641

Rental of Building/Real Property

641.1

641.2

641.3

641.4

642

Rental of Equipment

642.1

642.2

642.3

642.4

650

Transportation Expenses

650.1

650.2

650.3

650.4

656

Insurance – Vehicle

Insurance – General Liability

Insurance – Workman's

Compensation

659

Insurance – Other

660

Advertising Expense

Regulatory Commission Expenses

Amortization of Rate Case Expense

667

Regulatory Commission

Expenses – Other

668

Water Resource Conservation

Expense

668.1

668.2

670

Bad Debt Expense

675

Miscellaneous Expenses

675.1

675.2

675.3

675.4

WATER OPERATION AND MAINTENANCE EXPENSE ACCOUNTS

.5

.6

.7

.8

.9

Water

Trans. &

Trans. &

Water

Treatment

Dist.

Dist.

Customer

Admin. &

Expenses –

Expenses

Expenses

Accounts

General

Maint.

Oper.

Maint.

Expenses

Expenses

601

Salaries and Wages –

Employees

601.5

601.6

601.7

601.8

601.9

603

Salaries and Wages –

Directors and Majority

Stockholders

603.9

604

Employee Pensions

and Benefits

604.9

610

Purchased Water

615

Purchase Power

615.6

615.8

615.9

616

Fuel for Power Production

616.6

616.8

616.9

618

Chemicals

618.6

620

Materials and Supplies

620.5

620.6

620.7

620.8

620.9

631

Contractual Services – Eng.

631.5

631.6

631.7

631.8

631.9

632

Contractual Services – Acct.

633

Contractual Services – Legal

633.9

634

Contractual Services –

Management Fees

634.9

635

Contractual Services – Other

635.5

635.6

635.7

635.8

635.9

641

Rental of Building/Real

Property

641.5

641.6

641.7

641.8

641.9

642

Rental of Equipment

642.5

642.6

642.7

642.8

642.9

650

Transportation Expenses

650.5

650.6

650.7

650.8

650.9

656

Insurance – Vehicle

656.9

657

Insurance – General Liability

657.9

658

Insurance – Workman's

Compensation

658.5

658.6

658.7

658.8

658.9

659

Insurance – Other

659.9

660

Advertising Expense

660.9

666

Regulatory Commission

Expenses – Amortization of

Rate Case Expense

666.9

667

Regulatory Commission

Expenses – Other

667.9

668

Water Resource Conservation

Expense

670

Bed Debt Expense

670.8

675

Miscellaneous Expenses

675.5

675.6

675.7

675.8

675.9

History

• Source: Amended at 22 Ill. Reg. 11742, effective July 1, 1998

Part 615 The Preservation of Records of Water Utilities (general Order 189)

83 Ill. Adm. Code 615.10 Scope of This Part

a) This Part applies to all books of account and other records prepared by or on behalf of the public utility. See Item 73 of Appendix A for those records which come into possession of the public utility in connection with the acquisition of property, such as purchase, consolidation, merger, etc.

b) This Part shall not be construed as excusing compliance with any other lawful requirement for the preservation of records for periods longer than those prescribed herein.

c) This Part shall not be construed as requiring the preparation of accounts, records or memoranda not required to be prepared by other Parts, such as the Uniform System of Accounts, prescribed by the Illinois Commerce Commission (83 Ill. Adm. Code 415, 505, 605 and 710 – General Orders 179, 180, 183 and 199).

d) Records other than those listed in the annexed Appendix A may be destroyed at the option of the public utility; provided, however, that records which are used in lieu of those listed shall be preserved for the periods prescribed for the records used for substantially similar purposes; and, provided further, that retention of records pertaining to added services, function, plant, etc., the establishment of which cannot be presently foreseen, shall conform to the principles embodied herein.

83 Ill. Adm. Code 615.20 Designation of Supervisory Official

Each public utility subject to this Part shall designate one or more persons with official responsibility to supervise the utility's program for the preservation and the authorized destruction of its records.

83 Ill. Adm. Code 615.30 Protection and Storage of Records

The public utility shall provide reasonable protection for records subject to this Part from damage by fires, floods and other hazards; and, in the selection of storage spaces, safeguard the records from unnecessary exposure to deterioration from excessive humidity, dryness or lack of proper ventilation.

83 Ill. Adm. Code 615.40 Index of Records

All records which are herein required to be preserved shall be so arranged, filed and currently indexed by the utility that they may readily be identified and made available to representatives of the Illinois Commerce Commission.

83 Ill. Adm. Code 615.50 Preservation of Records on Microfilm

a) Certain records indicated in Appendix A may be microfilmed and such film retained in lieu of the original records, provided the procedures prescribed herein are followed.

b) Indicators are used in Appendix A to designate those records for which microfilm will be accepted in lieu of original records. These indicators, listed following the retention period, are as follows:

M – Indicates that microfilms may be substituted for retention of the original records at any time after use of the records for current recording purposes.

M – (with a numeral following) Indicates that microfilms may be substituted for retention of the original records only after the original records have been retained in their original form for at least the number of years corresponding to the numeral following the "M." Thus, "M-10" indicates that a microfilm copy may be made of and substituted for the original record only after the original record has been retained for at least ten years.

ME – Indicates records for which microfilms may be substituted for retention of the original records only for the period subsequent to the expiration, cancellation, supersedure or other condition shown in the column "Period to be Retained." Thus, for Item 9(e) of Appendix A, microfilms are not acceptable for current contracts; however, they are acceptable for expired or cancelled contracts, the retention period for which is three years after expiration or cancellation.

c) Absence of an "M" indicator, as explained above, indicates that microfilms may not be substituted for retention of the records described.

d) Prior to photographing, the records shall be so prepared, arranged, classified and identified as to readily permit the subsequent location, examination and reproduction of the photographs thereof. Any significant characteristic, feature or other attribute of the original records which photography would not reflect clearly (e.g., that the record is a copy or that certain figures thereon are red) shall be so indicated on the records at the time of such arrangement, classification and identification. When a number of the records to be microfilmed have in common such a characteristic or attribute, an appropriate notation identifying the characteristic or attribute may be indicated in a statement at the beginning of the roll of film instead of on each individual record.

e) Each roll of film shall include a microfilm of a certificate or certificates stating that the photographs are direct and facsimile reproductions of the original records and that they have been made in accordance with prescribed instructions. Such certificate or certificates shall be executed by a person or persons having personal knowledge of the facts covered thereby.

f) The photographic matter on each roll shall commence and end with a statement as to the nature and arrangement of the records reproduced, the name of the photographer, and the date. The film shall not be cut between statements. Supplemental or retaken film, whether of misplaced or omitted documents or of portions of a film found to be spoiled or illegible or of other matter, shall be attached to the beginning of the roll; and, in such event, the aforementioned certificate or certificates shall cover also such supplemental or retaken film and shall state the reasons for taking such films.

g) The film stock used and the processing thereof shall comply with the minimum standards of quality required by the Illinois State Records Commission. The utility shall be prepared to furnish, at its own expense, appropriate standard facilities for reading the microfilm; and, if the Illinois Commerce Commission so directs, furnish a facsimile of any record the original of which has been destroyed prior to the expiration of the retention period prescribed in Appendix A.

h) The microfilm shall be indexed and retained in such manner as will render them readily accessible and identifiable. They shall be stored in such manner as to provide reasonable protection from hazards such as fire, flood, theft, etc. The films should be cared for in such manner as to prevent cracking, breaking, splitting, etc.

i) Photographic reproduction is not limited to the microfilm process. With Illinois Commerce Commission approval, other reproduction techniques, comparable or better in quality than microfilming, may be used.

83 Ill. Adm. Code 615.60 Destruction of Records

The destruction of the records permitted to be destroyed under the provisions of this Part may be performed in any manner elected by the public utility concerned. Precautions should be taken, however, to macerate or otherwise destroy the legibility of records, the content of which is forbidden by law to be divulged to unauthorized persons.

83 Ill. Adm. Code 615.70 Premature Destruction or Loss of Records

When any records are destroyed before the expiration of the prescribed period of retention, a certified statement listing, as far as may be determined, the records destroyed and describing the circumstances of accidental or other premature destruction shall be filed with the Illinois Commerce Commission within ninety (90) days from the date of discovery of such destruction. Discovery of loss of records is to be treated in the same manner as in the case of premature destruction.

83 Ill. Adm. Code 615.80 Retention Periods Designated "destroy at Option"

Use of the retention period "Destroy at option" in this Part constitutes authorization for such optional destruction under the conditions specified for the particular types of records, unless such records are necessary to satisfy pending regulatory actions or directives.

83 Ill. Adm. Code 615.90 Schedule of Records and Periods of Retention

Appendix A annexed hereto shows the periods of time that designated records shall be preserved, and the records for which microfilms may be substituted therefor, in accordance with the foregoing instructions. It is not intended that more than one copy of any record be retained. See Item 74 of Appendix A for authority to destroy duplicates.

83 Ill. Adm. Code 615.100 "commission"

"Commission," as used hereafter in Appendix A, refers to the Illinois Commerce Commission.

83 Ill. Adm. Code 615.APPENDIX A Schedule of Records and Periods of Retention

Description of Records

Period to be Retained

CORPORATE AND GENERAL

Capital stock records:

(a)

Capital stock ledgers or other records showing the same information.

7 years after the stockholder's account is closed. (See NOTE 1.)

(M)

(b)

Capital stock subscription accounts, warrants, requests for allotments and other essential papers related thereto.

3 years after settlement.

(M)

(c)

Stubs or similar records of capital stock certificate issuance where not used as capital stock ledger records.

7 years after cancellation of certificate. If this record serves the purpose of a capital stock ledger, 1(a) is applicable.

(M)

(d)

Stock transfer registers.

7 years after last entry on page or sheet of the record.

(M)

(e)

Papers pertaining to or supporting transfers of capital stock.

3 years after transfer.

(M)

(f)

Cancelled capital stock certificates, where not used as capital stock ledger records.

7 years after cancellation. If this record serves the purpose of a capital stock ledger, 1(a) is applicable.

(M)

(g)

Change of address notices of stockholders.

Destroy at option after changes are recorded.

(M)

(h)

Bonds of indemnity and affidavits covering issuances of stock certificates to replace lost certificates.

7 years after expiration of bonds.

(M)

(i)

Letters, notices, reports, statements and other communications distributed to all stock holders of a particular class:

(1)

Formal communications addressed to all stockholders of a particular class, including notices of annual and special meetings of stockholders, and other notices, letters, reports or statements relating to corporate or stockholder actions.

10 years.

(M)

(2)

Interim reports of operations, speeches of corporate officers, notices of change of corporate address or telephone numbers, etc.

Destroy at option.

(M)

(j)

Dividend check registers, lists or similar records.

3 years.

(M)

(k)

Dividend checks.

3 years.

(M)

(l)

Third party dividend orders.

6 years after rescission order.

(M)

NOTE 1

For the purposes of this Part, a stockholder's account may be treated as a closed account at the time that such stockholder ceases to be a holder of record of the particular class of stock of the utility and the 7-year retention period prescribed herein shall run from that date. If such person subsequently acquires shares of capital stock of the utility and thus again becomes a stockholder of the utility, the record of such acquisition shall be treated as a new stockholder account.

Description of Records

Period to be Retained

Debt security records: (See NOTE 2.)

(a)

Registered bond and debenture ledgers.

3 years after redemption.

(M)

(b)

Bond and debenture subscription accounts, warrants, subscription notices, requests for allotment and essential papers related thereto.

3 years after settlement.

(M)

(c)

Stubs or similar records of bond and debenture certificates issued.

3 years after redemption.

(M)

(d)

Bond transfer registers and papers pertaining to or supporting transfers of registered bonds and debentures.

3 years after transfer.

(M)

(e)

Records of bond and debenture interest coupons paid and unpaid.

Destroy at option in compliance with NOTE 3.

(M)

(f)

Cancelled bonds and debentures and paid and unpaid interest coupons pertaining thereto.

Destroy at option in compliance with NOTE 3.

(g)

Authorization of holder to convert into other securities.

7 years after conversion

(M)

(h)

Trust indentures, loan agreements or other contracts or agreements securing debt securities issued.

7 years after redemption.

(ME)

(i)

Copy of reports, statements, letters or memoranda filed with Trustee(s) pursuant to provisions of trust indenture or other security instrument or agreement securing debt securities issued.

7 years after redemption, but see NOTE 4.

(M)

(j)

Paid or cancelled debt securities evidencing temporary borrowings.

Destroy at option.

(M)

(k)

Interest checks

3 years.

(M)

NOTE 2

The terms "bonds" and "debentures," as used in this Item, shall include all debt securities, such as bonds, debentures or notes other than debt securities which evidence temporary borrowings and which are expected to be repaid out of the proceeds of the sale of longer term securities. Typical of such temporary debt securities as described in Item 2(j) would be notes issued to banks evidencing temporary working capital and construction loans.

NOTE 3

Cancelled bonds and debentures and interest coupons pertaining thereto, and records of bond and debenture interest coupons, may be destroyed; provided that a certificate of destruction giving full descriptive reference to the destroyed, cancelled bonds and debenture and interest coupons pertaining thereto, and to the records of bond and debenture interest coupons, shall be made by the person or persons authorized to perform such destruction, and such certificate of destruction shall be retained by the utility for the period herein prescribed.

The certificate evidencing the destruction of interest coupons pertaining to bonds or debentures need not contain a listing of the bond or debenture serial numbers pertaining to such interest coupons.

When documents represent debt secured by mortgage, the certificate of destruction shall also be authorized by a representative of the Trustee(s) acting in conjunction with the person or persons destroying the documents or shall have the Trustee(s') acceptance thereon.

While the certificate of destruction above described may not be destroyed earlier than seven (7) years after the payment and discharge of the bonds, debentures or interest coupons described in such certificate, it may be microfilmed at the option of the utility and such microfilm substituted for the original document.

NOTE 4

Destroy at option provided that the Trustee(s) under such indenture or security instrument is a National Bank, a member of the Federal Reserve System or a subsidiary of any such National Bank or Federal Reserve System member bank; and, provided further, that the Trustee(s) has certified to the utility that copies of all such documents will be available in the offices of the trustee(s) for inspection at any time prior to redemption by holders of debt securities to which such documents relate and for inspection by an Federal or State regulatory authority prior to redemption and for an additional period of seven (7) years after redemption.

Description of Records

Period to be Retained

Authorizations from regulatory bodies for issuance of securities:

(a)

Copy of applications to regulatory bodies for authority to issue stocks, bonds and other securities, including a copy of exhibits in support of such applications.

Until all securities covered by a specific authorization are retired.

(M-10)

(b)

Official copy of opinions and orders of regulatory bodies granting authorize to issue securities.

Until all securities covered by a specific authorization are retired.

(M-10)

(c)

Reports filed with regulatory bodies in compliance with authorizations to issue securities, including supporting papers. (Reports of sales of securities, application of proceeds, etc.)

Until all securities covered by a specific authorization are retired.

(M-10)

Copy of registration statements and other data filed with the Securities and Exchange Commission:

(a)

In connection with offerings of securities for sale to the public, or the listing of securities on exchanges, including supporting papers.

Until all securities covered by a specific authorization are retired.

(M-10)

(b)

Copy of periodic reports and supporting papers filed in compliance with either the Securities Act of 1933 (15 U.S.C. 77a et seq.) or the Securities Exchange Act of 1934 (15 U.S.C. 78a et seq.).

Permanently.

(M-10)

Proxies and voting lists:

(a)

Proxies of holders of voting securities.

1 year.

(M)

(b)

Corporate charters or certificates of incorporation.

1 year.

(M)

Minute books of stockholders', directors', and directors' committee meetings.

Permanently.

(M-25)

Titles, franchises and licenses:

(a)

Deeds and other title (including abstracts of title and supporting data).

6 years after property is disposed of unless surrendered to transferee.

(b)

Corporate charters or certificates of incorporation.

Permanently.

(c)

Legal documents in connection with mergers, consolidations, reorganizations, receiverships, and similar actions, affecting the identity or organization of the utility.

Permanently.

(d)

By-laws.

Permanently.

(e)

Franchises and certificates authorizing operations as a public utility.

Permanently.

(f)

Licenses (including amendments thereof) granted by Federal of State authorities for construction and operation of utility plant.

Permanently.

(g)

Copy of formal orders of regulatory commissions served upon the utility.

Permanently.

Permits:

(a)

Permits and granted applications for the use of facilities of others.

6 years after expiration or cancellation.

(ME)

(b)

Copy of permits and applications granted others for the use of the utility's facilities.

6 years after expiration or cancellation.

(ME)

(c)

Applications for the use of facilities not granted and copy of such applications.

Destroy at option.

(M)

(d)

Permits, and applications therefore, of a temporary nature from municipalities or others to perform specific work, such as permits to open streets.

Destroy at option.

(M)

Contracts and agreements (except contracts provided for elsewhere):

(a)

Service contracts, such as for management, accounting, financial, legal and other such services.

6 years after expiration or cancellation.

(ME)

(b)

Contracts with other water utilities for the purchase, sale or interchange of water.

6 years after expiration or cancellation.

(ME)

(c)

Leases pertaining to rentals of property to or from others.

6 years after expiration or cancellation.

(ME)

(d)

Contracts and agreements with individual employees, labor unions, company unions, and other employee organizations relative to wage rates, hours and similar matters.

3 years after expiration or cancellation.

(ME)

(e)

Contracts, agreements and/or other essential records necessary to the carrying out of the functions of an employee's stock purchase or other type of employee's savings plan or pension plan.

3 years after expiration or cancellation.

(ME)

(f)

Memoranda essential to clarify or explain provisions of contracts and agreements.

For same periods as contacts to which they relate.

(ME)

(g)

Card or book records of contracts, leases and agreements made, showing dates of expirations and of renewals, memoranda of receipts and payments under such contacts, etc.

Destroy at option.

(M)

(h)

Summaries and abstracts of contracts, leases and agreements.

Destroy at option.

(M)

(i)

Contracts or agreements for the acquisition or disposal of investments. (Excluding temporary cash investments.)

6 years after expiration or cancellation.

(ME)

(j)

Contracts, agreements and records related thereto pertaining to patents, copyrights and licensing thereof.

6 years after expiation or cancellation.

(ME)

General and Subsidiary ledgers:

(a)

General ledgers and ledgers subsidiary or auxiliary to general ledgers, except ledgers provided for elsewhere.

Permanently.

(M-20)

(b)

Indexes to general ledgers and subsidiary ledgers except ledgers provided for elsewhere.

Permanently.

(M-20)

(c)

Trial balance sheets of general and subsidiary ledgers or equivalent records.

1 year.

(M)

Journals:

General and subsidiary journals, including departmental and divisional journals.

Permanently.

(M-20)

Journal vouchers and journal entries:

(a)

General, departmental, divisional and petty journal vouchers.

Permanently.

(M-20)

(b)

Materials and supplies disbursement, labor distribution, and other detail summarization and distribution records supporting journal vouchers journal entries: (See NOTE 5.)

(M-7)

(1)

Charging plant accounts.

7 years prior to date as of which original cost of plant has been unconditionally determined or approved by the Commission in

(a) an order entered in proceedings initiated for the purpose of making such determination or seeking such approval; or

(b) in an order entered in proceedings initiated pursuant to the provisions of Section 36, 41 or 64 of "An Act concerning public utilities", (Ill. Rev. Stat. 1981, ch. 111⅔, par. 1 et seq.); and, further, that continuing plant inventory records are maintained, and distributions appear in work order records or cost ledger; otherwise, permanently.

(2)

Charging all other accounts.

7 years.

(M)

(c)

Papers forming a part of or necessary to explain journal vouchers or journal entries except as covered in Item 12(b) above.

See Item 12(b)(1) and (2).

(d)

Schedules for recurring journal entries

Destroy when superseded.

(M)

(e)

Lists of standard journal entry numbers.

Destroy when superseded.

(M)

NOTE 5

Time tickets and material issued and material returned tickets may be destroyed at option if the basic information contained thereon is transcribed to other records, if such other records are retained in accordance with Item 12 of this Appendix. Basic information as regards time tickets includes, as a minimum, for the purposes of Item 12, hours worked and distribution of time to proper job or account. For material issued and material returned tickets, basic information includes, as a minimum, for the purposes of Item 12, identification of material by code or otherwise, quantity and distribution to proper job or account.

Description of Records

Period to be Retained

Cash books:

(a)

Treasurers' and auditors' general cash books.

3 years.

(M)

(b)

Cash books subsidiary or auxiliary to general cash books except those showing solely collections from customers.

3 years.

(M)

(c)

Subsidiary cash records showing solely customers' collections.

2 years.

(M)

(d)

Other cash records of a memorandum nature.

6 months.

(M)

Voucher registers of similar records showing the account distribution of payments made by voucher

See Items 12(b)(1) and (2).

Vouchers:

(a)

Paid and cancelled vouchers, analysis sheets showing detailed distribution of charges on individual vouchers and other supporting papers.

See Item 12 (b)(1) and (2).

(b)

Original bills and invoices for materials, services, etc., paid by voucher or otherwise.

See Item 12(b)(1) and (2).

(c)

Checks and receipts for payments by voucher or otherwise.

3 years.

(M)

(d)

Authorizations for the payment of specific vouchers.

See Item 12(b)(1) and (2).

(e)

Lists of unaudited bills (accounts payable), lists of vouchers transmitted, memoranda regarding changes in unaudited bills.

Destroy at option.

(M)

(f)

Voucher indexes

6 years.

(M)

Accounts receivable (See Items 42 and 43 for accounts with customers for water service and for merchandise sales.):

(a)

Records, registers, detail ledgers, related indexes thereto and summaries of distribution, including accounts receivable records pertaining to sales of utility plant.

6 years.

(M)

(b)

Accounting department copy of invoices issued and supporting papers which do not accompany the original invoices and authorizations for charges including supporting papers.

3 years.

(M)

(c)

Periodic statements of unsettled accounts and trial balances.

1 year.

(M)

(d)

Schedule of invoices to be issued.

Destroy at option.

(M)

Records of securities owned, in treasury, or with custodians.

6 years.

(M)

Insurance records:

(a)

Records of insurance policies in force, showing coverage, premiums paid and expiration dates.

Destroy at option after expiration of such policies.

(M)

(b)

Records of self-insurance against losses from fire or other casualty, and damages to property of others or to persons.

Destroy at option.

(M)

(c)

Detailed schedules or spread sheets of monthly insurance charges to operating expenses and other accounts.

Destroy at option.

(M)

(d)

Detailed schedules of monthly accruals for self-insurance.

Destroy at option.

(M)

(e)

Insurance policies.

Until liability of insurance company has expired.

(ME)

(f)

Records of amounts recovered from insurance companies in connection with losses and of claims against insurance companies, including reports of losses and supporting papers.

1 year after settlement or recovery.

(M)

(g)

Inspectors' reports and records of condition of property.

1 year after supersedure.

(ME)

(h)

Reports of minor losses not covered by insurance or less than minimum amount collectable.

Destroy at option.

(M)

(i)

Insurance maps of property and structures erected thereon.

Until superseded or property is disposed of.

(ME)

(j)

Records and statements relating to insurance requirements.

Destroy at option.

(M)

Tax Records:

(a)

Copy of schedules, returns and supporting working papers to taxing authorities and records of appeals:

(1)

Federal income, excess profits, undistributed income, and capital stock taxes.

10 years after settlement.

(ME)

(2)

State income taxes and state or local property taxes.

10 years after settlement.

(ME)

(3)

Other taxes.

10 years after settlement.

(ME)

(4)

Schedule of allocation of consolidated federal income taxes to subsidiary companies.

10 years after allocation.

(ME)

(5)

Records of annual determinations of deferred taxes on income, annual determinations of accounting adjustments for "reserve deferrals" of deferred taxes on income together with basic computations and records of annual plant additions and retirements and adjustments on which deferred tax accounting entries are based. (See NOTE 6.)

6 years after absorption of deferred credits.

(ME)

(b)

Tax bills from taxing authorities and receipts for payment.

See Item 12(b)(1) and (2).

(c)

Summaries of taxes paid by classes of taxes and by location.

6 years.

(M)

(d)

Summaries of taxes paid by taxing districts.

6 years.

(M)

(e)

Schedules of monthly accruals by classes of taxes and supporting papers showing how estimates of taxes to be paid were determined.

Destroy at option.

(M)

(f)

Restatements of schedules of taxes paid after giving effect to refunds and additional assessments.

6 years.

(M)

NOTE 6

For the purposes of this Part, "deferred taxes" and "deferred tax accounting" embrace provision for "future taxes on income," "prepaid taxes on income," or any other accounting procedure which attributes a tax on income to a year or years other than that of the specific year's tax return determining the tax liability.

Description of Records

Period to be Retained

Accountants' and auditors' reports:

(a)

Reports of examinations and audits by accountants and auditors not in the regular employ of the utility. (Including reports of public accounting firms and Commission accountants.)

25 years.

(M-10)

(b)

Internal audit reports and working papers.

3 years.

(M)

Tabulating machine and automatic data processing records (not including billing machine records):

(a)

Printed sheets or tapes showing the details and summaries of accounting data indicated on punched cards or tapes.

See Item 12(b)(1) and (2).

(b)

Punched cards or tapes including instructions and wiring diagrams used in assembling figures to be posted to an account.

Destroy at option if printed sheets or tapes are preserved; otherwise, see Item 12(b)(1) and (2).

PLANT AND ACCUMULATED PROVISION FOR

DEPRECIATION, DEPLETION AND AMORTIZATION

Plant ledgers:

(a)

Ledgers of utility plant accounts, including land and other ledgers, showing the cost of utility plant by prime accounts.

Permanently.

(M-20)

(b)

Continuing plant inventory records showing description, location, quantity, cost, etc., of physical units (or items) of utility plant owned.

Until record is superseded or 6 years after plant is retired, provided mortality data are retained as provided in Item 31.

(M)

Construction work in progress ledgers, work orders and supplemental records:

(a)

Construction work in progress ledgers.

See Item 12(b)(1) and (2).

(b)

Work order sheets to which are posted, in summary form or in detail, the entries for labor, materials and other charges for utility plant additions and the entries closing the work orders to utility plant in service at completion.

See Item 12(b)(1) and (2).

(c)

Authorizations for expenditures for additions to utility plant, including memoranda showing the detailed estimates of cost and the bases therefore. (Including original and revised or subsequent authorizations.)

10 years.

(M)

(d)

Requisitions and registers authorizations for utility plant expenditures.

10 years.

(M)

(e)

Completion or performance reports showing comparison between authorized estimates and actual expenditures for utility plant additions.

10 years.

(M)

(f)

Analysis or cost reports showing quantities of materials used, unit costs, number of man-hours, etc., in connection with completed construction projects.

See Item 12(b)(1) and (2).

(g)

Records and reports pertaining to progress of construction work, the order in which jobs are to be completed, and similar records which do not form a basis of entries to the accounts.

Destroy at option.

(M)

(h)

Records of well-drilling logs and well-construction records; geological and photographic maps of field.

Permanently

Retirement work orders and supplemental records:

(a)

Work order sheets to which are posted the entries for removal cost, materials recovered, and credits to utility plant accounts for cost of plant retired (see Item 31).

See Item 12(b)(1) and (2).

(b)

Authorizations for retirement of utility plant, including memoranda showing the basis for determination of cost of plant to be retired and estimates of salvage and removal costs.

10 years.

(M)

(c)

Registers of retirement work orders.

10 years.

(M)

Summary sheets, distribution sheets, reports, statements, and papers directly supporting debits and credits to utility plant accounts not covered by construction or retirement work orders and their supporting records.

25 years after clearance to plant account, provided continuing plant inventory records are maintained; otherwise, 6 years after plant is retired.

(M-15)

Appraisals and valuations made of the utility's property or investments, or of the property or investments of associated companies. (Including all records essential thereto.)

Until appraisal is superseded or property is disposed of.

(M)

Maps or map reproductions showing the location and physical characteristics of production, transmission and distribution systems of the utility.

Until map is superseded or 6 years after plant is retired, provided mortality data are retained as provided in Item 31.

(M)

Engineering records in connection with construction projects:

(a)

Maps or map reproductions, diagrams, profiles, plans, photographs, records of engineering studies, and similar records in connection with proposed construction projects:

(1)

If construction of project results wholly or in part.

Until record is superseded or 1 year after plant is retired, provided mortality data are retained as provided in Item 31.

(M)

(2)

If construction of project does not result.

Destroy at option after completely accounting for expenses incurred.

(M)

Contracts and other agreements relating to utility plant:

(a)

Contracts or agreements relating to acquisition, sale, or other disposition of operating units or system of utility plant.

Permanently.

(M-15)

(b)

Contracts or agreements relating to services performed in connection with construction or removal of utility plant (including contracts for the construction of plant by others for the utility, and for supervision and engineering relating to construction work).

6 years after plant is retired.

(M-15)

(c)

Contracts or agreements relating to maintenance of plant.

6 years after termination or cancellation of contract or agreement.

(ME)

Records pertaining to reclassification of utility plant accounts to conform to prescribed Uniform System Accounts, including supporting papers showing the bases for such reclassification.

See Item 12(b)(1).

Records supporting computations of depreciation, depletion and amortization expense of utility plant, including accumulated provisions therefore, and such data as life and salvage studies.

See Item 12(b)(1) and (2).

TREASURY

Statements of working funds and deposits:

(a)

Summaries and periodic statements of cash balances on hand and with depositories.

Destroy at option after funds have been returned or accounted for.

(M)

(b)

Statements of managers' and agents' cash balances on hand and with depositories.

Destroy at option after funds have been returned or accounted for.

(M)

(c)

Authorizations for and statements of transfer of funds from one depository to another.

Destroy at option after funds have been returned or accounted for.

(M)

(d)

Requisitions and receipts for funds furnished managers, agents and others.

Destroy at option after funds have been returned or accounted for.

(M)

(e)

Records of fidelity bonds of employees and others responsible for funds of the utility.

Until liability of bonding company has expired.

(M)

Records of deposits with banks and others:

(a)

Bank deposit books.

1 year.

(M)

(b)

Copy of bank deposit slips.

1 year.

(M)

(c)

Advice of deposits made when information thereon is shown on other records which are retained.

Destroy at option.

(M)

(d)

Statements from depositories showing the details of funds received, disbursed, transferred, and balances on deposit.

Destroy at option.

(M)

(e)

Bank reconcilement papers.

1 year.

(M)

(f)

Statements from banks of interest credits.

1 year.

(M)

(g)

Check stubs, registers or other records of checks issued.

3 years.

(M)

(h)

Correspondence and memoranda relating to the stopping of payment of bank checks and to the issuance of duplicate checks.

Destroy at option.

(M)

Records of receipts and disbursements:

(a)

Daily or other periodic statements of receipts or disbursements of funds.

2 years.

(M)

(b)

Records or periodic statements of outstanding vouchers, checks, drafts, etc., issued and not presented.

2 years.

(M)

(c)

Reports showing working funds transactions and summaries thereof.

Destroy at option.

(M)

(d)

Reports of revenue collections by field cashiers, pay stations, etc.

Destroy at option.

(M)

REVENUE ACCOUNTING AND COLLECTING

Customers' service applications and contracts:

(a)

Applications for water service for which contracts have been executed.

Destroy at option.

(M)

(b)

Applications for water service used in lieu of contacts.

1 year.

(M)

(c)

Contracts and card files or other records thereof with customers for water service. (See also Item 9(b).)

1 year after expiration or cancellation.

(ME)

(d)

Applications for water service which were withdrawn by applicant or not granted by the utility.

1 year.

(M)

(e)

Contracts for the lease of equipment to customers, including receipts for same.

1 year after expiration or cancellation.

(M)

(f)

Applications and contracts for extension of facilities covered by refundable deposits or guarantees of revenue, also records pertaining to such contracts.

1 year after entire amount is refunded.

(M)

(g)

Applications and contracts for extension of facilities for which donations or contributions are made by customers or others.

Permanently.

(M-15)

Rate schedules:

Official file copy of published rate sheets and schedules for water service.

6 years after supersedure, suspension or expiration.

(ME)

Customers' guarantee deposits:

(a)

Customers' deposit ledgers or card records.

6 years after refund.

(ME)

(b)

Customers' deposit certificate books.

6 years after refund.

(ME)

(c)

Receipts for customers' deposits refunded.

6 years after refund.

(ME)

(d)

Receipts for interest on customers' deposits.

6 years after refund.

(ME)

(e)

Records of customers' deposits unclaimed.

7 years.

(M)

Meter reading sheets and records:

(a)

Superseded meter reading sheets.

Destroy at option if data are recorded on customers' ledger and retained as provided in Item 42(a) and (b); otherwise, 2 years.

(M)

(b)

Superseded indexes to meter books.

Ditto

(c)

Meter reread sheets (special readings to check high or low consumption).

Ditto

(d)

Customers' reading cards.

Destroy at option if data are recorded on customers' ledger and retained as provided in 42(a) and (b); otherwise, 2 years.

(M)

(e)

Meter reading documents used in lieu of meter reading sheets.

Ditto.

(f)

Connection and disconnection orders.

1 year.

(M)

Maximum demand charts and demand meter record cards.

2 years, except where charts are exchanged with the customer and the basic chart information is transferred to another record the charts need only be retained 1 year provided the record containing the basic data is retained 2 years.

(M)

Miscellaneous billing data:

(a)

Billing department's copy of contracts with customers (in addition to contracts in general file).

Destroy at option.

(M)

(b)

Service and inspection orders on which customers are charged and sundry charge advices.

1 year.

(M)

(c)

Authorizations for charges under water service contracts.

1 year after expiration of contract.

(ME)

(d)

Standard billing sheets or schedules (showing computed bills of varying consumption according to rates).

Destroy at option.

(M)

Revenue summaries:

(a)

Summaries of monthly operating revenues according to classes of service of entire water utility.

3 years.

(M)

(b)

Summaries of monthly operating revenues according to classes of service by towns, districts or divisions. (Including summaries of forfeited discounts and penalties.)

3 years.

(M)

Customers' ledgers and other records used in lieu thereof:

(a)

Customers' ledgers.

2 years.

(M)

(b)

Records used in lieu of customers' ledgers, such as bill summaries, registers, bill stubs, meter reading books, etc.

2 years.

(M)

(c)

Copy of large bills:

(1)

If details are transcribed to ledgers covered by Item 42(a) above.

Destroy at option.

(M)

(2)

If details are not transcribed to ledgers.

2 years.

(M)

(d)

Trial balances of ledgers referred to above.

1 year.

(M)

(e)

Indexes to customers' accounts.

2 years.

(M)

(f)

Change of address notices from customers.

Destroy at option after changes are recorded.

(M)

(g)

Cards and other records relating to forfeited discounts.

2 years.

(M)

Merchandise sales – accounting and collecting:

(a)

Contracts or sales agreements with customers and others for the sale or lease of merchandise.

1 year after expiration or cancellation.

(M)

(b)

Merchandise sales tickets and charge slips for work done.

Destroy at option.

(M)

(c)

Merchandise sales journals or registers and summaries of sales.

2 years.

(M)

(d)

Merchandise ledgers, installment records, and indexes thereto.

1 year after completion of payment.

(ME)

(e)

Merchandise sales return and adjustment tickets.

Destroy at option.

(M)

(f)

Cashiers' stubs for merchandise collections.

6 months.

(M)

(g)

Cashiers' periodic reports and statements of collections on merchandise accounts.

1 year.

(M)

(h)

Records of monthly statements to customers

Destroy at option.

(M)

(i)

Reports relating to status of merchandise accounts receivable.

1 year.

(M)

(j)

Job orders and supporting details of charges to customers for work done.

1 year.

(M)

(k)

Trial balances of merchandise ledgers.

1 year.

(M)

Collection reports and records:

(a)

Periodic reports, lists and summaries of collections of operating revenues by collectors, agents and general, local, divisional or district offices. (See Item 34(d).)

Destroy at option.

(M)

(b)

Bill stubs, copy of bills, collection slips and other records pertaining to collections, summarized or detailed in daily or periodic cash reports.

6 months.

(M)

(c)

Memorandum records of remittances from local or branch offices. (See Item 33 which pertains to all bank accounts, whether at general, local, divisional or district offices.)

1 year.

(M)

Customers' account adjustments:

(a)

Detailed records pertaining to adjustments of customers' accounts for overcharges, undercharges, and other errors, results of which have been transcribed to other records.

1 year.

(M)

(b)

Detailed records of high-bill complaints whether or not resulting in adjustments to customers' accounts.

1 year.

(M)

Uncollectible accounts and customers' credit records:

(a)

Records of ratings, credit classifications, and investigations of customers.

Destroy at option.

(M)

(b)

Ledger accounts and supporting details of customers' accounts considered to be uncollectible.

For period legally collectible.

(M)

(c)

Reports and statements showing age and status of customer's accounts.

1 year.

(M)

(d)

Data on unpaid final bills.

1 year.

(M)

(e)

Authorizations for writing off customers' accounts.

3 years.

(M)

PAYROLL AND PERSONNEL RECORDS

Payroll Records:

(a)

Payroll sheets or registers of payments of salaries and wages to individual officers and employees. (See Item 47(k), below, for pension or annuity payrolls, and Item 23(b) for construction payrolls.)

4 years.

(M)

(b)

Records showing the distribution of salaries and wages paid to officers and employees for each payroll period and summaries or recapitulation statements of such distribution.

See Item 12(b)(1) and (2).

(c)

Time tickets, time sheets, time books, time cards, workmen's reports and other records showing hours worked, description of work, and accounts to be charged.

See Item 12(b)(1) and (2).

(d)

Payroll checks, receipts for wages paid in cash, and other evidences of payment for services rendered by employees.

1 year.

(M)

(e)

Receipts for payrolls and pay checks delivered to paymasters or other employees for distribution.

Destroy at option.

(M)

(f)

Applications and authorizations for changes in wage and salary rates, summaries and reports of changes in payrolls, and similar records.

3 years.

(M)

(g)

Applications for payroll changes not authorized.

Destroy at option.

(M)

(h)

Payroll authorizations and records of authorized positions.

3 years.

(M)

(i)

Records of authorizations for deductions from payroll.

1 year after expiration or supersedure.

(ME)

(j)

Comparative or analytical statements of payrolls.

Destroy at option.

(M)

(k)

Pension or annuity payrolls.

4 years.

(M)

(l)

Pension or annuity pay checks.

1 year.

(M)

(m)

Employee's individual earnings record.

4 years.

(M)

Assignments and wage deduction orders:

(a)

Record of assignments and wage deduction orders, including files of orders, notices, etc., pertaining thereto.

Destroy at option.

(M)

(b)

Minor's salary releases.

Destroy at option.

(M)

Personnel records:

(a)

Employee's service records, length of service, and other pertinent data.

3 years after termination of employment.

(ME)

(b)

Applications for employment, requests for medical examination, medical examiner's report, photographs, and other identification records and other miscellaneous records pertaining to the hiring of employees.

Destroy at option.

(M)

Employees' welfare and pension records:

(a)

Records pertaining to costs of employees' recreational, educational, hospital benefit, accident prevention, and similar activities.

3 years.

(M)

(b)

Detailed records showing computations of accruals for pension liabilities.

25 years.

(M-3)

Instructions to employees and others:

(a)

Bulletins or memoranda of general instructions issued by the utility to employees pertaining to changes in accounting, engineering, operating, maintenance and construction policies, methods and procedures.

6 years after expiration or supersedure.

(ME)

(b)

Notices to employees on matters of discipline, deportment, and other similar subjects.

Destroy at option.

(M)

Organization diagrams and charts.

Destroy at option.

(M)

PURCHASES AND STORES

Purchases:

(a)

Advices or requisitions from storekeeper and others for the purchase of materials and supplies or services.

Destroy at option.

(M)

(b)

Bids received from vendors in connection with the purchase of materials and supplies.

3 years.

(M)

(c)

Purchase orders and specifications of materials ordered.

3 years.

(M)

(d)

Contracts for the purchase of materials and supplies:

(1)

Contracts for materials directly charged to plant accounts.

See Item 12(b)(1).

(2)

Contracts for other material.

See Item 12(b)(2).

(e)

Purchasing department copy of invoices for materials and supplies.

Destroy at option.

(M)

(f)

Registers or similar records of invoices.

3 years.

(M)

(g)

Price records or indexes of purchases.

Destroy at option.

(M)

(h)

Advices from vendors acknowledging receipt of orders for materials and supplies, notices of shipment, packing slips and copy of bills of lading.

Destroy at option.

(M)

(i)

Receipts or delivery tickets issued for materials and supplies received in installments and subsequently surrendered with and in support of invoices or bills covering complete purchases.

Destroy at option.

(M)

(j)

Demurrage or car records showing periods freight cars as held on company sidings.

Destroy at option.

(M)

(k)

Copy of notices to vendors for materials and supplies returned for credit or repair.

Destroy at option.

(M)

(l)

Lists or records of invoices transmitted to or from storekeepers.

Destroy at option.

(M)

(m)

Records and reports used for checking and tracing materials and supplies covered by invoices provided for in Item 53(e) above.

Destroy at option.

(M)

Material ledgers:

(a)

Ledger sheets and card records of materials and supplies received, issued, and on hand.

3 years, except that material account distributions are to be preserved in accordance with Item 12(b)(1) and (2).

(M)

(b)

Statements of materials and supplies on hand, per ledgers.

3 years.

(M)

Materials and supplies received and issued:

(a)

Records and reports pertaining to receipt of materials and supplies.

3 years.

(M)

(b)

Records of inspecting and testing materials and supplies.

Destroy at option.

(M)

(c)

Records showing the detailed distribution of materials and supplies issued during accounting periods.

See Item 12(b)(1) and (2).

(d)

Material disbursement tickets showing quantities, unit prices, and accounts to be charged for materials and supplies issued from stores for use.

See Item 12(b)(1) and (2).

(e)

Materials returned credit slips, showing details of materials returned to stock.

See Item 12 (b)(1) and (2).

(f)

Requisitions and receipts for materials and supplies issued, the details of the issue being set forth in the material disbursement tickets.

Destroy at option.

(M)

(g)

Records and reports of materials and supplies transferred from one department, storeroom or division to another.

Destroy at option.

(M)

(h)

Records and reports of materials recovered and returned to stock if transcribed to records covered by Item 55(c) above.

Destroy at option.

(M)

(i)

Records and reports of materials and supplies issued to individuals or gangs of employees to be accounted for when used or returned to stock.

Destroy at option after being accounted for.

(M)

(j)

Minor records and reports pertaining to materials and supplies not involving costs or final disposition, such as reports of unfilled requisitions, authorizations for additions to stock and similar records; also, storeroom copy of purchase orders and price records, other copies being retained in files of purchasing department.

Destroy at option.

(M)

Records of sales of scrap and materials and supplies:

(a)

Authorizations for sale of scrap and materials and supplies.

3 years.

(M)

(b)

Contracts for sale of scrap and materials and supplies.

3 years.

(M)

(c)

Memoranda pertaining to sale of scrap and materials and supplies.

Destroy at option.

(M)

Inventories of materials and supplies:

(a)

General inventories of materials and supplies on hand with records of adjustments of accounts required to bring stores records into agreement with physical inventories.

3 years.

(M)

(b)

Stock cards, inventory cards, and other detailed records pertaining to the taking of inventories if abstracted into records covered by Item 57(a) above.

Destroy at option.

(M)

(c)

Minor inventories of materials and supplies on hand if not reflected in adjustments of accounts.

Destroy at option.

(M)

OPERATIONS

Production – Water supply purification and pumping:

(a)

Record of water supplied to distribution system, by source.

3 years.

(M)

(b)

Boiler room, condenser room, turbine room, and pump room logs, including supporting data.

3 years.

(M)

(c)

Boiler room and turbine room reports of equipment in service and performance.

3 years.

(M)

(d)

Equipment failure report.

3 years.

(M)

(e)

Pumping output logs with supporting data.

3 years.

(M)

(f)

Station output reports.

3 years.

(M)

(g)

Oil and waste reports.

3 years.

(M)

(h)

Coal and water logs.

3 years.

(M)

(i)

Gage-reading reports.

3 years.

(M)

(j)

Recording instrument charts.

3 years, except that where the basic chart information is transferred to another record, the charts need only be retained one year provided the record containing the basic data is retained 3 years.

(M)

Transmission and distribution – Water:

(a)

Operator's daily logs and reports of operation.

3 years.

(M)

(b)

Equipment logs and records.

3 years.

(M)

(c)

Apparatus failure reports.

3 years.

(M)

(d)

Reports on inspections and repairs of all street openings.

3 years.

(M)

(e)

Customer meter history records:

(1)

Customer meter test records.

2 years.

(M)

(2)

Records of meter location, including date of installation.

Until superseded.

(M)

(3)

Meter repair records.

2 years.

(M)

(4)

Records of meter type and capacity.

For the life of the meter.

(M)

(5)

Other meter history record data such as purchase date, source, final disposition, etc.

Destroy at option provided mortality data are retained as provided in Item 31.

(M)

(f)

Meter shop reports (periodic reports summarizing tests, repairs, etc.

3 years.

(M)

(g)

Pipelines, structures, equipment and other history records.

For life of equipment.

(M)

Not applicable.

Customers' service:

(a)

Reports of inspecting and testing on customer's premises.

3 years.

(M)

(b)

Records and reports of customers' service complaints.

3 years.

(M)

(c)

Survey of customers' premises to determine type of service and equipment to be installed.

Destroy at option.

(M)

(d)

Records of installed customers' appliances.

Destroy at option.

(M)

Records of auxiliary and other operations:

Records of operations other than water utility operations.

For the same periods as prescribed in this Part for similar records pertaining to water operations.

STATISTICS

Statistics and Miscellaneous:

(a)

Periodic financial, operating and statistical reports regularly prepared in the course of business for internal administrative or operating purposes (and not used as the basis for entries to the accounts of the utility) to show the results of water operations and the financial condition of the utility.

3 years.

(M)

(b)

All other statistical reports (not covered elsewhere in this Part) prepared for internal administrative or operating purposes only and not used as the basis for entries to the accounts of the utility.

Destroy at option.

(M)

Reports to stockholders:

(a)

Annual reports or statements to stockholders and essential supporting papers.

Permanently.

(b)

Written acknowledgments of receipts of reports to stockholders and written requests for copies of such reports.

Destroy at option.

(M)

Reports to Federal and State regulatory commissions:

(a)

Annual financial, operating and statistical reports and essential supporting papers.

Permanently.

(b)

Monthly and quarterly reports of operating revenues, expenses and statistics and essential supporting papers.

3 years after current year.

(M)

(c)

Special or periodic reports and essential supporting papers on the following subjects:

(1)

Transactions with associated companies.

3 years.

(M)

(2)

Budgets of expenditures.

3 years.

(M)

(3)

Accidents.

3 years.

(M)

(4)

Employees and wages.

3 years.

(M)

(5)

Loans to officers and employees.

3 years after fully paid.

(ME)

(6)

Issues of securities.

Until all securities covered are retired.

(M)

(7)

Purchases and sales of water properties.

Permanently

(M)

(8)

Service interruptions.

6 years.

(M)

Tabulating cards, tapes, etc., used only in compilation of statistics, when the results are transcribed to other records covered by this Part. (See Item 21.)

Destroy at option after appropriate summaries have been made.

(M)

MISCELLANEOUS

Maintenance work orders and job orders:

(a)

Authorizations for expenditures for maintenance work to be covered by work orders, including memoranda showing the estimates of costs to be incurred.

3 years.

(M)

(b)

Work order sheets to which are posted in detail the entries for labor, material and other changes in connection with maintenance and other work pertaining to the utility's operations.

3 years.

(M)

(c)

Summaries of expenditures on maintenance work orders and job orders and clearances to operating and other accounts (exclusive of plant accounts).

3 years.

(M)

Budgets and other forecasts of estimated future income, receipts and expenditures in connection with financing, construction, operations, and acquisitions or dispositions of properties or investments by the utility and its associated companies, prepared for internal administrative or operating purposes, including revisions of such estimates and memoranda showing reasons for revisions; also records showing comparison of actual income and receipts and expenditures with estimates.

Destroy at option.

(M)

Injuries and damages:

(a)

Claim registers, card or book indexes and similar records in connection with claims presented against the utility in connection with accidents resulting in damage to the property of others or personal injuries.

2 years after settlement.

(M)

(b)

Papers, reports, statements of witnesses, etc., necessary to support or rejection of individual claims against the utility.

2 years after settlement.

(M)

(c)

Other papers, reports or statements pertaining to accidents, resulting in property damages or personal injuries, not necessary to the support or rejection of claims.

Destroy at option.

(M)

(d)

Detailed schedules or spread sheets of payments to others for personal injuries or for property damages.

2 years after settlement.

(M)

(e)

Detailed schedules of periodic accruals to reserves for injuries and damages or for self-insurance.

Destroy at option.

(M)

Correspondence:

(a)

Correspondence and indexes thereto relating to subjects covered by other items of this Part.

For the period prescribed for the item to which it relates where necessary to a proper explanation of same; otherwise, destroy at option.

(M)

(b)

Stenographers' notebooks and dictaphone or other mechanical device records.

Destroy at option.

(M)

(c)

Mailing lists of prospects for appliance sales, securities, etc.

Destroy at option.

(M)

Legal opinions and advice, pleadings, briefs, etc., relating to judicial proceedings; information furnished pursuant to subpoena or other legal requirements; copy of applications, complaints, etc., and other legal papers in proceedings before regulatory, taxing and other governmental authorities.

For the period prescribed for the item to which it relates.

Other miscellaneous records:

(a)

Reports of unclaimed items such as customers' deposits, employees' wages, dividends, etc., paid to the State of Illinois.

3 years.

(M)

(b)

Copy of advertisements by the utility in behalf of itself or any associated company in newspapers, magazines and other publications including records thereof. (Excluding advertising of product, appliances, employment opportunities, services, territory, routine notices and invitations for bids for securities, all of which may be destroyed at option.)

3 years.

(M)

(c)

Receipts and records pertaining to delivery of articles to employees, such as badges, keys and material receipt books.

Destroy at option.

(M)

(d)

Records of building space occupied by various departments of the utility.

Destroy at option.

(M)

(e)

Indexes of forms used by the utility.

Destroy at option.

(M)

(f)

Transmittal lists or forms used for indicating papers and records forwarded from one department to another, provided such lists do not contain data affecting the accounts of the utility.

Destroy at option.

(M)

Records of predecessors and former associates.

For the same periods as prescribed elsewhere in this Part for similar records of the utility, except that all such records may be destroyed at option after:

(a) Records of utility plant acquired have been established.

(b) Original cost of the acquired plant has been unconditionally approved by the Commission.

(c) Acquisition adjustment entries, including proposed or required amortizations, have been approved by the Commission.

Duplicate accounts, records and memoranda:

Duplicates, either in whole or in part, of accounts, forms, reports, correspondence and other records listed herein, when all significant information on the duplicate is shown on the original or other copy or on other records retained for the period prescribed in this Part.

Destroy at option.

(M)

Part 650 Uniform System of Accounts for Sewer Utilities

83 Ill. Adm. Code 650.10 Adoption of Uniform System of Accounts by Reference

The Illinois Commerce Commission ("Commission") adopts the Uniform System of Accounts for Class A Wastewater Utilities (1996) of the National Association of Regulatory Utility Commissioners ("NARUC") as its uniform system of accounts for sewer utilities, subject to the exceptions set forth in Subpart B of this Part. No incorporation in this Part incorporates any later amendment or edition.

History

• Source: Amended at 22 Ill. Reg. 11722, effective July 1, 1998

83 Ill. Adm. Code 650.100 Accounting Instruction 1

Accounting Instruction 1, "General – Classification of Utilities," is deleted and replaced by the following:

"A. For the purpose of applying the system of accounts prescribed by the Commission, sewer utilities are divided into two classes, as follows:

Class A – Utilities having annual sewer operating revenues of $1,000,000 or more.

Class B – Utilities having annual sewer operating revenues of less than $1,000,000.

B. This system of accounts applies to Class A utilities. Class B utilities shall keep all the accounts of this system of accounts applicable to their affairs. Class B utilities may, however, keep accounts for operating revenues and operating expenses under the accounts of the condensed classifications provided by this Part. (See Accounting Instruction 40.)

C. The class to which any utility belongs shall originally be determined by the average of its annual sewer operating revenue for the last three consecutive years. Subsequent changes in classification shall be made when the annual sewer operating revenues for each of the three immediately preceding years shall exceed $1,000,000 on a stand alone basis of the annual water and sewer operating revenues.

D. Class B utilities desiring more detailed accounting may adopt the accounts prescribed for Class A utilities. Class B utilities are not required to comply with more detailed accounts than what otherwise may be either case.

E. The terms "wastewater" and "sewer" refer to the same utility service and can be used interchangeably within this system of accounts."

History

• Source: Amended at 22 Ill. Reg. 11722, effective July 1, 1998

83 Ill. Adm. Code 650.105 Accounting Instruction 2

The following is added to Accounting Instruction 2, "General – Records":

"G. The Commission does not commit itself to the approval or acceptance of any item set out in any account for the purpose of fixing rates or in determining other matters before the Commission, such as security issues, original cost determinations, or contract approvals."

83 Ill. Adm. Code 650.110 Accounting Instruction 13

Accounting Instruction 13, "General – Records for Each Plant," shall have the following paragraph added:

"The term 'plant' as here used means each collection plant, system, pumping plant, and treatment and disposal plant in each city or village, or such other operating areas as certified by the Commission."

83 Ill. Adm. Code 650.115 Accounting Instruction 18

In paragraph D of Accounting Instruction 18, the clause "For contributed utility plant, the accumulated depreciation or amortization account shall be charged" is replaced by "For contributed utility plant, the accumulated depreciation or amortization account shall be credited."

History

• Source: Amended at 22 Ill. Reg. 11722, effective July 1, 1998

83 Ill. Adm. Code 650.120 Accounting Instruction 19

a) The Note in Item 3 of Accounting Instruction 19, Utility Plant – Components of Construction Cost, is revised to state:

"Note: - The cost of individual items of equipment of small value or of short life, including portable tools and implements, shall not be charged to utility plant accounts unless the correctness of the accounting therefor is verified by current inventories. The cost shall be charged to the appropriate operating expense or clearing accounts, according to the use of such items, or, if such items are consumed directly in construction work, the cost shall be included as part of the cost of the construction unit."

b) In Accounting Instruction 19, "Utility Plant – Components of Construction Cost," Item 17 is deleted (except for the note) and replaced with the following:

" 'Allowance for funds used during construction' ('AFUDC') includes the net cost for the period of construction of borrowed funds used for construction purposes and a reasonable rate on other funds when so used, not to exceed allowances computed in accordance with the formula prescribed in paragraph (a). No AFUDC charges shall be included in these accounts upon expenditures for construction projects that have been abandoned.

1. The formula and elements for the computation of AFUDC shall be:

A(i) = s(S/W) + d(D/(D + P + C)) (1 - S/W)

A(e) = [1 - S/W] [p(P/(D + P + C)) + c (C/(D + P + C))]

A(1)

=

Gross allowance for borrowed funds used during construction rate

A(e)

=

Allowance for other funds used during construction rate

S

=

Average short term debt

s

=

Short-term debt interest rate

D

=

Short-term debt interest rate

d

=

Long-term debt interest rate

P

=

Preferred stock

p

=

Preferred stock cost rate

C

=

Common equity

p

=

Common equity cost rate

W

=

Average balance in construction work in progress

2. The rates shall be determined annually except that the rates may be adjusted for current year security issues which affect the weighted average of long-term debt and/or preferred stock or when the return on equity awarded a current rate case exceeds the computational return on equity. The balances for long-term debt, preferred stock, and common equity shall be the actual book balances as of the end of the prior year. The cost rates for long-term debt and preferred stock shall be the weighted average cost. The cost rate for common equity shall be the rate granted common equity in the last rate proceeding before the Commission. If such cost rate is not available, the average rate actually earned during the preceding three years shall be used. The short-term debt balances and related cost and the average balance for construction work in progress shall be estimated for the current year with appropriate adjustments as actual data become available."

History

• Source: Amended at 22 Ill. Reg. 11722, effective July 1, 1998

83 Ill. Adm. Code 650.125 Accounting Instruction 21

a) In Paragraph B(5) of Accounting Instruction 21, "Utility Plant - Purchased or Sold," delete "according to the regulatory treatment of the Commission." (See also Accounting Instruction 39(B)(1), paragraph 4, for adjustment to Account 108, "Accumulated Depreciation," if Accounting Instruction 39(B)(2) is applicable.)

b) In Paragraph D of Accounting Instruction 21, add "for approval based on compliance with this Part" to the end of the paragraph.

83 Ill. Adm. Code 650.130 Accounting Instruction 22

In Accounting Instruction 22, "Utility Plant - Accounting for Capital and Operating Leases," delete Paragraph B and replace with the following:

"B. If the amount of the lease is material, then it will be recorded as a capital lease or as an operating lease as may be applicable. Materiality is defined as the magnitude of an omission or misstatement of accounting information that, in light of surrounding circumstances, makes it probable that the judgment of a reasonable person relying on the information would have been changed or influenced by the omission or misstatement."

83 Ill. Adm. Code 650.133 Accounting Instruction 26

Paragraph B of Accounting Instruction 26 is modified to state as follows:

"Exclude from equipment accounts hand and other portable tools, which are likely to be lost or stolen or which have a relatively small value or short life, unless the correctness of the accounting therefor as utility plant is verified by current inventories. Special tools acquired and included in the purchase price of equipment shall be included in the appropriate plant account. Portable drills and similar tool equipment when used in connection with the operation and maintenance of a particular plant or department, such as pumping, transmission and distribution, etc., or in "stores", shall be charged to the plant account appropriate for their use."

History

• Source: Added at 22 Ill. Reg. 11722, effective July 1, 1998

83 Ill. Adm. Code 650.135 Accounting Instruction 29

In Paragraph B of Accounting Instruction 29, "Utility Plant – Transfers of Property," delete the phrase "market value" and replace with "net book cost."

83 Ill. Adm. Code 650.140 Accounting Instruction 30

Paragraph C of Accounting Instruction 30, "Utility Plant – Common Plant shall be restated as follows:

"The utility shall be prepared to show at any time by utility plant accounts (351 to 398) the following:

a) the book cost of common utility plant,

b) the allocation of such cost to the respective departments using the common utility plant, and

c) the basis of the allocation."

History

• Source: Amended at 22 Ill. Reg. 11722, effective July 1, 1998

83 Ill. Adm. Code 650.150 Accounting Instruction 33

a) Delete Paragraphs A and B of Accounting Instruction 33, "Operating Income – Depreciation Expense."

b) Relabel Paragraph C as A, and replace "When the straight-line method is used, the" with "Depreciation."

c) Relabel Paragraph D as B, and add "(See Accounting Instruction 39.)" at the end of the paragraph.

83 Ill. Adm. Code 650.155 Accounting Instruction 34

a) In Paragraph C(1) of Accounting Instruction 34, "Operating Income - Income Taxes," delete "Certain regulatory bodies have required" and replace with "The Commission requires" in the first sentence. In the second sentence of Paragraph C(1), delete "They have" and replace with "It has."

b) In Paragraph C(2) of Accounting Instruction 34, delete the second sentence.

83 Ill. Adm. Code 650.160 Accounting Instruction – Example

Delete the material in the Accounting Instructions labeled "EXAMPLE" following Accounting Instruction 34 and preceding Accounting Instruction 35.

83 Ill. Adm. Code 650.165 Accounting Instruction 37

From Paragraph A of Accounting Instruction 37, "Operating Income-Operation and Maintenance Expense Account Matrix," delete "and B" in the first sentence and "(page 138)" in the second sentence.

History

• Source: Amended at 22 Ill. Reg. 11722, effective July 1, 1998

83 Ill. Adm. Code 650.170 Accounting Instruction 40

a) Class A Utilities shall maintain the accounts listed in subsections (a)(1) through (a)(8) of this Section.

1. Utility Operating Accounts

Account No.

400

Operating Revenues

401

Operating Expenses

403

Depreciation Expenses

406

Amortization of Utility Plant Acquisition Adjustments

407

Amortization Expense

407.1

Amortization of Limited Term Plant

407.2

Amortization of Property Losses

407.3

Amortization of Other Utility Plant

407.4

Amortization of Regulatory Assets

407.5

Amortization of Regulatory Liabilities

408

Taxes Other Than Income

408.10

Utility Regulatory Assessment Fees

408.11

Property Taxes

408.12

Payroll Taxes

408.13

Other Taxes and Licenses

409

Income Taxes

409.10

Federal Income Taxes, Utility Operating Income

409.11

State Income Taxes, Utility Operating Income

409.12

Local Income Taxes, Utility Operating Income

410

Provision for Deferred Income Taxes

410.10

Deferred Federal Income Taxes

410.11

Deferred State Income Taxes

410.12

Deferred Local Income Taxes

411

Provision for Deferred Income Taxes – Credit

411.10

Provision for Deferred Income Taxes – Credit, Utility Operating Income

412

Investment Tax Credits

412.10

Investment Tax Credits Deferred to Future Periods, Utility Operations

412.11

Investment Tax Credits Restored to Operating Income, Utility Operations

413

Income From Utility Plant Leased to Others

414

Gains (Losses) From Disposition of Utility Property

2. Other Income and Deductions

415

Revenues from Merchandising, Jobbing and Contract Work

416

Costs and Expenses of Merchandising, Jobbing and Contract Work

419

Interest and Dividend Income

420

Allowance for Funds Used During Construction

421

Nonutility Income

426

Miscellaneous Nonutility Expenses

3. Taxes Applicable to Other Income and Deductions

408

Taxes Other Than Income

408.20

Taxes

Deductions

409

Income Taxes

409.20

Income Taxes, Other Income and Deductions

410

Provision for Deferred Income Taxes

410.20

Provision for Deferred Income Taxes Other Income and Deductions

411

Provision for Deferred Income Taxes – Credit

411.20

Provision for Deferred Income Taxes – Credit, Other Income and Deductions

412

Investment Tax Credit

412.20

Investment Tax Credits – Net, Nonutility Operations

412.30

Investment Tax Credits Restored to Non-operating Income, Utility Operations

4. Interest Expense

427

Interest Expense

427.1

Interest on Debt to Affiliated Interests

427.2

Interest on Short-Term Debt

427.3

Interest on Long-Term Debt

427.4

Interest on Customer Deposits

427.5

Interest – Other

428

Amortization of Debt Discount and Expense

429

Amortization of Premium on Debt

5. Extraordinary Items

433

Extraordinary Income

434

Extraordinary Deductions

409.30

Income Taxes, Extraordinary Items

6. Retained Earnings Accounts

435

Balance Transferred From Income

436

Appropriations of Retained Earnings

437

Dividends Declared – Preferred Stock

438

Dividends Declared – Common Stock

439

Adjustments to Retained Earnings

7. Sewer Operation Revenue Accounts

A) Sewer Revenues

521

Flat Rate Revenues

521.1

Residential Revenues

521.2

Commercial Revenues

521.3

Industrial Revenues

521.4

Revenue from Public Authorities

521.5

Multiple Family Dwelling Revenues

521.6

Other Revenues

522

Measured Revenues

522.1

Residential Revenues

522.2

Commercial Revenues

522.3

Industrial Revenues

522.4

Revenues from Public Authorities

522.5

Multiple Family Dwelling Revenues

523

Revenues from Public Authorities

524

Revenues from Other Systems

525

Interdepartmental Revenues

B) Other Sewer Revenues

530

Guaranteed Revenues

531

Sale of Sludge

532

Forfeited Discounts

534

Rents from Sewer Property

535

Interdepartmental Rents

536

Other Sewer Revenues

C) Reclaimed Water Sales

540

Flat Rate Reuse Revenues

540.1

Residential Reuse Revenues

540.2

Commercial Reuse Revenues

540.3

Industrial Reuse Revenues

540.4

Reuse Revenues from Public Authorities

540.5

Other Revenues

541

Measured Reuse Revenues

541.1

Residential Reuse Revenues

541.2

Commercial Reuse Revenues

541.3

Industrial Reuse Revenues

541.4

Reuse Revenues from Public Utilities

544

Reuse Revenues from Other Systems

8. Sewer Operation and Maintenance Expense Accounts

701

Salaries and wages – Employees

703

Salaries and wages – Officers, Directors and Majority Stockholders

704

Employee Pensions and Benefits

710

Purchased Sewage Treatment

711

Sludge Removal Expense

715

Purchased Power

716

Fuel for Power Production

718

Chemicals

720

Materials and Supplies

731

Contractual Services – Engineering

732

Contractual Services – Accounting

733

Contractual Services – Legal

734

Contractual Services – Management Fees

735

Contractual Services – Testing

736

Contractual Services – Other

741

Rental of Building/Real Property

742

Rental of Equipment

750

Transportation Expense

756

Insurance – Vehicle

757

Insurance – General Liability

758

Insurance – Workman's Compensation

759

Insurance – Other

760

Advertising Expense

766

Regulatory Commission Expenses – Amortization of Rate Case Expense

767

Regulatory Commission Expenses – Other

770

Bad Debt – Expense

775

Miscellaneous Expenses

b) Class B utilities shall maintain the accounts listed in subsections (b)(1) through (b)(8) of this Section.

1. Utility Operating Accounts

Account No.

400

Operating Revenues

401

Operating Expenses

403

Depreciation Expenses

406

Amortization of Utility Plant Acquisition Adjustments

407

Amortization Expense

407.1

Amortization of Limited Term Plant

407.2

Amortization of Property Losses

407.3

Amortization of Other Utility Plant

407.4

Amortization of Regulatory Assets

407.5

Amortization of Regulatory Liabilities

408

Taxes Other Than Income

409

Income Taxes

410

Provision for Deferred Income Taxes

411

Provision for Deferred Income Taxes – Credit

412

Investment Tax Credits

413

Income From Utility Plant Leased to Others

414

Gains (Losses) From Disposition of Utility Property

2. Other Income and Deductions

415

Revenues from Merchandising, Jobbing and Contract Work

416

Costs and Expenses of Merchandising, Jobbing and Contract Work

419

Interest and Dividend Income

420

Allowance for Funds Used During Construction

421

Nonutility Income

426

Miscellaneous Nonutility Expenses

3. Taxes Applicable to Other Income and Deductions

408

Taxes Other Than Income

409

Income Taxes

410

Provision for Deferred Income Taxes

411

Provision for Deferred Income Taxes – Credit

412

Investment Tax Credits

4. Interest Expense

427

Interest Expense

428

Amortization of Debt Discount and Expense

429

Amortization of Premium on Debt

5. Extraordinary Items

433

Extraordinary Income

434

Extraordinary Deduction

409.30

Income Taxes, Extraordinary Items

6. Retained Earnings Accounts

435

Balance Transferred From Income

436

Appropriations of Retained Earnings

437

Dividends Declared – Preferred Stock

438

Dividends Declared – Common Stock

439

Adjustments to Retained Earnings

7. Sewer Operation Revenue Accounts

A) Sewer Revenue

521

Flat Rate Revenue – General Customers

522

Measured Revenues – General Customers

523

Revenues from Public Authorities

524

Revenues from Other Systems

525

Interdepartmental Revenues

B) Other Sewer Revenues

530

Guaranteed Revenues

531

Sale of Sludge

532

Forfeited Discounts

534

Rents and Sewer Property

535

Interdepartmental Rents

536

Other Sewer Revenues

C) Reclaimed Water Sales

540

Flat Rate Reuse Revenues

541

Measured Reuse Revenues

544

Reuse Revenues from Other Systems

8. Sewer Operation and Maintenance Expense Accounts

701

Salaries and Wages

704

Employee Pensions and Benefits

710

Purchased Sewage Treatment

711

Sludge Removal Expense

715

Purchased Power

716

Fuel for Power Production

718

Chemicals

720

Materials and Supplies

731

Contractual Services

741

Rental of Building/Real Property

742

Rental of Equipment

750

Transportation Expense

756

Insurance

760

Advertising Expense

766

Regulatory Commission Expense

770

Bad Debt Expense

775

Miscellaneous Expenses

History

• Source: Amended at 22 Ill. Reg. 11722, effective July 1, 1998

83 Ill. Adm. Code 650.175 Accounting Instruction 39

Add the following material as Accounting Instruction 39, "Transition Rules – Contribution in Aid of Construction":

"A. The transition rules are to govern the accounting for Contributions in Aid of Construction. They are based on the premise that the integrity of the 'Contribution' account was preserved during the period encompassed by the Commission's ratemaking policy of allowance of depreciation expense as a recoverable operation expense on property which was the contra to the 'Contribution' account.

B. The rules provide for recording the impairment of the 'Contribution' account which occurred subsequent to the change in Commission policy of disallowance of depreciation expense on 'contributed property' for ratemaking purposes.

1. Subsidiary records will be maintained for Account 271, 'Contributions in Aid of Construction' and Account 272, 'Accumulated Amortization of Contributions in Aid of Construction.'

Subsidiary accounts of Account 271 shall segregate the Contributions in Aid of Construction recorded prior to the change in ratemaking policy from amounts recorded subsequent thereto.

The subsidiary accounts of Account 272 shall be maintained to provide a segregation of the accumulated amortization charges which relate to or correlate to the 'Contribution' segregated balances.

The 'pre' and 'post' segregation categories will coincide with the effective date of the first definitive Commission order applicable to the subject utility which applies the ratemaking disallowance policy.

2. Utilities that discontinued recording depreciation expense in their books of account subsequent to its disallowance for ratemaking purposes shall record the impairment of the 'Contribution' account for the period from date of disallowance to December 31, 1986 by debit Account 272, 'Accumulated Amortization of Contributions in Aid of Construction' and credit to the appropriate subaccount of Account 108, 'Accumulated Depreciation.'

3. Utilities that continued to record depreciation expense in their books of account subsequent to its disallowance for ratemaking shall record the impairment of the 'Contribution' account by debit to Account 272, 'Accumulated Amortization of Contributions in Aid of Construction' and credit to Account 439, 'Adjustments to Retained Earnings.' It shall cover the period from date of disallowance to December 31, 1986.

4. The amortization of the 'Pre' disallowance balance of Account 271 shall continue until it is fully amortized at which time it shall be written off against its related Account 272 balance.

5. Within six months of the effective date of this System of Accounts (83 Ill. Adm. Code 650), each utility shall submit its proposed journal entries for recording the implementation of the transition rules to the Director of Accounting of the Commission to ascertain whether the utility has complied with Accounting Instruction 39.

6. Should an impairment of the 'Contribution' account have occurred prior to the period covered by the transition rules in this Accounting Instruction, the utility shall submit its proposed journal entries to record such impairment accompanied by a complete explanation to the Director of Accounting for acceptance and approval. The Director of Accounting shall accept and approve the journal entries if an impairment has occurred and if the entries reflect the level of impairment."

History

• Source: Amended at 22 Ill. Reg. 11722, effective July 1, 1998

83 Ill. Adm. Code 650.180 Plant Account Matrix

Delete the Account Matrix of the NARUC Uniform System of Accounts and replace it with the material in TABLE A.

History

• Source: Amended at 22 Ill. Reg. 11722, effective July 1, 1998

83 Ill. Adm. Code 650.185 Expense Accounts Matrix

Delete the Operation and Maintenance Expense Accounts of the NARUC Uniform System of Accounts and replace it with the material in TABLE B.

History

• Source: Amended at 22 Ill. Reg. 11722, effective July 1, 1998

83 Ill. Adm. Code 650.200 Retirement Units Generally

a) A retirement unit is defined as the smallest item of property which, on replacement, is required to be written out of the plant account. Expressed another way, a retirement unit is an item of property which is not replaced through the maintenance accounts.

b) The adoption of a list of retirement units should not be construed as requiring a classification of utility plant in the accounts corresponding to the list of the retirement units. The retirement unit is used for the purpose of distinguishing between items replaced through the plant accounts and those replaced through maintenance and can be used in plant accounting regardless of the classification reflected by the plant accounts. For example, the plant account might show only the total cost of a structure although it may be composed of a number of retirement units.

c) The Retirement Unit Accounts 351 through 398 are to be added to the NARUC Uniform System of Accounts.

83 Ill. Adm. Code 650.204 General Instructions with Respect to Structures and Equipment

a) With respect to structures and equipment, treat as retirement units any item of property which is readily separable from and separately useful from the larger assembly of which it forms a part and which has a life of several years. It is, of course, contemplated that consideration will be given to the cost of an item and that certain items otherwise meeting the above distinction but which cost $100 or less would not be considered a retirement unit (see Note at Accounting Instruction 19(3)).

b) Treat, also, as retirement units portions of structures or equipment replaced in cases where the replacement operates to extend the life of the structure or equipment or where itis necessary to record the replacement in the plant accounts in order that the records may, as nearly as practicable, show the cost of the structure or equipment as it actually exists.

c) Wherever appropriate, the retirement of any unit of property in the structures or equipment accounts shall include all costs of associated items which pertain solely to that unit, such as the costs of foundations; supports, ladders, runways, enclosures, guards; driving mechanisms; indicating, recording and measuring devices with their mountings; starting, control, regulating, protective, and safety devices; switchboards; special lighting conduits and wiring; pipes; ducts; spouts; chutes; hoppers; etc.

83 Ill. Adm. Code 650.205 Retirement Unit Instructions

a) The list of retirement units is representative but not necessarily exhaustive. The appearance of a retirement unit under an account warrants the inclusion of the unit in the account mentioned only when the function, character, primary purpose, and text of the account also indicates inclusion inasmuch as the same unit frequently appears in more than one list.

b) The omission of an item from the list in an account or its inclusion in a functional system, does not preclude its treatment as a retirement unit if it costs more than $100 and is not an integral part of a larger retirement unit. The term "integral part" is used in a physical sense rather than a functional sense. For instance, both the pump and the heat exchanger mounted separately in a vaporizing system will be considered retirement units, as contrasted with a packaged unit where both would be considered an integral part of the package.

83 Ill. Adm. Code 650.206 List of General Retirement Units

a) In all accounts where they occur, the following shall be considered a retirement unit if costing more than $100 and not an integral part of the retirement unit specifically listed:

1. Piping;

2. Manholes;

3. Motors and engines;

4. Pumps;

5. Collection sewers;

6. Landscaping, grading of land improvements;

7. Foundation for a unit of equipment, when not an integral part of a building and which is not intended to outlast the equipment;

8. Road, walk, parking lot, etc.;

9. Chemical equipment;

10. Sedimentation equipment;

11. Sludge digestion and filtration equipment;

12. Land fill equipment.

b) In Retirement Unit Accounts 351 through 398, the article "a," "an," or "the," as appropriate, should be read in connection with each listed retirement.

83 Ill. Adm. Code 650.210 Variances

a) The retirement units listed in this Part are prescribed and are to be accounted for in accordance with Accounting Instruction 27.

b) The list of units may be expanded by any sewer utility without authorization from the Commission.

c) If adherence to the list of retirement units contained in this Part would cause a utility undue harddhip, such as the loss of revenue, the utility should file a petition for relief in accordance with the Commission's Rules of Practice, 83 Ill. Adm. Code 200, giving a full disclosure of facts and a suggested modification of the list necessary to avoid the hardship. The Commission will approve a suggested modification if the economic benefits of the modification outweigh the economic cost and the modification does not preclude required reporting.

83 Ill. Adm. Code 650.351 Retirement Unit Account 351 Organization

a) Item

1. Actual cost of obtaining certificates authorizing an enterprise to engage in the public utility business.

2. Fees and expenses for incorporation.

3. Fees and expenses for mergers or consolidations.

4. Office expenses incident to organizing the utility.

5. Stock and minute books and corporate seal.

b) This account shall not include any discounts upon securities issued or assumed; nor shall it include any costs incident to negotiating loans, selling bonds or other evidences of debt, or expenses in connection with the authorization, issuance and sale of capital stock.

c) Exclude from this account and include in the appropriate expense account the cost of preparing and filing papers in connection with the extension of the term of incorporation unless the first organization costs have been written off. Where charges are made to this account for expenses incurred in mergers, consolidations or reorganizations, amounts previously included herein or in similar accounts in the books of the companies concerned shall be excluded from this account.

83 Ill. Adm. Code 650.352 Retirement Unit Account 352 Franchises

Any payments to the federal government, to a state or political subdivision thereof in consideration for franchises, consents, or certificate rights for a specified term of more than one year.

83 Ill. Adm. Code 650.353 Retirement Unit Account 353 Land and Land Rights

a) Any land or land rights used in connection with sewage collection, pumping, treatment and disposal and general plant operation.

b) List

Appraisals prior to closing title

Bulkheads buried, not requiring maintenance or replacement

Condemnation proceedings, including court and counsel costs

Consents and abutting damages, payment for Conveyancers' and notaries' fees

Cost, first, or acquisition including mortgages and other liens assumed (but not subsequent interest thereon)

Cost of dealing with distributees or legatees residing outside of the state or county, such as recording power of attorney, recording will or exemplification of will, recording satisfaction of state tax

Cost of fill to extend bulkhead line over land under water, where riparian rights are held, which is not occasioned by the erection of a structure

Documentary stamps

Fees, commissions, and salaries to brokers, agents and others in connection with the acquisition of the land or land rights

Fees and expenses incurred in the acquisition of rights and grants

Filing satisfaction of mortgage

Labor and expenses in connection with security rights of way, where performed by company employees and company agents

Leases, cost of voiding upon purchase to secure possession of land

Photographs of property at acquisition

Removing, relocating or reconstructing property of others, such as buildings, highways, railroads, bridges, cemeteries, churches, telephone and power lines, etc., in order to acquire possession

Retaining walls unless identified with structures

Sidewalks and curbs constructed by the utility on public property

Special assessments levied by public authorities for public improvements on the basis of benefits for new roads, new bridges, new sewers, new curbing, new pavements and other public improvements, but not taxes levied to provide for the maintenance of such improvements

Surveys in connection with the acquisition, but not amounts paid for topographical surveys and maps where such costs are attributable to structures or plant equipment erected or to be erected or installed on such land

Taxes assumed, accrued to date of transfer of title

Title, examining, clearing, insuring and registering in connection with the acquisition and defending against claims relating to the period prior to the acquisition

83 Ill. Adm. Code 650.354 Retirement Unit Account 354 Structures and Improvements

a) Any applicable unit of structures and improvements used in connection with sewage collection, pumping, treatment and disposal, and general plant operations.

b) List

Architect and engineer plans and specifications including supervision

Boilers, furnaces, piping, wiring, fixtures, and machinery for heating, lighting, signaling, ventilating and air conditioning systems, plumbing, vacuum cleaning systems, incinerator and smoke pipe flues, ect.

Bulkheads, including dredging, riprap fill, piling, decking, concrete fenders, etc., when exposed and subject to maintenance and replacement

Commissions and fees to brokers, agents, architects and others

Conduit (not to be removed) with its contents

Damages to abutting property during construction

Drainage systems

Elevators, cranes, hoists, ect., and the machinery for operating them

Excavation, including shoring, bracing, bridging, refill and disposal of excess excavated material, cofferdams around foundation, pumping water from cofferdam during construction, test borings

Fences and fence curbs (not including protective fences isolating items of equipment which should be charged to the appropriate equipment account)

Fire protection systems when forming a part of a structure

Flagpole

Floor covering (permanently attached)

Foundations and piers for machinery, constructed as a permanent part of a building or other item listed herein

Grading and clearing when directly occasioned by the building of a structure

Intrasite communication system, poles, pole fixtures, wires and cables

Landscaping, laws, shrubbery, etc.

Leases, voiding upon purchase, to secure possession of structures

Lighting fixtures and outside lighting systems

Marquee, permanently attached to building

Painting, first cost

Partitions, including movable

Permanent paving, concrete, brick, flagstone, asphalt, etc., within the property lines

Permits and privileges

Power boards for services to a building

Refrigerating systems for general use

Retaining walls except when identified with land

Roadways

Roofs

Scales, connected to and forming a part of a structure

Sidewalks, culverts, curbs and streets constructed by the utility on its property

Sprinkling systems

Stacks-brick, steel, or concrete when set on foundation forming part of general foundation and steelwork of a building

Steel inspection during construction

Storage facilities constituting a part of a building

Storm doors and windows

Temporary heating during construction (net cost)

Temporary water connection during construction (net cost)

Temporary shanties and other facilities used during construction (net cost)

Topographical maps

Tunnels, intake and discharge when constructed as part of a structure including sluice gates and those constructed to house.

Vaults constructed as part of a building

Watchmen's sheds and clock systems (net cost when used during construction only)

Water and sewer systems, for general use

Water meters and supply system for a building or for general company purposes

Water supply piping, hydrants and wells

Yard surfacing, gravel, conrete, or oil (First cost only)

83 Ill. Adm. Code 650.360 Retirement Unit Account 360 Collection Sewers – Force

Piping used to transfer sewage from low elevation to higher elevation.

83 Ill. Adm. Code 650.361 Retirement Unit Account 361 Collection Sewers – Gravity

a) Items

All gravity collecting sewer

Branch

Interceptor

Lampholes

Lateral including service wye

Manholes

Trunk

b) Manholes shall be included as a separate unit of property.

83 Ill. Adm. Code 650.362 Retirement Unit Account 362 Special Collecting Structures

a) Inverted siphon

b) Any other specially designed structure unusual to sewer systems.

83 Ill. Adm. Code 650.363 Retirement Unit Account 363 Service to Customers

Items

Initial disturbance of pavement

Jointing and jointing material

Manhole or clean-out

Municipal inspection and permits

Protection of street openings

Service connection wye

83 Ill. Adm. Code 650.364 Retirement Unit Account 364 Flow Measuring Devices

Items

Flow measuring and recording equipment

Initial testing for measuring the quantity of sewage

83 Ill. Adm. Code 650.365 Retirement Unit Account 365 Flow Measuring Installation

Items

Floats, connections, flumes, or wires

Special manhole, boxes, or other separate housing

83 Ill. Adm. Code 650.370 Retirement Unit Account 370 Receiving Wells

Items

Any chemical feed apparatus and holding basin associated with the receiving well

Well construction (at pumping stations or any other junction points along the collecting system)

83 Ill. Adm. Code 650.371 Retirement Unit Account 371 Pumping Equipment

Items

Auxiliary equipment for motors and pumps such as oiling systems, cooling systems, condensers, etc.

Electric power lines and switching

Foundations, frames, and bed plates

Hoist units

Motors or engines

Pumps, including settings, gearing, shafting and belting

Sewage piping within station, including valves

83 Ill. Adm. Code 650.380 Retirement Unit Account 380 Treatment and Disposal Equipment

Items

Aeration chambers

Chemical equipment

Imhoff tank

Land fill equipment and appurtenances

Oxidation pond or lagoon

Package mechanical treatment plant

Screen unit

Sedimentation basin

Sedimentation equipment

Sludge digestion equipment

Sludge filtration or dewatering equipment

Sludge system

Trickling filter

83 Ill. Adm. Code 650.381 Retirement Unit Account 381 Plant Sewers

Items

Pipe tunnels or galleries

Unit to unit sections of yard piping

Valves and vaults

83 Ill. Adm. Code 650.382 Retirement Unit Account 382 Outfall Sewer Lines

Items

Any part of sewer line carrying effluent from treatment facility to point of discharge

Headwall or outlet

83 Ill. Adm. Code 650.389 Retirement Unit Account 389 Other Plant and Miscellaneous Equipment

Any item of other intangible, collection system pumping, and treatment and disposal plant not provided for in the foregoing accounts.

83 Ill. Adm. Code 650.390 Retirement Unit Account 390 Office Furniture and Equipment

Each principal item or equipment such as:

Adding or calculating machine (including coin counters)

Blueprint machine

Bookcase (complete)

Cabinet

Chair

Checkwriter

Desk

Dictating machine (recording or reproducing)

Electronic data processing equipment

Photostat machine (including letter press)

Rug or removable floor covering

Safe

Sofa or lounge

Table

Typewriter

Wardrobe

83 Ill. Adm. Code 650.391 Retirement Unit Account 391 Transportation Equipment

a) Each principal item of equipment such as:

Airplane

Automobile

Bicycle

Boat

Dray

Electric vehicle

Motorcycle

Repair car or truck

Tractor

Truck

b) Other type of transportation vehicles not specifically listed above.

83 Ill. Adm. Code 650.392 Retirement Unit Account 392 Store Equipment

Items

Chain falls

Counters

Cranes (Portable)

Elevating and stacking equipment (portable)

Hoists

Lockers

Scales

Shelving

Storage bins

Trucks, hand and power driven

Wheelbarrows

83 Ill. Adm. Code 650.393 Retirement Unit Account 393 Tools, Shop and Garage Equipment

Items

Air compressors

Anvils

Automobile repair shop equipment

Battery charging equipment

Belts, shafts and countershafts

Boilers

Cable pulling equipment

Concrete mixers

Drill presses

Derricks

Electric equipment

Engines

Forges

Furnaces

Foundations and settings specially constructed for and not expected to outlast the equipment for which provided

Gas producers

Gas pumps, oil pumps, and storage tanks

Greasing tools and equipment

Hoists

Ladders

Lathes

Machine tools

Motor driven tools

Motors

Pipe treading and cutting tools

Pneumatic tools

Pumps

Riveters

Smithing equipment

Tool racks

Vises

Welding apparatus

Work benches

83 Ill. Adm. Code 650.394 Retirement Unit Account 394 Laboratory Equipment

a) Each principal item of equipment such as:

Autoclaves

Barometers

Cameras

Centrifuge

Distilling apparatus

Furnaces

Microscopes

Ovens

Pitometers

Rain gauges

Refrigerators

Scales

Sterilizers

Stop watches

Testing machines

Thermometers

Voltmeters

b) Other bacteriological, electric, chemical hydraulic or research equipment not listed in subsection (a).

83 Ill. Adm. Code 650.395 Retirement Unit Account 395 Power Operated Equipment

a) Items

Air Compressor, including driving unit and vehicle

Back filling machines

Boring machines

Bulldozers

Cranes and hoists

Diggers

Engines

Pile drivers

Pipe cleaning machines

Pipe coating or wrapping machines

Tractor – crawler type

Trenches

Other power operated equipment

b) It is intended that this account include only such large units as are generally self-propelled or mounted on moveable equipment.

83 Ill. Adm. Code 650.396 Retirement Unit Account 396 Communication Equipment

Each principal item of equipment such as:

Antenna

Booths

Cables

Distribution boards

Extension cords

Gongs

Handsets, manual and dial

Insulators

Intercommunicating sets

Loading coils

Operators desks

Poles and fixtures used wholly for telephone and telegraph wires

Radio transmitting and receiving sets

Remote control equipment and lines

Sending keys

Storage batteries

Switchboards

Teleautograph circuit connections

Telegraph receiving sets

Telephone and telegraph circuits

Testing instruments

Towers

Underground conduit used wholly for telephone or telegraph wires and cable wires

83 Ill. Adm. Code 650.397 Retirement Unit Account 397 Miscellaneous Equipment

a) Items

Electric signs advertising the corporate name or symbol

Hospitals and infirmary equipment

Kitchen equipment

Radios

Recreation equipment

Restaurant equipment

Operator's cottage furnishings

Soda fountains

Other miscellaneous equipment

b) Miscellaneous equipment of the nature above wherever practical shall be included in the utility plant accounts on a functional basis.

83 Ill. Adm. Code 650.398 Retirement Unit Account 398 Other Tangible Property

Any unit of tangible utility plant which is not provided for elsewhere

83 Ill. Adm. Code 650.1030 Account 103

In Account 103, "Property Held for Future Use," add "Director of Accounting" before "Commission" in Paragraph B.

History

• Source: Amended at 22 Ill. Reg. 11722, effective July 1, 1998

83 Ill. Adm. Code 650.1080 Account 108 (repealed)

History

• Source: Repealed at 22 Ill. Reg. 11722, effective July 1, 1998

83 Ill. Adm. Code 650.1081 Account 108.1

In Paragraph A(4) of Account 108.1, "Accumlated Depreciation of Utility Plant in Service," delete the phrase "if such amortization is recognized by the Commission."

83 Ill. Adm. Code 650.1240 Account 124

In Account 124, "Utility Investments," delete the phrase "for the purpose of insuring adequate sewer service."

83 Ill. Adm. Code 650.1410 Account 141

In Account 141, "Customer Accounts Receivable," delete Paragraph B.

83 Ill. Adm. Code 650.2150 Account 215

In Account 215, "Unappropriated Retained Earnings," add "(See Accounting Instruction 39)" to the last sentence.

83 Ill. Adm. Code 650.2180 Account 218

a) In Note B of Account 218, "Proprietary Capital (for proprietorships and partnerships only)," delete the words "earned surplus" and replace with "retained earnings."

b) Add as Note C: "Amounts payable to the proprietor as just and reasonable compensation for services performed (that level of compensation which would be paid to an equally qualified non-proprietor employee in the same circumstances) shall not be charge to this account but to appropriate operating expense or other accounts."

83 Ill. Adm. Code 650.2710 Account 271

In Account 271, "Contributions in Aid of Construction," add the phrase "(See Accounting Instruction 39)" to the end of Paragraph B.

83 Ill. Adm. Code 650.2720 Account 272

In Paragraph A of Account 272, "Accumulated Amortization of Contributions in Aid of Construction," delete the phrase "if recognized by the Commission" and replace it with "(See Accounting Instruction 39)."

83 Ill. Adm. Code 650.2830 Account 283

In Account 283, "Accumulated Deferred Income Taxes – Other," delete Paragraph E.

83 Ill. Adm. Code 650.3330 Account 333 (repealed)

History

• Source: Repealed at 22 Ill. Reg. 11722, effective July 1, 1998

83 Ill. Adm. Code 650.4030 Account 403

In Paragraph A of Account 403, "Depreciation Expenses," delete the second sentence.

83 Ill. Adm. Code 650.4120 Account 412

In Account 412, "Investment Tax Credits," delete Paragraph B(1) and replace with the following:

"(1) In amortizing the deferred investment tax credits related to property used in utility operations, the annual proportional amount credited to Account 412, 'Investment Tax Credits,' the utility must use Internal Revenue Code Section 46(f)(2) (26 U.S.C.46(f)(2)) treatment in proportional amortization to be credited to subaccount 412.11, 'Investment Tax Credits Restored to Operating Income, Utility Operations.'"

83 Ill. Adm. Code 650.4200 Account 420

In Account 420, "Allowance for Funds Used During Construction," delete the second sentence, retaining the reference to Accounting Instruction 19).

83 Ill. Adm. Code 650.4330 Account 433

In Account 433, "Extraordinary Income" delete the phrase "Upon approval of the regulatory authority."

83 Ill. Adm. Code 650.4340 Account 434

In Account 434, "Extraordinary Deductions," delete the phrase "Upon approval of the Commission."

83 Ill. Adm. Code 650.7600 Account 760

Delete material in Account 760, "Advertising Expenses," and replace with the following:

"This account shall include the cost of labor, materials used and expenses incurred in advertising designed to promote or retain the use of utility service, except advertising the sale of merchandise by the utility. The account shall be maintained so that informational and instructional advertising can be readily ascertained. For expenses related to merchandising, jobbing, and contract work, see Account 416, 'Cost and Expenses of Merchandising, Jobbing, and Contract Work.'"

83 Ill. Adm. Code 650.TABLE A Prescribed Plant Account Matrix

SEWER UTILITY PLANT ACCOUNTS

.1

.2

.3

.4

.5

.6

.7

Intangible Plant

Collection Plant

System Pumping Plant

Treatment and Disposal Plant

Reclaimed Water Treatment Plant

Distribution Plant

General Plant

351

Organization

351.1

352

Franchises

352.1

352.6

353

Land and Land Rights

353.2

353.3

353.4

353.5

353.6

353.7

354

Structures and Improvements

354.2

354.3

354.4

354.5

354.6

354.7

355

Power Generation Equipment

355.2

355.3

355.4

355.5

355.6

360

Collection Sewers – Force

360.2

361

Collection Sewers – Gravity

361.2

362

Special Collecting Structures

362.2

363

Services to Customers

363.2

364

Flow Measuring Devices

364.2

365

Flow Measuring Installation

365.2

366

Reuse Services

366.6

367

Reuse Meters and Meter Installation

367.6

370

Receiving Wells

370.3

371

Pumping Equipment

371.3

371.5

371.6

374

Reuse Distribution Reservoirs

374.5

375

Reuse Transmission & Distribution System

375.6

380

Treatment and Disposal Equipment

380.4

380.5

381

Plant Sewers

381.4

381.5

382

Outfall Sewer Line

382.4

382.5

389

Other Plant and Misc. Equipment

389.1

389.2

389.3

389.4

389.5

389.6

390

Office Furniture and Equipment

390.7

391

Transportation Equipment

391.7

392

Store Equipment

392.7

393

Tools, Shop and Equipment

393.7

394

Laboratory Equipment

394.7

395

Power Operated Equipment

395.7

396

Communication Equipment

396.7

397

Misc. Equipment

397.7

398

Other Tangible Plant

398.7

History

• Source: Amended at 22 Ill. Reg. 11722, effective July 1, 1998

83 Ill. Adm. Code 650.TABLE B Prescribed Expenses Accounts Matrix

SEWER OPERATION AND MAINTENANCE

EXPENSE ACCOUNTS

.1

.2

.3

.4

.5

.6

Collection Expenses Oper.

Collection Expenses Maint.

Pumping Expenses Oper.

Pumping Expenses Maint.

Treatment & Disposal Expenses Oper.

Treatment & Disposal Expenses Maint.

701

Salaries and Wages – Employees

701.1

701.2

701.3

701.4

701.5

701.6

703

Salaries and Wages – Officers and Majority Stockholders

704

Employee Pensions and Benefits

710

Purchases Sewage Treatment

710.5

711

Sludge Removal Expenses

711.5

711.6

715

Purchased Power

715.1

715.3

715.5

716

Fuel for Power Production

716.1

716.3

715.5

718

Chemicals

718.1

718.3

718.4

718.5

720

Material and Supplies

720.1

720.2

720.3

720.4

720.5

720.6

731

Contractual Services – Engineering

731.1

731.2

731.3

731.4

731.5

732

Contractual Services – Accounting

733

Contractual Services – Legal

734

Contractual Services – Management Fees

735

Contractual Services – Testing

736

Contractual Services – Other

736.1

736.2

736.3

736.4

736.5

736.6

741

Rental of Building/Rental Property

741.1

741.2

741.3

741.4

741.5

741.6

742

Rental of Equipment

742.1

742.2

742.3

742.4

742.5

742.6

750

Transportation Expense

750.1

750.2

750.3

750.4

750.5

750.6

756

Insurance – Vehicle

757

Insurance – General Liability

758

Insurance – Workman's Compensation

758.1

758.2

758.3

758.4

758.5

758.6

759

Insurance – Other

760

Advertising Expense

766

Regulatory Commissions – Amortization of Rate Case Expense

767

Regulatory Commission Expenses – Other

770

Bad Debt Expense

775

Miscellaneous Expense

775.1

775.2

775.3

775.4

775.5

775.6

701

Salaries and Wages – Employees

701.8

701.9

701.10

701.11

701.12

703

Salaries and Wages – Officers and Majority Stockholders

703.8

704

Employee Pensions and Benefits

704.8

710

Purchases Sewage Treatment

711

Sludge Removal Expenses

715

Purchased Power

715.7

715.8

715.9

715.11

716

Fuel for Power Production

716.7

716.8

716.9

716.11

718

Chemicals

720

Materials and Supplies

720.7

720.8

720.9

720.10

720.11

720.12

731

Contractual Services – Engineering

731.7

731.8

731.9

731.10

731.11

731.12

732

Contractual Services – Accounting

733

Contractual Services – Legal

734

Contractual Services – Management Fees

735

Contractual Services – Testing

735.9

735.10

735.11

735.12

736

Contractual Services – Other

736.7

736.8

736.9

736.10

736.11

736.12

741

Rental of Building/Rental Property

741.7

741.8

741.9

741.10

741.11

741.12

742

Rental of Equipment

742.7

742.8

742.9

742.10

742.11

742.12

750

Transportation Expense

750.7

750.8

850.9

750.10

750.11

750.12

756

Insurance – Vehicle

757

Insurance – General Liability

758

Insurance – Workman's Compensation

758.7

758.8

758.9

758.10

758.11

758.12

SEWER OPERATION AND MAINTENANCE

EXPENSE ACCOUNTS

.1

.2

.3

.4

.5

.6

Collection Expenses Oper.

Collection Expenses Maint.

Pumping Expenses Oper.

Pumping Expenses Maint.

Treatment & Disposal Expenses Oper.

Treatment & Disposal Expenses Maint.

759

Insurance – Other

759.9

760

Advertising Expense

760.8

766

Regulatory Commissions – Amortization of Rate Case Expense

766.8

767

Regulatory Commission Expenses – Other

767.8

770

Bad Debt Expense

770.7

775

Miscellaneous Expense

775.7

775.8

775.9

775.10

775.11

775.12

History

• Source: Amended at 22 Ill. Reg. 11722, effective July 1, 1998

Chapter I Illinois Commerce Commission

Subchapter e Water and Sewer Utilities

Part 655 Purchased Water and Sewage Treatment Surcharges

83 Ill. Adm. Code 655.10 Applicability

a) A purchased water/sewage treatment surcharge shall be applied to water/sewer bills of customers of water/sewer utilities in the applicable rate zone for utilities having a purchased water/sewage treatment surcharge rider and information sheet in effect and on file with the Illinois Commerce Commission (Commission).

b) A purchased water/sewage treatment surcharge shall be applied, during the effective month, in accordance with the provisions of this Part.

c) Each purchased water/sewage treatment surcharge shall be determined in accordance with Section 655.40 of this Part.

83 Ill. Adm. Code 655.20 Definitions

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

"Base period" means the remaining months in the reconciliation year that includes the effective month.

"Billing unit" means the unit of billing for water billed to the customer by the utility, for example, thousands of gallons or hundreds of cubic feet.

"Commercial customer" means any customer that is not a residential customer or multi-unit residential customer.

"Effective month" means any month during which the water/sewage treatment surcharge shall be in effect.

"Equivalent billing units" means the number of 5/8-inch meters equivalent in flow to a larger meter.

"Information sheet" means a tariff sheet supplemental to the rider filed in accordance with this Part that establishes the initial or modified amount of a purchased water/sewage treatment surcharge.

"Large commercial customer" means a commercial customer with an annual water use of 100,000 gallons or more.

"Multi-unit residential customer" means a dwelling unit used primarily as a residence and located in a master metered building containing more than one such dwelling unit.

"Purchased water/sewage treatment surcharge" means the amount added to a customer's bill in accordance with Section 655.40 of this Part.

"Rate zone" means the service areas to which a particular base rate or purchased water/sewage treatment surcharge applies, but does not include areas that have different base rates or purchased water/sewage treatment surcharges, even though such areas may be served by the utility.

"Reconciliation year" means the calendar year for which actual water and sewage costs and revenues attributable to the purchased water/sewage treatment surcharge are to be reconciled.

"Residential customer" means a customer serviced at an individually metered premises used primarily as a residence.

"Small commercial customer" means a commercial customer with an annual water use below 100,000 gallons.

83 Ill. Adm. Code 655.30 Recoverable Purchased Water/Sewage Treatment Costs

a) Costs recoverable through the purchased water/sewage treatment surcharge shall include the following:

1. The cost of purchased water from an entity other than the utility (including wheeling or delivery charges); and

2. The cost of purchased sewage treatment from an entity other than the utility.

b) Recoverable purchased water/sewage treatment costs shall be offset by the revenues derived from transactions at rates not subject to the purchased water/sewage treatment surcharge to the extent that costs incurred in connection with such transactions are recoverable costs under subsection (a) above. Subsection (a) shall apply to transactions subject to rates contained in tariffs on file with the Commission, in contracts entered into pursuant to such tariffs, and in any other contracts providing for purchased water/sewage treatment.

c) Revenues from penalty charges approved by the Commission that relate to purchased water/sewage treatment shall offset recoverable costs as determined under Section 655.40 of this Part.

d) The determination of costs recoverable from customers through the purchased water/sewage treatment surcharge shall not include water used in, and/or sewage treated for, facilities either owned or leased by the utility.

83 Ill. Adm. Code 655.40 Determination of Purchased Water/Sewage Treatment Surcharge

a) For the recovery of purchased water costs, the water surcharge shall consist of a monthly fixed charge and a variable charge.

1. The monthly fixed charge shall recover costs that do not vary with the quantity of water purchased. Such fixed charges would include items such as depreciation for existing facilities and capital-related costs for new and existing facilities when such costs are billed by the supplier as a fixed monthly or annual amount. If there are no fixed charges from the supplier, all costs shall be recovered as a variable charge.

A) Fixed costs shall be distributed among customers on an equivalent meter basis. A ⅝-inch disk meter shall equal one equivalent billing unit. Equivalent billing units for meters of other sizes shall be based upon the following ratios:

Meter Size

⅝" disk

1.0

¾" disk

1.5

1" disk

2.5

1½" disk

5.0

2" disk

8.0

3" disk

15.0

4" disk

25.0

6" disk

50.0

8" disk

80.0

10" disk

115.0

12" disk

168.0

3" turbine

17.5

4" turbine

30.0

6" turbine

62.5

8" turbine

90.0

10" turbine

145.0

B) The fixed charge shall be calculated using the following formula:

FC

=

FSC + Rf + Of

EBU

Where:

FC

=

Monthly fixed charge per equivalent billing unit to be billed to customers during the base period.

FSC

=

Estimated fixed charge from the supplier during the base period.

Rf

=

Utility-determined reconciliation component for the fixed charge.

Of

=

Commission-ordered adjustment component for the fixed charge.

EBU

=

Estimated equivalent billing units for the base period.

2. The variable charge shall recover costs that vary by the quantity of water purchased plus the reconciliation component and the adjustment component and shall be charged to all customer classes based on the quantity of water used by each customer, regardless of meter size. The variable charge shall be calculated using the following formula:

VC

=

VSC + Rv+ Ov

VBU

Where:

VC

=

Variable charge per variable billing unit to be billed to customers during the base period.

VSC

=

Estimated variable charge from the supplier during the base period.

Rv

=

Utility-determined reconciliation component for the variable charge.

Ov

=

Commission-ordered adjustment component for the variable charge.

VBU

=

Variable billing units for water to be billed to customers during the base period expressed in 1,000 gallon or 100 cubic feet increments.

b) For the recovery of purchased sewage treatment costs, if the utility's cost for purchased sewage treatment does not vary based on the strength of waste treated, the sewage treatment surcharge shall consist of a monthly charge.

1. If all customers are residential, multi-unit residential, or small commercial customers, divide the total expected cost plus the reconciliation component and the adjustment component by the estimated monthly average number of customers for the base period and divide that amount by the number of months in the base period to obtain the monthly charge. For the purposes of subsection (b)(1), each multi-unit residential customer shall be counted as 85% of a residential customer. The charge for purchased sewage treatment will be calculated using the following formula:

SCm

=

PST + R+ O

NC x M

Where:

SCm

=

Monthly charge per residential customer or small commercial customer for purchased sewage treatment to be billed during the base period. (The monthly charge for each multi-unit residential customer shall equal SCm x .85.)

PST

=

Estimated cost of purchased sewage treatment charges from the supplier for the base period.

R

=

Utility-determined reconciliation component.

O

=

Commission-ordered adjustment component.

NC

=

Estimated monthly average number of customers for the base period (each multi-unit residential customer is counted as .85 of one residential customer).

M

=

Number of months in the base period.

2. If the system serves one or more large commercial customers, the sewage treatment surcharge shall be calculated in the following manner.

A) The sewage treatment surcharge for large commercial customers shall be computed by obtaining an average cost of sewage treatment per 1,000 gallons or per 100 cubic feet of water used by all customers. The large commercial customers shall have a minimum monthly bill equal to the residential monthly sewage treatment surcharge as determined under subsection (b)(2)(B). Any over-recovery of revenue resulting from the imposition of the minimum bill to large commercial customers shall result in a reduction of the cost of the large commercial rate so that the total revenue recovered equals the target revenue from large commercial customers.

B) The residential sewage treatment surcharge shall be a flat rate equal to the average cost per 1,000 gallons or per 100 cubic feet of water used multiplied by the total average monthly estimated water usage of the residential customer class divided by the number of residential customers. For purposes of subsection (b)(2), each multi-unit residential customer shall be counted as 85% of a residential customer.

C) The multi-unit residential sewage treatment surcharge shall be equal to the residential sewage treatment surcharge multiplied by .85.

D) The charges for purchased sewage treatment shall be calculated using the following formulae:

SCbu

=

PST + R+ O

BU

CRSCbu

=

SCbu - AMC

RMSC

=

SCbu x RAMU

NCr

Where:

SCbu

=

Average charge for purchased sewage treatment per billing unit of water to be billed to residential and commercial customers during the base period.

PST

=

Estimated cost of purchased sewage treatment charges from the supplier for the base period.

R

=

Utility-determined reconciliation component.

O

=

Commission-ordered adjustment component.

BU

=

Number of billing units to be billed to customers during the base period.

CRSCbu

=

Large commercial rate sewage treatment charge for purchased sewage treatment per billing unit of water to be billed.

AMC

=

Billing adjustment for the large commercial minimum charge.

RMSC

=

Residential monthly sewage treatment charge. (The multi-unit residential monthly sewage treatment charge is equal to RMSC x .85.)

RAMU

=

Total residential average estimated monthly water usage for the base period.

NCr

=

Number of residential and multi-unit residential customers (each multi-unit residential customer being equal to .85 of one residential customer).

c) If the utility's cost varies based on the strength of waste treated, the appropriate formula for determination of the purchased sewage treatment surcharge will be included in the utility's purchased sewage treatment rider.

83 Ill. Adm. Code 655.50 Annual Reconciliation

a) At the time that the utility files its annual reconciliation, the utility shall file a petition pursuant to 83 Ill. Adm. Code 200 seeking approval of its annual reconciliation. The annual reconciliation shall be verified by an officer of the utility.

b) The utility shall provide the following schedules for each surcharge being reconciled:

1. A schedule showing the costs recoverable through the applicable surcharge during the reconciliation year,

2. A schedule showing the revenues arising from the applicable surcharge during the reconciliation year, and

3. A schedule showing the reconciliation components determined by the utility (Rf, Rv, and R, as applicable) to be recovered or refunded throughout the April 1 through December 31 period following the filing of the annual reconciliation. The reconciliation components shall be treated as an addition to, or an offset against, actual purchased water/purchased sewage treatment costs.

A) The calculation of the utility-determined reconciliation components shall include the effects of the reconciliation components and adjustment components from prior reconciliation years that were effective in the year being reconciled.

B) The utility-determined reconciliation components shall include the total of the following items:

i) Refunds, directly billed supplier surcharges, unamortized balances of adjustments in effect as of the utility's implementation date, and other separately designated adjustments;

ii) For the initial reconciliation year, the cumulative difference between actual recoverable purchased water/sewage treatment costs and surcharge recoveries for the period preceding the initial effective month; and

iii) The unamortized portion of any reconciliation components and/or adjustment components included in prior determinations of the purchased water/sewage treatment surcharge.

C) The reconciliation components shall not include costs associated with unaccounted for water or any storm water inflow or infiltration in contravention of an Order of the Commission directing that such costs not be reflected in rates.

D) If a utility determines the need to amortize a positive reconciliation component over a period longer than nine months, the utility must receive authority from the Commission's Manager of the Accounting Department to recover such costs over a longer period. The utility shall make the request in writing to the Manager of the Accounting Department. The Manager of the Accounting Department must approve the request for a longer amortization period in writing. The Manager of the Accounting Department shall consider the dollar amount of the positive reconciliation component and the impact of the positive reconciliation component on customer bills when granting or denying a utility's request for an amortization period longer than nine months.

c) Costs and revenues associated with the purchased water/sewage treatment surcharge shall be subject to adjustment components (Of, Ov, and O, as applicable) as required by an Order of the Commission. Any difference determined by the Commission shall be credited or charged, as appropriate, along with any interest at the effective rates established by the Commission under 83 Ill. Adm. Code 280.70(e)(1). Interest on the adjustment component shall be applied from the end of the reconciliation year until the adjustment component is refunded or charged.

d) The initial reconciliation year shall begin on the effective date of the purchased water/sewage treatment surcharge and end on December 31 of the calendar year in which the surcharge was initiated. Each subsequent reconciliation year shall begin on January 1 and shall end on December 31.

e) The utility will file its annual reconciliation no later than the March 15 following the December 31 end of the reconciliation period. The utility-determined reconciliation component from the annual reconciliation shall become effective on the April 1 following the end of the reconciliation year.

f) When the utility files its annual reconciliation, the utility shall provide two copies of the following items, for each surcharge being reconciled, one copy to the Commission's Manager of the Water Department and one copy to the Commission's Manager of the Accounting Department:

1. Copies of all workpapers pertaining to the reconciliation;

2. Copies of all invoices supporting the costs for the applicable purchased water/sewage treatment surcharge;

3. Copies of the applicable general ledger or equivalent documentation supporting the recovery of the purchased water/sewage treatment surcharge;

4. A worksheet showing an independent calculation of the purchased water/sewage treatment surcharge. For fixed charges, the worksheet shall show the total fixed charge obtained by multiplying the monthly fixed charge by the number of customer months. For variable charges, the worksheet shall show the total variable charge obtained by multiplying the units delivered by the variable charge rate; and

5. A detailed worksheet showing the calculation of any reconciliation component based upon the annual reconciliation and the effect of the reconciliation component amount on the purchased water/sewage treatment surcharge rate.

83 Ill. Adm. Code 655.60 Implementation

a) A utility proposing a purchased water/sewage treatment surcharge under this Part shall file a purchased water/sewage treatment surcharge rider in accordance with the requirements of Section 9-201 of the Act [220 ILCS 5/9-201].

b) The amount of any new or modified purchased water/sewage treatment surcharge shall be shown on an information sheet supplemental to the purchased water/sewage treatment surcharge rider, which shall be filed in accordance with this Section.

c) The utility shall provide supporting documentation and workpapers with the filing of each information sheet.

d) The utility shall file the information sheet and supporting data for the purchased water/sewage treatment surcharge no later than the 20th day of the month preceding the effective month. An information sheet and supporting data filed after that date, but prior to the first day of the effective month, shall be accepted only if it corrects an error or errors from a timely filed information sheet for the same effective date. Any other information sheet and supporting data shall be accepted only if submitted as a special permission request to become effective on less than 45 days' notice under the provisions of Section 9-201(a) of the Act [220 ILCS 5/9-201(a)].

e) The purchased water/sewage treatment surcharge shall be presented as a separate line item on the customer bills.

f) The revenues resulting from each purchased water/sewage treatment surcharge shall be recorded in a separate revenue subaccount.

g) A utility that presently has in place a separate charge for the recovery of purchased water/sewage treatment costs shall, within 180 days after December 19, 2001 (on or before June 17, 2002), file with the Commission tariff sheets proposing to initiate a new purchased water/sewage treatment surcharge rider consistent with this Part and cancel the presently effective separate charge. Such tariff sheets shall reflect the utility's proposal for disposition of reconciliation balances, if any, accrued under the separate charge in effect when the tariff sheets are filed.

h) A utility shall provide notice as required by Section 9-201(a) of the Act after the filing of each information sheet. The utility also shall post notice of such filing in accordance with the requirements of 83 Ill. Adm. Code 255. Unless filed as part of a general rate increase, notice of the filing of a purchased water/sewage treatment surcharge rider also shall be given in the manner required by this subsection for the filing of information sheets.

Part 656 Qualifying Infrastructure Plant Surcharge

83 Ill. Adm. Code 656.10 Applicability

a) The qualifying infrastructure plant surcharge (QIP surcharge) shall be applied to water/sewer bills of customers of water/sewer utilities in the rate zone where qualifying infrastructure plant (QIP) is installed by utilities having an effective QIP surcharge rider and information sheet in effect and on file with the Illinois Commerce Commission (Commission).

b) The purpose of the QIP surcharge is to recover a return on, and depreciation expense related to, the utility's investment in QIP as described in Section 656.40 of this Part. The QIP surcharge rider is authorized by Section 9-220.2 of the Public Utilities Act [220 ILCS 5/9-220.2].

c) Each QIP surcharge percentage shall be determined in accordance with Section 656.60 of this Part.

83 Ill. Adm. Code 656.20 Definitions

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

"Information sheet" means a tariff sheet filed in accordance with this Part to initiate or modify a QIP surcharge percentage.

"Operation year" means the calendar year (or portion thereof) during which a QIP surcharge percentage is applied to customer bills.

"QIP base rate revenues" mean revenues recorded in the certain accounts and their sub-accounts described in 83 Ill. Adm. Code 605, the Uniform System of Accounts for Water Utilities, and 83 Ill. Adm. Code 650, the Uniform System of Accounts for Sewer Utilities. For water utilities, QIP base rate revenues shall include revenues recorded in accounts 460, 461, 462, 464, 465, 466 and 469 as described in 83 Ill. Adm. Code 605. For sewer utilities, QIP base rate revenues shall include revenues recorded in accounts 521, 522, 523, 524 and 530 as described in 83 Ill. Adm. Code 650. QIP base rate revenues, however, shall not include revenues resulting from the QIP surcharge or any revenues attributable to Purchased Water and Sewage Treatment Surcharges developed pursuant to 83 Ill. Adm. Code 655.

"QIP surcharge percentage" is the percentage determined in accordance with Section 656.60 for filing in an information sheet.

"QIP-related costs" or "QIP costs" mean costs that are recoverable through the QIP surcharge percentage as determined in accordance with Sections 656.50 and 656.60.

"Qualifying infrastructure plant surcharge" or "QIP surcharge" means the amount added to a customer bill when the QIP surcharge percentage is applied in accordance with Section 656.60(a).

"Qualifying infrastructure plant" means certain nonrevenue producing eligible plant that is not reflected in the rate base used to establish the utility's base rates and is consistent with the terms of Section 656.40. A nonrevenue producing plant is plant that is not constructed or installed for the purpose of serving a new customer.

"Rate zone" means the entire service area to which a particular base rate applies, but does not include areas that have different base rates even though those areas may be served by the utility.

"Reconciliation year" means the calendar year period for which actual QIP costs and revenues associated with the QIP surcharge are to be reconciled.

"Test year" means the test year period used by the utility in its last rate case for the rate zone as defined in 83 Ill. Adm. Code 287.

History

• Source: Amended at 40 Ill. Reg. 9467, effective July 1, 2016

83 Ill. Adm. Code 656.30 General Requirements

a) The amount of increases billed under the QIP surcharge since the utility's most recent rate order for the rate zone shall not exceed an annual average 2.5% of the QIP base rate revenues, but shall not exceed 3.5% in any given year for the rate zone. The QIP surcharge shall not be applied to any add-on taxes, to any revenues attributable to the Purchased Water and Sewage Treatment Surcharges developed pursuant to 83 Ill. Adm. Code 655, or to any other revenues not recorded in a QIP base rate revenues account as described in Section 656.20.

b) On the effective date of new base rates that provide for the recovery of the costs that had previously been recovered under the QIP surcharge rider, the NetQIP component of the QIP surcharge percentage for the applicable rate zone shall not include costs associated with qualifying infrastructure investment that were included in the rate base used to establish the utility's base rates. The utility may continue to charge or refund any reconciliation adjustment associated with the qualifying infrastructure investment that is included in the rate base used to establish the utility's base rates.

c) The utility shall provide notice of the QIP surcharge rider and subsequent filings and billing as follows:

1. The utility shall maintain and keep open for public inspection a copy of each filing of a QIP surcharge rider and subsequent information sheets and shall post public notice in each office of the utility in accordance with 83 Ill. Adm. Code 255.20(a).

2. For the initial filing of a QIP surcharge rider, each utility, regardless of size, shall provide notice by newspaper publication in accordance with 83 Ill. Adm. Code 255.20(f)(1) and by mailing a notice of the filing to each of its customers.

3. In connection with the initial billing of each change in a QIP surcharge percentage as specified in an information sheet (other than a change to a zero percentage), including information sheets resulting from the annual reconciliation and Commission-ordered adjustments, the utility shall provide an explanation of the QIP surcharge to be stated on, or included with, the initial billing of the new QIP surcharge percentage.

4. Except as noted in this subsection (c) above, no other notice of the filing or billing of the QIP surcharge rider or an information sheet shall be required except as may be provided by law or by Order of the Commission.

d) The QIP surcharge shall be presented as a separate line item on customer bills.

e) The revenues resulting from each QIP surcharge rider shall be recorded in a separate revenue subaccount for each rate zone.

f) QIP shall also include a reconciliation of the projected QIP plant included in the rate base of the utility's last rate case filing for the rate zone and the actual cost of the QIP plant incurred as of the end of the projected test year in the utility's last rate case filing for the rate zone.

History

• Source: Amended at 40 Ill. Reg. 9467, effective July 1, 2016

83 Ill. Adm. Code 656.40 Qualifying Infrastructure Plant

a) To be classified as QIP, the plant additions must meet the following criteria:

1. The plant additions must be replacements of existing plant items from the accounts listed in subsection (b);

2. The replacements must be nonrevenue producing;

3. The replacements are installed to replace facilities that are worn out or deteriorated or to replace facilities that are obsolete and at the end of their useful service lives due to a change in law or a change in the regulations of a governmental agency;

4. The replacements are installed after the conclusion of the test year in the utility's latest rate case for the rate zone; and

5. The replacements were not included in the calculation of the rate base in the utility's last rate case for the rate zone.

b) Qualifying Infrastructure Plant shall include plant items or facilities, except for land, from accounts 304 through 336 (see 83 Ill. Adm. Code 605, for water utilities), and from accounts 354 through 382 (see 83 Ill. Adm. Code 650 for sewer utilities). Qualifying plant shall not include land, intangibles or a tangible plant classified as a General and Administrative plant.

c) In addition to replacements, the following items may be classified as QIP: water main lining and related rehabilitation projects to eliminate water loss from water main breaks, as well as main extensions for water utilities that are constructed to eliminate dead ends and the unreimbursed costs recorded in the appropriate accounts listed in subsection (b) that are associated with relocations of mains, services, hydrants and sewers occasioned by street or highway construction.

d) In addition to replacements, the following items may be classified as QIP: sewer collection main and manhole lining/grouting for sewer utilities that are rehabilitating collection systems to eliminate inflow and infiltration, as well as rehabilitation of sewer structures and receiving wells when rehabilitated as part of the scope of eliminating inflow and infiltration.

e) QIP shall include only plant additions installed on or after January 1 of the year in which the utility files its initial QIP surcharge rider in accordance with Sections 656.70 and 656.90. However, QIP shall also include a reconciliation of the projected QIP plant included in the rate base of the utility's last rate case filing for the rate zone with the actual cost of the QIP plant incurred as of the end of the projected test year in the utility's last rate case filing for the rate zone.

History

• Source: Amended at 40 Ill. Reg. 9467, effective July 1, 2016

83 Ill. Adm. Code 656.50 Recoverable Qualifying Infrastructure Plant Costs

QIP costs shall include the pre-tax return on QIP and the net depreciation expense applicable to QIP.

a) The pre-tax return is calculated using the weighted cost of debt and weighted cost of equity determined in the utility's last rate case for the rate zone. The weighted cost of equity is multiplied by the gross revenue conversion factor (GRCF). The product is then added to the weighted cost of debt to obtain the pre-tax return. The pre-tax return is calculated using the following formulas:

Where:

GRCF

=

Gross Revenue Conversion Factor.

PPTRIT

=

Illinois Personal Property Tax Replacement Income Tax rate in effect at the time of the initial, annual or quarterly filing.

SIT

=

Illinois State income tax rate in effect at the time of the initial, annual or quarterly filing.

FIT

=

Federal income tax rate in effect at the time of the initial, annual or quarterly filing.

PTR

=

Pre-tax return.

WCCE

=

Weighted cost of common equity from the utility's last rate case for the rate zone.

WCPE

=

Weighted cost of preferred equity from the utility's last rate case for the rate zone.

WCLTD

=

Weighted cost of long term debt from the utility's last rate case for the rate zone.

WCSTD

=

Weighted cost of short term debt from the utility's last rate case for the rate zone.

b) Net depreciation expense shall be calculated by applying the utility's approved depreciation rate to each category of QIP. The depreciation expense for QIP shall be reduced by the depreciation expense on the plant being replaced.

History

• Source: Amended at 43 Ill. Reg. 8843, effective August 2, 2019

83 Ill. Adm. Code 656.60 Determination of the Qualifying Infrastructure Plant Surcharge Percentage

a) The QIP surcharge percentage shall be expressed as a percentage carried to two decimal places. The QIP surcharge percentage shall be applied to the total amount billed to each customer located in the same rate zone based on the utility's otherwise applicable rates and charges. The QIP surcharge percentage shall not be applied to the exclusions listed in Section 656.30(a).

b) In calculating the QIP surcharge percentage, the utility may choose either annual prospective operation or quarterly historical operation based on QIP investment data for a prior three-month period. Annual prospective operation may be selected only if the utility's immediately preceding rate case for the rate zone utilized a future test year as defined in 83 Ill. Adm. Code 287 and the utility submits the information required by Section 656.70(d)(7).

1. Annual Prospective Operation

Utilities choosing annual prospective operation shall determine the QIP surcharge percentage for the operation year using the following formula:

S%

=

((NetQIP + AdjNetQIP) x PTR) + (Net Dep + AdjNetDep) + (R x 1.33) + ((O + INT) x Om)

x 100%

PAR

Where:

S%

=

QIP surcharge percentage.

NetQIP

=

The average forecasted cost of the investment in QIP for the rate zone for the operation year less forecasted accumulated depreciation and accumulated deferred income taxes (ADIT) in QIP for the rate zone for the operation year. The average forecasted cost of QIP, net of depreciation and any ADIT liabilities (net of deferred tax assets) resulting from the QIP, shall be computed by using an average of 13 end-of-month balances of QIP, less accumulated depreciation and ADIT for the period from December 31 of the year preceding the operation year through December 31 of the operation year.

AdjNetQIP

=

The actual amount of netQIP as of the end of the QIP forecast period used in the utility's last rate case for the rate zone less the amount of NetQIP the Commission approved to be added to the utility's rate base as of the end of the QIP forecast period.

PTR

=

Pre-tax return as described in Section 656.50(a)(1).

Net Dep

=

Net depreciation expenses related to the average investment in QIP for the rate zone for the operation year. Depreciation expenses shall be calculated by multiplying the average forecasted cost of the investment in QIP by plant account, net of retirements, by the approved depreciation rates for the respective accounts in which the specific items included in the average QIP investment are recorded. The average forecasted cost of the investment in QIP by plant account, net of retirements, shall be computed by using an average of 13 end-of-the-month balances of QIP by plant account and retirements for the period from December 31 of the year preceding the operation year through December 31 of the operation year.

AdjNetDep

=

The actual amount of NetDep applicable to the QIP forecast period used in the utility's last rate case for the rate zone less the amount of NetDep that the Commission approved for the QIP forecast period used in the utility's last rate case for the rate zone.

R

=

Utility-determined reconciliation component (R component) calculated for the reconciliation year under the reconciliation feature as described in Section 656.80(d). The reconciliation component shall be collected over nine months from April through December.

O

=

The Commission-ordered adjustment component (O component).

INT

=

The calculated interest attributable to the O component. This interest shall be calculated as described in Section 656.80(i).

Om

=

The Commission-ordered O component multiplier. Om is a timing factor applied to the O component and the INT to allow for the collection of the O component and the INT over the remainder of the operation year. For example, if the O component and the INT were included in the QIP surcharge percentage on January 1, the Om would be 1.00. Similarly, if the O component and the INT were included in the QIP surcharge percentage on April 1, the Om would be 1.33.

PAR

=

The projected total water or sewer QIP base rate revenues, as applicable, for the rate zone for the period from January 1 through December 31. The projected revenue shall not include the exclusions listed in Section 656.30(a).

Following the final order in each rate case, and before the Effective Month that will initiate the inclusion of AdjNetQIP and AdjNetDep, the utility shall file a public document in the rate case that provides the calculation of AdjNetQIP and AdjNetDep, including each component used to determine AdjNetQIP and AdjNetDep.

2. Quarterly Historical Operation

Utilities choosing quarterly historical operation shall determine the QIP surcharge percentage for the quarter using the following formula:

S%

=

((NetQIP + AdjNetQIP) x PTR x .25) + (NetDep + AdjNetDep) + (R x .33) + ((O + INT) x Om)

x 100%

PQR

Where:

S%

=

QIP surcharge percentage.

NetQIP

=

Original cost of QIP less accumulated depreciation and any accumulated deferred income tax (ADIT) liabilities net of deferred tax assets resulting from the QIP for the rate zone. NetQIP shall be the level of investment in QIP existing at the end of the calendar month in which an investment sheet is filed, net of depreciation and any ADIT liabilities (net of deferred tax assets) resulting from the QIP.

AdjNetQIP

=

The actual amount of NetQIP as of the end of the QIP forecast period used in the utility's last rate case for the rate zone less the amount of NetQIP the Commission approved to be added to the utility's rate base as of the end of the QIP forecast period.

PTR

=

Pre-tax return as described in Section 656.50(a)(1).

NetDep

=

Net quarterly depreciation expense applicable to NetQIP less the quarterly depreciation applicable to the plant being retired.

AdjNetDep

=

The actual amount of NetDep applicable to the QIP forecast period used in the utility's last rate case for the rate zone less the amount of NetDep that the Commission approved for the QIP forecast period used in the utility's last rate case for the rate zone.

R

=

Utility-determined reconciliation component calculated for the reconciliation year under the reconciliation feature as described in Section 656.80(d). The reconciliation component shall be collected over nine months from April through December. No reconciliation component amount shall be included for the January through March quarter.

O

=

Commission-ordered adjustment component.

INT

=

The calculated interest attributable to the O component. This interest shall be calculated as described in Section 656.80(i).

Om

=

The Commission-ordered O component multiplier. Om is a timing factor applied to the O component and the INT to allow for the collection of the O component and the INT over the remainder of the operation year. For example, if the O component and the INT were included in the QIP surcharge percentage on January 1, the Om would be 0.25. Similarly, if the O component and the INT were included in the QIP surcharge percentage on April 1, the Om would be .33.

PQR

=

Projected quarterly water or sewer QIP base rate revenues, as applicable, for the rate zone during the calendar quarter when the QIP surcharge percentage shall be in effect. The projected quarterly revenue shall not include the exclusions listed in Section 656.30(a).

Following the final order in each rate case, and before the Effective Month that will initiate the inclusion of AdjNetQIP and AdjNetDep, the utility shall file a public document in the rate case that provides the calculation of AdjNetQIP and AdjNetDep, including each component used to determine AdjNetQIP and AdjNetDep.

History

• Source: Amended at 40 Ill. Reg. 9467, effective July 1, 2016

83 Ill. Adm. Code 656.70 Rider and Information Sheet Filings

a) A utility shall file a proposed QIP surcharge rider consistent with this Part pursuant to Section 9-201 of the Act. After a QIP surcharge rider is in effect, the QIP surcharge percentage shall be filed on an information sheet with supporting data no later than the 20th day of the month preceding the effective date of the QIP surcharge percentage. An information sheet with supporting data filed after that date, but prior to the effective date, shall be accepted only if it corrects an error or errors from a timely filed information sheet for the same effective date. Any other information sheet with supporting data shall be accepted only if submitted as a special permission request to become effective on less than 45 days notice under the provisions of Section 9-201(a) of the Act.

b) For utilities electing annual prospective operation, a utility may file its initial information sheet with a QIP surcharge percentage for the initial operation year with an effective date of the first day of any month. The effective date of any subsequent information sheet with a QIP surcharge percentage is January 1 (and April 1 if the R component is modified). A utility may, at its option, file an information sheet modifying the QIP surcharge percentage, with an effective date of the first day of any month during the operation year, when necessary to recognize a material change in assumptions used in developing the QIP surcharge percentage (including, but not limited to, a change in depreciation rates). The utility shall also file an information sheet to implement a Commission-ordered O component.

c) For utilities electing quarterly historical operation, a new QIP surcharge percentage may become effective on April 1, July 1, October 1, and January 1 (with a new R component becoming effective, if required, on April 1). A utility may elect not to file an information sheet showing an increased QIP surcharge percentage for any quarter provided that the QIP costs that would have been reflected for that quarter are in excess of the level reflected in developing the QIP surcharge percentage in effect for the quarter are disregarded in calculating the R component and O component for the affected reconciliation year.

d) A utility electing annual prospective operation shall provide the following with the filing of each information sheet to become effective on January 1:

1. A calculation of the QIP surcharge percentage, PTR, and GRCF for each rate zone for which a QIP surcharge rider is in effect;

2. A schedule showing, for each rate zone for which a QIP surcharge rider is in effect, the amount of forecasted expenditures for QIP during the operation year by plant account;

3. A description, for each rate zone for which a QIP surcharge rider is in effect, of the projects included in each plant account by type of project;

4. A detailed description, for each rate zone for which a QIP surcharge rider is in effect, of individual QIP projects with a forecasted cost in excess of $100,000;

5. A detailed schedule showing the calculation of depreciation expense for each rate zone for which a QIP surcharge rider is in effect;

6. A detailed schedule showing the calculation of accumulated deferred income taxes associated with QIP for each rate zone for which a QIP surcharge rider is in effect; and

7. A statement verified by an officer of the utility that, in the belief of management:

A) The forecast used in developing the QIP surcharge percentage was prepared in accordance with the 2017 Prospective Financial Information Guide (April 1, 2017) established by the American Institute of Certified Public Accountants, Inc., 1211 Avenue of the Americas, New York NY 10036-8775; and

B) The accounting treatment applied to events and transactions in the forecast is the same as the accounting treatment to be applied in recording the events once they occur.

e) A utility electing quarterly historical operation shall submit with each information sheet:

1. A calculation of the QIP surcharge percentage, PTR and GRCF for each rate zone for which a QIP surcharge rider is in effect;

2. A detailed schedule, for each rate zone for which a QIP surcharge rider is in effect, providing the following information for each completed QIP eligible project whose cost has been transferred to utility plant with the closing of the QIP eligible project's work order:

A) Plant account number and title;

B) Category of project;

C) Project name;

D) Description of project;

E) Work order number;

F) Dollar amount in the month of closing; and

G) Month and year of closing;

3. A detailed schedule showing the calculation of depreciation expense for each rate zone for which a QIP surcharge rider is in effect; and

4. A detailed schedule showing the calculation of accumulated deferred income taxes associated with QIP for each rate zone for which a QIP surcharge rider is in effect.

History

• Source: Amended at 43 Ill. Reg. 8843, effective August 2, 2019

83 Ill. Adm. Code 656.80 Annual Reconciliation

a) On or before March 15 of each year, a utility that had a QIP surcharge in effect for all or part of the immediately preceding calendar year shall submit to the Commission an annual reconciliation regarding the results for the previous reconciliation year. The annual reconciliation shall include testimony and schedules that support the accuracy and the prudence of the qualifying infrastructure investment for the reconciliation year, and shall be verified by an officer of the utility. The schedules included with the annual reconciliation shall reflect all carry forward adjustments from prior QIP surcharge reconciliation Orders, and the testimony shall address how adjustments ordered in prior QIP surcharge reconciliations are reflected in the current reconciliation. As required by this Section, the annual reconciliation shall include a calculation of the R component necessary to adjust revenue collected under the QIP surcharge rider in effect for the rate zone during the reconciliation year to an amount equivalent to the actual level of prudently-incurred QIP cost for the reconciliation year. In the event that the earnings report filed under this Section for the rate zone shows that the utility's actual rate of return has exceeded the level authorized in the utility's last water or sewer general rate proceeding for the rate zone, as applicable, then the R component shall include the credit required by subsections (c) and (d). Any adjustment made through the R component shall be in effect for nine months commencing on the April 1 immediately following submittal of the annual reconciliation.

b) With the annual reconciliation, the utility shall file a petition seeking initiation of the annual reconciliation hearings required by Section 9-220.2 of the Act. After the hearing, the Commission shall determine the amount of the adjustment, if any, that should be made (through the O component) to the level of revenue collected by operation of the QIP surcharge rider during the reconciliation year, so that the amount of such revenue is equal to the actual level of prudently-incurred QIP cost for the reconciliation year (to the extent that such adjustment has not already been reflected through an adjustment made by the utility to the R component of the QIP surcharge percentage).

c) In the annual reconciliation, the utility shall include, for each rate zone in which a QIP surcharge has been in effect, data showing operating income and rate base for the reconciliation year, the data being developed in accordance with subsection (f)(4). If, for any such rate zone, the actual rate of return on rate base for the reconciliation year exceeds the overall rate of return allowed in the utility's last water or sewer general rate proceeding for the rate zone, revenues collected under the QIP surcharge rider shall be reflected as a credit through the R component of the QIP surcharge to the extent that such revenues contributed to the realization of a rate of return above the last approved level. A credit value for the R component will result in a reduction of the QIP surcharge percentage. To the extent, if any, that a required adjustment for a reconciliation year has not been already made by the utility (through the R component), the Commission shall require (through the O component) that such an adjustment be made after the annual reconciliation hearing.

d) Utilities shall calculate the R component using the following formula:

R

=

((ActNetQIP + AdjNetQIP) x PTR) + (ActNetDep + AdjNetDep) - QIPRev + Rpy + Opy - EEA

Where:

R

=

Utility-determined reconciliation component.

ActNetQIP

=

The average actual cost of the investment in QIP for the rate zone for the reconciliation year less actual accumulated depreciation and any accumulated deferred income tax (ADIT) liabilities net of deferred tax assets resulting from the QIP for the rate zone for the reconciliation year. The average actual cost of QIP, net of depreciation and ADIT, shall be computed by using an average of 13 end-of-month balances of QIP less accumulated depreciation and associated ADIT for the period from December 31 of the year preceding the reconciliation year through December 31 of the reconciliation year. (For utilities electing quarterly historical operation, the amount of the ActNetQIP shall be limited by the provisions of Section 656.70(c).)

AdjNetQIP

=

AdjNetQIP as defined in Section 656.60. The effective date of the AdjNetQIP will be as disclosed in the document required following a rate case as described in Section 656.60.

PTR

=

Pre-tax return as described in Section 656.50(a)(1).

ActNetDep

=

Actual net depreciation expense related to the average investment in QIP for the rate zone for the reconciliation year. Depreciation expense shall be calculated by multiplying the actual investment in QIP by plant account,

net of retirements, by the approved depreciation rates for the respective accounts in which the specific items included in the average QIP investment are recorded. (For utilities electing quarterly historical operation, the amount of the ActNetDep shall be limited by the provisions of Section 656.70(c).)

AdjNetDep

=

AdjNetDep as defined in Section 656.60. The effective date of the AdjNetDep will be as disclosed in the document required following a rate case as described in Section 656.60.

QIPRev

=

Actual QIP revenues collected during the reconciliation year through the QIP surcharge.

Rpy

=

The R component from the previous reconciliation year.

Opy

=

The sum of the O component and the calculated interest attributable to the O component, or the sum of any O components and the calculated interest attributable to the O components included in the calculation of the QIP surcharge percentage during the reconciliation year.

EEA

=

Excess earnings amount calculated in accordance with subsections (a), (c) and (f)(4). There will only be an EEA when the utility's actual rate of return for the reconciliation year exceeds the overall rate of return authorized by the Commission in the utility's last water or sewer rate proceeding for the rate zone.

e) Any adjustment made by Order of the Commission under subsection (b) or (c) shall be included in the O component and be in effect for either 12 months or 9 months, beginning on the next January 1 (if 12 months) or April 1 (if 9 months) following the Order of the Commission, or such other period as the Commission may direct in the Order requiring that an adjustment be made.

f) Each annual reconciliation shall include the following schedules:

1. A schedule showing, for each rate zone for which a QIP surcharge rider was in effect, the QIP costs for the reconciliation year;

2. A schedule showing, for each rate zone for which a QIP surcharge rider was in effect, the revenues arising through the application of the QIP surcharge during the reconciliation year;

3. A schedule showing, for each rate zone for which a QIP surcharge rider was in effect, the reconciliation component determined by the utility showing the amount to be recovered or refunded over a nine-month period commencing on April 1; and

4. Schedules showing the utility's calculation of actual operating income and 13-month average rate base for the reconciliation year by rate zone. This calculation of actual operating income and 13-month average rate base shall be adjusted for any applicable adjustments accepted by the Commission in the utility's last rate case for the rate zone. In calculating the amount of federal and State income tax expense reflected in operating income, the utility shall reflect as deductible interest expense for tax purposes the product that results when the weighted embedded cost-of-debt reflected in the overall rate of return calculation used in the utility's last rate proceeding for the rate zone is multiplied by the rate base for the applicable rate zone as shown in the annual reconciliation. In the event that the actual rate of return for any rate zone exceeds the rate of return allowed in the utility's last water or sewer general rate proceeding for the rate zone, a schedule showing the extent to which revenues provided by operation of the QIP surcharge contributed to the difference between the actual and last-authorized rate of return also shall be provided. The amount of the revenues provided by the QIP surcharge that contributed to the actual rate of return exceeding the overall rate of return authorized by the Commission in the utility's last water or sewer rate proceeding for the rate zone shall be included as a credit in the calculation of the R component.

g) The first reconciliation year shall begin on the effective date of the first QIP surcharge information sheet and end on December 31 of the calendar year in which the first information sheet became effective. Each subsequent reconciliation year shall end on December 31.

h) When the utility files its annual reconciliation, the utility shall provide copies of the following items to the Commission's Manager of the Water Department and to the Commission's Manager of the Accounting Department:

1. Copies of all workpapers pertaining to the reconciliation;

2. A detailed summary of all invoices supporting the costs for eligible QIP surcharge projects;

3. Copies of the applicable general ledger or comparable material supporting the recovery of the QIP surcharge;

4. A detailed worksheet showing the calculation of any utility-determined reconciliation component (R component) amount based upon the annual reconciliation; and

5. Information regarding the prudence of the utility's investment in QIP.

i) Amounts either collected or refunded through the O component shall accrue interest at the rate established by the Commission under 83 Ill. Adm. Code 280.40(g)(1). Interest on the O component shall be applied from the end of the reconciliation year until the O component is refunded or charged to ratepayers through the QIP surcharge.

History

• Source: Amended at 40 Ill. Reg. 9467, effective July 1, 2016

83 Ill. Adm. Code 656.90 Application for Qualifying Infrastructure Plant Surcharge Rider

a) A utility's filing seeking initial approval of a QIP surcharge rider for a rate zone shall be accompanied with the necessary testimony and exhibits justifying the rider.

b) Required testimony and exhibits:

1. A water utility shall prepare and provide a history of current replacement rates of qualifying plant, as well as history of failure, by location, for the qualified rate zone. The water utility shall provide 5 years of data by year for the following categories, based upon utility records to the extent that records of that data are available, or based upon estimates if records are not available:

A) Wells, including the age, type of construction and casing, depth, diameter, number and capacity;

B) Generators, including age, fuel type, size and number;

C) Pumping equipment, including the age, capacity, number and purpose;

D) Water treatment equipment, including the age, capacity and description;

E) Distribution reservoirs and standpipes, including the age, type, size, capacity and material;

F) Transmission and distribution mains, including the age, footage, size and material;

G) Services, including the age, number and material;

H) Meters and meter installations, including the age, size and number; and

I) Hydrants, including the age, number and size.

2. A sewer utility shall prepare and provide a history of current replacement rates of qualifying plant, as well as a history of failure, by location, for the qualified rate zone. The sewer utility shall provide 5 years of data by year for the following categories, based upon utility records to the extent that records of that data are available, or based upon estimates if records are not available:

A) Generators, including age, fuel type, size and number;

B) Collecting sewers – force, including the age, footage, size and material;

C) Collecting sewers – gravity, including the age, footage, size and material;

D) Services to customers, including the age, number and material;

E) Lift stations, including the age, size and capacity;

F) Manholes, including the age, size, material and number;

G) Pumping equipment, including the age, capacity, number and purpose; and

H) Treatment and disposal equipment, including the age, capacity and description.

3. All utilities shall provide the reason for each increase in the rate of replacement and include specific data to justify the replacement rate for each plant account.

4. All utilities shall provide their specific plans for future replacements. The utilities shall provide a schedule showing the replacement projects listed by priority. This schedule shall include an explanation and justification for the prioritization.

5. All utilities shall provide detailed computations of expected revenue effects of investment in QIP for the shorter of the time period covered by the plans submitted in response to subsection (b)(4) or 5 years.

6. All utilities proposing to use the annual prospective method shall provide explanations for any changes in the expected rates of investment in QIP for the forecasted period as compared to the historical period.

7. All utilities shall provide any other information and data that supports the approval of the proposed QIP surcharge rider.

8. All utilities shall provide bill comparisons showing the effect of the QIP surcharge for each class of customer at the average customer usage level, at 5 usage levels above the average customer usage level, and at 5 usage levels below the average customer usage level. The bill comparisons shall present the current bill, the proposed bill, the difference between the current bill and the proposed bill, and the percentage change between the current bill and the proposed bill. For the purposes of this subsection (b)(8), the bill comparison shall include only QIP base rate revenues, exclusive of revenue attributable to public/private fire protection service. All utilities shall also provide supporting schedules showing the billing units, charges and revenues used in calculating the bill comparison.

History

• Source: Amended at 40 Ill. Reg. 9467, effective July 1, 2016

83 Ill. Adm. Code 656.100 Annual Internal Audit

The utility shall submit annually to the Commission's Manager of the Accounting Department, no later than June 30 for the previous calendar year, an internal audit report that determines whether the QIP surcharge and information provided under the Annual Reconciliation in Section 656.80 have been calculated in accordance with this Part. The initial internal audit report shall be submitted no later than June 30 of the year following the effective date of the QIP surcharge rider. Internal audits conducted under this Part shall determine whether:

a) Internal controls are effectively preventing the double recovery of costs through the QIP surcharge and other approved tariffs;

b) Costs recovered through the QIP surcharge are recorded in the appropriate accounts;

c) Costs recovered through the QIP surcharge are properly reflected in the calculation of the QIP surcharge percentage and the annual reconciliation;

d) The QIP surcharge percentage and annual reconciliation properly reflect all applicable adjustments from prior QIP surcharge reconciliation Orders;

e) The QIP surcharges are properly calculated; and

f) The QIP surcharge percentage is being properly billed to customers.

History

• Source: Added at 40 Ill. Reg. 9467, effective July 1, 2016

Chapter I Illinois Commerce Commission

Subchapter f Telephone Utilities

Part 705 The Preservation of Records of Telecommunications Carriers (general Order 188)

83 Ill. Adm. Code 705.5 Applicability

This Part applies to all telecommunications carriers subject to regulation by the Illinois Commerce Commission (Commission) under the provisions of Article XIII of the Public Utilities Act [220 ILCS 5/Art. XIII].

History

• Source: Added at 38 Ill. Reg. 18159, effective August 15, 2014

83 Ill. Adm. Code 705.10 Scope of This Part

a) This Part applies to all books of account and other records prepared by or on behalf of a telecommunications carrier.

b) This Part shall not be construed as excusing compliance with any other lawful requirement for the preservation of records for periods longer than those prescribed in this Part.

c) This Part shall not be construed as requiring the preparation of accounts, records or memoranda not required to be prepared by other Parts, such as the Uniform System of Accounts, prescribed by the Illinois Commerce Commission (83 Ill. Adm. Code 415, 505, 605 and 710 – General Orders 179, 180, 183 and 199).

History

• Source: Amended at 38 Ill. Reg. 18159, effective August 15, 2014

83 Ill. Adm. Code 705.20 Designation of Supervisory Official

Each telecommunications carrier subject to this Part shall designate one or more persons with official responsibility to supervise the telecommunications carrier's program for the preservation and the authorized destruction of its records.

History

• Source: Amended at 38 Ill. Reg. 18159, effective August 15, 2014

83 Ill. Adm. Code 705.30 Protection and Storage of Records

The telecommunications carrier shall:

a) provide reasonable protection for records using any form of recordable media subject to this Part from damage by fires, floods and other hazards; and

b) in the selection of storage spaces, safeguard the records from unnecessary exposure to deterioration from excessive humidity, dryness or lack of proper ventilation.

History

• Source: Amended at 38 Ill. Reg. 18159, effective August 15, 2014

83 Ill. Adm. Code 705.40 Preservation of Records

a) Each telecommunications carrier subject to this Part shall keep a plan of its record management and retention policy at its principal place of business, which shall be readily identified and made available to representatives of the Illinois Commerce Commission. The Commission shall reserve the right to add records to the telecommunications carrier's retention policy or change retention periods through further amendment to this Part if, upon review, the records or retention periods are found to be insufficient for the Commission's purposes.

b) All records required to be preserved in accordance with the telecommunications carrier's record management and retention policies shall be so arranged by the telecommunications carrier that they may readily be identified and made available to representatives of the Illinois Commerce Commission.

c) Each telecommunications carrier subject to this Part shall keep, as part of its record management and retention policy, all records necessary to demonstrate the telecommunications carrier's compliance with the Act. All such records shall be retained for a period of not less than two years. Each telecommunications carrier also shall keep, as part of its record management and retention policy, the following records for the specified retention periods.

1. Minute books of shareholders' meetings, Board of Directors' meetings, and Board of Directors' committee meetings shall be retained permanently.

2. Supporting documentation for all reports provided to the Commission pursuant to statute, rule or Commission order shall be retained for a minimum period of 6 years.

History

• Source: Amended at 38 Ill. Reg. 18159, effective August 15, 2014

83 Ill. Adm. Code 705.50 Preservation of Records on Microfilm (repealed)

History

• Source: Repealed at 38 Ill. Reg. 18159, effective August 15, 2014

83 Ill. Adm. Code 705.60 Destruction of Records

The destruction of records permitted to be destroyed under this Part may be performed in any manner elected by the telecommunications carrier concerned. Precautions should be taken, however, to macerate or otherwise destroy the legibility of records, the content of which is forbidden by law to be divulged to unauthorized persons.

History

• Source: Amended at 38 Ill. Reg. 18159, effective August 15, 2014

83 Ill. Adm. Code 705.70 Premature Destruction or Loss of Records

When any records are destroyed before the expiration of the prescribed period of retention, a certified statement listing, as far as may be determined, the records destroyed and describing the circumstances of accidental or other premature destruction shall be filed with the Illinois Commerce Commission within ninety (90) days from the date of discovery of such destruction. Discovery of loss of records is to be treated in the same manner as in the case of premature destruction.

83 Ill. Adm. Code 705.80 Retention Periods Designated "destroy at Option" (repealed)

History

• Source: Repealed at 38 Ill. Reg. 18159, effective August 15, 2014

83 Ill. Adm. Code 705.90 Schedule of Records and Periods of Retention (repealed)

History

• Source: Repealed at 38 Ill. Reg. 18159, effective August 15, 2014

83 Ill. Adm. Code 705.100 "Commission" (Repealed)

History

• Source: Repealed at 38 Ill. Reg. 18159, effective August 15, 2014

Chapter I Illinois Commerce Commission

Subchapter f Telephone Utilities

Part 705 The Preservation of Records of Telecommunications Carriers (general Order 188)

83 Ill. Adm. Code 705.APPENDIX A Schedule of Records and Periods of Retention (repealed)

History

• Source: Repealed at 38 Ill. Reg. 18159, effective August 15, 2014

Part 710 Uniform System of Accounts for Telecommunications Carriers

83 Ill. Adm. Code 710.1 Adoption of 47 Cfr 32 by Reference

The Illinois Commerce Commission (Commission) adopts 47 CFR 32, as of November 1, 2021, as its uniform system of accounts for telecommunications carriers, as defined in Section 13-202 of the Public Utilities Act [220 ILCS 5/13-202], subject to the exceptions set forth in this Part, except this Part does not apply to electing providers as defined in Section 13-506.2(a)(1) of the Public Utilities Act [220 ILCS 5/13-506.2(a)(1)] or to telecommunications carriers that provide only competitive services. No incorporation in this Part includes any later amendment or edition.

History

• Source: Amended at 46 Ill. Reg. 20777, effective December 15, 2022

83 Ill. Adm. Code 710.3 Authority

Delete Section 32.3 in its entirety.

83 Ill. Adm. Code 710.4 Communications Act

Delete Section 32.4 in its entirety.

83 Ill. Adm. Code 710.11 Classification of Companies

a) In Section 32.11(a), delete existing language and replace with "For purposes of this Section, the term "company'' or "companies'' means telecommunications carriers as defined in Section 13-202 of the Public Utilities Act".

b) In Section 32.11(e), delete "upon the submission of a written notification to the Commission".

History

• Source: Amended at 29 Ill. Reg. 14540, effective October 1, 2005

83 Ill. Adm. Code 710.13 Accounts – General

a) In Section 32.13(d)(1), delete "state commission(s) having jurisdiction" and substitute "Commission".

b) In Section 32.13(d)(2), delete "such commission(s)" and substitute "the Commission".

c) Delete Section 32.13(e) in its entirety and replace with the following language:

"e) The company shall incorporate the following controls into its accounting system with respect to the maintenance of subsidiary records in lieu of the maintenance of accounts for various account categories:

1. The summation of the balances of all subsidiary records of an account shall equal the total balance of the account as reflected on the company's financial statements.

2. The company shall document the accounting procedures related to subsidiary records.

3. The subsidiary records shall be maintained at an adequate level of detail to satisfy the company's reporting requirements under Section 5-109 of the Public Utilities Act [220 ILCS 5/5-109]."

History

• Source: Amended at 27 Ill. Reg. 13360, effective August 1, 2003

83 Ill. Adm. Code 710.14 Regulated Accounts

a) In Section 32.14(a), delete "contained in Title II of the Communications Act of 1934, as amended," from the first sentence.

b) In Section 32.14(a), delete "as specified in Title II of the Communications Act of 1934, as amended, and" from the second sentence.

c) In Section 32.14(a) delete "provided by the Commission" and substitute "provided in 83 Ill. Adm. Code 711.15 or 712.15."

d) Delete Section 32.14(b) in its entirety.

83 Ill. Adm. Code 710.16 Changes in Accounting Standards

Delete the text of Section 32.16(b) and substitute the following:

"The Commission does not commit itself to the approval or acceptance of any item set out in any account for the purpose of fixing rates or in determining other matters before the Commission."

History

• Source: Amended at 27 Ill. Reg. 13360, effective August 1, 2003

83 Ill. Adm. Code 710.17 Interpretation of Accounts

a) In Section 32.17, delete "Chief, Common Carrier Bureau" and substitute "Manager of Accounting of the Commission" in the first sentence.

b) In Section 32.17, delete "Common Carrier Bureau" and substitute "Manager of Accounting of the Commission" in the second sentence.

History

• Source: Amended at 27 Ill. Reg. 13360, effective August 1, 2003

83 Ill. Adm. Code 710.18 Waivers

a) In Section 32.18, delete "Federal Communications."

b) In Section 32.18, delete "such a waiver is in the public interest and."

83 Ill. Adm. Code 710.19 Address for Reports and Correspondence

Delete text of Section 32.19 and replace with the following:

"Reports, statements, and correspondence submitted to the Commission in accordance with or relating to instructions and requirements herein shall be addressed to the Chief Clerk, Illinois Commerce Commission, 527 East Capitol Avenue, Springfield IL 62701."

History

• Source: Amended at 27 Ill. Reg. 13360, effective August 1, 2003

83 Ill. Adm. Code 710.22 Comprehensive Interperiod Tax Allocation

In Section 32.22(e)(2), add the following subsection:

"i) The term "vintage year" means the year a particular plant item was placed in service. "

History

• Source: Amended at 27 Ill. Reg. 13360, effective August 1, 2003

83 Ill. Adm. Code 710.23 Nonregulated Activities

a) In Section 32.23(a), delete the fourth sentence.

b) In Section 32.23(c), delete the last sentence and substitute the following language:

"For information on incidental treatment, see 83 Ill. Adm. Code 711.15 or 712.15."

History

• Source: Amended at 27 Ill. Reg. 13360, effective August 1, 2003

83 Ill. Adm. Code 710.25 Unusual Items and Contingent Liabilities (repealed)

History

• Source: Repealed at 27 Ill. Reg. 13360, effective August 1, 2003

83 Ill. Adm. Code 710.27 Transactions with Affiliates

a) In Section 32.27(a), delete "Chief, Wireline Competition Bureau" and substitute "Commission" and change "(f)" to "(e)".

b) In Section 32.27(a), add the following language as the last sentence of the subsection: "See also 83 Ill. Adm. Code 711.25 or 712.25."

c) Delete Section 32.27(f) in its entirety.

History

• Source: Amended at 29 Ill. Reg. 14540, effective October 1, 2005

83 Ill. Adm. Code 710.100 List of Retirement Units (repealed)

History

• Source: Repealed at 27 Ill. Reg. 13360, effective August 1, 2003

83 Ill. Adm. Code 710.105 Retirement Units for Use in Conjunction with Account 2112 "motor Vehicles" (repealed)

History

• Source: Repealed at 27 Ill. Reg. 13360, effective August 1, 2003

83 Ill. Adm. Code 710.110 Retirement Units for Use in Conjunction with Account 2113 "aircraft" (repealed)

History

• Source: Repealed at 27 Ill. Reg. 13360, effective August 1, 2003

83 Ill. Adm. Code 710.115 Retirement Units for Use in Conjunction with Account 2114 "special Purpose Vehicles" (repealed)

History

• Source: Repealed at 27 Ill. Reg. 13360, effective August 1, 2003

83 Ill. Adm. Code 710.120 Retirement Units for Use in Conjunction with Account 2115 "garage Work Equipment" (repealed)

History

• Source: Repealed at 27 Ill. Reg. 13360, effective August 1, 2003

83 Ill. Adm. Code 710.125 Retirement Units for Use in Conjunction with Account 2116 "other Work Equipment" (repealed)

History

• Source: Repealed at 27 Ill. Reg. 13360, effective August 1, 2003

83 Ill. Adm. Code 710.130 Retirement Units for Use in Conjunction with Account 2121 "buildings" (repealed)

History

• Source: Repealed at 27 Ill. Reg. 13360, effective August 1, 2003

83 Ill. Adm. Code 710.135 Retirement Units for Use in Conjunction with Account 2122 "furniture"(repealed)

History

• Source: Repealed at 27 Ill. Reg. 13360, effective August 1, 2003

83 Ill. Adm. Code 710.140 Retirement Units for Use in Conjunction with Account 2123.1 "office Support Equipment" (repealed)

History

• Source: Repealed at 27 Ill. Reg. 13360, effective August 1, 2003

83 Ill. Adm. Code 710.145 Retirement Units for Use in Conjunction with Account 2123.2 "company Communications Equipment" (repealed)

History

• Source: Repealed at 27 Ill. Reg. 13360, effective August 1, 2003

83 Ill. Adm. Code 710.150 Retirement Units for Use in Conjunction with Account 2124 "general Purpose Computers" (repealed)

History

• Source: Repealed at 27 Ill. Reg. 13360, effective August 1, 2003

83 Ill. Adm. Code 710.155 Retirement Units for Use in Conjunction with Account 2211 "analog Electronic Switching" (repealed)

History

• Source: Repealed at 27 Ill. Reg. 13360, effective August 1, 2003

83 Ill. Adm. Code 710.160 Retirement Units for Use in Conjunction with Account 2212 "digital Electronic Switching" (repealed)

History

• Source: Repealed at 27 Ill. Reg. 13360, effective August 1, 2003

83 Ill. Adm. Code 710.165 Retirement Units for Use in Conjunction with Account 2215 "electro-Mechanical Switching" (repealed)

History

• Source: Repealed at 27 Ill. Reg. 13360, effective August 1, 2003

83 Ill. Adm. Code 710.170 Retirement Units for Use in Conjunction with Account 2220 "operator System" (repealed)

History

• Source: Repealed at 27 Ill. Reg. 13360, effective August 1, 2003

83 Ill. Adm. Code 710.175 Retirement Units for Use in Conjunction Account 2231 "radio System" (repealed)

History

• Source: Repealed at 27 Ill. Reg. 13360, effective August 1, 2003

83 Ill. Adm. Code 710.180 Retirement Units for Use in Conjunction with Account 2232 "circuit Equipment" (repealed)

History

• Source: Repealed at 27 Ill. Reg. 13360, effective August 1, 2003

83 Ill. Adm. Code 710.185 Retirement Units for Use in Conjunction with Account 2321 "customer Premises Wiring" (repealed)

History

• Source: Repealed at 27 Ill. Reg. 13360, effective August 1, 2003

83 Ill. Adm. Code 710.190 Retirement Units for Use in Conjunction with Account 2351 "public Telephone Equipment" (repealed)

History

• Source: Repealed at 27 Ill. Reg. 13360, effective August 1, 2003

83 Ill. Adm. Code 710.200 Retirement Units for Use in Conjunction with Account 2362 "other Terminal Equipment" (repealed)

History

• Source: Repealed at 27 Ill. Reg. 13360, effective August 1, 2003

83 Ill. Adm. Code 710.205 Retirement Units for Use in Conjunction with Account 2411 "poles" (repealed)

History

• Source: Repealed at 27 Ill. Reg. 13360, effective August 1, 2003

83 Ill. Adm. Code 710.210 Retirement Units for Use in Conjunction with Account 2421 "aerial Cable" (repealed)

History

• Source: Repealed at 27 Ill. Reg. 13360, effective August 1, 2003

83 Ill. Adm. Code 710.215 Retirement Units for Use in Conjunction with Account 2422 "underground Cable" (repealed)

History

• Source: Repealed at 27 Ill. Reg. 13360, effective August 1, 2003

83 Ill. Adm. Code 710.220 Retirement Units for Use in Conjunction with Account 2423 "buried Cable" (repealed)

History

• Source: Repealed at 27 Ill. Reg. 13360, effective August 1, 2003

83 Ill. Adm. Code 710.225 Retirement Units for Use in Conjunction with Account 2424 "submarine Cable" (repealed)

History

• Source: Repealed at 27 Ill. Reg. 13360, effective August 1, 2003

83 Ill. Adm. Code 710.230 Retirement Units for Use in Conjunction with Account 2426 "intrabuilding Network Cable" (repealed)

History

• Source: Repealed at 27 Ill. Reg. 13360, effective August 1, 2003

83 Ill. Adm. Code 710.235 Retirement Units for Use in Conjunction with Account 2431 "aerial Wire" (repealed)

History

• Source: Repealed at 27 Ill. Reg. 13360, effective August 1, 2003

83 Ill. Adm. Code 710.240 Retirement Units for Use in Conjunction with Account 2441 "underground Conduit" (repealed)

History

• Source: Repealed at 27 Ill. Reg. 13360, effective August 1, 2003

83 Ill. Adm. Code 710.1120 Cash and Equivalents

In Section 32.1120(g), delete "part 43" and replace with "Section 5-109" and delete "this Commission's Rules and Regulations" and replace with "the Public Utilities Act [220 ILCS 5/5-109]".

History

• Source: Added at 27 Ill. Reg. 13360, effective August 1, 2003

83 Ill. Adm. Code 710.1160 Account 1160 Temporary investments (Repealed)

History

• Source: Repealed at 27 Ill. Reg. 13360, effective August 1, 2003

Chapter I Illinois Commerce Commission

Subchapter f Telephone Utilities

Part 710 Uniform System of Accounts for Telecommunications Carriers

83 Ill. Adm. Code 710.1170 Account 1170 Receivables

In Section 32.1170(h), delete "part 43" and replace with "Section 5-109" and delete "this Commission's Rules and Regulations" and replace with "the Public Utilities Act [220 ILCS 5/5-109]".

History

• Source: Added at 27 Ill. Reg. 13360, effective August 1, 2003

83 Ill. Adm. Code 710.1171 Account 1171 Allowance for Doubtful Accounts

In Section 32.1171(c), delete "part 43" and replace with "Section 5-109" and delete "this Commission's Rules and Regulations" and replace with "the Public Utilities Act [220 ILCS 5/5-109]".

History

• Source: Added at 27 Ill. Reg. 13360, effective August 1, 2003

83 Ill. Adm. Code 710.1180 Account 1180 Telecommunications Accounts Receivable (repealed)

History

• Source: Repealed at 27 Ill. Reg. 13360, effective August 1, 2003

83 Ill. Adm. Code 710.1181 Account 1181 Accounts Receivable Allowance – Telecommunications (repealed)

History

• Source: Repealed at 27 Ill. Reg. 13360, effective August 1, 2003

83 Ill. Adm. Code 710.1190 Account 1190 Other Accounts Receivable (repealed)

History

• Source: Repealed at 27 Ill. Reg. 13360, effective August 1, 2003

83 Ill. Adm. Code 710.1191 Account 1191 Accounts Receivable Allowance – Other (repealed)

History

• Source: Repealed at 27 Ill. Reg. 13360, effective August 1, 2003

83 Ill. Adm. Code 710.1200 Account 1200 Notes Receivable (repealed)

History

• Source: Repealed at 27 Ill. Reg. 13360, effective August 1, 2003

83 Ill. Adm. Code 710.1201 Account 1201 Notes Receivable Allowance (repealed)

History

• Source: Repealed at 27 Ill. Reg. 13360, effective August 1, 2003

83 Ill. Adm. Code 710.1401 Account 1401 Investments in Affiliated Companies (repealed)

History

• Source: Repealed at 27 Ill. Reg. 13360, effective August 1, 2003

83 Ill. Adm. Code 710.1410 Account 1410 Other noncurrent assets

In Section 32.1410(k), delete "part 43" and replace with "Section 5-109" and delete "this Commission's Rules and Regulations" and replace with "the Public Utilities Act [220 ILCS 5/5-109]".

History

• Source: Added at 27 Ill. Reg. 13360, effective August 1, 2003

Chapter I Illinois Commerce Commission

Subchapter f Telephone Utilities

Part 710 Uniform System of Accounts for Telecommunications Carriers

83 Ill. Adm. Code 710.1438 Account 1438 Deferred Maintenance and Retirements (repealed)

History

• Source: Repealed at 27 Ill. Reg. 13360, effective August 1, 2003

83 Ill. Adm. Code 710.2000 Instructions for telecommunications plant accounts

a) Section 32.2000(d)(2)

1. In Section 32.2000(d)(2)(i), in the first sentence, delete "a representative list of which shall be prescribed by this Commission."

2. In Section 32.2000(d)(2)(i), delete the second sentence and replace with:

"Each company shall maintain a written property units listing for use in accounting for additions and retirements of telecommunications plant and apply the listing consistently."

b) Delete subsection 32.2000(e)(5) in its entirety.

c) In Section 32.2000(f)(2)(i), delete the last two sentences.

d) Delete Section 32.2000(f)(2)(ii) in its entirety.

e) In Section 32.2000(f)(3)(ii)(B), add the following language at the end of the subsection:

"The "unusual or special type of construction" refers to, but is not limited to, construction in an ecologically sensitive area, such as microwave station construction in a national park, and the installation of submarine cable."

f) In Section 32.2000(f)(7), insert "Accounting Manager of the" before "Commission".

g) To Section 32.2000(g)(2)(ii) add the following:

"After a carrier files a petition pursuant to 83 Ill Adm. Code 200 for approval of a depreciation rate, the Commission shall consider such factors as asset useful life, obsolescence (both ordinary and extraordinary), inadequacy of the asset, tax effects, interstate settlement effects, and the economic effects on ratepayers."

h) In Section 32.2000(h)(1), delete "Unless otherwise provided by this Commission, either through approval or upon prescription by this Commission."

History

• Source: Amended at 27 Ill. Reg. 13360, effective August 1, 2003

Chapter I Illinois Commerce Commission

Subchapter f Telephone Utilities

Part 710 Uniform System of Accounts for Telecommunications Carriers

83 Ill. Adm. Code 710.2002 Account 2002 Property Held for Future Telecommunications Use

In Section 32.2002(a), delete the following from the second sentence: "and report those amounts in reports filed with the Commission pursuant to 43.21(e)(1) and 43.21(e)(2) of this chapter".

History

• Source: Amended at 27 Ill. Reg. 13360, effective August 1, 2003

83 Ill. Adm. Code 710.2003 Account 2003 Telecommunications Plant Under Construction

In Section 32.2003 (c), delete the following phrase from the first sentence, "and report those amounts in reports filed with the Commission pursuant to 43.21(e)(1) and 43.21(e)(2) of this chapter".

History

• Source: Added at 27 Ill. Reg. 13360, effective August 1, 2003

83 Ill. Adm. Code 710.2231 Account 2231 Radio System (repealed)

History

• Source: Repealed at 27 Ill. Reg. 13360, effective August 1, 2003

83 Ill. Adm. Code 710.2232 Account 2232 Circuit Equipment

In Section 32.2232(f), delete "part 43" and replace with "Section 5-109"and delete "this Commission's Rules and Regulations" and replace with "the Public Utilities Act [220 ILCS 5/5-109]".

History

• Source: Amended at 27 Ill. Reg. 13360, effective August 1, 2003

83 Ill. Adm. Code 710.2690 Account 2690 Intangibles

In Section 32.2690(g), delete "taxes" and substitute "fees".

History

• Source: Amended at 27 Ill. Reg. 13360, effective August 1, 2003

83 Ill. Adm. Code 710.4000 Account 4000 Current accounts and notes payable

In Section 32.4000(d), delete "part 43" and replace with "Section 5-109"and delete "this Commission's Rules and Regulations" and replace with "the Public Utilities Act [220 ILCS 5/5-109]".

History

• Source: Added at 27 Ill. Reg. 13360, effective August 1, 2003

Chapter I Illinois Commerce Commission

Subchapter f Telephone Utilities

Part 710 Uniform System of Accounts for Telecommunications Carriers

83 Ill. Adm. Code 710.4010 Account 4010 Accounts Payable (repealed)

History

• Source: Repealed at 27 Ill. Reg. 13360, effective August 1, 2003

83 Ill. Adm. Code 710.4020 Account 4020 Notes Payable (repealed)

History

• Source: Repealed at 27 Ill. Reg. 13360, effective August 1, 2003

83 Ill. Adm. Code 710.4100 Account 4100 Net Current Deferred Operating Income Taxes

In Section 32.4100(e), delete "part 43" and replace with "Section 5-109" and delete "this Commission's Rules and Regulations" and replace with "the Public Utilities Act [220 ILCS 5/5-109]".

History

• Source: Amended at 27 Ill. Reg. 13360, effective August 1, 2003

83 Ill. Adm. Code 710.4110 Account 4110 Net current deferred nonoperating income taxes

In Section 32.4110(h), delete "part 43" and replace with "Section 5-109" and delete "this Commission's Rules and Regulations" and replace with "the Public Utilities Act [220 ILCS 5/5-109]".

History

• Source: Amended at 27 Ill. Reg. 13360, effective August 1, 2003

Chapter I Illinois Commerce Commission

Subchapter f Telephone Utilities

Part 710 Uniform System of Accounts for Telecommunications Carriers

83 Ill. Adm. Code 710.4340 Account 4340 Net Noncurrent Deferred Operating Income Taxes

In Section 32.4340(e), delete "part 43" and replace with "Section 5-109" and delete "this Commission's Rules and Regulations" and replace with "the Public Utilities Act [220 ILCS 5/5-109]".

History

• Source: Amended at 29 Ill. Reg. 14540, effective October 1, 2005

83 Ill. Adm. Code 710.4350 Account 4350 Net Noncurrent Deferred Nonoperating Income Taxes

In Section 32.4350(h), delete "part 43" and replace with "Section 5-109" and delete "this Commission's Rules and Regulations" and replace with "the Public Utilities Act [220 ILCS 5/5-109]".

History

• Source: Amended at 27 Ill. Reg. 13360, effective August 1, 2003

83 Ill. Adm. Code 710.4999 General Revenue Accounts

a) In Section 32.4999(f)(1), delete the first sentence and substitute the following:

Subsidiary record categories shall be maintained in order that the company may separately report revenues derived from charges imposed under intra-state tariffs which are to be segregated as to noncompetitive and competitive in the subsidiary record categories.

b) In Section 32.4999(f)(1), delete the second sentence.

c) In Section 32.4999(g)(4), add the following:

The Commission shall order subsidiary record categories when such record categories are necessary to provide an accurate base for decision-making, such as the requirement for segregation of revenues by taxing district.

d) In Section 32.4999(l), delete "Commission-approved" and replace with "Illinois".

History

• Source: Amended at 27 Ill. Reg. 13360, effective August 1, 2003

83 Ill. Adm. Code 710.5003 Account 5003 Cellular Mobile Revenue

Section 32.5003 is deleted in its entirety.

History

• Source: Added at 27 Ill. Reg. 13360, effective August 1, 2003

83 Ill. Adm. Code 710.5082 Account 5082 Switched Access Revenue

In Section 32.5082(b), delete "part 43" and replace with "Section 5-109" and delete "this Commission's Rules and Regulations" and replace with "the Public Utilities Act [220 ILCS 5/5-109]".

History

• Source: Amended at 27 Ill. Reg. 13360, effective August 1, 2003

83 Ill. Adm. Code 710.5083 Account 5083 Special Access Revenue

In Section 32.5083(b), delete "part 43" and replace with "Section 5-109" and delete "this Commission's Rules and Regulations" and replace with "the Public Utilities Act [220 ILCS 5/5-109]".

History

• Source: Amended at 27 Ill. Reg. 13360, effective August 1, 2003

83 Ill. Adm. Code 710.5200 Account 5200 Miscellaneous Revenue (repealed)

History

• Source: Repealed at 29 Ill. Reg. 14540, effective October 1, 2005

83 Ill. Adm. Code 710.5999 General – Expense Accounts (repealed)

History

• Source: Repealed at 27 Ill. Reg. 13360, effective August 1, 2003

83 Ill. Adm. Code 710.6540 Account 6540 Access Expense

In Section 32.6540(b), delete "part 43" and replace with "Section 5-109" and delete "this Commission's Rules and Regulations" and replace with "the Public Utilities Act [220 ILCS 5/5-109]".

History

• Source: Added at 27 Ill. Reg. 13360, effective August 1, 2003

83 Ill. Adm. Code 710.6620 Account 6620 Services (Repealed)

History

• Source: Repealed at 29 Ill. Reg. 14540, effective October 1, 2005

Chapter I Illinois Commerce Commission

Subchapter f Telephone Utilities

Part 710 Uniform System of Accounts for Telecommunications Carriers

83 Ill. Adm. Code 710.6720 Account 6720 General and Administrative

In Section 32.6720, add the following sentence:

"Subsidiary record categories shall be maintained in order that the company may separately report the amounts contained herein that relate to:

a) Executive and planning;

b) Executive;

c) Planning;

d) Accounting and finance;

e) External relations;

f) Human resources;

g) Information management;

h) Legal;

i) Procurement;

j) Research and development; and

k) Other general and administrative."

History

• Source: Added at 27 Ill. Reg. 13360, effective August 1, 2003

83 Ill. Adm. Code 710.7250 Account 7250 Provision for Deferred Operating Income Taxes – Net

In Section 32.7250(b), delete "part 43" and replace with "Section 5-5109" and delete "this Commission's Rules and Regulations" and replace with "the Public Utilities Act [220 ILCS 5/5-109]".

History

• Source: Amended at 27 Ill. Reg. 13360, effective August 1, 2003

83 Ill. Adm. Code 710.7400 Account 7400 Nonoperating Taxes

In Section 32.7400(j), delete "part 43" and replace with "Section 5-109" and delete "this Commission's Rules and Regulations" and replace with "the Public Utilities Act [220 ILCS 5/5-109]".

History

• Source: Added at 27 Ill. Reg. 13360, effective August 1, 2003

83 Ill. Adm. Code 710.7450 Account 7450 Provision for Deferred Nonoperating Income Taxes – Net

In Section 32.7450(b), delete the second sentence.

83 Ill. Adm. Code 710.9000 Glossary of Terms

a) In Section 32.9000, add "See Section 7-101 of The Public Utilities Act (Ill. Rev. Stat. 1985, ch. 111⅔, par. 7-101)" to the definition of "Affiliated companies."

b) In Section 32.9000, delete the definition "'Common carrier' or 'carrier.'"

c) In Section 32.9000, delete the second sentence of the definition of "'Company' or 'the company'" and add "See Sections 3-112 and 3-113 of The Public Utilities Act (Ill. Rev. Stat. 1985, ch. 111 ⅔, pars. 3-112 and 3-113)."

d) In Section 32.9000, delete the text of the definition of "Entity" and substitute "means any telecommunications carrier as defined in Section 13-202 of The Public Utilities Act (Ill. Rev. Stat. 1985, ch. 111 ⅔, par. 13-202)."

e) In Section 32.9000, delete the text of the definition of "Telecommunications" and substitute "means the same as the term is defined in Section 13-203 of The Public Utilities Act (Ill. Rev. Stat. 1985, ch. 111 ⅔, par. 13-203)."

Part 711 Cost Allocation for Large Local Exchange Carriers

83 Ill. Adm. Code 711.5 Application

a) This Part requires carriers subject to Section 711.5(b) to document in a cost allocation manual the procedures that will be followed in order to apportion intrastate costs between regulated and nonregulated activities. This Part applies only to those activities categorized as nonregulated in Illinois; it does not apply to those tariffed activities that have been classified as "competitive" by the Illinois Commerce Commission (Commission) (see Section 13-209 of the Public Utilities Act (Act) [220 ILCS 5/13-209]).

b) The provisions of this Part are applicable to local exchange carriers ("carriers") with operations in the State of Illinois that exceed 35,000 subscriber access lines in service, except that this Part shall apply to the services of an Electing Provider subject to Section 13-506.2(a)(1) of the Act and to competitive telecommunications rates and services only to the extent that the Commission requires that application, and provided that the telecommunications provider may use generally accepted accounting practices or the accounting systems it uses for financial reporting purposes.

c) Carriers shall update their cost allocation manuals at least annually, except that changes to the cost apportionment table in Section 711.105 and to the description of time reporting procedures in Section 711.107 shall be filed at the time of implementation. Cost allocation manuals shall be filed with the Chief Clerk of the Commission, with a copy to the Manager of Accounting, on or before the last working day of each calendar year. Each filing shall identify any specific variance from the prior filing.

History

• Source: Amended at 38 Ill. Reg. 13865, effective June 20, 2014

83 Ill. Adm. Code 711.10 Description of Nonregulated Activities

Each carrier is required to have on file with the Chief Clerk of the Commission a description of each nonregulated activity offered by the carrier. This description is to be included in the carrier's cost allocation manual. Nonregulated activities include those that:

a) Have never been subject to tariff regulation, except incidental activities, by either the Commission or the Federal Communications Commission (FCC); or

b) Have been preemptively detariffed in both jurisdictions by the FCC (e.g., customer premises equipment, enhanced services, and installation and maintenance of inside wiring).

History

• Source: Amended at 27 Ill. Reg. 12388, effective August 1, 2003

83 Ill. Adm. Code 711.15 Incidental Activities

a) This Part requires that cost allocation procedures reflect the existence of activities in each carrier that are accorded incidental accounting treatment and allowed to remain on the regulated books of the business. Each carrier is required to have on file with the Chief Clerk of the Commission a description of each activity that is accorded this treatment. This description is to be included in the carrier's cost allocation manual. "Incidental activities" include, but are not limited to, items such as land and building space rental, cable locating, and pole contact rental. (See 83 Ill. Adm. Code 710.14 and 710.23)

b) Incidental activities are activities that meet the following four conditions.

1. The activity is not a line of business;

2. The activity is an outgrowth of regulated operations;

3. There is little additional financial or business risk to the regulated operation in providing the activity, as determined by the effect on the capital investments and capital requirements; and

4. The activity utilizes an insubstantial commitment of investment or resources of the carrier, as determined by the capital investments and the service obligations of the carrier.

History

• Source: Amended at 27 Ill. Reg. 12388, effective August 1, 2003

83 Ill. Adm. Code 711.20 Corporate Organization

All carriers offering exchange and exchange access telecommunications services in Illinois are required to file with the Chief Clerk of the Commission a description of the carrier's corporate affiliates. This description is to be included in the carrier's cost allocation manual. Affiliates of the local exchange carriers in this context include any corporate entities, partnerships, or other forms of business organization in which there is some portion of ownership control. Filings with the Commission shall include a brief description of each entity, the conditions of ownership, and a chart of all entities.

History

• Source: Amended at 27 Ill. Reg. 12388, effective August 1, 2003

83 Ill. Adm. Code 711.25 Affiliate Transactions

a) The cost allocation procedures included in this Part specify the methodology to apportion costs between regulated and nonregulated activities. Each local exchange carrier shall file with the Chief Clerk of the Commission a description of the type of affiliate transactions that are either provided to regulated operations by nonregulated entities or to nonregulated entities by regulated operations (see Section 7-101 of the Act [220 ILCS 5/7-101]). This description is to be included in the carrier's cost allocation manual.

b) The filing shall include the following details for each affiliate transaction:

1. Type of transaction;

2. Billing provisions for each service or product provided categorized in one of three methods:

A) Market Rate: Using a price given in current market conditions where this price is determined in an arms length transaction;

B) Cost: Using the cost apportionment principles and standards included in this Part; or

C) Tariff: Using an established rate or charge that has been filed with the Commission;

3. Frequency of transactions.

c) Transactions between carriers and their affiliates are to be recorded on the carrier's books at market price, if market price can be determined from a price list or tariff. In the absence of a list or tariff price, assets transferred from the carrier to the nonregulated entity are to be recorded at the higher of the net book cost or fair market value, while assets transferred from the nonregulated entity to the company are to be recorded at the lower of net book cost or fair market value. Services for which there exists no list or tariff price are to be valued using fully distributed cost. See 83 Ill. Adm. Code 710.27.

History

• Source: Amended at 27 Ill. Reg. 12388, effective August 1, 2003

83 Ill. Adm. Code 711.100 Overview

The methodology presented in this Subpart is used to apportion costs to regulated and nonregulated activities in each local exchange carrier. The accounts included in the process are those included in 83 Ill Adm. Code 710 ("Part 710").

83 Ill. Adm. Code 711.105 Cost Apportionment

The cost allocation manual shall include a cost apportionment table for each account containing costs incurred in providing regulated services. The apportionment table shall include the cost pools by account, the procedures used to place costs into each cost pool, and the method used to apportion the costs within each cost pool between regulated and nonregulated activities.

History

• Source: Amended at 27 Ill. Reg. 12388, effective August 1, 2003

83 Ill. Adm. Code 711.107 Time Reporting Procedures

The cost allocation manual shall include a description of the time reporting procedures that the carrier uses, including the methods or studies designed to measure and allocate non-productive time.

History

• Source: Added at 27 Ill. Reg. 12388, effective August 1, 2003

83 Ill. Adm. Code 711.110 Cost and Allocation Definitions (repealed)

History

• Source: Repealed at 27 Ill. Reg. 12388, effective August 1, 2003

83 Ill. Adm. Code 711.115 Cost Pools (repealed)

History

• Source: Repealed at 27 Ill. Reg. 12388, effective August 1, 2003

83 Ill. Adm. Code 711.200 Cost Pool Apportionment Bases (repealed)

History

• Source: Repealed at 27 Ill. Reg. 12388, effective August 1, 2003

83 Ill. Adm. Code 711.205 Cost Pool Account Transaction Analysis (repealed)

History

• Source: Repealed at 27 Ill. Reg. 12388, effective August 1, 2003

83 Ill. Adm. Code 711.210 Analysis of Leased Assets (repealed)

History

• Source: Repealed at 27 Ill. Reg. 12388, effective August 1, 2003

83 Ill. Adm. Code 711.215 Analysis of Motor Vehicle Records (repealed)

History

• Source: Repealed at 27 Ill. Reg. 12388, effective August 1, 2003

83 Ill. Adm. Code 711.220 Analysis of Information Management Projects (repealed)

History

• Source: Repealed at 27 Ill. Reg. 12388, effective August 1, 2003

83 Ill. Adm. Code 711.225 Analysis of Research and Development Projects (repealed)

History

• Source: Repealed at 27 Ill. Reg. 12388, effective August 1, 2003

83 Ill. Adm. Code 711.230 Analysis of Purchase Records (repealed)

History

• Source: Repealed at 27 Ill. Reg. 12388, effective August 1, 2003

83 Ill. Adm. Code 711.235 Analysis of Tax Records (repealed)

History

• Source: Repealed at 27 Ill. Reg. 12388, effective August 1, 2003

83 Ill. Adm. Code 711.245 Computer Application Activity Analysis (repealed)

History

• Source: Repealed at 27 Ill. Reg. 12388, effective August 1, 2003

83 Ill. Adm. Code 711.250 Building/Floor Space Use Study (repealed)

History

• Source: Repealed at 27 Ill. Reg. 12388, effective August 1, 2003

83 Ill. Adm. Code 711.255 Direct Reporting (repealed)

History

• Source: Repealed at 27 Ill. Reg. 12388, effective August 1, 2003

83 Ill. Adm. Code 711.260 Flight Logs (repealed)

History

• Source: Repealed at 27 Ill. Reg. 12388, effective August 1, 2003

83 Ill. Adm. Code 711.265 Property Record Analysis (repealed)

History

• Source: Repealed at 27 Ill. Reg. 12388, effective August 1, 2003

83 Ill. Adm. Code 711.270 Relative Investment Value – Cost Pool Apportionment (repealed)

History

• Source: Repealed at 27 Ill. Reg. 12388, effective August 1, 2003

83 Ill. Adm. Code 711.275 Testing Activity Study (repealed)

History

• Source: Repealed at 27 Ill. Reg. 12388, effective August 1, 2003

83 Ill. Adm. Code 711.280 Regulated/Nonregulated Apportionment Bases (repealed)

History

• Source: Repealed at 27 Ill. Reg. 12388, effective August 1, 2003

83 Ill. Adm. Code 711.285 Account Transaction Analysis – Regulated/Nonregulated (repealed)

History

• Source: Repealed at 27 Ill. Reg. 12388, effective August 1, 2003

83 Ill. Adm. Code 711.290 Billing and Collection Study (repealed)

History

• Source: Repealed at 27 Ill. Reg. 12388, effective August 1, 2003

83 Ill. Adm. Code 711.305 Customer and Corporate Operations Wages and Salaries (repealed)

History

• Source: Repealed at 27 Ill. Reg. 12388, effective August 1, 2003

83 Ill. Adm. Code 711.309 Engineering Time Reporting (repealed)

History

• Source: Repealed at 27 Ill. Reg. 12388, effective August 1, 2003

83 Ill. Adm. Code 711.310 Engineering Wages and Salaries (repealed)

History

• Source: Repealed at 27 Ill. Reg. 12388, effective August 1, 2003

83 Ill. Adm. Code 711.315 General Allocator (repealed)

History

• Source: Repealed at 27 Ill. Reg. 12388, effective August 1, 2003

83 Ill. Adm. Code 711.320 Marketing Allocator (repealed)

History

• Source: Repealed at 27 Ill. Reg. 12388, effective August 1, 2003

83 Ill. Adm. Code 711.325 Network Plant Wages and Salaries (repealed)

History

• Source: Repealed at 27 Ill. Reg. 12388, effective August 1, 2003

83 Ill. Adm. Code 711.330 Plant Support Wages and Salaries (repealed)

History

• Source: Repealed at 27 Ill. Reg. 12388, effective August 1, 2003

83 Ill. Adm. Code 711.335 Projected Regulated/Nonregulated Shared Usage (repealed)

History

• Source: Repealed at 27 Ill. Reg. 12388, effective August 1, 2003

83 Ill. Adm. Code 711.340 Regulated/Nonregulated Actual Usage (repealed)

History

• Source: Repealed at 27 Ill. Reg. 12388, effective August 1, 2003

83 Ill. Adm. Code 711.345 Relative Investment Value – Regulated/Nonregulated (repealed)

History

• Source: Repealed at 27 Ill. Reg. 12388, effective August 1, 2003

83 Ill. Adm. Code 711.350 Relative Regulated/Nonregulated Pre-Tax Book Income (repealed)

History

• Source: Repealed at 27 Ill. Reg. 12388, effective August 1, 2003

83 Ill. Adm. Code 711.355 Relative Regulated/Nonregulated Revenues (repealed)

History

• Source: Repealed at 27 Ill. Reg. 12388, effective August 1, 2003

83 Ill. Adm. Code 711.360 Service Center Activity Study (repealed)

History

• Source: Repealed at 27 Ill. Reg. 12388, effective August 1, 2003

83 Ill. Adm. Code 711.365 Service Order Activity Analysis (repealed)

History

• Source: Repealed at 27 Ill. Reg. 12388, effective August 1, 2003

83 Ill. Adm. Code 711.370 Trouble Report Analysis (repealed)

History

• Source: Repealed at 27 Ill. Reg. 12388, effective August 1, 2003

83 Ill. Adm. Code 711.375 Total Company Wages and Salaries (repealed)

History

• Source: Repealed at 27 Ill. Reg. 12388, effective August 1, 2003

83 Ill. Adm. Code 711.1220 Account 1220 Materials and Supplies (repealed)

History

• Source: Repealed at 27 Ill. Reg. 12388, effective August 1, 2003

83 Ill. Adm. Code 711.1439 Account 1439 Deferred Charges (repealed)

History

• Source: Repealed at 27 Ill. Reg. 12388, effective August 1, 2003

83 Ill. Adm. Code 711.2002 Account 2002 Property Held for Future Telecommunications Use (repealed)

History

• Source: Repealed at 27 Ill. Reg. 12388, effective August 1, 2003

83 Ill. Adm. Code 711.2003 Account 2003 Telecommunications Plant Under Construction – Short Term (repealed)

History

• Source: Repealed at 27 Ill. Reg. 12388, effective August 1, 2003

83 Ill. Adm. Code 711.2004 Account 2004 Telecommunications Plant Under Construction – Long Term (repealed)

History

• Source: Repealed at 27 Ill. Reg. 12388, effective August 1, 2003

83 Ill. Adm. Code 711.2005 Account 2005 Telecommunications Plant Adjustment (repealed)

History

• Source: Repealed at 27 Ill. Reg. 12388, effective August 1, 2003

83 Ill. Adm. Code 711.2111 Account 2111 Land (repealed)

History

• Source: Repealed at 27 Ill. Reg. 12388, effective August 1, 2003

83 Ill. Adm. Code 711.2112 Account 2112 Motor Vehicles (repealed)

History

• Source: Repealed at 27 Ill. Reg. 12388, effective August 1, 2003

83 Ill. Adm. Code 711.2113 Account 2113 Aircraft (repealed)

History

• Source: Repealed at 27 Ill. Reg. 12388, effective August 1, 2003

83 Ill. Adm. Code 711.2114 Account 2114 Special Purpose Vehicles (repealed)

History

• Source: Repealed at 27 Ill. Reg. 12388, effective August 1, 2003

83 Ill. Adm. Code 711.2115 Account 2115 Garage Work Equipment (repealed)

History

• Source: Repealed at 27 Ill. Reg. 12388, effective August 1, 2003

83 Ill. Adm. Code 711.2116 Account 2116 Other Work Equipment (repealed)

History

• Source: Repealed at 27 Ill. Reg. 12388, effective August 1, 2003

83 Ill. Adm. Code 711.2121 Account 2121 Buildings (repealed)

History

• Source: Repealed at 27 Ill. Reg. 12388, effective August 1, 2003

83 Ill. Adm. Code 711.2122 Account 2122 Furniture (repealed)

History

• Source: Repealed at 27 Ill. Reg. 12388, effective August 1, 2003

83 Ill. Adm. Code 711.2123 Account 2123 Office Equipment (repealed)

History

• Source: Repealed at 27 Ill. Reg. 12388, effective August 1, 2003

83 Ill. Adm. Code 711.2124 Account 2124 General Purpose Computers (repealed)

History

• Source: Repealed at 27 Ill. Reg. 12388, effective August 1, 2003

83 Ill. Adm. Code 711.2211 Account 2211 Analog Electronic Switching (repealed)

History

• Source: Repealed at 27 Ill. Reg. 12388, effective August 1, 2003

83 Ill. Adm. Code 711.2212 Account 2212 Digital Electronic Switching (repealed)

History

• Source: Repealed at 27 Ill. Reg. 12388, effective August 1, 2003

83 Ill. Adm. Code 711.2215 Account 2215 Electro-Mechanical Switching (repealed)

History

• Source: Repealed at 27 Ill. Reg. 12388, effective August 1, 2003

83 Ill. Adm. Code 711.2220 Account 2220 Operator Systems (repealed)

History

• Source: Repealed at 27 Ill. Reg. 12388, effective August 1, 2003

83 Ill. Adm. Code 711.2231 Account 2231 Radio Systems (repealed)

History

• Source: Repealed at 27 Ill. Reg. 12388, effective August 1, 2003

83 Ill. Adm. Code 711.2232 Account 2232 Circuit Equipment (repealed)

History

• Source: Repealed at 27 Ill. Reg. 12388, effective August 1, 2003

83 Ill. Adm. Code 711.2311 Account 2311 Station Apparatus (repealed)

History

• Source: Repealed at 27 Ill. Reg. 12388, effective August 1, 2003

83 Ill. Adm. Code 711.2321 Account 2321 Customer Premises Wiring (repealed)

History

• Source: Repealed at 27 Ill. Reg. 12388, effective August 1, 2003

83 Ill. Adm. Code 711.2341 Account 2341 Large Private Branch Exchange (repealed)

History

• Source: Repealed at 27 Ill. Reg. 12388, effective August 1, 2003

83 Ill. Adm. Code 711.2351 Account 2351 Public Telephone Terminal Equipment (repealed)

History

• Source: Repealed at 27 Ill. Reg. 12388, effective August 1, 2003

83 Ill. Adm. Code 711.2362 Account 2362 Other Terminal Equipment (repealed)

History

• Source: Repealed at 27 Ill. Reg. 12388, effective August 1, 2003

83 Ill. Adm. Code 711.2411 Account 2411 Poles (repealed)

History

• Source: Repealed at 27 Ill. Reg. 12388, effective August 1, 2003

83 Ill. Adm. Code 711.2421 Account 2421 Aerial Cable (repealed)

History

• Source: Repealed at 27 Ill. Reg. 12388, effective August 1, 2003

83 Ill. Adm. Code 711.2422 Account 2422 Underground Cable (repealed)

History

• Source: Repealed at 27 Ill. Reg. 12388, effective August 1, 2003

83 Ill. Adm. Code 711.2423 Account 2423 Buried Cable (repealed)

History

• Source: Repealed at 27 Ill. Reg. 12388, effective August 1, 2003

83 Ill. Adm. Code 711.2424 Account 2424 Submarine Cable (repealed)

History

• Source: Repealed at 27 Ill. Reg. 12388, effective August 1, 2003

83 Ill. Adm. Code 711.2425 Account 2425 Deep Sea Cable (repealed)

History

• Source: Repealed at 27 Ill. Reg. 12388, effective August 1, 2003

83 Ill. Adm. Code 711.2426 Account 2426 Intrabuilding Network Cable (repealed)

History

• Source: Repealed at 27 Ill. Reg. 12388, effective August 1, 2003

83 Ill. Adm. Code 711.2431 Account 2431 Aerial Wire (repealed)

History

• Source: Repealed at 27 Ill. Reg. 12388, effective August 1, 2003

83 Ill. Adm. Code 711.2441 Account 2441 Conduit Systems (repealed)

History

• Source: Repealed at 27 Ill. Reg. 12388, effective August 1, 2003

83 Ill. Adm. Code 711.2681 Account 2681 Capital Leases (repealed)

History

• Source: Repealed at 27 Ill. Reg. 12388, effective August 1, 2003

83 Ill. Adm. Code 711.2682 Account 2682 Leasehold Improvements (repealed)

History

• Source: Repealed at 27 Ill. Reg. 12388, effective August 1, 2003

83 Ill. Adm. Code 711.2690 Account 2690 Intangibles (repealed)

History

• Source: Repealed at 27 Ill. Reg. 12388, effective August 1, 2003

83 Ill. Adm. Code 711.3100 Account 3100 Accumulated Depreciation (repealed)

History

• Source: Repealed at 27 Ill. Reg. 12388, effective August 1, 2003

83 Ill. Adm. Code 711.3200 Account 3200 Accumulated Depreciation – Held for Future Telecommunications Use (repealed)

History

• Source: Repealed at 27 Ill. Reg. 12388, effective August 1, 2003

83 Ill. Adm. Code 711.3410 Account 3410 Accumulated Amortization – Capitalized Leases (repealed)

History

• Source: Repealed at 27 Ill. Reg. 12388, effective August 1, 2003

83 Ill. Adm. Code 711.3420 Account 3420 Accumulated Amortization – Leasehold Improvements (repealed)

History

• Source: Repealed at 27 Ill. Reg. 12388, effective August 1, 2003

83 Ill. Adm. Code 711.3500 Account 3500 Accumulated Amortization – Intangibles (repealed)

History

• Source: Repealed at 27 Ill. Reg. 12388, effective August 1, 2003

83 Ill. Adm. Code 711.3600 Account 3600 Accumulated Amortization – Other (repealed)

History

• Source: Repealed at 27 Ill. Reg. 12388, effective August 1, 2003

83 Ill. Adm. Code 711.4100 Account 4100 Net Current Deferred Operating Income Tax (repealed)

History

• Source: Repealed at 27 Ill. Reg. 12388, effective August 1, 2003

83 Ill. Adm. Code 711.4340 Account 4340 Net Noncurrent Deferred Operating Income Tax (repealed)

History

• Source: Repealed at 27 Ill. Reg. 12388, effective August 1, 2003

83 Ill. Adm. Code 711.6112 Account 6112 Motor Vehicle Expense (repealed)

History

• Source: Repealed at 27 Ill. Reg. 12388, effective August 1, 2003

83 Ill. Adm. Code 711.6113 Account 6113 Aircraft Expense (repealed)

History

• Source: Repealed at 27 Ill. Reg. 12388, effective August 1, 2003

83 Ill. Adm. Code 711.6114 Account 6114 Special Purpose Vehicle Expense (repealed)

History

• Source: Repealed at 27 Ill. Reg. 12388, effective August 1, 2003

83 Ill. Adm. Code 711.6115 Account 6115 Garage Work Equipment Expense (repealed)

History

• Source: Repealed at 27 Ill. Reg. 12388, effective August 1, 2003

83 Ill. Adm. Code 711.6116 Account 6116 Other Work Equipment Expense (repealed)

History

• Source: Repealed at 27 Ill. Reg. 12388, effective August 1, 2003

83 Ill. Adm. Code 711.6121 Account 6121 Land and Building Expense (repealed)

History

• Source: Repealed at 27 Ill. Reg. 12388, effective August 1, 2003

83 Ill. Adm. Code 711.6122 Account 6122 Furniture and Artworks Expense (repealed)

History

• Source: Repealed at 27 Ill. Reg. 12388, effective August 1, 2003

83 Ill. Adm. Code 711.6123 Account 6123 Office Equipment Expense (repealed)

History

• Source: Repealed at 27 Ill. Reg. 12388, effective August 1, 2003

83 Ill. Adm. Code 711.6124 Account 6124 General Purpose Computers Expense (repealed)

History

• Source: Repealed at 27 Ill. Reg. 12388, effective August 1, 2003

83 Ill. Adm. Code 711.6211 Account 6211 Analog Electronic Expense (repealed)

History

• Source: Repealed at 27 Ill. Reg. 12388, effective August 1, 2003

83 Ill. Adm. Code 711.6212 Account 6212 Digital Electronic Expense (repaeled)

History

• Source: Repealed at 27 Ill. Reg. 12388, effective August 1, 2003

83 Ill. Adm. Code 711.6215 Account 6215 Electro-Mechanical Expense (repealed)

History

• Source: Repealed at 27 Ill. Reg. 12388, effective August 1, 2003

83 Ill. Adm. Code 711.6220 Account 6220 Operators System Expense (repealed)

History

• Source: Repealed at 27 Ill. Reg. 12388, effective August 1, 2003

83 Ill. Adm. Code 711.6231 Account 6231 Radio Systems Expense (repealed)

History

• Source: Repealed at 27 Ill. Reg. 12388, effective August 1, 2003

83 Ill. Adm. Code 711.6232 Account 6232 Circuit Equipment Expense (repealed)

History

• Source: Repealed at 27 Ill. Reg. 12388, effective August 1, 2003

83 Ill. Adm. Code 711.6311 Account 6311 Station Apparatus Expense (repealed)

History

• Source: Repealed at 27 Ill. Reg. 12388, effective August 1, 2003

83 Ill. Adm. Code 711.6341 Account 6341 Large Private Branch Exchange Expense (repealed)

History

• Source: Repealed at 27 Ill. Reg. 12388, effective August 1, 2003

83 Ill. Adm. Code 711.6351 Account 6351 Public Telephone Terminal Equipment Expense (repealed)

History

• Source: Repealed at 27 Ill. Reg. 12388, effective August 1, 2003

83 Ill. Adm. Code 711.6362 Account 6362 Other Terminal Equipment Expense (repealed)

History

• Source: Repealed at 27 Ill. Reg. 12388, effective August 1, 2003

83 Ill. Adm. Code 711.6411 Account 6411 Poles Expense (repealed)

History

• Source: Repealed at 27 Ill. Reg. 12388, effective August 1, 2003

83 Ill. Adm. Code 711.6421 Account 6421 Aerial Cable Expense (repealed)

History

• Source: Repealed at 27 Ill. Reg. 12388, effective August 1, 2003

83 Ill. Adm. Code 711.6422 Account 6422 Underground Cable Expense (repealed)

History

• Source: Repealed at 27 Ill. Reg. 12388, effective August 1, 2003

83 Ill. Adm. Code 711.6423 Account 6423 Buried Cable Expense (repealed)

History

• Source: Repealed at 27 Ill. Reg. 12388, effective August 1, 2003

83 Ill. Adm. Code 711.6424 Account 6424 Submarine Cable Expense (repealed)

History

• Source: Repealed at 27 Ill. Reg. 12388, effective August 1, 2003

83 Ill. Adm. Code 711.6425 Account 6425 Deep Sea Cable Expense (repealed)

History

• Source: Repealed at 27 Ill. Reg. 12388, effective August 1, 2003

83 Ill. Adm. Code 711.6426 Account 6426 Intrabuilding Network Cable Expense (repealed)

History

• Source: Repealed at 27 Ill. Reg. 12388, effective August 1, 2003

83 Ill. Adm. Code 711.6431 Account 6431 Aerial Wire Expense (repealed)

History

• Source: Repealed at 27 Ill. Reg. 12388, effective August 1, 2003

83 Ill. Adm. Code 711.6441 Account 6441 Conduit Systems Expense (repealed)

History

• Source: Repealed at 27 Ill. Reg. 12388, effective August 1, 2003

83 Ill. Adm. Code 711.6511 Account 6511 Property Held for Future Telecommunications Use Expense (repealed)

History

• Source: Repealed at 27 Ill. Reg. 12388, effective August 1, 2003

83 Ill. Adm. Code 711.6512 Account 6512 Provisioning Expense (repealed)

History

• Source: Repealed at 27 Ill. Reg. 12388, effective August 1, 2003

83 Ill. Adm. Code 711.6531 Account 6531 Power Expense (repealed)

History

• Source: Repealed at 27 Ill. Reg. 12388, effective August 1, 2003

83 Ill. Adm. Code 711.6532 Account 6532 Network Administration Expense (repealed)

History

• Source: Repealed at 27 Ill. Reg. 12388, effective August 1, 2003

83 Ill. Adm. Code 711.6533 Account 6533 Testing Expense (repealed)

History

• Source: Repealed at 27 Ill. Reg. 12388, effective August 1, 2003

83 Ill. Adm. Code 711.6534 Account 6534 Plant Operations Administrative Expense (repealed)

History

• Source: Repealed at 27 Ill. Reg. 12388, effective August 1, 2003

83 Ill. Adm. Code 711.6535 Account 6535 Engineering Expense (repealed)

History

• Source: Repealed at 27 Ill. Reg. 12388, effective August 1, 2003

83 Ill. Adm. Code 711.6540 Account 6540 Access Expense (repealed)

History

• Source: Repealed at 27 Ill. Reg. 12388, effective August 1, 2003

83 Ill. Adm. Code 711.6561 Account 6561 Depreciation Expense – Telecommunications Plant in Service (repealed)

History

• Source: Repealed at 27 Ill. Reg. 12388, effective August 1, 2003

83 Ill. Adm. Code 711.6562 Account 6562 Depreciation Expense – Property Held for Future Telecommunications Use (repealed)

History

• Source: Repealed at 27 Ill. Reg. 12388, effective August 1, 2003

83 Ill. Adm. Code 711.6563 Account 6563 Amortization Expense – Tangible (repealed)

History

• Source: Repealed at 27 Ill. Reg. 12388, effective August 1, 2003

83 Ill. Adm. Code 711.6564 Account 6564 Amortization Expense – Intangible (repealed)

History

• Source: Repealed at 27 Ill. Reg. 12388, effective August 1, 2003

83 Ill. Adm. Code 711.6565 Account 6565 Amortization Expense – Other (repealed)

History

• Source: Repealed at 27 Ill. Reg. 12388, effective August 1, 2003

83 Ill. Adm. Code 711.6611 Account 6611 Product Management Expense (repealed)

History

• Source: Repealed at 27 Ill. Reg. 12388, effective August 1, 2003

83 Ill. Adm. Code 711.6612 Account 6612 Sales Expense (repealed)

History

• Source: Repealed at 27 Ill. Reg. 12388, effective August 1, 2003

83 Ill. Adm. Code 711.6613 Account 6613 Product Advertising Expense (repealed)

History

• Source: Repealed at 27 Ill. Reg. 12388, effective August 1, 2003

83 Ill. Adm. Code 711.6621 Account 6621 Call Completion Services Expense (repealed)

History

• Source: Repealed at 27 Ill. Reg. 12388, effective August 1, 2003

83 Ill. Adm. Code 711.6622 Account 6622 Number Services Expense (repealed)

History

• Source: Repealed at 27 Ill. Reg. 12388, effective August 1, 2003

83 Ill. Adm. Code 711.6623 Account 6623 Customer Services Expenses (repealed)

History

• Source: Repealed at 27 Ill. Reg. 12388, effective August 1, 2003

83 Ill. Adm. Code 711.6711 Account 6711 Executive Expense (repealed)

History

• Source: Repealed at 27 Ill. Reg. 12388, effective August 1, 2003

83 Ill. Adm. Code 711.6712 Account 6712 Planning Expense (repealed)

History

• Source: Repealed at 27 Ill. Reg. 12388, effective August 1, 2003

83 Ill. Adm. Code 711.6721 Account 6721 Accounting and Finance Expense (repealed)

History

• Source: Repealed at 27 Ill. Reg. 12388, effective August 1, 2003

83 Ill. Adm. Code 711.6722 Account 6722 External Relations Expense (repealed)

History

• Source: Repealed at 27 Ill. Reg. 12388, effective August 1, 2003

83 Ill. Adm. Code 711.6723 Account 6723 Human Resources Expense (repealed)

History

• Source: Repealed at 27 Ill. Reg. 12388, effective August 1, 2003

83 Ill. Adm. Code 711.6724 Account 6724 Information Management Expense (repealed)

History

• Source: Repealed at 27 Ill. Reg. 12388, effective August 1, 2003

83 Ill. Adm. Code 711.6725 Account 6725 Legal Expense (repealed)

History

• Source: Repealed at 27 Ill. Reg. 12388, effective August 1, 2003

83 Ill. Adm. Code 711.6726 Account 6726 Procurement Expense (repealed)

History

• Source: Repealed at 27 Ill. Reg. 12388, effective August 1, 2003

83 Ill. Adm. Code 711.6727 Account 6727 Research and Development Expense (repealed)

History

• Source: Repealed at 27 Ill. Reg. 12388, effective August 1, 2003

83 Ill. Adm. Code 711.6728 Account 6728 Other General and Administrative Expense (repealed)

History

• Source: Repealed at 27 Ill. Reg. 12388, effective August 1, 2003

83 Ill. Adm. Code 711.6790 Account 6790 Provision for Uncollectible Notes Receivable (repealed)

History

• Source: Repealed at 27 Ill. Reg. 12388, effective August 1, 2003

83 Ill. Adm. Code 711.7110 Account 7110 Income from Custom Work (repealed)

History

• Source: Repealed at 27 Ill. Reg. 12388, effective August 1, 2003

83 Ill. Adm. Code 711.7130 Account 7130 Return from Nonregulated Use of Regulated Facilities (repealed)

History

• Source: Repealed at 27 Ill. Reg. 12388, effective August 1, 2003

83 Ill. Adm. Code 711.7140 Account 7140 Gains and Losses from Foreign Exchange (repealed)

History

• Source: Repealed at 26 Ill. Reg. 12388, effective August 1, 2003

83 Ill. Adm. Code 711.7150 Account 7150 Gains and Losses from the Distribution of Land and Artwork (repealed)

History

• Source: Repealed at 27 Ill. Reg. 12388, effective August 1, 2003

83 Ill. Adm. Code 711.7160 Account 7160 Other Operating Gains and Losses (repealed)

History

• Source: Repealed at 27 Ill. Reg. 12388, effective August 1, 2003

83 Ill. Adm. Code 711.7210 Account 7210 Operating Investment Tax Credits – Net (repealed)

History

• Source: Repealed at 27 Ill. Reg. 12388, effective August 1, 2003

83 Ill. Adm. Code 711.7220 Account 7220 Operating Federal Income Taxes (repealed)

History

• Source: Repealed at 27 Ill. Reg. 12388, effective August 1, 2003

83 Ill. Adm. Code 711.7230 Account 7230 Operating State and Local Income Taxes (repealed)

History

• Source: Repealed at 27 Ill. Reg. 12388, effective August 1, 2003

83 Ill. Adm. Code 711.7240 Account 7240 Operating Other Taxes (repealed)

History

• Source: Repealed at 27 Ill. Reg. 12388, effective August 1, 2003

83 Ill. Adm. Code 711.7250 Account 7250 Provision for Deferred Operating Income Taxes – Net (repealed)

History

• Source: Repealed at 27 Ill. Reg. 12388, effective August 1, 2003

83 Ill. Adm. Code 711.7350 Account 7350 Gains or Losses from the Disposition of Certain Property (repealed)

History

• Source: Repealed at 27 Ill. Reg. 12388, effective August 1, 2003

83 Ill. Adm. Code 711.7370 Account 7370 Special Charges (repealed)

History

• Source: Repealed at 27 Ill. Reg. 12388, effective August 1, 2003

83 Ill. Adm. Code 711.7400 Account 7400 Nonoperating Taxes (repealed)

History

• Source: Repealed at 27 Ill. Reg. 12388, effective August 1, 2003

83 Ill. Adm. Code 711.7510 Account 7510 Interest on Funded Debt (repealed)

History

• Source: Repealed at 27 Ill. Reg. 12388, effective August 1, 2003

83 Ill. Adm. Code 711.7520 Account 7520 Interest Expense – Capital Leases (repealed)

History

• Source: Repealed at 27 Ill. Reg. 12388, effective August 1, 2003

83 Ill. Adm. Code 711.7530 Account 7530 Amortization of Debt Issuance Expense (repealed)

History

• Source: Repealed at 27 Ill. Reg. 12388, effective August 1, 2003

83 Ill. Adm. Code 711.7540 Account 7540 Other Interest Deductions (repealed)

History

• Source: Repealed at 27 Ill. Reg. 12388, effective August 1, 2003

83 Ill. Adm. Code 711.7610 Account 7610 Extraordinary Income Credits (repealed)

History

• Source: Repealed at 27 Ill. Reg. 12388, effective August 1, 2003

83 Ill. Adm. Code 711.7620 Account 7620 Extraordinary Income Charges (repealed)

History

• Source: Repealed at 27 Ill. Reg. 12388, effective August 1, 2003

83 Ill. Adm. Code 711.7630 Account 7630 Current Income Tax Effects of Extraordinary Items – Net (repealed)

History

• Source: Repealed at 27 Ill. Reg. 12388, effective August 1, 2003

83 Ill. Adm. Code 711.7640 Account 7640 Provision for Deferred Income Tax Effect of Extraordinary Items – Net (repealed)

History

• Source: Repealed at 27 Ill. Reg. 12388, effective August 1, 2003

83 Ill. Adm. Code 711.8000 Audit Requirement

a) Carriers shall conduct biennial internal audits, or have internal audits conducted by independent public accountants, of the accounting for the business other than public utility business. These audits shall test compliance with this Part, with any applicable Commission orders, and with 83 Ill. Adm. Code 710. The audits shall include written reports of conclusions and associated workpapers that shall be available to the Commission Staff for review. The audit reports shall be submitted to the Commission’s Manager of Accounting within 30 days after completion.

b) The initial audit shall be performed in the calendar year following the calendar year in which the carrier is first required to file a cost allocation manual. The initial audit shall be submitted to the Accounting Manager of the Commission on or before December 1 of that year. Succeeding audit reports shall be submitted to the Manager of Accounting of the Commission on or before December 1 of each succeeding even numbered year.

History

• Source: Added at 27 Ill. Reg. 12388, effective August 1, 2003

Chapter I Illinois Commerce Commission

Subchapter f Telephone Utilities

Part 711 Cost Allocation for Large Local Exchange Carriers

83 Ill. Adm. Code 711.8005 Waivers

a) If the FCC requires a carrier to submit a cost allocation manual in compliance with 47 CFR 64.903 or compliance plan, then the carrier shall file the manual or compliance plan with the Chief Clerk of the Commission with a copy to the Manager of Accounting. The filing will result in compliance with Subparts A through D.

b) If the FCC requires a carrier to have an attest engagement or financial audit conducted in compliance with 47 CFR 64.904 or annual certification in compliance with 47 USC Section 254(k), Subsidy of Competitive Services Prohibited, then the carrier shall file the report or annual certification from such engagement or audit with the Manager of Accounting within 30 days after completion, provided the report or annual certification is required by the Commission. The associated workpapers shall be available to the Commission Staff for review. This audit report or annual certification submission shall result in compliance with Section 711.8000.

History

• Source: Amended at 38 Ill. Reg. 13865, effective June 20, 2014

Part 712 Cost Allocation for Small Local Exchange Carriers

83 Ill. Adm. Code 712.5 Application

a) This Part specifies the procedures that will be followed in order to apportion intrastate costs between regulated and nonregulated activities. This Part applies only to those activities categorized as nonregulated in Illinois; it does not apply to those tariffed activities that have been classified as "competitive" by the Illinois Commerce Commission (Commission). (See Section 13-209 of the Public Utilities Act (Act) [220 ILCS 5/13-209].)

b) The provisions of this Part are applicable to local exchange carriers ("carriers") with operations in the State of Illinois having no more than 35,000 subscriber access lines in service, except that this Part shall apply to the services of an Electing Provider subject to Section 13-506.2(a)(1) of the Act and to competitive telecommunications rates and services only to the extent that the Commission requires that application, and provided that the telecommunications provider may use generally accepted accounting practices or the accounting systems it uses for financial reporting purposes. These carriers have diverse accounting, time reporting, and other recordkeeping systems such that records and statistics are not obtainable by all such carriers. Therefore, it is understood that not all cost pools listed in this Part must be populated. If, however, a greater degree of cost causative cost assignment is achieved, greater disaggregation of cost pools than is specified in this Part is acceptable.

c) If the Federal Communications Commission (FCC) requires a carrier to vary from the provisions of this Part, or if modification of this Part is required to conform to separations requirements or the mirroring of access charge determination, the carrier shall keep a listing at the carrier's headquarters and available to Commission Staff, upon request, identifying the specific variances.

History

• Source: Amended at 38 Ill. Reg. 12022, effective May 29, 2014

83 Ill. Adm. Code 712.10 Description of Nonregulated Activities

Each carrier is required to have on file at the carrier's headquarters and available to Commission Staff, upon request, a description of each nonregulated activity offered. Nonregulated activities include those that:

a) Have never been subject to tariff regulation, except incidental activities, by either the Commission or the FCC; or

b) Have been preemptively detariffed in both jurisdictions by the FCC (e.g., customer premises equipment, enhanced services, and installation and maintenance of inside wiring).

History

• Source: Amended at 27 Ill. Reg. 12489, effective August 1, 2003

83 Ill. Adm. Code 712.15 Incidental Activities

a) This Part requires that cost allocation procedures reflect the existence of activities in each carrier that are accorded incidental accounting treatment and allowed to remain on the regulated books of the business. Each carrier is required to have on file at the carrier's headquarters and available to Commission Staff upon request a description of each activity that is accorded this treatment. "Incidental activities" include, but are not limited to, items such as land and building space rental, cable locating, and pole contact rental. (See 83 Ill. Adm. Code 710.14 and 710.23.)

b) Incidental activities are those that meet the following four conditions.

1. The activity is not a line of business;

2. The activity is an outgrowth of regulated operations;

3. There is little additional financial or business risk to the regulated operation in providing the activity, as determined by the effect on the capital investments and requirements; and

4. The activity utilizes an insubstantial commitment of investment or resources of the carrier, as determined by the capital investments and the service obligations of the carrier.

History

• Source: Amended at 27 Ill. Reg. 12489, effective August 1, 2003

83 Ill. Adm. Code 712.20 Corporate Organization

All carriers offering exchange and exchange access telecommunications services in Illinois are required to have on file at the carrier's headquarters and available to Commission Staff upon request a description of the carrier's corporate affiliates (See Section 7-101 of the Act [220 ILCS 5/7-101].). The file shall include a brief description of each affiliate, the conditions of ownership, and a chart of all affiliates.

History

• Source: Amended at 27 Ill. Reg. 12489, effective August 1, 2003

83 Ill. Adm. Code 712.25 Affiliate Transactions

a) The cost allocation procedures included in this Part specify the methodology to apportion costs between regulated and nonregulated activities. Each local exchange carrier shall have on file at the carrier's headquarters and available to Commission Staff, upon request, a description of the type of affiliate transactions that are either provided to regulated operations by nonregulated entities or to nonregulated entities by regulated operations. (See Section 7-101 of the Act.)

b) The filing shall include the following details for each affiliate transaction:

1. Type of transaction;

2. Billing provisions for each service or product provided categorized in one of three methods:

A) Market Rate: Using a price given in current market conditions where this price is determined in an arms length transaction;

B) Cost: Using the cost apportionment principles and standards included in this Part; or

C) Tariff: Using an established rate or charge that has been filed with the Commission;

3. Frequency of transactions.

c) Transactions between carriers and their affiliates are to be recorded on the carrier's books at market price, if market price can be determined from a price list or tariff. In the absence of a list or tariff price, assets transferred from the carrier to the nonregulated entity are to be recorded at the higher of the net book cost or fair market value, while assets transferred from the nonregulated entity to the company are to be recorded at the lower of net book cost or fair market value. Services for which there exists no list or tariff price are to be valued using fully distributed cost. (See 83 Ill. Adm. Code 710.27.)

History

• Source: Amended at 27 Ill. Reg. 12489, effective August 1, 2003

83 Ill. Adm. Code 712.100 Overview

The methodology presented in this Subpart is used to apportion costs to regulated and nonregulated activities in each local exchange carrier. The accounts included in the process are those included in 83 Ill Adm. Code 710 ("Part 710").

83 Ill. Adm. Code 712.105 Cost Apportionment

The cost apportionment methodology is presented in Subpart E. Subpart E is organized as follows:

a) Heading of Sections: Part 710 account number and description which is to be apportioned (see 83 Ill. Adm. Code 710).

b) Cost Pools. Cost pool(s) into which the account is apportioned.

c) Cost Pool Apportionment Basis: Method for apportioning the account into the specified cost pools (see Section 712.200).

d) Regulated/Nonregulated Apportionment Basis: Method for apportioning the defined cost pools into a regulated and nonregulated component (see Section 712.280).

e) Cost Definition: Characteristics of the costs apportioned to regulated and nonregulated services (see Section 712.110).

f) Comments: Additional narrative included as appropriate to explain the methodology.

83 Ill. Adm. Code 712.110 Cost and Allocation Definitions

a) The costs which are apportioned to regulated and nonregulated activities through this Part are defined in four categories:

1. Directly Assignable: Expenses or investments which are incurred for the exclusive use of either regulated or nonregulated activities.

2. Directly Attributable: Expenses or investments which are incurred for both regulated and nonregulated activities but which can be distributed to each using direct measures of cost causation or usage.

3. Indirectly Attributable: Expenses or investments which are incurred for both regulated and nonregulated activities and which must be apportioned on the basis of indirect measures of cost causation.

4. Unattributable: Expenses or investments which are shared by both regulated and nonregulated activities and for which no direct or indirect measures of cost causation can be used to apportion costs.

b) The following definitions are used in the description of cost allocation methodologies:

1. Cost Pool: A homogenous group of costs which have a unique cost determinant.

2. Cost Pool Equals Account: The entire account balance forms a single cost pool.

3. General Allocator: The ratio of all expenses directly assigned or attributed to regulated and nonregulated activities.

83 Ill. Adm. Code 712.115 Cost Pools

a) Where the apportionment of costs to regulated and nonregulated activities cannot be determined through the nature of the Part 710 Account, cost pools are defined to permit this analysis. Cost pools represent a homogenous group of costs that have a unique cost determinant.

b) This Part specifies the minimum level of cost pool detail required to distinguish the costs of regulated and nonregulated services. Each local exchange carrier may utilize additional detailed cost pools as appropriate in order to improve the regulated and nonregulated apportionment process. Where detailed cost pools not specified in this Part are used by a carrier, it must file with the Manager of Accounting of the Commission detailed information in the format outlined in Subpart E that identifies the basis of the cost pool apportionment and the subsequent regulated/nonregulated apportionment basis. Any reasons and justification for the deviation shall be stated in the comments or attached.

c) Where accounting systems and procedures of a local exchange carrier do not allow disaggregation of costs to particular pools specified by this Part, such cost pools need not be populated.

History

• Source: Amended at 27 Ill. Reg. 12489, effective August 1, 2003

83 Ill. Adm. Code 712.200 Cost Pool Apportionment Bases

Where a specific Part 710 Account must be subdivided to permit a causally-based apportionment, Subpart E specifies the basis by which the account is apportioned into multiple cost pools. Sections 712.205 through 712.275 outline each of these bases and provide a cross-reference to the specific accounts in Subpart E where the method is employed.

83 Ill. Adm. Code 712.205 Cost Pool Account Transaction Analysis

a) Several of the Part 710 Accounts include costs whose characteristics can only be defined through the direct analysis of the transactions and are classified into either a regulated, nonregulated, or shared cost pool.

b) Account transaction analysis is used to apportion the following accounts into cost pools:

Account 1438 Deferred Maintenance and Retirements

Account 2690 Intangibles

Account 6510 Other Property, Plant and Equipment Expenses

Account 6530 Network Operations Expense

Account 6610 Marketing

Account 6620 Services

Account 6720 General and Administrative

Account 7100 Other Operating Income and Expenses

Account 7200 Operating Taxes

Account 7500 Interest and Related Items

Account 7600 Extraordinary Items

History

• Source: Amended at 27 Ill. Reg. 12489, effective August 1, 2003

83 Ill. Adm. Code 712.210 Analysis of Leased Assets

a) The capital leases and leasehold improvements of each local exchange carrier are classified into three cost pools: Regulated, Nonregulated, and Other. This analysis is completed through the use of existing company property and lease records. The costs of any leases exclusively used for either regulated or nonregulated services are assigned directly to the appropriate cost pool. All other leases are assigned to the Other Cost Pool by major asset category.

b) The lease and leasehold analysis process is used to apportion Account 2680 Amortizable Tangible Assets.

83 Ill. Adm. Code 712.215 Analysis of Motor Vehicle Records

An annual analysis of motor vehicle records is to be made in order to apportion the investment in Account 2110 into two cost pools:

a) Plant

b) Customer and Corporate Operations

History

• Source: Amended at 27 Ill. Reg. 12489, effective August 1, 2003

83 Ill. Adm. Code 712.235 Analysis of Tax Records

The tax records of the local exchange carrier are analyzed to apportion Account 7200 Operating Taxes into the defined cost pools. The cost pools are defined by major asset category in a manner that reflects how investment credits are generated.

History

• Source: Amended at 27 Ill. Reg. 12489, effective August 1, 2003

83 Ill. Adm. Code 712.245 Computer Application Activity Analysis

a) An analysis of the company's computer application records is to be completed, not less frequently than annually, in order to apportion Account 2110 Land and Support Assets into three cost pools:

1. Regulated;

2. Nonregulated; and

3. Shared Functional Operations.

b) In this analysis the costs of applications undertaken exclusively for either regulated or nonregulated services are assigned directly to the appropriate cost pool. Costs of applications that are functional in nature and are shared by regulated and nonregulated services are assigned to the Shared cost pool.

History

• Source: Amended at 27 Ill. Reg. 12489, effective August 1, 2003

83 Ill. Adm. Code 712.250 Building/Floor Space Use Study

Local exchange carrier property records and building usage analyses contain information on the functions that use the productive space (space used for the provision of telecommunications services or the generation of revenue) in the company's building investment on either a detailed or summary location basis. This usage data is used to apportion Account 2110 into three cost pools:

a) Central Office;

b) Plant Support; and

c) Customer and Corporate Operations.

History

• Source: Amended at 27 Ill. Reg. 12489, effective August 1, 2003

83 Ill. Adm. Code 712.255 Direct Reporting

a) The operational and accounting systems of the local exchange carrier support the direct identification of costs to cost pools through the use of functionally based reporting codes. These codes are assigned to specific work activities and subsequently related to specific cost pools. Employees may also report to these codes through time reporting procedures.

b) The direct reporting of functionally based codes is used to identify selected cost pools in the following accounts:

Account 1220 Inventories

Account 2210 Central Office Switching

Account 2220 Operator Systems

Account 2230 Central Office Transmission

Account 2310 Information Origination/Termination

Account 2410 Cable and Wire Facilities

Account 5300 Uncollectible Revenue

Account 6310 Information Origination/Termination Expense

Account 6540 Access Expense

History

• Source: Amended at 27 Ill. Reg. 12489, effective August 1, 2003

83 Ill. Adm. Code 712.260 Flight Logs

a) Flight logs maintained of all aircraft usage by the local exchange carrier are used to classify the investment in Account 2110 into three cost pools: Regulated, Nonregulated, and Shared.

b) Flight logs are completed by the originator of the flight and the pilot. They provide details of the purpose of the flight, the organization using the aircraft, and the determination of whether the purpose of the flight was exclusively for regulated or nonregulated purposes. Where the aircraft usage cannot be clearly identified as either regulated or nonregulated, the residual investment and associated expenses are assigned to the Shared Cost Pool.

History

• Source: Amended at 27 Ill. Reg. 12489, effective August 1, 2003

83 Ill. Adm. Code 712.265 Property Record Analysis

a) The property records of the company facilitate the disaggregation of the account so that direct assignment to regulated and nonregulated services can be maximized. In many cases, investment which is dedicated to the regulated and nonregulated services can be identified through these records or through unique subaccounts.

b) The details in a company's property records or subaccounts are used to apportion the following accounts into cost pools:

Account 2210 Central Office Switching

Account 2220 Operators Systems

Account 2230 Central Office – Transmission

Account 2310 Information Origination/Termination

Account 2410 Cable and Wire Facilities

83 Ill. Adm. Code 712.270 Relative Value – Cost Pool Apportionment

a) The reference to relative value as the basis for the cost pool apportionment indicates that a proportional relationship of an investment category to a larger pool of investment is used to determine the cost pool balance.

b) The relative value of the related buildings investments is used to apportion Account 2110 Land and Support Assets into three cost pools.

History

• Source: Amended at 27 Ill. Reg. 12489, effective August 1, 2003

83 Ill. Adm. Code 712.280 Regulated/Nonregulated Apportionment Bases

Cost pools are defined to be homogenous groups of costs which share a causal relationship. Many cost pools can be directly assigned to either regulated or nonregulated activities. Where a cost pool cannot be directly assigned to either regulated or nonregulated service, a further apportionment is required. Sections 712.285 through 712.375 outline each of these bases and provide a cross-reference to the specific accounts in Subpart E where the method is employed.

83 Ill. Adm. Code 712.285 Account Transaction Analysis – Regulated/Nonregulated

a) Several of the cost pools consist of costs whose regulated and nonregulated characteristics can only be defined through the direct analysis of transactions during the period. Direct analysis of an account requires an examination and review of the transactions made into the account to determine the proper categorization of the expenditures as to the regulated, nonregulated, or shared cost pools.

b) Account transaction analysis is used to apportion selected cost pools to regulated and nonregulated activities in the following accounts.

Account 1438 Deferred Maintenance and Retirements

Account 2002 Property Held for Future Telecommunications Use

Account 2003 Telecommunications Plant Under Construction

Account 2005 Telecommunications Plant Adjustment

Account 2006 Nonoperating Plant

Account 2007 Goodwill

Account 4100 Net Current Deferred Operating Income Taxes

Account 4340 Net Noncurrent Deferred Operating Income Taxes

Account 5300 Uncollectible Revenue

Account 6790 Provision for Uncollectible Notes Provision

Account 7100 Other Operating Income and Expense

Account 7200 Operating Taxes

Account 7300 Nonoperating Income and Expense

Account 7400 Nonoperating Taxes

Account 7600 Extraordinary Items

c) Uncollectible revenues. Account 5300 Uncollectible Revenues, associated with furnishing regulated services, will be directly assigned to regulated activities. Uncollectible revenues associated with nonregulated activities will be directly assigned to nonregulated activities and specifically identified in a nonregulated subsidiary record category.

History

• Source: Amended at 27 Ill. Reg. 12489, effective August 1, 2003

83 Ill. Adm. Code 712.290 Billing and Collection Study

A study, completed at least annually, is required to apportion customer billing and collection costs to regulated and nonregulated activities. This study is used to apportion selected cost pools in Account 6620 Services. This study shall distinguish the nonregulated proportion of the key determinants of customer billing and collection: messages or billing units and lines of billing.

83 Ill. Adm. Code 712.305 Customer and Corporate Operations Wages and Salaries

a) Customer and corporate operations wages and salaries are used as the indirect basis for apportioning selected cost pools between regulated and nonregulated activities where these wages and salaries are the primary determinant of cost behavior.

b) Customer and corporate operations wages and salaries are used to apportion selected cost pools in the following account:

Account 2110 Land and Support Assets

History

• Source: Amended at 27 Ill. Reg. 12489, effective August 1, 2003

83 Ill. Adm. Code 712.315 General Allocator

a) This Part prescribes the use of a general allocator to apportion those costs pools for which no direct or indirect measures of cost causation are available.

b) Selected cost pools in the following accounts are apportioned using the general allocator:

Account 1438 Deferred Maintenance and Retirements

Account 2110 Land and Support Assets

Account 2690 Intangibles

Account 6510 Other Property, Plant and Equipment Expenses

Account 6720 General and Administration

Account 7300 Nonoperating Income and Expense

History

• Source: Amended at 27 Ill. Reg. 12489, effective August 1, 2003

83 Ill. Adm. Code 712.320 Marketing Allocator

a) The marketing allocator is used to apportion those cost pools of marketing expenses for which measures of cost behavior cannot be identified. The marketing allocator is equal to the ratio of direct assignments and attributions of marketing costs.

b) The marketing allocator is used to apportion marketing expenses in selected cost pools in Account 6610 Marketing.

83 Ill. Adm. Code 712.335 Projected Regulated/Nonregulated Shared Usage

a) The costs of network investment which is shared by both regulated and nonregulated services are normally recovered on the basis of tariff rates. Any shared investment which is not utilized at tariff rates is apportioned on the basis of peak projected nonregulated usage.

b) The forecasting process is completed annually for each cost pool and uses a three year forecasting period. During each forecast, the highest level of forecast nonregulated usage is determined and used to apportion the costs of investment. When the tracking process identifies a variance between forecast and actual usage, a reconciliation shall be required. If actual nonregulated usage has been greater than the cumulative forecast, additional investment is to be transferred from the regulated activities.

c) The forecasting of usage is the basis for the apportionment of the Shared Cost Pools in the following accounts.

Account 2210 Central Office Switching

Account 2220 Operator Systems

Account 2230 Central Office Transmission

Account 2410 Cable and Wire Facilities

83 Ill. Adm. Code 712.345 Relative Investment Value – Regulated/Nonregulated

a) The reference to relative investment value as the basis for the regulated and nonregulated apportionment indicates that the proportional relationship of the regulated and nonregulated investment in a specific investment category (e.g., Central Office) is used to determine the regulated and nonregulated balances in the cost pool apportioned.

b) Relative investment value is used to apportion selected cost pools to regulated and nonregulated activities. The specific measures used for each account apportionment are outlined in Subpart E:

Account 1220 Inventories

Account 2110 Land and Support Assets

Account 3100 Accumulated Depreciation

Account 3200 Accumulated Depreciation – Held for Future Telecommunications Use

Account 3300 Accumulated Depreciation – Nonoperating

Account 3410 Accumulated Amortization – Capitalized Leases

Account 6110 Network Support Expenses

Account 6120 General Support Expenses

Account 6210 Central Office Switching Expense

Account 6220 Operations System Expense

Account 6230 Central Office Transmission Expenses

Account 6310 Information Origination/Termination Expenses

Account 6410 Cable and Wire Facilities Expenses

Account 6510 Other Property, Plant and Equipment Expenses

Account 6530 Network Operations Expense

Account 6560 Depreciation and Amortization Expenses

Account 7200 Operating Taxes

Account 7500 Interest and Related Items

History

• Source: Amended at 27 Ill. Reg. 12489, effective August 1, 2003

83 Ill. Adm. Code 712.350 Relative Regulated/Nonregulated Pre-Tax Book Income

Certain of the tax accounts of each company reflect taxes that are calculated on the basis of pre-tax book income. This measure, therefore, is used to apportion the cost pools to regulated and nonregulated activities. The account in which selected costs pools use this basis is:

Account 7200 Operating Taxes

History

• Source: Amended at 27 Ill. Reg. 12489, effective August 1, 2003

83 Ill. Adm. Code 712.355 Relative Regulated/Nonregulated Revenues

One cost pool specified in this Part reflects the gross receipt taxes paid by each company. The appropriate apportionment measure for the Gross Receipts cost pool in Account 7200 Operating Taxes is relative to the nature of the revenue on which the tax or fee is applied.

History

• Source: Amended at 27 Ill. Reg. 12489, effective August 1, 2003

83 Ill. Adm. Code 712.360 Time Reporting

Certain cost pools in Account 6610 Marketing are apportioned to regulated and nonregulated based on reported time. If the time required to perform the function is generally less than the carrier's time reporting increment, a survey method may be used to provide the apportionment.

83 Ill. Adm. Code 712.365 Service Order Activity Analysis

An analysis of work activities by job classification or functional area and/or studies of work output must be made by the carrier to determine the apportionment to regulated and nonregulated expenses of the certain cost pool in the following accounts:

Account 6610 Marketing

Account 6620 Services

83 Ill. Adm. Code 712.370 Analysis of Advertising Expense

An analysis of advertising expense shall be conducted to identify the product or service promoted. This analysis is used to determine the apportionment of the product advertising cost pool in Account 6610 Marketing between regulated and nonregulated expenses.

83 Ill. Adm. Code 712.375 Total Company Wages and Salaries

a) Total regulated and nonregulated wages and salaries for each local exchange carrier are used as the indirect basis for apportioning selected cost pools where total wages and salaries are the primary determinant of cost behavior.

b) Total wages and salaries are used to apportion selected cost pools in the following accounts:

Account 1438 Deferred Maintenance and Retirements

Account 2110 Land and Support Assets

Account 7200 Operating Taxes

History

• Source: Amended at 27 Ill. Reg. 12489, effective August 1, 2003

83 Ill. Adm. Code 712.1220 Account 1220 Inventories

a) Regulated cost pool

1. Cost Pool Apportionment Basis: Direct reporting

2. Regulated/Nonregulated Apportionment Basis: Directly assigned to Regulated

3. Cost Definition: Directly assignable

b) Nonregulated cost pool

1. Cost Pool Apportionment Basis: Direct reporting

2. Regulated/Nonregulated Apportionment Basis: Directly assigned to Nonregulated

3. Cost Definition: Directly assignable

c) Other cost pool

1. Cost Pool Apportionment Basis: Residual of account

2. Regulated/Nonregulated Apportionment Basis: Relative value: Telecommunications plant investment

3. Cost Definition: Indirectly attributable

History

• Source: Amended at 27 Ill. Reg. 12489, effective August 1, 2003

83 Ill. Adm. Code 712.1438 Account 1438 Deferred Maintenance and Retirements

a) Contemplated construction and projects cost pool

1. Cost Pool Apportionment Basis: Account transaction analysis

2. Regulated/Nonregulated Apportionment Basis: Directly assignable based on transaction analysis

3. Cost Definition: Directly assignable

b) Compensated absences cost pool

1. Cost Pool Apportionment Basis: Account transaction analysis

2. Regulated/Nonregulated Apportionment Basis: Total company wages and salaries

3. Cost Definition: Indirectly attributable

c) Equal access cost pool

1. Cost Pool Apportionment Basis: Account transaction analysis

2. Regulated/Nonregulated Apportionment Basis: Directly assigned to Regulated

3. Cost Definition: Directly assignable

d) Other cost pool

1. Cost Pool Apportionment Basis: Account transaction analysis

2. Regulated/Nonregulated Apportionment Basis: General Allocator

3. Cost Definition: Unattributable

History

• Source: Added at 27 Ill. Reg. 12489, effective August 1, 2003

83 Ill. Adm. Code 712.1439 Account 1439 Deferred Charges (repealed)

History

• Source: Repealed at 27 Ill. Reg. 12489, effective August 1, 2003

83 Ill. Adm. Code 712.2002 Account 2002 Property Held for Future Telecommunications Use

a) Cost Pool: Same as Account

b) Cost Pool Apportionment Basis: Cost pool equals Account

c) Regulated/Nonregulated Apportionment Basis: Account transaction analysis

d) Cost Definition: Directly assignable

e) Comments: Assigned in accordance with planned use of assets.

83 Ill. Adm. Code 712.2003 Account 2003 Telecommunications Plant Under Construction

a) Cost Pool: Same as Account

b) Cost Pool Apportionment Basis: Cost pool equals Account

c) Regulated/Nonregulated Apportionment Basis: Account transaction analysis

d) Cost Definition: Directly assignable

e) Comments: An analysis of construction activity will be performed and apportionment will be in accordance with planned use of assets.

History

• Source: Amended at 27 Ill. Reg. 12489, effective August 1, 2003

83 Ill. Adm. Code 712.2004 Account 2004 Telecommunications Plant Under Construction – Long Term (repealed)

History

• Source: Repealed at 27 Ill. Reg. 12489, effective August 1, 2003

83 Ill. Adm. Code 712.2005 Account 2005 Telecommunications Plant Adjustment

a) Cost Pool: Same as Account

b) Cost Pool Apportionment Basis: Cost pool equals Account

c) Regulated/Nonregulated Apportionment Basis: Account transaction analysis

d) Cost Definition: Directly assignable

e) Comments: Assigned based on analysis of underlying transactions.

83 Ill. Adm. Code 712.2006 Account 2006 Nonoperating Plant

a) Cost Pool: Same as Account

b) Cost Pool Apportionment Basis: Cost Pool equals Account

c) Regulated/Nonregulated Apportionment Basis: Account transaction analysis

d) Cost Definition: Directly assignable

e) Comments: Assigned based on analysis of underlying transactions.

83 Ill. Adm. Code 712.2007 Account 2007 Goodwill

a) Cost Pool: Same as Account

b) Cost Pool Apportionment Basis: Cost pool equals Account

c) Regulated/Nonregulated Apportionment Basis: Account transaction analysis

d) Cost Definition: Directly assignable

e) Comments: Assigned based on analysis of underlying transactions.

83 Ill. Adm. Code 712.2110 Account 2110 Land and Support Assets

a) Central Office cost pool

1. Cost Pool Apportionment Basis: Relative value: Buildings to total buildings investment.

2. Regulated/Nonregulated Apportionment Basis: Relative value: Central office investment

3. Cost Definition: Indirectly attributable

b) Plant Support cost pool

1. Cost Pool Apportionment Basis: Relative value: Support Investment

2. Regulated/Nonregulated Apportionment Basis: Relative value: Plant Support Investment

3. Cost Definition: Indirectly attributable

4. Comments: Plant Support Investment consists of Account 2310 Information Origination/Termination and Account 2410 Cable and Wire Facilities

c) Customer and Corporate Operations cost pool

1. Cost Pool Apportionment Basis: Customer and Corporate Operations Buildings to total building investment

2. Regulated/Nonregulated Apportionment Basis: Customer and Corporate Operations wages and salaries

3. Cost Definition: Indirectly assignable

83 Ill. Adm. Code 712.2111 Account 2111 Land (repealed)

History

• Source: Repealed at 27 Ill. Reg. 12489, effective August 1, 2003

83 Ill. Adm. Code 712.2112 Account 2112 Motor Vehicles (repealed)

History

• Source: Repealed at 27 Ill. Reg. 12489, effective August 1, 2003

83 Ill. Adm. Code 712.2113 Account 2113 Aircraft (repealed)

History

• Source: Repealed at 27 Ill. Reg. 12489, effective August 1, 2003

83 Ill. Adm. Code 712.2114 Account 2114 Special Purpose Vehicles (repealed)

History

• Source: Repealed at 27 Ill. Reg. 12489, effective August 1, 2003

83 Ill. Adm. Code 712.2115 Account 2115 Garage Work Equipment (repealed)

History

• Source: Repealed at 27 Ill. Reg. 12489, effective August 1, 2003

83 Ill. Adm. Code 712.2116 Account 2116 Other Work Equipment (repealed)

History

• Source: Repealed at 27 Ill. Reg. 12489, effective August 1, 2003

83 Ill. Adm. Code 712.2121 Account 2121 Buildings (repealed)

History

• Source: Repealed at 27 Ill. Reg. 12489, effective August 1, 2003

83 Ill. Adm. Code 712.2122 Account 2122 Furniture (repealed)

History

• Source: Repealed at 27 Ill. Reg. 12489, effective August 1, 2003

83 Ill. Adm. Code 712.2123 Account 2123 Office Equipment (repealed)

History

• Source: Repealed at 27 Ill. Reg. 12489, effective August 1, 2003

83 Ill. Adm. Code 712.2124 Account 2124 General Purpose Computers (repealed)

History

• Source: Repealed at 27 Ill. Reg. 12489, effective August 1, 2003

83 Ill. Adm. Code 712.2210 Account 2210 Central Office – Switching

a) Regulated cost pool

1. Cost Pool Apportionment Basis: Direct reporting/property record analysis

2. Regulated/Nonregulated Apportionment Basis: Directly assigned to Regulated

3. Cost Definition: Directly assignable

b) Nonregulated cost pool

1. Cost Pool Apportionment Basis: Direct reporting/property record analysis

2. Regulated/Nonregulated Apportionment Basis: Directly assigned to Nonregulated

3. Cost Definition: Directly assignable

c) Shared cost pool

1. Cost Pool Apportionment Basis: Residual of Account

2. Regulated/Nonregulated Apportion Basis: Projected Regulated/Nonregulated shared usage

3. Cost Definition: Directly attributable

83 Ill. Adm. Code 712.2220 Account 2220 Operator Systems

a) Regulated cost pool

1. Cost Pool Apportionment Basis: Direct reporting/property record analysis

2. Regulated/Nonregulated Apportionment Basis: Directly assigned to Regulated

3. Cost Definition: Directly assignable

b) Nonregulated cost pool

1. Cost Pool Apportionment Basis: Direct reporting/property record analysis

2. Regulated/Nonregulated Apportionment Basis: Directly assigned to Nonregulated

3. Cost Definition: Directly assignable

c) Shared cost pool

1. Cost Pool Apportionment Basis: Residual of Account

2. Regulated/Nonregulated Apportionment Basis: Projected Regulated/Nonregulated shared usage

3. Cost Definition: Directly attributable

83 Ill. Adm. Code 712.2230 Account 2230 Central Office Transmission

a) Regulated cost pool

1. Cost Pool Apportionment Basis: Direct reporting/property record analysis

2. Regulated/Nonregulated Apportionment Basis: Directly assigned to Regulated

3. Cost Definition: Directly assignable

b) Nonregulated cost pool

1. Cost Pool Apportionment Basis: Direct reporting/property record analysis

2. Regulated/Nonregulated Apportionment Basis: Directly assigned to Nonregulated

3. Cost Definition: Directly assignable

c) Shared cost pool

1. Cost Pool Apportionment Basis: Residual of Account

2. Regulated/Nonregulated Apportionment Basis: Projected Regulated/Nonregulated shared usage

3. Cost Definition: Directly attributable

83 Ill. Adm. Code 712.2310 Account 2310 Information Origination/Termination

a) Regulated cost pool

1. Cost Pool Apportionment Basis: Direct reporting/property record analysis

2. Regulated/Nonregulated Apportionment Basis: Directly assigned to Regulated

3. Cost Definition: Directly assignable

4. Comments: For companies having significant investment in nonregulated customer premises facilities, the Class A accounts below are recommended.

b) Nonregulated cost pool

1. Cost Pool Apportionment Basis: Direct reporting/property record analysis

2. Regulated/Nonregulate Apportionment Basis: Directly assigned to Nonregulated

3. Cost Definition: Directly assignable

c) Shared cost pool

1. Cost Pool Apportionment Basis: Residual of Account

2. Regulated/Nonregulated Apportionment Basis: Projected Regulated/Nonregulated shared usage

3. Cost Definition: Directly attributable

83 Ill. Adm. Code 712.2311 Account 2311 Station Apparatus (repealed)

History

• Source: Repealed at 27 Ill. Reg. 12489, effective August 1, 2003

83 Ill. Adm. Code 712.2321 Account 2321 Customer Premises Wiring (repealed)

History

• Source: Repealed at 27 Ill. Reg. 12489, effective August 1, 2003

83 Ill. Adm. Code 712.2341 Account 2341 Large Private Branch Exchange

a) Nonregulated cost pool

b) Cost Pool Apportionment Basis: Direct reporting

c) Regulated/Nonregulated Apportionment Basis: Directly assigned to Nonregulated

d) Cost Definition: Directly assignable

e) Comments: For companies having significant investment in nonregulated customer premises facilities, the Class A accounts below are recommended.

83 Ill. Adm. Code 712.2410 Account 2410 Cable and Wire Facilities

a) Regulated cost pool

1. Cost Pool Apportionment Basis: Direct reporting/property record analysis

2. Regulated/Nonregulated Apportionment Basis: Directly assigned to Regulated

3. Cost Definition: Directly assignable

b) Nonregulated cost pool

1. Cost Pool Apportionment Basis: Direct reporting/property record analysis

2. Regulated/Nonregulated Apportionment Basis: Directly assigned to Nonregulated

3. Cost Definition: Directly assignable

c) Shared cost pool

1. Cost Pool Apportionment Basis: Residual of Account

2. Regulated/Nonregulated Apportionment Basis: Projected Regulated/Nonregulated shared usage

3. Cost Definition: Directly attributable

83 Ill. Adm. Code 712.2680 Account 2680 Amortizable Tangible Assets

a) Regulated cost pool

1. Cost Pool Apportionment Basis: Lease analysis

2. Regulated/Nonregulated Apportionment Basis: Directly assigned to Regulated

3. Cost Definition: Directly assignable

b) Nonregulated cost pool

1. Cost Pool Apportionment Basis: Lease analysis

2. Regulated/Nonregulated Apportionment Basis: Directly assigned to Nonregulated

3. Cost Definition: Directly assignable

c) Other cost pool

1. Cost Pool Apportionment Basis: Lease analysis

2. Regulated/Nonregulated Apportionment Basis: Methodology by major asset class

3. Cost Definition: Indirectly attributable

4. Comments: Analysis will be performed to determine major asset classification of property. Apportionment will be based on methodology for the asset classification.

83 Ill. Adm. Code 712.2690 Account 2690 Intangibles

a) Regulated cost pool

1. Cost Pool Apportionment Basis: Account transaction analysis

2. Regulated/Nonregulated Apportionment Basis: Directly assigned to Regulated

3. Cost Definition: Directly assignable

b) Nonregulated cost pool

1. Cost Pool Apportionment Basis: Account transaction analysis

2. Regulated/Nonregulated Apportionment Basis: Directly assigned to Nonregulated

3. Cost Definition: Directly assignable

c) General cost pool

1. Cost Pool Apportionment Basis: Account transaction analysis

2. Regulated/Nonregulated Apportionment Basis: General Allocator

3. Cost Definition: Unattributable

83 Ill. Adm. Code 712.3100 Account 3100 Accumulated Depreciation

a) Cost Pool: Cost pool equals Subaccount by major asset category

b) Cost Pool Apportionment Basis: Same as Subaccount

c) Regulated/Nonregulated Apportionment Basis: Relative investment value of major asset category

d) Cost Definition: Indirectly attributable

History

• Source: Amended at 27 Ill. Reg. 12489, effective August 1, 2003

83 Ill. Adm. Code 712.3200 Account 3200 Accumulated Depreciation – Held for Future Telecommunications Use

a) Cost Pool: Same as Account

b) Cost Pool Apportionment Basis: Cost pool equals Account

c) Regulated/Nonregulated Apportionment Basis: Relative value: Property held for future telecommunications use

d) Cost Definition: Indirectly attributable

83 Ill. Adm. Code 712.3300 Account 3300 Accumulated Depreciation - Nonoperating

a) Cost Pool: Same as Account

b) Cost Pool Apportionment Basis: Cost pool equals Account

c) Regulated/Nonregulated Apportionment Basis: Relative investment value of Nonoperating Plant

d) Cost Definition: Indirectly attributable

History

• Source: Added at 27 Ill. Reg. 12489, effective August 1, 2003

83 Ill. Adm. Code 712.3400 Account 3400 Accumulated Amortization - Tangible (repealed)

History

• Source: Repealed at 27 Ill. Reg. 12489, effective August 1, 2003

83 Ill. Adm. Code 712.3410 Account 3410 Accumulated Amortization – Capitalized Leases

a) Regulated cost pool

1. Cost Pool Apportionment Basis: Lease analysis

2. Regulated/Nonregulated Apportionment Basis: Directly assigned to Regulated

3. Cost Definition: Directly assignable

b) Nonregulated cost pool

1. Cost Pool Apportionment Basis: Lease analysis

2. Regulated/Nonregulated Apportionment Basis: Directly assigned to Nonregulated

3. Cost Definition: Directly assignable

c) Other cost pool

1. Cost Pool Apportionment Basis: Lease analysis

2. Regulated/Nonregulated Apportionment Basis: Methodology by major asset class

3. Cost Definition: Indirectly attributable

4. Comments: Analysis will be performed to determine major asset classification of property. Apportionment will be based on method­ology for the asset classification.

History

• Source: Added at 27 Ill. Reg. 12489, effective August 1, 2003

83 Ill. Adm. Code 712.3500 Account 3500 Accumulated Amortization – Intangibles (repealed)

History

• Source: Repealed at 27 Ill. Reg. 12489, effective August 1, 2003

83 Ill. Adm. Code 712.3600 Account 3600 Accumulated Amortization – Other (repealed)

History

• Source: Repealed at 27 Ill. Reg. 12489, effective August 1, 2003

83 Ill. Adm. Code 712.4100 Account 4100 Net Current Deferred Operating Income Tax

a) Cost Pool: Same as Account

b) Cost Pool Apportionment Basis: Cost pool equals Account

c) Regulated/Nonregulated Apportionment Basis: Account transaction analysis

d) Cost Definition: Directly attributable

e) Comments: Costs are apportioned to regulated and nonregulated cost objectives on the basis of the timing differences which gave rise to the deferral.

83 Ill. Adm. Code 712.4340 Account 4340 Net Noncurrent Deferred Operating Income Tax

a) Cost Pool: Same as Account

b) Cost Pool Apportionment Basis: Cost pool equals Account

c) Regulated/Nonregulated Apportionment Basis: Account transaction analysis

d) Cost Definition: Indirectly attributable

e) Comments: Costs are apportioned to regulated and nonregulated cost objectives on the basis of the timing differences which gave rise to the deferral.

83 Ill. Adm. Code 712.5300 Account 5300 Uncollectible Revenue

a) Regulated cost pool

1. Cost Pool Apportionment Basis: Direct reporting

2. Regulated/Nonregulated Apportionment Basis: Directly assigned to Regulated

3. Cost Definition: Directly attributable

b) Nonregulated cost pool

1. Cost Pool Apportionment Basis: Direct reporting

2. Regulated/Nonregulated Apportionment Basis: Directly assigned to Nonregulated

3. Cost Definition: Directly assignable

c) Shared cost pool

1. Cost Pool Apportionment Basis: Directly reporting

2. Regulated/Nonregulated Apportionment Basis: Account transaction analysis

3. Cost Definition: Directly attributable

83 Ill. Adm. Code 712.6110 Account 6110 Network Support Expenses

a) Cost Pool: Same as Account

b) Cost Pool Apportionment Basis: Cost Pool equals Account

c) Regulated/Nonregulated Apportionment Basis: Relative value: Plant support investment

d) Cost Definition: Indirectly attributable

83 Ill. Adm. Code 712.6120 Account 6120 General Support Expenses

a) Cost Pool: Same as Account

b) Cost Pool Apportionment Basis: Cost pool equals Account

c) Regulated/Nonregulated Apportionment Basis: Relative value: Land and support assets

d) Cost Definition: Indirectly attributable

History

• Source: Amended at 27 Ill. Reg. 12489, effective August 1, 2003

83 Ill. Adm. Code 712.6210 Account 6210 Central Office Switching Expense

a) Cost Pool: Same as Account

b) Cost Pool Apportionment Basis: Cost pool equals Account

c) Regulated/Nonregulated Apportionment Basis: Relative value: Central office investment

d) Cost Definition: Indirectly attributable

83 Ill. Adm. Code 712.6220 Account 6220 Operators System Expense

a) Cost Pool: Same as Account

b) Cost Pool Apportionment Basis: Cost pool equals Account

c) Regulated/Nonregulated Apportionment Basis: Relative value: Operator systems investment

d) Cost Definition: Indirectly attributable

83 Ill. Adm. Code 712.6230 Account 6230 Central Office Transmission Expenses

a) Cost pool

b) Cost Pool Apportionment Basis: Cost pool equals Account

c) Regulated/Nonregulated Apportionment Basis: Relative value: Central Office transmission investment

d) Cost Definition: Indirectly assignable

83 Ill. Adm. Code 712.6310 Account 6310 Information Origination/Termination Expenses

a) Customer premises equipment cost pool

1. Cost Pool Apportionment Basis: Direct reporting

2. Regulated/Nonregulated Apportionment Basis: Directly assigned to Nonregulated

3. Cost Definition: Directly assignable

b) Customer premises wiring cost pool

1. Cost Pool Apportionment Basis: Direct reporting

2. Regulated/Nonregulated Apportionment Basis: Directly assigned to Nonregulated

3. Cost Definition: Directly assignable

c) Other cost pool

1. Cost Pool Apportionment Basis: Residual of Account

2. Regulated/Nonregulated Apportionment Basis: Relative value: Residual information origination/termination investment

3. Cost Definition: Indirectly attributable

83 Ill. Adm. Code 712.6410 Account 6410 Cable and Wire Facilities Expenses

a) Cost Pool: Same as Account

b) Cost Pool Apportionment Basis: Cost pool equals Account

c) Regulated/Nonregulated Apportionment Basis: Relative value: Cable and wire facilities investment

d) Cost Definition: Directly assignable

83 Ill. Adm. Code 712.6510 Account 6510 Other Property, Plant and Equipment Expenses

a) Property held for future telecommunications use expense cost pool

1. Cost Pool Apportionment Basis: Account transaction analysis

2. Regulated/Nonregulated Apportionment Basis: Relative value: Property held for future telecommunications use

3. Cost Definition: Indirectly attributable

b) General cost pool

1. Cost Pool Apportionment Basis: Residual of Account

2. Regulated/Nonregulated Apportionment Basis: General Allocator

3. Cost Definition: Unattributable

83 Ill. Adm. Code 712.6530 Account 6530 Network Operations Expenses

a) Power expense cost pool

1. Cost Pool Apportionment Basis: Account transaction analysis

2. Regulated/Nonregulated Apportionment Basis: Relative value: Central office investment

3. Cost Definition: Indirectly attributable

b) Testing cost pool

1. Cost Pool Apportionment Basis: Account transaction analysis

2. Regulated/Nonregulated Apportionment Basis: Relative value: Central office investment

3. Cost Definition: Directly attributable

c) General cost pool

1. Cost Pool Apportionment Basis: Residual of Account

2. Regulated/Nonregulated Apportionment Basis: Relative value: Central office and outside plant investment

3. Cost Definition: Indirectly attributable

83 Ill. Adm. Code 712.6540 Account 6540 Access Expense

a) Regulated cost pool

1. Cost Pool Apportionment Basis: Direct reporting

2. Regulated/Nonregulated Apportionment Basis: Directly assigned to Regulated

3. Cost Definition: Directly assignable

b) Nonregulated cost pool

1. Cost Pool Apportionment Basis: Direct reporting

2. Regulated/Nonregulated Apportionment Basis: Directly assigned to Nonregulated

3. Cost Definition: Directly assignable

83 Ill. Adm. Code 712.6560 Account 6560 Depreciation and Amortization Expenses

a) Cost Pool: Same as Account

b) Cost Pool Apportionment Basis: Cost Pool equals Account

c) Regulated/Nonregulated Apportionment Basis: Relative value: Property, plant and equipment investment

d) Cost Definition: Indirectly attributable

83 Ill. Adm. Code 712.6610 Account 6610 Marketing

a) Regulated Product Management cost pool

1. Cost Pool Apportionment Basis: Account transaction analysis

2. Regulated/Nonregulated Apportionment Basis: Time reporting/survey

3. Cost Definition: Directly assignable

b) Regulated sales cost pool

1. Cost Pool Apportionment Basis: Account transaction analysis

2. Regulated/Nonregulated Apportionment Basis: Time reporting/survey

3. Cost Definition: Directly assignable

c) Regulated product advertising cost pool

1. Cost Pool Apportionment Basis: Account transaction analysis

2. Regulated/Nonregulated Apportionment Basis: Analysis of advertising expense

3. Cost Definition: Directly assignable

d) Nonregulated product management cost pool

1. Cost Pool Apportionment Basis: Account transaction analysis

2. Regulated/Nonregulated Apportionment Basis: Time reporting/survey

3. Cost Definition: Directly assignable

e) Nonregulated sales cost pool

1. Cost Pool Apportionment Basis: Account transaction analysis

2. Regulated/Nonregulated Apportionment Basis: Time reporting/survey

3. Cost Definition: Directly assignable

f) Nonregulated product advertising cost pool

1. Cost Pool Apportionment Basis: Account transaction analysis

2. Regulated/Nonregulated Apportionment Basis: Analysis of advertising expense

3. Cost Definition: Directly assignable

g) Shared cost pool

1. Cost Pool Apportionment Basis: Residual expenses

2. Regulated/Nonregulated Apportionment Basis: Marketing allocator

3. Cost Definition: Indirectly attributable

83 Ill. Adm. Code 712.6620 Account 6620 Services

a) Call completion services cost pool

1. Cost Pool Apportionment Basis: Account transaction analysis

2. Regulated/Nonregulated Apportionment Basis: Directly assigned to Regulated

3. Cost Definition: Directly assignable

b) Number service cost pool

1. Cost Pool Apportionment Basis: Account transaction analysis

2. Regulated/Nonregulated Apportionment Basis: Directly assigned to Regulated

3. Cost Definition: Directly assignable

c) Customer services cost pool

1. Cost Pool Apportionment Basis: Account transaction analysis

2. Regulated/Nonregulated Apportionment Basis: Survey

3. Cost Definition: Directly attributable

83 Ill. Adm. Code 712.6710 Account 6710 Executive and Planning (repealed)

History

• Source: Repealed at 27 Ill. Reg. 12489, effective August 1, 2003

83 Ill. Adm. Code 712.6720 Account 6720 General and Administrative

a) Regulated cost pool

1. Cost Pool Apportionment Basis: Account transaction analysis

2. Regulated/Nonregulated Apportionment Basis: Directly assigned to Regulated

3. Cost Definition: Directly assignable

4. Comments: Apportioned among three cost pools based on analysis of transaction to account which may include functional analysis of certain types of charges. If detailed information is not available, entire account can be in general cost pool.

b) Nonregulated cost pool

1. Cost Pool Apportionment Basis: Account transaction analysis

2. Regulated/Nonregulated Apportionment Basis: Directly assigned to Nonregulated

3. Cost Definition: Directly assignable

4. Comments: Apportioned among three cost pools based on analysis of transaction to account which may include functional analysis of certain types of charges. If detailed information is not available, entire account can be in general cost pool.

c) General cost pool

1. Cost Pool Apportionment Basis: Residual of Account

2. Regulated/Nonregulated Apportionment Basis: General allocator

3. Cost Definition: Unattributable

4. Comments: Apportioned among three cost pools based on analysis of transaction to account which may include functional analysis of certain types of charges. If detailed information is not available, entire account can be in general cost pool.

83 Ill. Adm. Code 712.6790 Account 6790 Provision for Uncollectible Notes Receivable

a) Cost Pool: Same as Account

b) Cost Pool Apportionment Basis: Cost pool equals Account

c) Regulated/Nonregulated Apportionment Basis: Account transaction analysis

d) Cost Definition: Directly assignable

e) Comments: Analysis of Account is needed to determine the uncollectible and the purpose to which each amount relates.

83 Ill. Adm. Code 712.7100 Account 7100 Other Operating Income and Expenses

a) Custom work cost pool

1. Cost Pool Apportionment Basis: Account transaction analysis

2. Regulated/Nonregulated Apportionment Basis: Directly assigned to Regulated

3. Cost Definition: Directly assignable

b) Other operating gains or losses cost pool

1. Cost Pool Apportionment Basis: Account transaction analysis

2. Regulated/Nonregulated Apportionment Basis: Account transaction analysis

3. Cost Definition: See subsection (b)(4)

4. Comments: An analysis is performed to determine from which type of asset the gains or losses were realized. Each transaction will then be apportioned using the same methodology used for the respective asset.

83 Ill. Adm. Code 712.7200 Account 7200 Operating Taxes

a) Cost Pool: Same as Account

b) Cost Pool Apportionment Basis: Account transaction analysis

c) Regulated/Nonregulated Apportionment Basis: Account transaction analysis

d) Cost Definition: Indirectly attributable

e) Comments: An analysis of tax records is performed to determine which apportionment methodology is appropriate.

History

• Source: Added at 27 Ill. Reg. 12489, effective August 1, 2003

83 Ill. Adm. Code 712.7210 Account 7210 Operating Investment Tax Credits – Net (repealed)

History

• Source: Repealed at 27 Ill. Reg. 12489, effective August 1, 2003

83 Ill. Adm. Code 712.7220 Account 7220 Operating Federal Income Taxes (repealed)

History

• Source: Repealed at 27 Ill. Reg. 12489, effective August 1, 2003

83 Ill. Adm. Code 712.7230 Account 7230 Operating State and Local Income Taxes (repealed)

History

• Source: Repealed at 27 Ill. Reg. 12489, effective August 1, 2003

83 Ill. Adm. Code 712.7240 Account 7240 Operating Other Taxes (repealed)

History

• Source: Repealed at 27 Ill. Reg. 12489, effective August 1, 2003

83 Ill. Adm. Code 712.7250 Account 7250 Provision for Deferred Operating Income Taxes – Net (repealed)

History

• Source: Repealed at 27 Ill. Reg. 12489, effective August 1, 2003

83 Ill. Adm. Code 712.7300 Account 7300 Nonoperating Income and Expenses

a) Cost Pool: Same as Account

b) Cost Pool Apportionment Basis: Cost pool equals Account

c) Regulated/Nonregulated Apportionment Basis: Account transaction analysis

d) Cost Definition: See subsection (e).

e) Comments: An analysis is performed to determine from which major types of property gains or losses were realized. Each transaction is then apportioned using the same methodology used for that type of property.

History

• Source: Added at 27 Ill. Reg. 12489, effective August 1, 2003

83 Ill. Adm. Code 712.7350 Account 7350 Gains or Losses from the Disposition of Certain Property (repealed)

History

• Source: Repealed at 27 Ill. Reg. 12489, effective August 1, 2003

83 Ill. Adm. Code 712.7370 Account 7370 Special Charges (repealed)

History

• Source: Repealed at 27 Ill. Reg. 12489, effective August 1, 2003

83 Ill. Adm. Code 712.7400 Account 7400 Nonoperating Taxes

a) Cost Pool: Same as Account

b) Cost Pool Apportionment Basis: Cost pool equals Account

c) Regulated/Nonregulated Apportionment Basis: Account transaction analysis

d) Cost Definition: See subsection (e)

e) Comments: An analysis of this Account is performed to determine if nonoperating taxes have been generated by transactions from Accounts 7350 and 7370. Apportionment is then made on the same basis as the causative transactions.

83 Ill. Adm. Code 712.7500 Account 7500 Interest and Related Items

a) Interest on funded debt cost pool

1. Cost Pool Apportionment Basis: Account transaction analysis

2. Regulated/Nonregulated Apportionment Basis: Relative value: Telecommunications plant investment

3. Cost Definition: Indirectly attributable

b) Capital leases cost pool

1. Cost Pool Apportionment Basis: Account transaction analysis

2. Regulated/Nonregulated Apportionment Basis: Relative value: Capital lease

3. Cost Definition: Indirectly attributable

c) Debt issuance cost pool

1. Cost Pool Apportionment Basis: Account transaction analysis

2. Regulated/Nonregulated Apportionment Basis: Relative value: Telecommunications plant investment

3. Cost Definition: Indirectly attributable

d) Other cost pool

1. Cost Pool Apportionment Basis: Account transaction analysis

2. Regulated/Nonregulated Apportionment Basis: Relative value: Telecommunications plant investment

3. Cost Definition: Indirectly attributable

83 Ill. Adm. Code 712.7600 Account 7600 Extraordinary Items

a) Cost Pool: Same as Account

b) Cost Pool Apportionment Basis: Account transaction analysis

c) Regulated/Nonregulated Apportionment Basis: Account transaction analysis

d) Cost Definition: See subsection (e)

e) Comments: An analysis of this Account is performed to determine the origin of the item. Each transaction is then apportioned using the appropriate methodology.

Part 725 Standards of Service Applicable to 9-1-1 Emergency Systems

83 Ill. Adm. Code 725.100 Application of Part

This Part shall apply to all 9-1-1 system providers and telecommunications carriers in the State of Illinois except to the extent of any exemptions conferred by law. This Part does not apply to a cellular or other mobile communication carrier as defined in Section 10 of the Wireless Emergency Telephone Safety Act [50 ILCS 751/10].

History

• Source: Amended at 40 Ill. Reg. 8170, effective May 25, 2016

83 Ill. Adm. Code 725.101 Definitions

In the interpretation of this Part, the following definitions shall be used.

"9-1-1 authority" − The ETSB, Joint ETSB or qualified governmental entity that provides for the management and operation of a 9-1-1 system within the scope of those duties and powers as are prescribed by the Emergency Telephone System Act (ETSA) [50 ILCS 750].

"9-1-1 network" – The network used for the delivery of 9-1-1 emergency calls over dedicated and redundant facilities, as required by this Part, to a PSAP or backup PSAP that meets the applicable grade of service.

"9-1-1 system" − The geographic area that has been granted an order of authority by the Administrator to use "9-1-1" as the primary emergency telephone number.

"9-1-1 system provider" − Any person, corporation, limited liability company, partnership, sole proprietorship, or entity of any description that acts as a 9-1-1 system provider within the meaning of Section 2 of the ETSA by contracting to provide 9-1-1 network and database services and who has been certified by the Commission pursuant to Section 13-900 of the Public Utilities Act [220 ILCS 5/13-900].

"9-1-1 telecommunications network" or "9-1-1 traditional legacy service" − An arrangement of channels, such as loops, trunks, and associated switching facilities to exchange voice and data.

"Access line" − The connecting facility between a customer's premises network interface device and the local exchange carrier's facility that provides access to the switching network for local exchange and interexchange telecommunications service.

"Act" or "ETSA" – The Emergency Telephone System Act [50 ILCS 750].

"Administrator" – The Statewide 9-1-1 Administrator.

"Aggregation point" – A point at which network monitoring data for a 9-1-1 system is collected and routed to a network operation center (NOC) or other location for monitoring and analyzing network status and performance.

"Automatic alarm" or "automatic alerting device" − Any device that will access the 9-1-1 system for emergency services upon activation. [50 ILCS 750/2.14]

"Automatic Location Identification" or "ALI" − In an E9‑1-1 system, the automatic display at the PSAP of the caller's telephone number, the address/location of the telephone and supplementary emergency services information.

"Automatic Number Identification" or "ANI" − The automatic display of the 9-1-1 calling party's number on the PSAP monitor.

"Backup PSAP" − A public safety answering point that serves as an alternate to the PSAP for enhanced systems and is at a different location and operates independently from the PSAP. A backup PSAP may accept overflow calls from the PSAP or be activated in the event that the PSAP is disabled.

"Busy day" – A consecutive 24 hour period during which the greatest volume of traffic is handled in the central office.

"Busy hour" − The two consecutive half-hours each day during which the greatest volume of traffic is handled in the central office.

"Busy tone" − An audible signal indicating a call cannot be completed because the called access line is busy. The tone is applied 60 times per minute.

"Central office" − The site where switching equipment is located. A local central office, also called an end office, is the switching office where individual subscriber's access lines appear. It houses the equipment that receives calls transmitted on the local loop and routes the call over the switched network either directly to the person called, if the call is placed to a location served by the same local central office, or to another central office, if the call is placed to a customer served by a different central office.

"Circuit" – The physical connection (or path) of channels, conductors, and equipment between two given points through which an electronic or optical signal may be established.

"Commission" − The Illinois Commerce Commission.

"Customer premises equipment" or "CPE" − Communications or terminal equipment located in the customer's facilities/terminal equipment at a PSAP.

"Default routing" − A feature that allows emergency calls to be routed to a designated default PSAP if the incoming emergency call cannot be selectively routed due to ANI failure, garbled digits, or other causes that prevent selective routing.

"Department" – The Department of State Police.

"Diverse routing" – The practice of routing circuits along different physical or electrical paths in order to prevent total loss of 9-1-1 service in the event of a facility or hardware failure.

"E9-1-1 selective router" − A telecommunications carrier switching office or stand alone selective routing switch equipped with enhanced 9-1-1 service capabilities. This switch serves as an E9-1-1 selective router for emergency calls from other local offices in the 9-1-1 service area.

"Emergency call" − Any type of request for emergency assistance through a 9-1-1 network, not limited to voice. This may include a session established by signaling with two-way real-time media, and involves a human making a request for help.

"Emergency service number" or "ESN" − Sometimes known as emergency service zone (ESZ). An ESN is a three to five digit number representing a unique combination of public safety agencies (police, fire and emergency medical service) designated to serve a specific range of addresses within a particular geographical area or ESZ. The term ESZ refers to the geographic area itself and is generally used only during the ESN definition process to label specific areas. The ESN facilitates the selective routing of calls to appropriate PSAPs in a traditional legacy 9-1-1 system.

"Emergency Telephone System Board" or "ETSB" − A board appointed by the corporate authorities of any county or municipality that provides for the management and operation of a 9-1-1 system within the scope of those duties and powers prescribed by ETSA. The corporate authorities shall provide for the manner of appointment, provided that members of the board meet the requirements of the statute.

"English Language Translation" or "ELT" − A database table that provides the names of the public safety agencies (or services) associated with an ESN/ESZ number that is displayed on the ALI screen at the PSAP.

"Enhanced 9-1-1" or "E9-1-1" − An emergency telephone system that includes dedicated network, selective routing, database, ALI, ANI, selective transfer, fixed transfer, and a call back number.

"Error ratio" − The percentage of database records that are not Master Street Address Guide valid for a specific 9-1-1 traditional legacy service system.

"Exchange" − A unit established by a telecommunications carrier and approved by the Commission for the administration of telecommunications service in a specified geographical area. It may consist of one or more central offices together with associated plant used in furnishing telecommunications services in that area. Exchanges are identified on exchange boundary maps on file with the Commission.

"Forced disconnect" − A feature that allows the PSAP to release a telephone connection, even though the calling party has not yet disconnected, to avoid caller jamming of the incoming trunks.

"Geographical Information System" or "GIS" − A system for capturing, storing, displaying, analyzing and managing data and associated attributes that are spatially referenced.

"Geospatial Data" − Information that accurately refers to a precise location on the earth's surface using latitude, longitude, elevation and other data that identify the coordinate system used.

"Grade of Service" – P.01 for Basic 9-1-1 or Enhanced 9-1-1 services or NENA i3 Solution standard for NG9-1-1 services.

"Interconnected VoIP provider" – Has the meaning given to that term under Section 13-235 of the Public Utilities Act.

"IP" – Internet Protocol.

"Joint Emergency Telephone System Board" or "Joint ETSB" – A board established by intergovernmental agreement of two or more municipalities or counties or a combination thereof to provide for the management and operation of a 9-1-1 system.

"Legacy network gateway" – A signaling and media interconnection point between callers in legacy wireline/wireless originating networks and the i3 architecture, so that i3 PSAPs are able to receive emergency calls from legacy networks.

"Local loop" − A channel between a customer's network interface and its serving central office. The most common form of loop, a pair of wires, is also called a line.

"Master Street Address Guide" or "MSAG" − The computerized geographical file that either consists of all street and address data or its functional equivalent (i.e. geospatial data) within the 9-1-1 system area. This database is the key to the selective routing capability of E9-1-1 systems. It matches an originating caller to a specific answering point based on the address data. The MSAG will require updating after the initial file is created.

"National Emergency Number Association" or "NENA" − The international not-for-profit organization whose purpose is to lead, assist and provide for the development, availability, implementation and enhancement of a universal emergency telephone number or system common to all jurisdictions through research, planning, publications, training and education.

"Network connection" − A voice grade communication channel directly between a subscriber and a telecommunications carrier's public switched network, without the intervention of any other telecommunications car­rier's switched network, that would be required to carry the subscriber's inter-premises traffic. The connection either is capable of providing access through the public switched network to a 9-1-1 system, if one exists; or if no system exists at the time a surcharge is imposed under Section 15.3 of ETSA, would be capable of providing access through the public switched network to the local 9-1-1 system if one existed. [50 ILCS 750/2]

"Network diagram" − A schematic flow chart that shows the actual network pieces and flow of activities in a picture.

"Next generation 9-1-1 service" or "NG9-1-1" − A system comprised of managed IP-based networks, gateways, functional elements and databases that augment or replicate present day E9-1-1 features and functions and provide new capabilities. NG9-1-1 is designed to provide access to emergency services from all sources, and to provide multimedia data capabilities for PSAPs and other emergency service organizations.

"On-site database" − A copy of the database that resides with the local 9-1-1 authority.

"Operator services" − Any of a variety of telephone services that need the assistance of an operator or an automated "operator" (i.e., using interactive voice response technology and speech recognition). These services include collect calls, third party billed calls, and person-to-person calls.

"Originating Service Provider" or "OSP" − A communications provider that allows its users or subscribers to originate 9-1-1 voice or non-voice messages from the public to the 9-1-1 authority.

"Overflow" − A call or position used when a call is blocked or rerouted due to excessive traffic.

"P.01" – The probability (P), expressed as a decimal fraction, of an emergency call being blocked. P.01 is the grade of service reflecting the probability that one call out of 100 during the average busy hour of the average busy day will be blocked, or the number of 9-1-1 circuits or facilities from the 9-1-1 system provider's routing equipment to the primary PSAP or PSAPs that are sufficient to complete 99% of all requests for emergency service during the average busy hour of the average busy day.

"Primary point of contact" or "9-1-1 contact person" − The individual designated by the 9-1-1 authority as the contact point for the participating telecommunications carriers and 9-1-1 system providers.

"Private Branch Exchange" or "PBX" − A private telephone system and associated equipment located on the user's property that provides communications between internal stations and external networks.

"Public safety agency" − A functional division of a public agency that provides police, firefighting, medical or other emergency services.

"Public Safety Answering Point" or "PSAP" − The initial answering location of an emergency call.

"Public Utilities Act" – 220 ILCS 5.

"Rate center" − A geographically specified area used for determining mileage and/or usage dependent rates in the public switched network.

"Selective routing" − A system that automatically routes calls to predetermined PSAPs, based on the location of the calling telephone number.

"Service address" − The location of the primary use of the network connection or connections.

"Split exchange" − An exchange shared with more than one 9-1-1 system.

"Surcharge" − A monthly surcharge amount imposed, pursuant to Section 20 of the Act, on all customers of telecommunication carriers, wireless carriers and interconnected VoIP providers for the purpose of installing and maintaining an Enhanced 9-1-1 or NG9-1-1 system, with the exception of a municipality with a population of 500,000 or greater.

"System" − The communications equipment required to produce a response by the appropriate emergency public safety agency as a result of an emergency call being placed to 9-1-1. [50 ILCS 750/2]

"Telecommunications carrier" − Shall have the same meaning as specified in Section 13-202 of the Public Utilities Act, including those carriers acting as resellers of telecommunications services. For the purpose of 9-1-1 service, this definition shall include telephone systems operating as mutual concerns. A telecommunications carrier under the Public Utilities Act may provide competitive or noncompetitive local exchange telecommunications services or any combination of the two as defined in Section 13-204 of the Public Utilities Act.

"Telecommunications service" − Shall have the same meaning as specified in Section 13-203 of the Public Utilities Act.

"Terminal equipment" − Telephone station apparatus.

"Transfer" − A feature that allows the PSAP telecommunicator to transfer emergency calls to a specific location or secondary PSAP.

"Trunk" − A transmission path between switching units, switching centers, and/or toll centers.

"Virtual Answering Point" or "VAP" – A temporary or non-permanent location that:

is capable of receiving an emergency call;

contains a fully functional worksite that is not bound to a specific location but rather is portable and scalable connecting emergency call takers or dispatchers to the work process; and

is capable of completing the call dispatching process.

"Virtual PSAP" – A fully functional worksite that is not bound to a specific location but is portable and scalable, connecting employees to the work process in the most advantageous setting, rather than employees having to come to a centralized work location to connect to the work process.

History

• Source: Amended at 40 Ill. Reg. 8170, effective May 25, 2016

83 Ill. Adm. Code 725.200 General Requirements (repealed)

History

• Source: Repealed at 40 Ill. Reg. 8170, effective May 25, 2016

83 Ill. Adm. Code 725.205 Tentative, Final or Modified Plans (repealed)

History

• Source: Repealed at 40 Ill. Reg. 8170, effective May 25, 2016

83 Ill. Adm. Code 725.210 Order of Authority (repealed)

History

• Source: Repealed at 40 Ill. Reg. 8170, effective May 25, 2016

83 Ill. Adm. Code 725.215 Records and Reports (repealed)

History

• Source: Repealed at 40 Ill. Reg. 8170, effective May 25, 2016

83 Ill. Adm. Code 725.220 Testing for Compliance with Technical and Operational Standards (repealed)

History

• Source: Repealed at 40 Ill. Reg. 8170, effective May 25, 2016

83 Ill. Adm. Code 725.300 Management Systems (repealed)

History

• Source: Repealed at 40 Ill. Reg. 8170, effective May 25, 2016

83 Ill. Adm. Code 725.305 Commission Liaison (repealed)

History

• Source: Repealed at 40 Ill. Reg. 8170, effective May 25, 2016

83 Ill. Adm. Code 725.310 Etsb, Joint Etsb and Qualified Governmental Entities (repealed)

History

• Source: Repealed at 40 Ill. Reg. 8170, effective May 25, 2016

83 Ill. Adm. Code 725.400 9-1-1 Authority (repealed)

History

• Source: Repealed at 40 Ill. Reg. 8170, effective May 25, 2016

83 Ill. Adm. Code 725.402 Technical Review of 9-1-1 Plans

a) Upon receipt of notice from the Department that a consolidation plan has been filed pursuant to 83 Ill. Adm. Code 1324 or an initial or modified plan has been filed pursuant to 83 Ill. Adm. Code 1325, Commission Staff will begin an informal review of each plan to ensure its technical compliance with Sections 725.405, 725.410 and 725.412. Notice will also be provided to the 9-1-1 system providers and carriers by the Department pursuant to 83 Ill. Adm. Code 1324.200(f) and 1325.210(c).

b) Formal Review

For each consolidation plan, initial plan and modified plan that involves the use of a 9-1-1 system provider that already provides service to a 9-1-1 Authority under a plan previously approved by the Commission or the Department, the following process shall apply:

1. Within 16 days after the notice date that a consolidation plan, initial plan or modified plan is filed pursuant to subsection (a), any interested party may file a request for a formal review of the plan by the Commission.

2. If, after its informal review of any consolidation plan, initial plan or modified plan, and no later than 20 days from the date of receipt from the Department, Commission Staff has either identified a matter of technical concern or received a request for a formal review pursuant to this subsection (b), Commission Staff will notify the Department that the Commission will initiate a docketed proceeding to formally review the plan and request that the Department seek an extension with the filing entity or deny the plan pending the outcome of the Commission's formal technical review.

3. Once an order resolving the matter of technical concern or unresolved dispute has been rendered by the Commission, a copy will be provided to the Department.

4. If the Commission Staff does not provide the Department with notification as described in subsection (b)(2) within 20 days after receipt of the plan, the Commission will not undertake any separate proceedings regarding the plan without first conferring with the Department.

c) Informal Review

For each consolidation plan, initial plan or modified plan that involves the use of a 9-1-1 System Provider that does not already provide service to a 9-1-1 Authority under a plan approved by the Commission or the Department (new 9-1-1 System Provider), the following process shall apply:

1. Within 16 days after receipt of the plan, Commission Staff will notify the Department that the plan involves the use of a new 9-1-1 system provider and that Commission Staff will follow the review process prescribed by this subsection (c) and request that the Department seek an extension with the filing entity or deny the plan pending the outcome of the informal technical review by Commission Staff.

2. Within 16 days after the receipt of the plan, Commission Staff will establish an informal process, to last no more than 90 days from the date of the receipt of the plan, for review of the plan with input from interested parties, including review of the plan's provisions for transitioning from any existing 9-1-1 system provider to a new 9-1-1 system provider and proposed interconnection arrangements with impacted carriers.

3. If, at any time within 90 days after receipt of the plan, Commission Staff has completed its informal review and determined that there are no disputed issues regarding the plan, Commission Staff will immediately notify the Department of the completion of the informal technical review process under this subsection (c).

4. If, as a result of the informal technical review process, but no later than 90 days from the date of receipt of the plan, Commission Staff has either determined that there are issues regarding the plan that remain in dispute or received a request for a formal review, Commission Staff will notify the Department that the Commission will initiate a docketed proceeding to formally review the plan and request that the Department seek an extension with the filing entity or deny the plan pending the outcome of the Commission's formal technical review.

5. Once an order resolving any disputed issues has been rendered by the Commission, a copy will be provided to the Department.

6. If the Commission Staff has not provided the Department with the notification described in either subsection (c)(3) or (c)(4) within 90 days after receipt of the plan, the Commission will not undertake any separate proceedings regarding the plan without first conferring with the Department.

History

• Source: Added at 40 Ill. Reg. 8170, effective May 25, 2016

Chapter I Illinois Commerce Commission

Subchapter f Telephone Utilities

Part 725 Standards of Service Applicable to 9-1-1 Emergency Systems

83 Ill. Adm. Code 725.405 9-1-1 System Provider

A 9-1-1 System Provider:

a) Shall be certified under Section 13-900 of the Public Utilities Act as a 9-1-1 system provider prior to entering into any contract with a 9-1-1 authority to provide 9-1-1 services;

b) Shall file tariffs under Sections 13-900.1 and 9-102 of the Public Utilities Act for 9-1-1 services prior to offering such services;

c) Shall enter into a service contract with each 9-1-1 authority for which it plans to provide 9-1-1 database, call routing and other 9-1-1 duties and services associated with the 9-1-1 system that clearly delineates the responsibilities of the 9-1-1 system provider and 9-1-1 authority;

d) Shall assume the lead role in coordinating the implementation of the 9-1-1 project. The 9-1-1 system provider is responsible for the initial implementation and mutually agreed upon changes/modifications, project timeline, milestone progress report/conference calls with Commission 9-1-1 Program Staff and all involved parties. If there are multiple 9-1-1 system providers, the 9-1-1 authority shall specify the role of each provider pursuant to Section 1325.400(f);

e) Shall comply with any provisions of all applicable federal or State laws regarding the provisioning of 9-1-1 services regarding wireline, wireless and VoIP or any other medium;

f) Shall comply with back-up power requirements for 9-1-1 equipment and facilities as specified in 83 Ill. Adm. Code 730.325 or 737.410;

g) Shall comply with physical security requirements for its facilities as specified in 83 Ill. Adm. Code 785.35;

h) Shall provision "9-1-1 Service" in one of the following types:

1. Basic 9-1-1 service is an emergency telephone system that automatically connects 9-1-1 callers to a designated answering point through either dedicated direct trunking and/or tandem trunking from the central office to the PSAP. Basic 9-1-1 does not typically support ANI and ALI. The features associated with basic service shall be according to the following format types:

A) Type #1 – This is the most basic configuration available, and provides:

i) no per-call charge;

ii) loop-type ringdown signaling toward PSAP;

iii) ringback tone to caller; and

iv) transmission path for communication between the caller and the PSAP;

B) Type #2 – This configuration provides all the features of the Type #1 circuit with the following options:

i) called party hold;

ii) forced disconnect;

iii) idle circuit tone application; and

iv) originating switchhook status indication contingent on the installation of appropriate terminal equipment at the PSAP;

C) Type #3 – This configuration provides all the features of the Type #1 and Type #2 circuits with the addition of ringback of the calling party on a held line;

D) Type #4 – This configuration provides for optional features beyond those described in the configuration of Type #2 or Type #3. This type of Basic 9-1-1 also requires trunks capable of carrying ANI.

2. E9-1-1 service is a system that includes a dedicated network, selective routing, and a database that interfaces with a PSAP CPE capable of receiving and providing ANI and ALI. It can be provisioned through either a 9-1-1 telecommunications network that is commonly referred to as "9-1-1 traditional legacy service" or a 9-1-1 IP network which is commonly referred to as "NG9-1-1 service":

A) 9-1-1 traditional legacy service: Provides the capability to serve several PSAPs existing within the 9-1-1 service area with tandem trunking through the E9-1-1 selective router. The main features of E9-1-1 service is the capability of the E9-1-1 selective router to selectively route an emergency call originating from any station in the 9-1-1 service area to the correct PSAP. The features associated with tandem trunking in an E9-1-1 system may include the following:

i) Selective routing;

ii) Default routing;

iii) Alternate routing;

iv) Transfer capabilities;

v) Forced disconnect;

vi) No per call charge;

vii) ANI; and

viii) ALI.

B) NG9-1-1 service provides the capability to serve PSAPs through an IP network. The main feature of NG9-1-1 service is the capability to route an emergency call originating from multiple types of technology capable of calling 9-1-1. The capabilities and features associated with NG9-1-1 may include but are not limited to the following:

i) Legacy network gateway;

ii) Geospatial routing;

iii) Default routing;

iv) Alternate routing;

v) Transfer capabilities;

vi) ANI;

vii) ALI;

viii) Transmit data and/or text and/or video with the emergency call when feasible and/or available; and

ix) Emergency Services IP networks (ESInets).

C) Any combination of subsections (h)(2)(A) and (B).

i) The 9-1-1 system provider shall meet the following technical requirements for the provisioning of 9-1-1 service:

1. Utilizing mutually acceptable and agreed upon standards for database record exchange as prescribed, at a minimum, by the National Emergency Number Association in "NENA, Standard Data Formats For ALI Data Exchange, MSAG & GIS Mapping" (NENA 02-010, v9, 3/28/2011; this incorporation includes no later amendments or editions).

2. Obtaining, maintaining and updating end user subscriber information provided by all participating OSPs in order to maintain the 9-1-1 database to meet the requirements set forth in ETSA Section 15.4(d).

3. Creating, maintaining and updating the MSAG and database, GIS database, or functional equivalent in conjunction with the 9-1-1 authority and all OSPs.

4. Updating the ALI database on a daily basis during normal business days.

5. Providing notification of errors to the appropriate entities within 24 hours for corrective action.

6. Providing the error ratio to the 9-1-1 authority no later than December 31 of each year. 9-1-1 authorities may request the percentage on a more frequent basis, but not more than once a month.

7. Providing a network diagram to the 9-1-1 authority, annually within the 4th quarter of each year, no later than December 31. Additionally, updated diagrams must be provided to the 9-1-1 authority when a modification is required to be filed with the Commission.

8. Coordinating the development and the maintenance of the 9-1-1 database with all participating OSPs and the 9-1-1 authority and ensure that all required information for routing tables, i.e., NPA/NXX, ESN, default ESN, PANIs and any other items that may become necessary for the functionality of maintaining an accurate database and/or routing tables, is obtained.

9. Coordinating the installation of all network components with all participating OSPs and/or third party provider who may connect its network and transport 9-1-1 traffic to the appropriate 9-1-1 system provider on behalf of an OSP. In these cases, the OSP, the 9-1-1 system provider, and the third party telecommunications carrier shall work cooperatively with the 9-1-1 authority to ensure that appropriate default routes are chosen and proper network congestion control measures are maintained. The network design must adhere to the default routing and acceptable engineering practices as specified in subsections (h)(11) and (22).

10. Routing all emergency calls from any OSP without discrimination where technically feasible.

11. Provisioning all 9-1-1 facilities over dedicated redundant facilities. This should be considered to be the standard method of providing all incoming 9-1-1 facilities and, where possible, employ diverse routing. 9-1-1 circuits and facilities shall be sufficient to complete 99% of all emergency calls during the average busy hour of the average busy day. In all cases, the 9-1-1 network shall be provisioned to handle a minimum of two circuits and/or simultaneous calls, and shall use dedicated, diverse and/or redundant equipment, where available, in order to increase the survivability of the 9-1-1 network. Additionally the Commission 9-1-1 Program Staff and or 9-1-1 authority may on an annual basis or in the event of a problem request traffic studies be performed or other documentation be provided to verify that the standard is being met.

12. Provisioning 9-1-1 facilities for one way incoming only service to the PSAP. Origination of outbound dialing on 9-1-1 circuits without a caller or active 9-1-1 call on the circuit is prohibited.

13. Provisioning the transmission grade of service for 9-1-1 facilities using inter-exchange facilities equivalent to those specified in 83 Ill. Adm. Code 730.520 or 737.440.

14. Provisioning the transmission grade of service for the intra-exchange loop portion of any 9-1-1 facilities equivalent to those specified in 83 Ill. Adm. Code 730.525 or 737.630.

15. Notifying the 9-1-1 authority a minimum of 48 hours prior to performing any planned activities that could adversely affect 9-1-1 service.

16. Adopting practices to minimize the possibility of service disruption on all facilities associated with 9-1-1 service to a PSAP prior to 9-1-1 going on line.

17. Maintaining a contact number for notifying the appropriate 9-1-1 authority in the event of an outage or failure of a 9-1-1 system.

18. Notifying a primary point of contact within a 9-1-1 system within 15 minutes after detecting a confirmed outage within the system and advising the primary point of contact as to the magnitude of the outage once fully known. In addition, the 9-1-1 system provider must notify the Commission's 24 hour emergency number (217-558-6166) pursuant to 83 Ill. Adm. Code 730.550 or 737.430.

19. Notifying a primary point of contact of a 9-1-1 system and the Commission's 24 hour emergency number (217-558-6166) pursuant to 83 Ill. Adm. Code 730.550 or 737.734 within 30 minutes after the confirmed restoration of 9‑1-1 services.

20. Delivering 9-1-1 service elements for the provisioning and ongoing maintenance of the 9-1-1 systems as follows:

A) Provide database coordination with all participating OSPs when applicable.

B) Provide network coordination with all participating OSPs when applicable.

C) Provide maintenance and repair procedures, service and repair center contact information, a restoration plan and call trace procedures to the 9-1-1 authority.

21. Adopting practices and implementing procedures to reduce or minimize the conditions that cause default routed calls.

22. Default routing, at a minimum, by county. Where an exchange boundary/rate center crosses county boundaries, the 9-1-1 system provider may establish a single default with the approval of the 9-1-1 authority for those affected 9-1-1 systems.

23. Adopting practices to provide the appropriate services to Private Business Switch and Private Residential Switch subscribers for the purposes of complying with ETSA Sections 15.5 and 15.6 and 83 Ill. Adm. Code 1326.

24. Providing the 9-1-1 authority with the information, reports or other documents required, to enable the 9-1-1 authority to complete its annual filings to the Commission.

25. Cooperating with other 9-1-1 system providers to hand off split exchange subscribers to another 9-1-1 system provider in a mutually acceptable manner and in accordance with good engineering design and standards.

26. Cooperating with other 9-1-1 system providers in the installation of a new 9-1-1 system or migration of a system from another 9-1-1 system provider.

History

• Source: Amended at 40 Ill. Reg. 8170, effective May 25, 2016

83 Ill. Adm. Code 725.410 Telecommunications Carriers

a) Each telecommunications carrier shall file tariffs under Section 13-900.1 of the Public Utilities Act for 9-1-1 telecommunications service to be applied to all services specific to 9-1-1 installations on the carrier's network side of the customer demarcation point.

b) Dedicated redundant facilities should be considered to be the standard method of providing all incoming 9-1-1 facilities and, when possible, employ diverse routing. 9-1-1 circuits and facilities shall be sufficient to complete 99% of all requests for emergency services during the average busy hour of the average busy day. In all cases, the 9-1-1 network shall be provisioned to handle a minimum of two circuits and/or simultaneous calls, and shall use dedicated, diverse and/or redundant equipment, when available, in order to increase the survivability of the 9-1-1 network. Additionally, the Commission 9-1-1 Program Staff and/or 9-1-1 authority may, on an annual basis or in the event of a problem, request traffic studies or other documentation to verify that the standard is being met.

c) Coin-free dialing of the digits 9-1-1 shall be provided from all coin telephones within an exchange with 9-1-1 service.

d) The transmission grade of service on 9-1-1 facilities using inter-exchange facilities shall be at least equivalent to the transmission grade of service specified in 83 Ill. Adm. Code 730.520 or 737.440 dealing with interoffice transmission objectives.

e) The transmission grade of service for the intra-exchange loop portion of any 9-1-1 facilities shall be at least equivalent to the transmission grade of service specified in 83 Ill. Adm. Code 730.525 or 737.630 dealing with local loop transmission objectives.

f) When all 9-1-1 facilities are busy in the originating central office, the switching facility, when equipped to provide the function, shall route the caller to an announcement or busy tone. When an all trunks busy situation occurs in an intermediate switching facility, that switch shall, when equipped, route the caller to an appropriate backup or alternate answering location, announcement, or busy tone.

g) All telecommunications carriers shall arrange for each of their switching offices to accept the 9-1-1 code.

h) Telecommunications carrier's personnel shall notify the 9-1-1 authority a minimum of 48 hours prior to performing any planned action that could adversely affect 9-1-1 service.

i) Each telecommunications carrier shall adopt practices to minimize the possibility of service disruption on all facilities associated with 9-1-1 service to a 9-1-1 system. These practices will provide for facility guarding at all terminations with protective devices that will minimize accidental worker caused service interruption. These practices shall also contain procedures for physical identification of all 9‑1-1 facilities with special warning tags and/or labels and identification of circuits in company records.

j) Each telecommunications carrier shall deliver 9-1-1 service elements for the provisioning and ongoing maintenance of the 9-1-1 systems as follows:

1. Provide database downloads and updates to the appropriate 9-1-1 system provider for each 9-1-1 system in which it has subscribers.

2. Adhere to acceptable and agreed upon standards for database record exchange as prescribed, at a minimum, by NENA Standard Data Formats For ALI Data Exchange, MSAG & GIS.

3. Process error corrections within 2 business days after receipt of an error report from the 9-1-1 system provider and/or 9-1-1 authority.

4. Provision and connect its network to the appropriate 9-1-1 system provider. Nothing in this Section prohibits a telecommunications carrier from contracting with a third party provider who may connect its network to the appropriate 9-1-1 system provider for the transport of 9-1-1 traffic. The network design must adhere to the engineering practices and default routing requirements specified in Section 725.405(i)(11) and (22).

5. Not deliver emergency calls to operator services.

6. Provide maintenance and repair procedures, service and repair center contact information, maintain a restoration plan and perform call trace procedures to the 9-1-1 authority.

7. Comply and arrange for default routing requirements with the 9-1-1 system provider and the 9-1-1 authority.

8. Maintain a list of contact numbers for notifying the appropriate 9-1-1 system in the event of an outage or failure of a 9-1-1 system.

9. Notify a primary point of contact for the 9-1-1 authority within 15 minutes after a confirmed outage within the system and also advise the primary point of contact as to the magnitude of the outage. In addition, the telecommunications carrier must notify the Commission's 24 hour emergency outage number (217-558-6166) pursuant to 83 Ill. Adm. Code 730.550 or 737.430.

10. Shall notify a primary point of contact with the 9-1-1 authority and the Commission's 24 hour emergency outage number (217-558-6166) pursuant to 83 Ill. Adm. Code 730.550 or 737.734 within 30 minutes after the confirmed restoration of 9‑1-1 services.

11. Cooperate with 9-1-1 system providers to assist in terminating split exchange traffic between 9-1-1 systems.

12. Cooperate with 9-1-1 system providers in the installation of a new 9-1-1 system or migration of an existing 9-1-1 system to another 9-1-1 system provider.

k) Each telecommunications carrier and interconnected VoIP provider shall adopt practices and procedures to deliver emergency calls to the appropriate 9-1-1 system provider.

History

• Source: Amended at 40 Ill. Reg. 8170, effective May 25, 2016

83 Ill. Adm. Code 725.412 Next Generation 9-1-1 System Provider

Each next generation 9-1-1 system provider shall:

a) Provide redundant legacy network gateways so that the originating wireline, wireless and VoIP networks can deliver emergency calls in a manner that IP capable PSAPs can receive until such time that conversions of legacy networks for IP is no longer necessary.

b) Provide redundant geographic locations for the legacy network gateways within the State of Illinois that are both technologically feasible and cost effective.

c) Provide network monitoring.

d) A next generation 9-1-1 system provider that has deployed a 9-1-1 network prior to December 31, 2015 with a service offering that does not meet the requirements of this Section shall not be required to comply with this Section until the 9-1-1 system provider or a 9-1-1 authority requests to make a change to the network. The next generation 9-1-1 system provider shall not expand the current service until its service offering in both its existing and expanded service areas is provisioned to meet the requirements of this Section.

History

• Source: Added at 40 Ill. Reg. 8170, effective May 25, 2016

Chapter I Illinois Commerce Commission

Subchapter f Telephone Utilities

Part 725 Standards of Service Applicable to 9-1-1 Emergency Systems

83 Ill. Adm. Code 725.415 Public Safety Answering Point (repealed)

History

• Source: Repealed at 40 Ill. Reg. 8170, effective May 25, 2016

83 Ill. Adm. Code 725.500 Testing Procedures (repealed)

History

• Source: Repealed at 40 Ill. Reg. 8170, effective May 25, 2016

83 Ill. Adm. Code 725.505 Call Handling Procedures (repealed)

History

• Source: Repealed at 40 Ill. Reg. 8170, effective May 25, 2016

83 Ill. Adm. Code 725.510 Electronic Communication Devices (repealed)

History

• Source: Repealed at 40 Ill. Reg. 8170, effective May 25, 2016

83 Ill. Adm. Code 725.515 Physical Security (repealed)

History

• Source: Repealed at 40 Ill. Reg. 8170, effective May 25, 2016

83 Ill. Adm. Code 725.520 9-1-1 Traditional Legacy Service Database

a) 9-1-1 database queries will only be allowed by PSAPs for purposes of dispatching or responding to an emergency call or for database integrity verification as set forth in subsection (c).

b) Prior to an initial database integrity verification, the 9-1-1 authority shall obtain a court order detailing the information that is to be disclosed and the reason for disclosure.

c) The 9-1-1 database shall have the capability of allowing database verification queries, provided that the following procedures are adhered to:

1. The 9-1-1 authority shall be responsible for providing a level of security and confidentiality to the database that will prohibit random inquiries;

2. Direct access to 9-1-1 database information will be under strict control and, when technically feasible, a password will be assigned for access by authorized persons only;

3. Database verification queries shall be by subscriber number only and as necessary for purposes of database integrity. Queries in excess of 10 per 24-hour period will only be done with 2 or more days advance notice to the respective 9-1-1 system provider for scheduling purposes. Queries may be for the specific purpose of cross-checking information in the 9-1-1 database with other sources of information, including telephone and other directories, maps, municipal database listings, etc., and for verifying that database update information provided to the 9-1-1 system provider has indeed been posted and is correct. On-site 9-1-1 databases are exempt from 9-1-1 system provider advance notification requirements of this Section;

4. Information retrieved will be used exclusively for the maintenance, update and verification of the 9-1-1 database except as otherwise specified in subsection (a). Any other use is expressly prohibited. The information is subject to strict non-dis­closure agreements between the various OSPs, 9-1-1 system providers and 9-1-1 authority. All personnel associated in any way with the 9-1-1 authority and the 9-1-1 systems are bound by these agreements.

5. Trunks/facilities that are not used to transport 9-1-1 emergency calls into the PSAP are prohibited from being connected to the 9-1-1 CPE in any way to allow for queries of the 9-1-1 database.

6. Database queries for the purpose of database verification shall be limited to off-peak times.

7. Database queries shall not be made if there is any known outage or impairment in the database system, including a database data link outage. In the event of an outage, the 9-1-1 system provider shall treat outage notification of the 9-1-1 authority regarding database query suspension as a priority. When practicable, this notification shall be made not later than 15 minutes after a confirmed incident that will cause database queries to be suspended.

d) Each telecommunication carrier shall provide updates to the appropriate 9-1-1 system provider for the 9-1-1 database on a daily basis or more frequently when technology supports it, Monday through Friday during business hours.

e) A 9-1-1 authority using an on-site database is restricted from making any changes to the 9-1-1 data that has been downloaded for its use. Only the 9-1-1 system provider has the authority to correct errors or provide updates to the database. The 9-1-1 authority must adhere to the proper error resolution procedures as specified in subsection (g)(l).

f) 9-1-1 authorities, 9-1-1 system providers and telecommunications carriers shall utilize mutually acceptable and agreed upon standards as prescribed, at a minimum, by the NENA Standards for 9-1-1 databases.

1. Data Formats for ALI, MSAG and GIS (02-010, v9);

2. 9-1-1 Data Management (02-011, v7); and

3. Provisioning and Maintenance of MSAG Files to VDBs and EKDBS (02-013, v3).

g) It shall be the joint responsibility of the 9-1-1 authority, the 9-1-1 system provider and telecommunications carriers to ensure that the error ratio of each 9-1-1 system's database shall not, at any time, exceed 1%.

h) The 9-1-1 authority or 9-1-1 system provider shall forward all error reports within two business days after finding the error to the 9-1-1 authority, 9-1-1 system provider, or carrier to take appropriate action to resolve the error.

i) If the error is a record of the 9-1-1 system provider, it must be corrected and updated within two business days after receipt of the error. If the error is for a participating telecommunications carrier, the 9-1-1 system provider shall forward the error to the appropriate telecommunications carrier or 9-1-1 authority for resolution.

j) Any telecommunications carrier receiving an error record from the 9-1-1 system provider has two business days upon receipt of the error to work with the 9-1-1 Authority and process the corrections and forward the appropriate updates to the 9-1-1 system provider. If the error is for an OSP, the 9-1-1 authority will forward those on to the appropriate company for review.

k) The 9-1-1 authority shall retest and/or validate that all errors have been corrected (e.g., no record found, misroutes).

l) The 9-1-1 authority shall, on a continuing basis, maintain the MSAG (or GIS database or functional equivalent), the ELT for each ESN and the associated telephone numbers for the ELTs.

m) Upon a written request of the 9-1-1 authority, the 9-1-1 system provider shall submit, within 14 working days, a report to assist in the validation of the accuracy of the 9-1-1 database. Before this report is delivered to the 9-1-1 authority, the 9-1-1 authority shall enter into nondisclosure agreements with telecommunication carriers and interconnected VoIP providers to protect proprietary network and customer-related information from public disclosure consistent with the Illinois Freedom of Information Act (FOIA) [5 ILCS 140/7(1)] and other applicable federal or state law.

1. This report shall include the following information when available in the 9-1-1 database:

A) telephone number − area code, prefix, and number in separate fields;

B) pilot number − single telephone number used to tie multiple numbers within a system together;

C) service (civic) address − including street name, house number or equivalent, suffix, directional, community name, state, zip code and location and/or descriptive information, including inter­section if MSAG indicates an intersection, in separate fields;

D) billing address − if different than the service address, in separate fields, to be provided on a telephone number only basis pursuant to procedures defined by the telecommunications carrier and the 9-1-1 authority. Billing address information shall be subject to non-disclosure agreements;

E) name − first, last, and middle names or initials in separate fields;

F) date service was initiated − the month, day and year that service was initiated, in separate fields. If this information is not available, the date reflecting the most current service order activity may be provided instead;

G) type of service − residential, business, coin, etc.;

H) PBX/Centrex Extensions/Station Numbers − identify those numbers that are part of a PBX/Centrex system when this information is available;

I) surcharge status − when this information is available, the report shall identify those lines on which a surcharge is being collected and the date on which the collection was initiated. Identify those lines on which no surcharge is being collected and the reason for each exemption, including telecommunications carrier lines, in separate fields;

J) Emergency Service Number (ESN) − appropriate ESN, if assigned, is to be made available only from the primary telecommunications carrier providing database development and routing services.

2. This report may be requested by the 9-1-1 authority in writing, at a maximum, on a monthly basis. The information in this report is considered proprietary and shall be used exclusively for validating the accuracy of the 9-1-1 database. This report will be delivered in an electronic format. It will not be delivered in paper format. There will be a charge for this report that will be a tariffed item by each 9-1-1 system provider.

n) A 9-1-1 authority that has or is in the process of transitioning to an NG9-1-1 system when the 9-1-1 traditional legacy service database will be used in conjunction with, or eventually be replaced with, dynamic data must provide a detailed explanation of the initial development and ongoing maintenance of necessary databases in the NG9-1-1 final plan or modification, pursuant to Section 1325.205.

History

• Source: Amended at 40 Ill. Reg. 8170, effective May 25, 2016

83 Ill. Adm. Code 725.525 Call Boxes (repealed)

History

• Source: Repealed at 40 Ill. Reg. 8170, effective May 25, 2016

83 Ill. Adm. Code 725.600 Surcharge Administration and Monthly Report to the Emergency Telephone System Board (repealed)

History

• Source: Repealed at 40 Ill. Reg. 8170, effective May 25, 2016

83 Ill. Adm. Code 725.APPENDIX A Monthly Surcharge Report to the 9-1-1 Authority (repealed)

History

• Source: Repealed at 40 Ill. Reg. 8170, effective May 25, 2016

Part 730 Standards of Service for Local Exchange Telecommunications Carriers

83 Ill. Adm. Code 730.100 Application of Part

a) This Part shall apply to all local exchange carriers offering or providing noncompetitive telecommunications services as defined in Section 13-210 of the Universal Telephone Service Protection Law of 1985 (Law) [220 ILCS 5], except this Part does not apply to Electing Providers as defined in Section 13-506.2(a)(1) of the Public Utilities Act [220 ILCS 5/13-506.2(a)(1)], and except that Sections 730.115(b), 730.535(c), 730.540(d) and (e), and 730.545(h) and (i) are not applicable to telephone cooperatives as defined in Section 13-212 of the Law pursuant to Section 13-701 of the Law. This Part shall only apply to the relationship between a serving local exchange carrier and its end user. This Part shall not apply to the relationship between a serving local exchange carrier that provides wholesale facilities or services to another serving local exchange carrier for provisioning of services to its retail end user customers.

b) This Part does not supersede the authority of, nor prohibit, the Commission from imposing different, additional, or more stringent service quality standards, reporting requirements or penalties upon a carrier pursuant to Section 13-506.1 of the Public Utilities Act (Alternative forms of regulation for noncompetitive services).

History

• Source: Amended at 39 Ill. Reg. 355, effective December 22, 2014

83 Ill. Adm. Code 730.105 Definitions

As used in this Part, the following terms shall have these definitions:

"Access line" means the connecting facility between a customer's premises network interface device and the local exchange carrier's facility that provides access to the switching network for local exchange and interexchange telecommunications service. This includes the network interface or equivalent, the outside plant facilities, the office frame and frame wiring and the office line termination.

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

"Analog" means a continuous electrical signal that carries information by means of variations in its amplitude or frequency. The electrical signal being transmitted varies in direct relation to the signal generated by the source.

"Answer time" means a measurement in seconds from the point the carrier's telephone system receives the call until the call is answered by the carrier's representative or voice response unit and ready to accept information. In the case when the carrier uses a menu-driven system, the measurement begins once the menu-based system has transferred the customer into the carrier's telephone system until the call is answered by the carrier's representative.

"Application" means a verbal or written request for a telecommunications service.

"Appointment" means an arrangement made by a telecommunications carrier to meet a customer within an agreed 4 hour window to address an installation or repair situation, or, until June 30, 2004, between 8 A.M. and 4 P.M. on a particular day if the carrier uses the resold services, network or network elements of another carrier to provide service to the customer, at the customer's premises, to perform work on the network.

"Assistance calls" means calls in which the operator provides assistance or instructions to the customer. Examples: rate quotes, credit requests, trouble reports, dial assistance and dialing instructions.

"Basic local exchange service" means residential and business lines used for local exchange telecommunications service as defined in Section 13-204 of the Public Utilities Act, excluding: services that employ advanced telecommunications capability as defined in section 706(c)(1) of the federal Telecommunications Act of 1996 (P.L. 104-104); vertical services; company official lines; and records work only. [220 ILCS 5/13-712(b)(2)].

"Basic local exchange service installation" means the installation of basic local exchange service whereby the physical connecting and diagnostic testing of a local loop results in the provisioning of dial tone to the requesting customer's network interface device. It includes move orders and orders for additional lines.

"Business office" means those offices of the company where calls are answered and made. A business office typically employs company representatives to assist customers for order entry and lookup on customers' orders and account records through the use of a computerized system.

"Busy hour" means the two consecutive half-hours each day during which the greatest volume of traffic is handled.

"Busy tone" means an audible signal indicating a call cannot be completed because the called access line is busy. The tone is applied 60 times per minute.

"Call data" means the recorded information necessary to measure and bill each call.

"Calls" means customers' messages attempted.

"Central office" means the site where switching equipment is located. A local central office, also called an end office, is the switching office where individual subscriber's access lines appear. It houses the equipment that receives calls transmitted on the local loop and routes the call over the switched network either directly to the person called, if the call is placed to a location served by the same local central office, or to another central office, if the call is placed to a customer served by a different central office. Each central office serves local loops in an exclusive geographic area.

"Certificate of service authority" means the authorization by the Commission granting a local exchange carrier the right to provide telecommunications services within a specified geographical area.

"Channel" means a single path between two or more points provided for transport of user information and/or signaling for a communications service.

"Commission" means the Illinois Commerce Commission.

"Connecting company" means a corporation, association, partnership or individual (other than a company affiliated interest) that owns or operates central offices or similar switching facilities and interchanges traffic directly or indirectly with the local exchange carriers.

"Customer" means any person, building owner, firm, partnership, corporation, municipality, cooperative, organization, governmental agency, etc., provided with local exchange carrier telecommunications services as defined in Section 13-204 of the Act. Customer may also be referred to as "end user".

"Customer premises equipment" or "CPE" means equipment employed on the premises of a person (other than a carrier) to originate, route or terminate telecommunications. Customer premises equipment includes customer premises wire.

"Customer premises wire" means any wire, including interface equipment, on the customer side of the network interface or equivalent.

"Customer trouble report" means any verbal or written report relating to difficulty or dissatisfaction with the operation of regulated telecommunications services. One report shall be counted for a verbal or written report received. When several items are reported by one customer at the same time, and the group of troubles so reported is clearly related to a common cause, they are counted as one report.

"dBrnc" means a measure of the interfering effect of noise.

"Decibel" or "dB" means a standard unit used for expressing a transmission signal gain or loss.

"Dial tone" means an audible tone sent from an automatic switching system to a customer to indicate the equipment is ready to receive dial signals.

"Dial tone first" means coin telephone service that allows a customer to obtain a dial tone before money is deposited into the coin telephone.

"Digital" means a signal that carries information by discrete changes in its parameters. For digital transmission of analog information, the incoming voice, data or video signals are sampled periodically and digitally coded for transport through the network.

"Direct distance dialing" or "DDD" means the automatic establishment of toll calls in response to signals from the dialing device of the originating customer.

"Distributing system" means that part of the outside cable plant connecting the central office to the customer network interface at the customer's premises.

"Emergency situation" means a single event that causes an interruption of service or installations affecting end users of a local exchange carrier. The emergency situation shall begin with the first end user whose service is interrupted by the single event, and shall end with the restoration or installation of the service of all affected end users.

The term single event shall include:

a declaration made by the applicable State or federal governmental agency that the area served by the local exchange carrier is either a State or federal disaster area; or

an act of third parties, including acts of terrorism, vandalism, riot, civil unrest or war, or acts of parties that are not agents, employees or contractors of the local exchange carrier; or

a severe storm, tornado, earthquake, flood or fire, including any severe storm, tornado, earthquake, flood or fire that prevents the local exchange carrier from restoring service due to impassable roads, downed power lines, or the closing off of affected areas by public safety officials.

The term emergency situation shall not include:

a single event caused by high temperature conditions alone; or

a single event caused, or exacerbated in scope and duration, by acts or omissions of the local exchange carrier, its agents, employees or contractors or by the condition of facilities, equipment or premises owned or operated by the local exchange carrier; or

any service interruption that occur during a single event listed in this definition, but are not caused by those single events; or

a single event that the local exchange carrier could have reasonably foreseen and taken precaution to prevent; provided, however, that in no event shall a local exchange carrier be required to undertake precautions that are technically infeasible or economically prohibitive.

This Part shall be construed as being content neutral as to whether a strike or other work stoppage is an emergency situation. In the event of a strike or other work stoppage, the local exchange carrier's obligations to provide remedies for failure to comply with this Part shall, in the absence of a decision by a court of competent jurisdiction, be determined by the Commission on a case-by-case basis based upon the individual factual circumstances of each strike or other work stoppage. In making such a determination, and notwithstanding the definition of emergency situation above, the Commission shall not presume that a strike or other work stoppage is an act of an employee or of the local exchange carrier.

"End user" means any person, building owner, firm, partnership, corporation, municipality, cooperative, organization, governmental agency, etc., provided with local exchange carrier telecommunications services for consumption, not for resale, as defined in Section 13-204 of the Act. End user may also be referred to as "customer".

"Exchange area" means a unit established by a local exchange carrier and approved by the Commission for the administration of telecommunications service in a specified geographical area. It may consist of one or more central offices together with associated plant used in furnishing telecommunications services in that area. Exchange areas are identified on exchange boundary maps on file with the Commission.

"Foreign exchange service" means a classification of exchange services whereby customers may be provided a telecommunications service from a local exchange other than the one from which they would normally be served.

"Information call" means a call in which a customer will be connected to directory assistance by dialing the proper service code or number and will be given the directory number of the customer whom he or she desires to call, provided that the customer's number to be called is or will be published or listed in the information records. An information call is also referred to as directory assistance.

"Inside wire" means the same as "customer premises wire" defined above.

"Installation trouble report" means any network trouble report filed within seven days after the completion of a basic local exchange service installation on the same line.

"Intercept service" means a service arrangement provided by the local exchange carrier whereby calls placed to a disconnected or discontinued telephone number are intercepted and the calling party given such information as the called telephone number has been disconnected, discontinued or changed to another number, or that calls are being received by another telecommunications line.

"InterMSA" means those calls originating in one Market Service Area (MSA) but terminating in another MSA. InterMSA calls are also referred to as "InterLATA calls". See Section 13-208 of the Act.

"Interoffice trunk" means a communication path between two central offices.

"Line" means the conductor or conductors, supporting circuit equipment, and structures extending between customer network interfaces and central offices, or between central offices, whether they be in the same or different communities.

"Local exchange carrier" or "LEC" means a telecommunications carrier certificated by the Commission to provide intra-exchange and/or inter-exchange service within the same MSA.

"Local exchange service" means the same as "local exchange telecommunications service" as defined in Section 13-204 of the Act.

"Local exchange service area" means the area where telecommunications service is furnished to customers under a specific schedule of rates and without toll charges. A local exchange service area may include one or more exchange areas or portions of exchange areas.

"Local message" means a completed call between customers served by the same central office or between customers served by two different central offices as defined by and in accordance with tariffs.

"Local loop" means a channel between a customer's network interface and its serving central office.

"Local usage charge" means the charge that applies to a call defined as a "local message".

"Map" means a drawing showing a geographical area in which a local exchange carrier furnishes telecommunications services.

"Message" means a completed customer call.

"Network" means the aggregate of transmission systems and switching systems. It is an arrangement of channels, such as loops, trunks and associated switching facilities.

"Network interface" means the point of termination on the customer premises at which the local exchange carrier's responsibility for the provision and maintenance of network channel or line service ends. The network interface is part of the network and the order of appearance of central office lines on it is determined solely by the local exchange carrier

"Network service" means a telecommunications service that links two or more discrete channels for the purpose of creating a point-to-point connection.

"Noise to Ground" or "Ng" means the noise measured between ground and the tip and ring conductors. The customer does not hear the noise to ground, but the amount of noise to ground affects the amount of noise metallic that a customer hears.

"Noise Metallic" or "Nm" means the noise measured across the tip and ring of a circuit and is the noise that the customer hears.

"Out of Service > 30 Hours" means that 30 hours after reporting an out of service condition to the local exchange carrier the customer still:

has no dial tone; or

cannot be called; or

cannot call out.

This defined term excludes call blocking or any other intentional alteration to an end user's calling or call receiving ability.

"Outside plant" means the telecommunications equipment and facilities installed on, along, over, or under streets, alleys, highways or on private rights-of-way between the central office and customer locations or between central offices.

"Party line service" is a service offering where two or more unaffiliated customers share the same line and telephone number.

"Premises" means the space occupied in a single local exchange area by a customer in a building or in adjoining buildings not separated by a public thoroughfare or in a public office building where the customer's office space is all contiguous.

"Public telephone service" means one-party access line service equipped with a coin collecting and/or calling-card only telephone instrument installed for the use of the general public in locations where the general public has access to these telephones.

"Repair office" means an office to handle customers' reported telephone facility problems. Customers may call to request trouble verification tests, initiate trouble reports and obtain information on the status of open trouble reports.

"Repeat trouble report" means any network trouble report filed within 30 days after the closing of a previous network trouble report filed by the same customer for the same working line.

"Reporting entity" means a unit established by the local exchange carrier for the purpose of administering the customer service operations established by this Part.

"Staff" means the Staff of the Illinois Commerce Commission.

"Telecommunications service" means any regulated communication service provided by local exchange carriers.

"Toll call" means a completed message between customers in different exchanges for which message toll rates are applicable.

"Traffic" means call volume based on number and duration of messages.

"Transmission" means the process of sending information from one point to another.

"Trouble report" means any customer complaint to the local exchange carrier regarding the operation of the network affecting their basic local exchange service, including both service-affecting conditions or out of service conditions.

"Trunk" means a transmission path between switching units, switching centers and/or toll centers.

"Vertical services" means optional telecommunication services, including, without limitation, Caller ID or Call Waiting, that a customer may choose to have added to its basic access line.

"Working line" means an active access line or channel.

History

• Source: Amended at 36 Ill. Reg. 14990, effective October 1, 2012

Chapter I Illinois Commerce Commission

Subchapter f Telephone Utilities

Part 730 Standards of Service for Local Exchange Telecommunications Carriers

83 Ill. Adm. Code 730.110 Waiver

The Commission, on application of a company, customer, applicant, or end user or on its own motion, may grant a temporary or permanent waiver from this Part, or any subsections contained in this Part, in individual cases where the Commission finds that:

a) The provision from which the waiver is granted is not statutorily mandated;

b) No party will be injured by the granting of the waiver; and

c) The rule from which the waiver is granted would, as applied to the particular case, be unreasonable or unnecessarily burdensome.

History

• Source: Amended at 27 Ill. Reg. 17997, effective December 1, 2003

83 Ill. Adm. Code 730.115 Reporting

a) All reports required to be submitted to either the Staff or to the Illinois Commerce Commission under this Part 730 shall be certified by an authorized agent of the reporting carrier. All such reports will be public records available for inspection, copying and posting to the Commission's website.

b) Disaggregation

1. Each telecommunications carrier shall provide to the Commission, on a quarterly basis and in a form suitable for posting on the Commission's website, a public report that includes monthly performance data for basic local exchange service quality of service as required to be collected and reported pursuant to this Part. The performance data shall be disaggregated for each geographic area and each customer class of the State for which the telecommunications carrier internally monitored performance data as of March 2, 2001. The report shall include, at a minimum, operator answer time – toll and assistance, Section 730.510(a)(1)(A); operator answer time – information, Section 730.510(a)(1)(B); repair office answer time, Section 730.510(b)(1); business or customer service answer time, Section 730.510(b)(1); percent of service installations, Section 730.540(a); percent of lines out of service for more than 30 hours, including monthly itemization of the "w" variable via attachment, Section 730.535(a); trouble reports per 100 access lines, Section 730.545(a); percent of repeat trouble reports, Section 730.545(c); percent of installation trouble reports, Section 730.545(f); missed repair appointments, Section 730.545(h); and missed installation appointments, Section 730.540(d).

2. Carriers shall disaggregate their performance data at least to the extent required pursuant to this Section and Section 13-712(f) of the Act and, by January 1, 2004, shall provide to the Commission a certification by an authorized officer of the carrier specifying the disaggregation that is required as well as supporting documentation sufficient to demonstrate the required disaggregation (specifically identifying the geographic and customer class disaggregation). The carriers shall bear the burden of proof with respect to the required disaggregation. The certification and supporting documentation shall be delivered in a form that can be made publicly available and posted upon the Commission's website.

History

• Source: Amended at 36 Ill. Reg. 14990, effective October 1, 2012

83 Ill. Adm. Code 730.120 Penalties

Upon complaint or its own motion and after notice and a hearing, the Commission may assess fines, penalties or impose other enforcement mechanisms against a carrier that fails to meet the requirements or standards established in this Part. In determining the appropriate fines, penalties or other enforcement mechanisms, the Commission shall consider, at a minimum, the carrier’s gross annual intrastate revenue; past performance; the frequency, duration, severity, and recurrence of the violation or violations; and the relative harm caused to the affected customer or other users of the network. In imposing fines, the Commission shall take into account compensation or credits paid by the telecommunications carrier to its customers. In addition, carriers subject to alternative regulation may have fines, penalties and other enforcement mechanisms determined in a company specific docket and fines, penalties or other enforcement mechanisms as part of an alternative regulation plan.

History

• Source: Added at 27 Ill. Reg. 17997, effective December 1, 2003

Chapter I Illinois Commerce Commission

Subchapter f Telephone Utilities

Part 730 Standards of Service for Local Exchange Telecommunications Carriers

83 Ill. Adm. Code 730.200 Preservation of Records

All records required by this Part shall be preserved in accordance with provisions of 83 Ill. Adm. Code 705.

83 Ill. Adm. Code 730.300 Construction

a) Each local exchange carrier shall place a minimum of 80% of all newly constructed outside cable plant facilities (measured in sheath miles) underground.

b) The telecommunications outside plant shall be designed, constructed, maintained, and operated in accordance with the provisions of 83 Ill. Adm. Code 305 and 83 Ill. Adm. Code 265.

History

• Source: Amended at 24 Ill. Reg. 13861, effective September 1, 2000

83 Ill. Adm. Code 730.305 Maintenance of Plant and Equipment

Each local exchange carrier shall:

a) adopt a maintenance program for its equipment based on the minimum standards set forth in this Part, which program shall be updated regularly but not less than every two years unless an earlier update is requested by the Commission.

b) inspect every two years, in accordance with the National Electric Safety Code (NESC) standards identified in 83 Ill. Adm. Code 305, its electrical grounding equipment owned by such carrier for each central office, including, without limi­tation, the component of such system commonly known as the master ground bar, to ascertain the integrity of the central office ground field, and maintain a copy of the test results in the office and available for inspection.

The inspection shall be performed annually if one of the following events occurs: an office conversion (replacement of the current switching equipment), a building addition to a central office, or renovations to the building facilities and grounds, such as water, sewer, gas, electric facilities or parking lot.

c) copy, on a monthly basis, its database for switching equipment applicable to each central office and store such copy off-site or in a fireproof on-site storage for use in emergency restoration purposes (such copying and storage to be performed in accordance with current software backup procedures).

d) copy, on a monthly basis, its digital access and cross-connect system (DACS) database for each central office, if technically feasible, and store such copy off-site or in a fireproof on-site storage for use in emergency restoration purposes (such copying and storage to be performed in accordance with current software backup procedures).

e) copy, on a monthly basis, its fiber optic terminal database for each central office, if technically feasible, and store such copy off-site or in a fireproof on-site storage for emergency restoration purposes (such copying and storage to be performed in accordance with current software backup procedures).

History

• Source: Amended at 27 Ill. Reg. 17997, effective December 1, 2003

83 Ill. Adm. Code 730.310 Grade of Service

No local exchange carrier shall offer party line service.

History

• Source: Amended at 24 Ill. Reg. 13861, effective September 1, 2000

83 Ill. Adm. Code 730.315 Interoffice Trunks (repealed)

History

• Source: Repealed at 24 Ill. Reg. 13861, effective September 1, 2000

83 Ill. Adm. Code 730.320 Network Service

Local exchange carriers shall retain control of the network and not provide service to lines that introduce energy into the network at levels or frequencies that will interfere with other users.

83 Ill. Adm. Code 730.325 Emergency Operation

a) Each local exchange carrier shall make provisions to meet emergencies resulting from failures of commercial or power service, sudden and prolonged increases in traffic, illness of personnel, fire, storm, or other natural disasters. Each local exchange carrier shall inform employees as to procedures to be followed in the event of emergency in order to prevent or minimize interruption or impairment of telecommunications service.

b) Each existing central office will contain a reserve battery supply of 5 hours where emergency power generators are not installed and 3 hours where they are in place. Central office batteries shall be maintained in accordance with Institute of Electrical and Electronic Engineers (IEEE) standards as adopted in Section 730.340, and records verifying such maintenance shall be kept on site. New central offices or central offices being replaced shall contain a reserve battery supply of 8 hours where emergency power generators are not installed and 5 hours where they are in place. In central offices without installed emergency power generators, a mobile power unit shall be available that can be delivered and connected within 5 hours.

c) In new central offices exceeding 3,000 working lines, a permanent power generator shall be installed. For existing central offices having over 3,000 lines, permanent power generators shall be installed at the time of office replacement or battery replacement.

d) Emergency generator units shall have available at least a 12 hour fuel supply.

e) Emergency generator units shall be tested under load once a month. A record of the test results shall be maintained.

History

• Source: Amended at 27 Ill. Reg. 17997, effective December 1, 2003

83 Ill. Adm. Code 730.330 Construction Work Near Utility Facilities

a) A local exchange carrier, upon receipt of written or verbal notification of work that may affect its facilities, will be responsible for investigating and deciding what action, if any, must be taken to protect any underground service to the public in accordance with 83 Ill. Adm. Code 265.

b) The local exchange carrier shall have the responsibility to protect, remove, alter, or reconstruct its facilities, provided that nothing in this Section shall be deemed to affect any right the local exchange carrier may have to require advance payment or adequate assurance of payment of the cost thereof to the local exchange carrier by the property owner or contractor.

c) The local exchange carrier may, in order to protect its interest, require that the owner or contractor perform certain work (such as providing ducts, conduit space, or working space) upon that part of the service piping or wiring on, or being removed from, the property on which the work is being performed. This Section is not intended to affect the responsibility of the contractor or owner, or the liability or legal rights of any party.

d) Coordination of all construction and maintenance work between local exchange carriers and other public utilities shall be in accordance with 83 Ill. Adm. Code 265.

83 Ill. Adm. Code 730.335 Network Interface

a) Telecommunications carriers shall have in place, no later than December 31, 2003, external combination protector/demarcation interfaces for all one- and two-line customers in single tenant residences and commercial buildings.

b) The network interface for a residential customer shall be located on a structure owned, rented, or leased by the customer, in which the customer resides.

c) The network interface for business customers shall be located outside structures owned, rented, or leased by the customer, in which the customer is conducting business. The demarcation point shall be located at the minimum point of penetration of the network cable to the building, normally within 25 feet. Deviation from this location must be mutually agreeable to the building owner and the telecommunications provider.

d) Network interfaces shall not be located on fence posts, utility poles, or cable pedestals.

e) Network interfaces for temporary services or serving trailers, boats, or customer-owned pay telephones shall be located on structures provided by the customer or on a utility pole.

History

• Source: Amended at 27 Ill. Reg. 17997, effective December 1, 2003

83 Ill. Adm. Code 730.340 Incorporation of National Codes and Standards

a) The Commission adopts as its rules the following portions of the National Electrical Safety Code (NESC) (2017 edition, approved April 26, 2016, published by the Institute of Electric and Electronic Engineers, Inc., 3 Park Avenue, New York, New York 10016-5997):

1. Section 2 (Definitions of Special Terms).

2. Section 9 (Grounding Methods of Electric Supply and Communications Facilities).

b) The Commission adopts as its rules the following publications of the IEEE:

1. IEEE Std 1188-1996 Recommended Practice for Maintenance, Testing, and Replacement of Valve-Regulated Lead-Acid (VRLA) Batteries for Stationary Applications.

2. IEEE Std 450-1995 Recommended Practice for Maintenance, Testing and Replacement of Lead Acid Batteries for Stationary Applications.

c) These incorporations do not include any later amendments or editions.

History

• Source: Amended at 47 Ill. Reg. 4319, effective March 15, 2023

83 Ill. Adm. Code 730.400 Provisions for Testing

Each local exchange carrier shall provide, or have access to, test facilities that will enable it to determine the operating and transmission capabilities of channel and switching equipment, either for routine maintenance or for fault location.

83 Ill. Adm. Code 730.405 Call Data Records

Recording devices, when used in connection with telecommunications service to collect call data from which the customer's bills are prepared, shall show:

a) Called customer's telephone number;

b) Calling customer's telephone number;

c) Date;

d) Time of day; and

e) Duration of message.

History

• Source: Amended at 24 Ill. Reg. 13861, effective September 1, 2000

83 Ill. Adm. Code 730.410 Call Data Reading Interval

Call data shall be read at intervals to correspond to the customer billing period.

83 Ill. Adm. Code 730.415 Call Data Recording Equipment and Test Facilities

a) Where local exchange billing is based on the number and/or duration of messages, each local exchange carrier shall provide the facilities and equipment for testing recording equipment.

b) Any local exchange carrier may be exempted from the requirement by petitioning for a waiver from the Commission (see 83 Ill. Adm. Code 200). The Commission shall grant the waiver if the local exchange carrier has made arrangements to have its recording equipment tested by another local exchange carrier or by an organization engaged in the testing of metering equipment.

83 Ill. Adm. Code 730.420 Call Data Recording Equipment Requirements

All recording devices used to record data and prepare customers' bills shall be read and interpreted and shall not involve approximations.

83 Ill. Adm. Code 730.425 Initial Test

Either the manufacturer, the local exchange carrier, or an organization equipped for such testing shall test each recording device for accuracy when the device is released for service.

83 Ill. Adm. Code 730.430 As-Found Tests

All call data recording devices tested in accordance with this Part for either routine maintenance or a complaint shall be tested in their normal operating location and wiring mode.

History

• Source: Amended at 24 Ill. Reg. 13861, effective September 1, 2000

83 Ill. Adm. Code 730.435 Routine Tests

Each local exchange carrier shall have written procedures for the periodic testing and maintenance of recording systems to assure the integrity of its operation.

83 Ill. Adm. Code 730.440 Request Tests

Upon request of any customer, the local exchange carrier shall make a test of any call data recording device related to billing, provided such a request is not made more frequently than once every 6 months.

83 Ill. Adm. Code 730.445 Referee Tests

Any customer, by written request to the Telecommunications Division of the Commission, may have a test of any recording device related to its billing, conducted by the local exchange carrier in the presence of a representative of the Commission, provided such request is not made more frequently than once every 6 months.

History

• Source: Amended at 24 Ill. Reg. 13861, effective September 1, 2000

83 Ill. Adm. Code 730.450 Test Records

A record shall be made of all recording equipment tests and adjustments with supporting data to allow checking of the results. Such record shall include recording system identification, type, date and kind of test, and the results of each test.

83 Ill. Adm. Code 730.500 Adequacy of Service

a) Traffic studies shall be made and records maintained to the extent and frequency necessary to determine that sufficient equipment and an adequate operating force are provided to meet the minimum standards of service set forth in Sections 730.520 and 730.525.

b) Each local exchange carrier shall employ adequate procedures for assignment of facilities. The assignment record shall be kept up to date and checked every six months to determine if adjustments are necessary to maintain proper balance in all trunk and equipment groups.

c) Local service furnished by pair gain devices at a given exchange shall provide service equivalent to that furnished other subscribers at that exchange served by means of normal physical loops.

d) Local exchange carrier employees shall be instructed to comply with the provisions of all applicable Federal and state laws in maintaining secrecy of communications (see 47 U.S.C. Sec. 605 and Ill. Rev. Stat. 1989, ch. 38, pars. 14-1 to 14-9).

83 Ill. Adm. Code 730.505 Operator Handled Calls

When an operator is notified by a customer that he has reached a wrong number, has been cut off, or has experienced poor transmission, the operator shall arrange for credit, except in cases where fraudulent activity is demonstrable.

History

• Source: Amended at 24 Ill. Reg. 13861, effective September 1, 2000

83 Ill. Adm. Code 730.510 Answering Time

a) Operator Offices

1. Operator offices shall be staffed so that the average answer time, calculated on a monthly basis, shall not exceed 10 seconds for the following types of calls:

A) toll and assistance; and

B) information.

2. Whenever the average answer time for either toll and assistance calls and/or information calls, calculated on a monthly basis, exceeds 10 seconds, the local exchange carrier shall take corrective action and report the action to the Commission within 15 business days after the end of the month in which the violation occurred.

b) Business and Repair Offices

1. Business offices (during normal business hours) and repair offices shall be staffed so that the average answer time, calculated on a monthly basis, shall not exceed 60 seconds. When a menu driven, automated, or interactive system is utilized to answer any such call, the system shall provide, either through voice option or within the first menu of options, the option of transferring to a live attendant. This requirement shall apply separately to business offices and repair offices, if they are maintained separately.

2. Whenever the average answer time for either business offices or repair offices (if maintained separately), calculated on a monthly basis, exceeds 60 seconds, the local exchange carrier shall take corrective action and report the action to the Commission within 15 business days after the end of the month in which the violation occurred.

3. Local exchange carriers shall maintain records of answer time performance at their business offices and repair offices. At a minimum, these records shall contain the following information collected on a monthly basis:

A) Total number of calls received;

B) Total number of calls answered; and

C) Average answer time.

c) On or before March 1 of each year, each local exchange carrier shall file, with the Chief Clerk of the Commission, an annual report containing the information required by subsection (b) for its business and repair offices (separately when it maintains separate business and repair offices) for each month of the preceding calendar year. This information shall also be made available to the Commission when requested.

d) For purposes of this Section, average answer time shall be calculated by dividing the total number of call waiting seconds by the total number of reported monthly calls answered.

History

• Source: Amended at 35 Ill. Reg. 8808, effective June 1, 2011

83 Ill. Adm. Code 730.515 Central Office Administrative Requirements

a) Central office capacity and equipment shall be sufficient to provide a dial tone within three seconds on 95% of all calls placed during the busy hour of any given day. Whenever the dial tone rate falls below 95%, the local exchange carrier shall take corrective action and report such action to the Commission within 15% business days after the end of the month in which the violation occurred.

b) For purposes of subsection (a), the percent of calls that obtained dial tone within three seconds shall be derived by dividing the total number of customer dialing attempts during the busy hour that obtained dial tone within three seconds by the total number of customer attempts to obtain dial tone during the busy hour.

c) Each central office shall be equipped with alarms to indicate failures or improper functions.

d) Either operator or mechanized intercept service shall be provided for nonworking or changed terminating numbers until the numbers are assigned or reassigned.

e) All remote switching units are to be equipped to continue to perform basic internal switching functions if a base unit connection is interrupted.

f) Whenever a local exchange carrier fails to meet the monthly objectives contained in this section, it shall report that fact to the Commission's Telecommunications Division, with a statement of the reasons for such failure, within 15 days after the end of the respective month.

History

• Source: Amended at 27 Ill. Reg. 17997, effective December 1, 2003

83 Ill. Adm. Code 730.520 Interoffice Trunks

a) Local interoffice trunks and intraoffice trunks, interoffice toll trunks, and the intertoll trunk and any related switching components shall be engineered so that at least 98% of calls shall not encounter an All Trunks Busy (ATB) condition and at least 98% of properly dialed incoming interMSA calls, during the busy hour, shall receive ringing signal, station busy tone, or intercept (other than ATB) on the first attempt. When the completion rate falls below 98% for three consecutive months, corrective action shall be initiated and such action reported to the Commission.

b) For purposes of subsection (a), the information required to be reported shall be calculated by capturing total call attempts (local, toll, DDD, or inter/intraoffice) and calls that do not encounter an ATB condition that are going through trunk groups controlled by the reporting entity during the busy hour. Calls that do not encounter an ATB condition should be divided by Total Trunk Attempts to derive the percent of calls completed without encountering an ATB. The calculation should be performed for each base unit and all remotes that home on each base. Measurements for all of the base and remote units should be added to provide a statewide basis.

History

• Source: Amended at 27 Ill. Reg. 17997, effective December 1, 2003

83 Ill. Adm. Code 730.525 Transmission Requirements

Local exchange carriers shall furnish and maintain plant, equipment and facilities to meet the following minimum transmission standards. The transmission standards set forth in this Section are based upon measurements from the network interface at the customer premises through the local loop to a nominal 48-volt central office and measured at a frequency of 1004 hertz.

a) Local line analog loops shall have a loop resistance not exceeding the operating design of the associated central office equipment. Longer loops may be used by deployment of loop range extenders.

b) All analog loops are to be maintained to a minimum of 40,000 ohms insulation resistance.

c) Transmission loss of analog local loop shall be engineered not to exceed 10.0 dB when measured in accordance with subsection (a). The local loop transmission loss shall be adjusted to 10.0 dB or less if it exceeds 10.0 dB.

d) Transmission loss in analog interoffice trunks shall be engineered not to exceed 7 dB. If the loss exceeds expected design loss by + or - 3.5 dB, it shall be corrected to within 1 dB of the design loss.

e) Transmission loss on analog toll terminating trunks shall be engineered not to exceed 4 dB. If the loss exceeds expected design loss by + or - 3.5 dB, it shall be corrected to within 1 dB of the design loss.

f) Transmission loss on all digital interoffice trunks shall be engineered and maintained not to exceed 6 dB.

g) Loop current shall be maintained at 20 milliamperes or greater.

h) Power influence (Noise to Ground) shall not exceed 90 dBrnc.

i) Circuit noise (Noise Metallic) shall not exceed 30 dBrnc.

History

• Source: Amended at 35 Ill. Reg. 8808, effective June 1, 2011

83 Ill. Adm. Code 730.530 Coin Telephone Service (repealed)

History

• Source: Repealed at 24 Ill. Reg. 13861, effective September 1, 2000

83 Ill. Adm. Code 730.535 Interruptions of Service

a) On a monthly basis, each local exchange carrier shall clear 95% of all out of service troubles up to the customer network interface within 30 hours after the troubles are reported by the customer.

b) For purposes of maintaining records or reporting information relating to the requirement set forth in subsection (a), the information required to be so maintained or reported shall be calculated as follows:

1. Each occurrence shall be measured from the "create date and time" to the "cleared date and time".

2. The requirement set forth in subsection (a) shall be calculated as follows:

(a)

(c+d+e+f+g+h+i)

=

o

or the "adjusted number of out of service conditions not repaired within 30 hours"

(b)

(c+d+e+f+g+h+i)

=

p

or the "adjusted number of out of service calls"

(100 - x)

=

percent repaired within 30 hours

Variables used in the above formulas are defined as follows:

a

=

Total number of out of service conditions not repaired within 30 hours

b

=

Total number of out of service calls received by the company

c

=

Subsequent reports for the same out of service condition

d

=

Condition caused by payphone equipment

e

=

Condition caused by customer premises equipment (CPE) or inside wire

f

=

Exclusion due to no access to the property (when access is required)

g

=

Exclusion due to customer requested later appointment

h

=

Exclusion due to emergency situations

i

=

Exclusion due to negligent or Willful Act on part of customer

o

=

Adjusted number of out of service conditions not repaired within 30 hours

p

=

Adjusted number of out of service calls received by the company

w

=

Out of service conditions due to a severe storm, tornado, earthquake, flood or fire, including any severe storm, tornado, earthquake, flood or fire that prevents the local exchange carrier from restoring service due to impassable roads, downed power lines, or the closing off of affected areas by public safety officials. This variable "w" shall be itemized monthly, via attachment, in the reporting LECs quarterly report as provided in Section 730.115(b).

3. Whenever a local exchange carrier fails to meet the monthly requirements contained in this Section, it shall file a monthly report relating to the failed requirement to the Staff of the Illinois Commerce Commission, Telecommunication Division, with a statement of the reasons for the failure, within 15 business days after the end of each month in which the failure occurred.

4. The information to be reported pursuant to this Section shall include out of service troubles occurring on holidays or weekends.

c) If a carrier knows entry to the dwelling is required in order to clear an out of service trouble report, the local exchange carrier shall provide reasonable notice to the affected customer of the premises visit and shall schedule an appointment to perform any such visit on a mutually agreed date and time (which shall be identified as occurring within a four hour window, such as a morning or afternoon or evening shift, or until June 30, 2004, between 8 A.M. and 4 P.M. on a particular day if the carrier uses the resold services, network or network elements of another carrier to provide services to the customer). When the repair appointment cannot be met within the prescribed appointment window, the local exchange carrier shall notify the customer of the delay and the reason for the delay no later than 8 P.M. of the day prior to the scheduled date of the appointment of its inability to keep the appointment, and shall then reschedule a date and time acceptable to the customer when the utility will be able to provide the requested service. Customer-caused delays or customer-missed appointments shall not be subject to the time restrictions of this subsection.

d) Required toll-free numbers

1. Each local exchange carrier shall provide to its customers the telephone number to call for repair service. Calls to repair service shall be available without charge. When trouble is apparently located in a connecting company, this trouble report shall be immediately referred to the connecting company.

2. Each local exchange carrier shall provide its business office telephone number to its customers. Calls to the business office shall be available without charge.

e) Repair service shall be available at all times for reporting service out of order. Arrangements shall be made to receive customer trouble reports 24 hours daily and to clear out of service trouble at all hours for customers who express an emergency need for service as long as clearing the trouble is consistent with the personal safety of local exchange carrier personnel. For purposes of this subsection (e) only, an emergency need for service shall mean that without service there exists an immediate threat to life, limb or property.

History

• Source: Amended at 36 Ill. Reg. 14990, effective October 1, 2012

83 Ill. Adm. Code 730.540 Installation Requests

a) Each local exchange carrier shall complete 90% of its "basic local exchange service installations" within five business days after the customer requests installation or by such later date as requested by applicant, as subject to the exclusions set forth in subsection (f). This subsection (a) does not apply to the migration of a customer between telecommunications carriers, so long as the customer maintains dial tone. A telecommunications carrier offering basic local exchange service util­izing the network or network elements of another carrier shall install new lines for basic local exchange service within 3 business days after provisioning of the line or lines, by the carrier whose network or network elements are being utilized, is complete.

b) Each local exchange carrier shall maintain records and submit reports with respect to this Section as follows: Whenever a local exchange carrier fails to meet the monthly requirements contained in this Section, it shall file a monthly report identifying the installation performance relating to the failed requirement to the Staff of the Illinois Commerce Commission, Telecommunications Division, as well as a statement of the reasons for such failure, within 15 days after the end of the month in which the failure occurred.

c) For purposes of maintaining records or reporting information relating to the requirement set forth in subsection (a), the information required to be so maintained or reported shall be calculated by measuring customer applications or requests for basic local exchange service installation from the date the customer makes such application or request to the date the installation order is signed off by the carrier as completed.

d) If a local exchange carrier knows a premises visit (which includes entry into a dwelling) is required in connection with any basic local exchange service installation, the local exchange carrier shall advise the affected customer of such premises visit and shall schedule an appointment to perform any such visit at a mutually agreed upon date and time (which shall be identified as occurring within a four hour window, such as a morning or afternoon or evening shift or until June 30, 2004, between 8 A.M. and 4 P.M. on a particular day if the carrier uses the resold services, network, or network elements of another carrier to provide services to the customer). When the installation appointment cannot be met within the prescribed appointment window, the local exchange carrier shall notify the customer of the delay and the reason for such delay no later than 8 P.M. of the day prior to the scheduled date of the appointment of its inability to keep the appointment, and shall then reschedule a date and time acceptable to the customer when the utility will be able to provide the requested service. Customer-caused delays or customer-missed appointments shall not be subject to the time restrictions of this subsection.

e) Each local exchange carrier shall maintain a record of installation requests as reported by its customers. This record shall include appropriate identification of the customer or service affected, the time, date and nature of the installation request, the action taken, the date and time of installations or other disposition, and whether the appointments were kept, cancelled no later than 8 P.M. of the day prior to the scheduled date of the appointment, or missed without notice to the customer no later than 8 P.M. of the day prior to the scheduled date of the appointment.

f) Authorized Delays

1. An installation that is not performed within the intervals referred to in subsections (a) and (d) will not be considered a violation of subsection (a) and (d) for the period of delay if the installation is delayed due to the following:

A) as a result of a negligent or willful act on the part of the customer;

B) as a result of a malfunction of customer-owned telephone equipment or inside wire;

C) as a result of, or extended by, an emergency situation;

D) as a result of the carrier's inability to gain access to the customer's premises due to the customer missing an appointment, provided that the violation is not further extended by the carrier;

E) as a result of a customer request to change the scheduled appointment, provided that the violation is not further extended by the carrier;

F) as a result of a carrier's right to refuse service to a customer as provided in 83 Ill. Adm. Code 735; or

G) as a result of a lack of facilities where a customer requests service at a geographically remote location, a customer requests service in a geographic area where the carrier is not currently offering service, or there are insufficient facilities to meet the customer's request for service, subject to carrier's obligation for reasonable facilities planning.

2. Notwithstanding anything in this subsection (f) to the contrary, in those situations where an installation cannot be completed at all as a result of the occurrence of any of the causes identified in this subsection (f), the failure to complete such installation shall not be deemed to be a violation of subsection (a).

History

• Source: Amended at 36 Ill. Reg. 14990, effective October 1, 2012

83 Ill. Adm. Code 730.545 Trouble Reports

a) Each local exchange carrier shall maintain basic local exchange service so that the average rate of all customer network trouble reports is no greater than 6 reports per 100 access lines per month.

b) For purposes of maintaining records or reporting information relating to the requirement set forth in subsection (a), the information required to be so maintained or reported shall be calculated by dividing the number of customer initiated network trouble reports in any given month that are cleared to network dispositions, less customer premises equipment (CPE), inside wire, or emergency situations, by the total number of access lines in service. The rate shall be reported on a per 100 access line basis.

c) The local exchange carrier shall maintain service so that the percentage of repeat trouble reports for a month does not exceed 20% of the total customer trouble reports.

d) For purposes of maintaining records or reporting information relating to the objective in subsection (c), the information required to be so maintained or reported shall be calculated by dividing the total number of repeat trouble reports by the total number of customer trouble reports, in said month, and shall exclude troubles related to CPE, inside wire, or emergency situations.

e) Each local exchange carrier shall maintain a record of repeat trouble reports as reported by its customers. This record shall include appropriate identification of the customer or service affected, the time, date and nature of the repeat trouble report, the action taken, and the date and time of trouble clearance or other disposition.

f) The local exchange carrier shall maintain service so that the percentage of installation trouble reports for a month does not exceed 20% of the total installations.

g) Each local exchange carrier shall maintain a record of installation trouble reports as reported by its customers. This record shall include appropriate identification of the customer or service affected, the time, date and nature of the report, the action taken, and the date and time of installation trouble clearance or other disposition.

h) Each local exchange carrier shall keep scheduled repair appointments when a customer premises visit requires a customer to be present. If the local exchange carrier is unable to keep a scheduled repair appointment, it shall notify the customer of the delay and the reason for the delay no later than 8 P.M. of the day prior to the scheduled date of the appointment of its inability to keep the repair appointment.

i) Each local exchange carrier shall maintain a record of repair appointments as reported by its customers. This record shall include appropriate identification of the customer or service affected, the time, date and nature of the repair appointment, the action taken, the date and time of repair appointments, and whether the appointments were kept, cancelled no later than 8 P.M. of the day prior to the scheduled date of the appointment, or missed without notice to the customer no later than 8 P.M. of the day prior to the scheduled date of the appointment.

History

• Source: Amended at 36 Ill. Reg. 14990, effective October 1, 2012

Chapter I Illinois Commerce Commission

Subchapter f Telephone Utilities

Part 730 Standards of Service for Local Exchange Telecommunications Carriers

83 Ill. Adm. Code 730.550 Network Outages and Notification

a) Notification

1. Each local exchange carrier shall inform the Commission by telephone or by e-mail of any service interruption exceeding 30 minutes' duration caused by a complete or partial central office failure or complete or partial isolation of an exchange due to toll circuit failure, including cut cables. A reportable outage is any one of the following occurrences with a duration, unless otherwise specified, of at least 30 minutes affecting more than 50% of the customers and affecting more than 100 access lines in the affected exchange:

A) Toll isolation;

B) Loss of dial tone;

C) Isolation of one or more end offices or host/remote clusters from 9-1-1 service;

D) Loss of ANI/ALI processing;

E) Simplex conditions exceeding 5 days.

2. The notification shall be made via telephone call to (217) 558-6166 or by e-mail to the outage notification e-mail address posted on the Commission's website and shall consist of the following information:

A) Affected Area Code/Prefix

B) Exchange Name

C) Company Name

D) Cause of Interruption

E) Outage Date and Time

F) Restoral Date and Time

G) Effect on 9-1-1 Service

H) Name and Number of Person Reporting the Service Interruption.

3. Written Report

A follow-up written report shall be filed within 30 days, either via U.S. Postal Service, facsimile or e-mail.

4. All outages affecting 9-1-1 services shall be reported in accordance with 83 Ill. Adm. Code 725, Standards Applicable to 9-1-1 Emergency Systems.

b) Whenever it is necessary to interrupt customer service for the purpose of working on the distribution system or central office equipment, the work should be completed with minimal customer impact. The local exchange carrier shall use reasonable efforts to notify in advance public service customers (e.g., 9-1-1 entities, police, fire, hospitals) it reasonably believes may be most seriously affected by the interruption. Any customer credits for interrupted service shall be made pursuant to 83 Ill. Adm. Code 732.

History

• Source: Amended at 47 Ill. Reg. 4319, effective March 15, 2023

83 Ill. Adm. Code 730.600 Safety Program

Each local exchange carrier shall adopt and implement a safety program, fitted to the size and type of its operations. At a minimum, the safety program shall:

a) Require employees to use suitable tools and equipment in order that they may perform their work in a safe manner;

b) Instruct employees in safe methods of performing their work; and

c) Instruct employees who, in the course of their work, are subject to the hazards of electric shock, asphyxiation, or drowning, in accepted methods of cardiopulmonary resuscitation.

83 Ill. Adm. Code 730.605 Accident Reports (repealed)

History

• Source: Repealed at 24 Ill. Reg. 13861, effective September 1, 2000

83 Ill. Adm. Code 730.700 Map Requirements

Each local exchange carrier shall have on file with the Commission an exchange area boundary map for each of its exchanges within the State of Illinois.

83 Ill. Adm. Code 730.705 Map Specifications

a) A local exchange carrier boundary map filed after the effective date of this Part shall be in accordance with an already existing certificate of service authority, a petition for a new certificate of service authority, or a notice submitted pursuant to 83 Ill. Adm. Code 730.711.

b) Each map shall show the boundary lines of the area the local exchange carrier holds itself out to serve in connection with the exchange. Exchange boundary lines shall be located by appropriate measurement to an identifiable location if that portion of the boundary line is not otherwise located on section lines, waterways, railroads or roads.

c) The name of the local exchange carrier filing the map shall be placed at the left side of the top of the map, and the name of the exchange followed by the words "(Name of carrier) Exchange Area Boundary Map" shall be placed at the right side of the top of the map. The first filing of a map shall be designated by the word "Original" placed just below the words "(Name of carrier) Exchange Area Boundary Map". If the map is subsequently refiled, the words "First Revisions" shall be substituted for the word "Original", and on each subsequent refiling the next higher number shall be substituted for the number preceding the word "Revision" on the last map filed. The date of the issuance of the new boundary map shall be placed under the word "Original" or "Revision".

History

• Source: Amended at 35 Ill. Reg. 8808, effective June 1, 2011

83 Ill. Adm. Code 730.710 Application for Certificate (repealed)

History

• Source: Repealed at 35 Ill. Reg. 8808, effective June 1, 2011

83 Ill. Adm. Code 730.711 Changes to Existing Boundaries

No telecommunications carrier shall make a change to any of its exchange area boundaries, except upon 45 days notice to any affected customers and 90 days notice to the Commission. These notices shall meet the following requirements:

a) Notice to the Commission shall be filed with the Office of the Chief Clerk with a copy to the Chief Telephone Engineer. The Chief Telephone Engineer will have the notice posted to the Commission's web site within seven calendar days after receipt. This notice shall be accompanied by a new exchange area boundary map for any exchange area affected by the revision, with the new maps conforming to the provisions of Section 730.705. If there are any customers whose local exchange service will be affected by the proposal, then the Commission notice shall also be accompanied by a copy of the customer notice as well as the names, addresses and telephone numbers of each customer being sent a copy of the notice. If the proposed revision affects the boundary line of more than one carrier, the notice shall also be accompanied by a verified statement that the revised boundary lines have been agreed to by the other local exchange carriers adjoining the boundary lines to be changed.

b) Notice to Customers. The carrier shall provide notice to those customers located within the area being changed, and the notice shall be dated and sent by mail to the affected customers. The notice shall provide specific details as to the carrier's proposal, including what impact it will have on the customer's telephone number, calling areas and rates. The notice shall also specifically inform the customer that he or she has 45 days after the mailing of the dated notice to express opposition to, or support for, the proposed boundary change by calling the Commission's Chief Telephone Engineer at (217)524-5072.

c) Proposed boundary changes shall go into effect after the stated 90 days notice, unless the Commission, upon its own motion or upon complaint, initiates an investigation of the proposed exchange area boundary. In such cases, the Commission may, after notice and hearing, prohibit the proposed exchange area boundary change if the Commission finds that the change would be contrary to the public interest.

d) For any boundary change that will result in the elimination of an exchange in its entirety, the carrier shall file a petition with the Commission seeking the issuance of a new certificate of service authority.

History

• Source: Added at 35 Ill. Reg. 8808, effective June 1, 2011

83 Ill. Adm. Code 730.715 Service Outside Exchange Boundaries

a) No telecommunications service will be established outside the exchange boundary of the exchange that normally would provide service except on an emergency temporary basis or after the serving local exchange carrier has filed a notice of proposed boundary change with the Commission.

b) In cases where local exchange telecommunications service is provided outside the exchange boundary of the normal serving exchange without authorization of the Commission (other than foreign exchange service) and the location of the service is in the exchange of another local exchange carrier certificated by the Commission, the service shall be discontinued as soon as facilities are made available from the exchange in which the service is located. The customer whose service is affected by this Section shall be given at least 90 days notice prior to the time service can be provided from the proper telephone exchange.

History

• Source: Amended at 35 Ill. Reg. 8808, effective June 1, 2011

83 Ill. Adm. Code 730.720 Map Maintenance

Each local exchange carrier shall maintain and make available for public inspection a map of each exchange served.

83 Ill. Adm. Code 730.725 District Boundaries (repealed)

History

• Source: Repealed at 24 Ill. Reg. 13861, effective September 1, 2000

Subchapter f Telephone Companies

Part 731 Wholesale Service Quality for Telecommunications Carriers

83 Ill. Adm. Code 731.100 Purpose and Application of Part

This Part governs carrier to carrier wholesale service quality standards and remedies in accordance with Section 13-712(g) of the Public Utilities Act [220 ILCS 5/13-712(g)], including, but not limited to, establishing guidelines for the development and submission of wholesale service quality plans for Level 1 carriers establishing wholesale service quality obligations for Level 2 carriers, and establishing the criteria pursuant to which certain carriers are or may be exempt from Subparts B, C, D, E, and F of this Part. Unless otherwise indicated, the provisions of this Part are applicable to all providers of wholesale service to the extent that they are providing wholesale service.

83 Ill. Adm. Code 731.105 Definitions

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

"Billing" means the processes and systems used to prepare and provide bills to carriers for service ordered and rendered by the providing carrier. "Billing" also includes the functions required to investigate and dispute bills by the carrier receiving the bill.

"Bona fide request" means a telecommunications carrier's written request to another telecommunications carrier to provide a wholesale service.

"Business day" means Monday through Friday, inclusive, excluding weekends and holidays observed and published by the providing carrier.

"Carrier" means a telecommunications carrier as defined in Section 13-202 of the Act [220 ILCS 5/13-202].

"Carrier to carrier wholesale service quality" means the level of quality of telecommunications service, measured pursuant to this Part, that one telecommunications carrier sells or provides to another telecommunications carrier for the latter carrier's use in providing a telecommunications service to end users.

"Change management" means the series of processes and procedures negotiated between two or more carriers that detail the guidelines by which operation support system (OSS) changes are requested and made and for which notice is provided to the users of the OSS.

"Collocation" means the placement by one carrier of its network equipment at the premises of another carrier.

"Commission" means the Illinois Commerce Commission.

"Customer service record" or "CSR" means account information that a providing carrier maintains about an end user and includes, but is not limited to, the billing name, service address, and billing address of the end user. A CSR shall not be requested until after the requesting carrier has received authorization from the end user customer.

"Firm order confirmation" or "FOC" means the document or electronic record by which a provisioning carrier notifies a requesting carrier that the service order has been received and what due date has been assigned.

"Good cause" is evidence or law presented in a Commission proceeding that establishes a party's entitlement to the relief at issue or requested.

"High frequency portion of the loop" or "HFPL" means the frequency range above the voiceband on a copper loop facility that is being used to carry analog circuit-switched voiceband transmissions. Access to the HFPL is commonly called line sharing or line splitting.

"Interconnection trunks" means network facilities used to interconnect two switches of different carriers.

"Local exchange carrier" or "LEC" means a carrier certificated by the Commission to provide intraexchange service within the same market service area (see Section 13-208 of the Act [220 ILCS 5/13-208]).

"Local loop" means a transmission facility between a distribution frame (or its equivalent) in a carrier's central office and the loop demarcation point at an end user customer premises. Local loop includes HFPL.

"Loss notification" means the notice or notification given to a requesting carrier that uses the provisioning carrier's facilities to offer service to its end user when the end user of the service decides to switch its service to the provisioning carrier or to another carrier. This notification is sent from the provisioning carrier to the losing carrier to notify the losing carrier that it has lost the end user customer. Typically, this notification is the mechanism through which the losing carrier obtains information to know that it should cease billing the end user for a given service that one carrier sells or provides to another carrier, as a component of, or for the provision of, telecommunications service to end users.

"Maintenance and repair" means the actions taken or functions used to create trouble reports, view or determine trouble report status and trouble report history, receive proactive status on trouble reports, and clear and close trouble reports.

"Measure" means the specific component or attribute of a wholesale service that is being measured to assess service quality pursuant to an adopted or agreed upon standard. Measures are often based on the pre-ordering, ordering, provisioning, maintenance and repair, or billing functions used to deliver the service.

"Operation support systems" or "OSS" means the various systems and business processes used by a carrier to conduct business with its customers. Typically, OSS covers pre-ordering, ordering, provisioning, maintenance and repair, and billing functions.

"Ordering" means the sequence of steps involved in placing an order with a carrier.

"Preexisting plan" means:

A plan implemented by or for a carrier prior to September 1, 2004 that contains one or more of the components required for a wholesale service quality plan as set forth in Section 731.305 (General Plan Requirements), the terms and provisions of which have been specifically reviewed and approved by the Commission within the previous three years in a docketed proceeding, other than a proceeding that reviewed a negotiated or arbitrated agreement pursuant to section 252 of the federal Telecommunications Act of 1996 (47 USC 252); or

If the terms and conditions of a preexisting plan have not been specifically reviewed and approved by the Commission within the previous three years in a docketed proceeding other than a proceeding that reviewed a negotiated or arbitrated agreement pursuant to section 252 of the federal Telecommunications Act of 1996, then the most recent preexisting plan implemented by that carrier pursuant to a Commission order or, if no preexisting plan was implemented by that carrier pursuant to a Commission order, the most recent preexisting plan implemented by that carrier on a voluntary basis.

"Pre-ordering" means the exchange of specific information (usually an inquiry and response process) between two carriers for the purpose of gathering appropriate information before submitting a request or order.

"Provision" or "provisioning" means to supply, or the supplying of, telecommunications service to a user. With respect to OSS, "provisioning" also means the functions used to manage and monitor an order during the period between the order placement and order completion.

"Provisioning carrier" means the carrier provisioning, or committing or offering to provision, a wholesale service to another carrier.

"Public interest" has the same meaning as in 47 U.S.C. 252(e).

"Reject notice" means a method by which a carrier notifies a requesting carrier that a service request or order is rejected.

"Remedy" means a payment or credit from one carrier to another carrier or the State of Illinois for failure to provide wholesale service at the standard prescribed in Section 731.320 for Level 1 carriers, Section 731.615 for Level 2 carriers, and Section 731.815 for Level 4 carriers.

"Requesting carrier" means the carrier requesting, ordering, or receiving a wholesale service from another carrier.

"Resold local service" means the sale, for purposes of resale, of a complete telecommunications path (i.e., switch port and loop) and associated support (e.g., 9-1-1) by a facilities-based carrier to another carrier.

"Rural exemption" means the exemption granted to rural telephone companies under section 251(f) of the federal Telecommunications Act (47 USC 251(f)).

"Standard" means the rate or level at which a measure is to be provided.

"Telecommunications Act" means the federal Telecommunications Act of 1934, as amended by the Telecommunications Act of 1996.

"Trouble report" has the same meaning as in 83 Ill. Adm. Code 730.

"Unbundled local loop" means the physical connection from the end user's premises to the carrier's point of presence, excluding switching or ports, provided by one carrier to another carrier.

"Unbundled loop return" means the release for reuse by a carrier of an unbundled local loop to a different carrier when the subscriber, whose local telephone service resides on the unbundled loop, authorizes a change in its local telephone service to a different carrier.

"Wholesale out of service" means a situation in which the wholesale service can not be used for its intended function. "Out of service" does not include a situation in which the essential elements of a wholesale service are still operational but there are extra features that are not working (e.g., for dial tone wholesale service a line is not out of service if the call blocking feature is not working but the line has dial tone and can be used to receive and place calls; for non-dial tone wholesale service a line is out of service when the circuit is incapable of transporting voice and/or data).

"Wholesale service" means any telecommunications service subject to the Commission's jurisdiction that one carrier sells or provides to another carrier, as a component of, or for the provision of, telecommunications service to end users, including, but not limited to, any wholesale service that is subject to wholesale service quality standards pursuant to this Part and shall include loss notification, customer service records and unbundled loop returns.

"Wholesale service emergency situation" means a single event that causes an interruption of service or installations affecting wholesale service provided by a carrier. The emergency situation shall begin with the first carrier whose wholesale service is interrupted by the single event and shall end with the restoration or installation of the service of all affected carriers. The term "single event" shall include:

A declaration made by the applicable State or federal governmental agency that the area served by the local exchange carrier is either a State or federal disaster area; or an act of third parties, including acts of terrorism, vandalism, riot, civil unrest, or war, or acts of parties that are not agents, employees or contractors of the local exchange carrier; or a severe storm, tornado, earthquake, flood or fire, including any severe storm, tornado, earthquake, flood or fire that prevents the local exchange carrier from restoring service due to impassable roads, downed power lines, or the closing off of affected areas by public safety officials.

The term "wholesale service emergency situation" shall not include:

a single event caused by high temperature conditions alone; or a single event caused, or exacerbated in scope and duration, by acts or omissions of the local exchange carrier, its agents, employees or contractors or by the condition of facilities, equipment, or premises owned or operated by the local exchange carrier who is claiming that the interruption of service is due to an emergency situation; or any service interruption that occurs during a single event listed above, but is not caused by those single events; or a single event that the local exchange carrier who is claiming that the interruption of service is due to an emergency situation could have reasonably foreseen and taken precautions to prevent; provided, however, that in no event shall such carrier be required to undertake precautions that are technically infeasible or economically prohibitive.

This Part shall be construed as being content neutral as to whether a strike or other work stoppage is a "wholesale service emergency situation". In the event of a strike or other work stoppage, the local exchange carrier's obligations to provide remedies under this Part shall, in the absence of a decision by a court of competent jurisdiction, be determined by the Commission on a case-by-case basis based upon the individual factual circumstances of each strike or other work stoppage. In making such a determination, and notwithstanding the definition of "wholesale service emergency situation", the Commission shall not presume that a strike or other work stoppage is an act of an employee or of the local exchange carrier. Notwithstanding anything to the contrary contained in this definition, a carrier shall not treat a strike or other work stoppage as a wholesale service emergency situation for reporting purposes unless and until a determination is made that such strike or other work stoppage constitutes a wholesale service emergency situation.

"Wholesale service quality plan" or "plan" means a plan filed or approved pursuant to Subpart B, C, D, or E of this Part.

"Wholesale special access" means wholesale service subject to the Commission's jurisdiction utilizing a dedicated non-switched transmission path used for carrier-to-carrier service from the customer's NID (Network Interface Device) or POI (Point Of Interface) to the carrier's POI (Point Of Interface) to one or more of the following: the provisioning carrier's POI; another NID or POI on the requesting carrier's network; or another carrier's network. A non-switched transmission path may include, but is not limited to, DS1, DS3, and OCn facilities as well as links for SS7 signaling, database queries, and SONET ring access. "Wholesale special access" includes wholesale special access service subject to the Commission's jurisdiction provided to a wireless carrier or to another telecommunication carrier.

83 Ill. Adm. Code 731.110 Classifications of Carriers

a) Level 1 Carriers. For purposes of this Part, the following carriers shall be Level 1 carriers:

1. LECs in the State of Illinois that provide wholesale service and have a preexisting plan; or

2. LECs in the State of Illinois that have obligations pursuant to section 251(c) of the federal Telecommunications Act, with 400,000 or more subscriber access lines in service; or

3. LECs in the State of Illinois that provide wholesale service and are directed pursuant to a Commission order to comply with all of the requirements of Subparts B, C, D, and E pursuant to Section 731.635.

b) Level 2 Carriers. For purposes of this Part, Level 2 carriers are those LECs in the State of Illinois that provide wholesale service and satisfy each of the following requirements:

1. Have obligations pursuant to section 251(c) of the federal Telecommunications Act, with fewer than 400,000 subscriber access lines in service;

2. Do not have a preexisting plan;

3. Do not have a wholesale service quality plan approved by the Commission pursuant to Subpart E;

4. Have not been directed pursuant to a Commission order to comply with all of the requirements of Subparts B, C, D, and E pursuant to Section 731.635; and

5. Do not have a currently effective rural exemption.

c) Level 3 Carriers. For purposes of this Part, Level 3 carriers are those LECs in the State of Illinois with a rural exemption from the obligations of section 251(c) of the federal Telecommunications Act.

d) Level 4 Carriers. For purposes of this Part, Level 4 carriers are those LECs in the State of Illinois that do not have obligations pursuant to section 251(c) of the federal Telecommunications Act and are not Level 3 carriers.

83 Ill. Adm. Code 731.200 Applicability of Subpart B

The provisions of Subpart B are applicable to all Level 1 carriers.

83 Ill. Adm. Code 731.205 Submission of Wholesale Service Quality Plans

a) Each time a Level 1 carrier's wholesale service quality plan is amended, that carrier shall submit a brief explanation of any changes to the plan, provided that the Level 1 carrier is not required to make a submission when the only change to the plan is an extension in its term.

b) Any carrier designated by the Commission as a Level 1 carrier pursuant to Section 731.110 or 731.635 shall submit to the Director of the Policy Division its wholesale service quality plan within 90 days after its designation as a Level 1 carrier by the Commission, and, after one year from the submission of its initial wholesale service quality plan, shall submit all amended wholesale service quality plans pursuant to subsection (a).

c) If the Commission has reason to believe that implementation of a Level 1 carrier's wholesale service quality plan discriminates against a telecommunications carrier that is not a party to the agreement, or if the Commission has reason to believe that implementation of the plan is not consistent with the public interest, convenience and necessity, it may initiate a proceeding to investigate that wholesale service quality plan. After an investigation and notice and an opportunity to be heard, the Commission may modify, update, or in any way amend the plan prior to the end of the triennial period. If the Commission initiates a docket investigating a plan, a verified answer to the initiating order shall be filed and served on the appropriate parties within 30 days after the date upon which the initiating order issued.

d) 45 days' prior notice of any proposed change or modification to a Plan, other than an extension in its term, shall be served on the Director of the Policy Division of the Commission and all affected carriers via mail, with postage prepaid, or fax, or e-mail and shall be available for inspection on that Level 1 carrier's website. Any carrier contesting the proposed change must file, within 30 days after the date of service of the notice of the proposed change, a complaint, with the Commission, in which the complaining carrier sets forth the reasons it contests the change. A verified answer to a complaint shall be filed and served on the appropriate parties within 30 days after the date upon which the complaint was filed.

e) At any hearing regarding a change or modification to a plan, the carrier proposing the change or modification to the plan shall have the burden of proof to establish the justness and reasonableness of the changes or modifications.

History

• Source: Amended at 41 Ill. Reg. 4731, effective April 19, 2017

83 Ill. Adm. Code 731.210 Investigation or Review of Wholesale Service Quality Plans

For each investigation or review of a wholesale service quality plan pursuant to Section 731.205(c), unless otherwise ordered by an Administrative Law Judge or the Commission, if the Administrative Law Judge or Commission determines that there is good cause to delay the proceeding, the Commission shall initiate a proceeding and schedule a prehearing conference (see 83 Ill. Adm. Code 200.300) to occur no more than 21 days after the initiation of the proceeding. The carrier submitting the plan shall be a party to the proceeding. Other parties may intervene, pursuant to the Commission's Rules of Practice (83 Ill. Adm. Code 200). The proceeding will be scheduled, unless otherwise ordered by the Administrative Law Judge or the Commission, if the Administrative Law Judge or Commission determines that there is good cause to delay the proceeding, so that a proposed order is presented to the Commission by the Administrative Law Judge no later than 6 months after the date of the initiation of the proceeding. The purpose of the investigation or review shall be to determine if a carrier's plan complies with the requirements of Subparts B, C, D and E of this Part.

83 Ill. Adm. Code 731.220 Wholesale Service Quality Plan Filing Requirements

a) The wholesale service quality plan filing requirements set forth in this Section are designed to assist the Commission and Commission Staff in performing a review of wholesale service quality plan filings under this Part. Information and schedules contained in the filing requirements may be designed to provide evidence to support the carrier's position or to provide supplemental information to facilitate the Commission Staff's review of the filing. The information supplied under the filing requirements shall not be construed as evidence or made part of the record unless it is offered by a party under the applicable Commission rules (83 Ill. Adm. Code 200.610 to 200.700).

b) Each carrier subject to this Subpart shall, on the date specified in Section 731.205 for the filing of its wholesale service quality plan, file the prepared direct testimony and exhibits of carrier personnel and any expert witnesses in support of the carrier's plan. Prepared direct testimony shall be in compliance with the Commission's Rules of Practice (83 Ill. Adm. Code 200). The pre-triennial filing requirements of this subsection shall only apply to the initial filings under Section 731.205(a) and the initial filing under Section 731.205(b), and shall not apply to any interim filing prior to the end of a triennial period. At a minimum, the prepared direct testimony and exhibits shall address and/or include the following:

1. The carrier's wholesale service quality record over the last two years, including a summary of performance and of any remedy payments or credits paid, given and/or assessed over that time period;

2. All changes to the carrier's wholesale service quality plan most recently approved by the Commission or, if the carrier does not have a previously approved wholesale service quality plan but does have a preexisting plan, all changes to the carrier's preexisting plan, and the basis for all such changes relied upon by the carrier;

3. Compliance of the carrier's wholesale service quality plan with the requirements of Subpart C of this Part;

4. Compliance of the carrier's wholesale service quality plan with the criteria for review described in Subpart D of this Part;

5. A listing of proposed changes to the carrier's existing wholesale service quality plan;

6. The probable impact of proposed changes to the carrier's existing wholesale service quality plan; and

7. Support for the impact of proposed changes.

c) Waiver of filing requirements

1. Requests for waivers from these filing requirements shall be filed with the Commission at least 60 days prior to the filing of the plan for which the waiver would be effective, if granted. Requests for waivers will be acted on by the Commission or, if directed by the Commission, the Manager of the Administrative Law Judge (ALJ) Division or his or her appointed representative (Administrative Law Judge) and shall be in writing.

2. A request for a waiver of any of the provisions of these filing requirements shall be in writing, verified, and must set forth the specific reasons in support of the request. The Commission or ALJ (where directed by the Commission) shall grant the request for a waiver upon good cause shown by the carrier. In determining whether good cause has been shown, the Commission or ALJ shall consider, among other things:

A) Whether other information the carrier would provide if the waiver is granted permits the Commission Staff to review the filing in a complete and timely manner;

B) The degree to which the information that is the subject of the waiver request is maintained by the carrier in the ordinary course of business or is available to it from the information that it maintains; and

C) The expense to the carrier in providing the information that is the subject of the waiver request.

3. Proprietary and confidential information. Any data, information or studies that is confidential, proprietary or trade secret in nature shall be so marked by the carrier. The carrier shall separate from its filing that information marked as confidential, proprietary or trade secret in nature from the material that is to be made public.

83 Ill. Adm. Code 731.230 Effective Wholesale Service Quality Plan Pending Review and Approval by the Commission

a) For a carrier with a preexisting plan, its preexisting plan shall be its effective wholesale service quality plan from September 1, 2004 through the effective date of its plan due to be filed on or before September 15, 2004, under Section 731.205.

b) For a carrier designated by the Commission as a Level 1 carrier pursuant to Sections 731.110 and 731.635, that carrier shall not have an effective plan pending the effective date of its initial plan to be filed under Section 731.205 unless the Commission orders or establishes an interim wholesale service quality plan. If the Commission orders an interim wholesale service quality plan under Section 731.635, the interim wholesale service quality plan shall be that carrier's effective wholesale service quality plan pending the effective date of its plan to be filed under Section 731.205.

83 Ill. Adm. Code 731.300 Applicability of Subpart C

The provisions of Subpart C are applicable to all Level 1 carriers.

83 Ill. Adm. Code 731.305 General Plan Requirements

Each wholesale service quality plan shall include, at a minimum, the following components:

a) A comprehensive set of wholesale measures and standards covering all necessary parts of a carrier's interaction with its wholesale customers. These measures and standards should include, but not be limited to, the following activities: pre-ordering, ordering, provisioning, maintenance and repair, billing, and change of management. (See Section 731.310.)

b) Fully defined business rules on a per measure basis that are sufficient to describe what is being reported by the measure. Business rules shall include an applicable title, detailed definition, any exclusions, applicable standards or benchmarks, levels of disaggregation, and the specific calculation methodology used by the carrier. (See Section 731.315.)

c) Self-executing remedy provisions deemed sufficient to modify a Level 1 carrier's actions in the event of noncompliance with the standards contained in the plan. (See Section 731.320.)

d) Established benchmarks and standards on a per measure basis that set forth the minimum performance level the carrier intends to provide. (See Section 731.315.)

e) Reporting policies and procedures so that all parties understand exactly when and how the Level 1 carrier will report data. (See Section 731.325.) These policies and procedures shall also cover data and remedy restatements in addition to the regular monthly reporting of carrier performance.

f) A review process scheduled at regular intervals (i.e., month) by which parties may propose changes to the performance measures contained in the wholesale service quality plans as changes occur in the industry.

g) Audits scheduled at regular intervals (i.e., annually, biannually) to ensure that the data reported by the carrier is valid, reliable and adheres to the published business rules. (See Section 731.330.) The carrier must retain for three years, for purposes of regular audits, the original source data used to calculate the performance measurement results in its original, raw, or unmodified form. Regular audits shall validate both the measure data being reported as well as the remedy calculations.

83 Ill. Adm. Code 731.310 Types of Service Covered

The types of service to be covered for a Level 1 carrier shall include, but not be limited to, wholesale service covered in the carrier's most recent wholesale service quality plan approved pursuant to this Part or, if the carrier does not have a wholesale service quality plan approved pursuant to this Part but does have a preexisting plan, wholesale service covered in the carrier's preexisting plan. The services to be covered for a Level 1 carrier shall include wholesale special access service and shall include wholesale special access measures for ordering, provisioning, maintenance and repair. The Commission may, for good cause shown, as is defined in Section 731.105, include wholesale service not yet provided by the carrier (including but not limited to emerging service) or exclude specific wholesale service in approving each carrier's wholesale service quality plan.

83 Ill. Adm. Code 731.315 Measures and Standards

Each wholesale service quality plan shall include measures and standards consistent with the requirements of Section 731.305(a). The specific measures and standards included in each wholesale service quality plan shall be as determined by the Commission pursuant to Section 731.505. No measures or standards may be added, modified, or deleted from a wholesale service quality plan approved by the Commission pursuant to Subpart E without the review and approval of the Commission.

83 Ill. Adm. Code 731.320 Remedies

Each wholesale service quality plan shall include self executing remedy provisions consistent with the requirements of Section 731.305(c). The specific remedy provisions included in each wholesale service quality plan shall be determined by the Commission in accordance with this Part. The remedy provisions included in the plan filed by a Level 1 carrier shall be consistent with the remedy provisions included in the plan most recently approved pursuant to this Part by the Commission or, if such carrier does not have a wholesale service quality plan approved pursuant to this Part but does have a preexisting plan, the remedy provisions included in such carrier's preexisting plan. No changes may be made to the remedy provisions included in any plan approved by the Commission without the review and approval of the Commission.

83 Ill. Adm. Code 731.325 Reporting

a) Each carrier's wholesale service quality plan shall provide that the Level 1 carrier will report monthly data to the Commission and to each carrier purchasing wholesale service. At a minimum, the monthly data shall include the total number of transactions on a per measure basis, the number of instances in which standards contained in the Level 1 carrier's wholesale service quality plan were not met on a per measure basis, and calculations supporting any remedies paid pursuant to the wholesale service quality plan. Although aggregate data must be made available to the Commission and all carriers purchasing wholesale service, carrier specific data shall only be made available to the Commission and carriers for their own (i.e., the purchasing carrier's) business transactions.

b) Each carrier's wholesale service quality plan shall indicate the process it will follow each month for reporting, including, without limitation, the date performance data and remedy amounts will be made available. The reporting process shall also include the timelines and procedures the carrier will follow when making data and or remedy restatements.

83 Ill. Adm. Code 731.330 Auditing

a) Each wholesale service quality plan approved by the Commission shall comply with the requirements of Section 731.305(g). All plans must also provide for periodic audits of the wholesale performance data by an independent auditing firm, include the frequency and scope of the required audits, and indicate responsibility for payment of audits. Audits shall be provided for the measures being reported, as well as for any remedy payments. Level 1 carriers shall follow the auditing requirements set forth in their respective wholesale service quality plans. Each plan shall provide for Commission initiated audits, pursuant to Section 8-102 of the Act [220 ILCS 5/8-102], as well as audits initiated by requesting carriers. Payment for Commission-initiated audits shall be pursuant to Section 8-102 of the Act.

b) Level 1 carriers shall retain all records required to support wholesale performance relative to this Part for at least three years. Audits are necessary to ensure that data reported by the carriers are valid and reliable and that they adhere to the carrier's filed plan.

83 Ill. Adm. Code 731.400 Applicability of Subpart D

The provisions of Subpart D are applicable to all Level 1 carriers.

83 Ill. Adm. Code 731.405 Treatment and Effect of Wholesale Service Emergency Situations

The standards contained in any plan will not be considered to be violated for the period of any delay due to a wholesale service emergency situation. Notwithstanding anything to the contrary in this Part, in those situations where a standard cannot be satisfied at all as a result of a wholesale service emergency situation, the failure to satisfy such standard shall not be deemed to be a violation of the applicable standard set forth in the plan.

83 Ill. Adm. Code 731.410 Additional Reporting Requirements

a) A wholesale service quality plan approved pursuant to Subpart E shall be posted to both the Commission's web site, with a reference and a link to the pertinent carrier's wholesale service quality plan at its web site and the Level 1 carrier's web site no more than 30 days after entry of the Commission's order approving such plan.

b) Performance relative to a Level 1 carrier's wholesale service quality plan shall be posted to the Level 1 carrier's web site and made available to the Commission and other carriers on a monthly basis. Level 1 carriers shall also make available to the Commission both aggregate and individual carrier performance data and shall make available to other carriers access to the aggregate data and their own performance data.

c) Additionally, Level 1 carriers shall report the following information monthly to the Commission:

1. The total dollar amount of wholesale service quality remedy payments and credits paid, given and/or assessed;

2. The five highest dollar credit and payment amounts assessed and/or paid on a per measure basis;

3. Any wholesale service quality remedy payments and credits not included in the amount reported under subsection (c)(1) but claimed due or owing by purchasing carriers; and

4. Any changes to previously reported metrics data or remedy payments or credits made by the carrier during the past month and a detailed explanation for why the changes to previously reported metrics data or remedy payments or credits occurred.

83 Ill. Adm. Code 731.420 Effect of Interconnection Agreements

a) A Level 1 carrier may provide wholesale service that does not conform to its wholesale service quality plan to another carrier pursuant to an interconnection agreement, if subsections (a)(1) through (a)(4) are met:

1. the two carriers negotiated the interconnection agreement or an amendment to their interconnection agreement after September 1, 2004;

2. that interconnection agreement expressly references this Section;

3. that interconnection agreement sets forth how the standards and requirements contained in the Level 1 carrier's wholesale service quality plan do not apply to the carrier-signatories to the interconnection agreement; and

4. the changes in that agreement to the Level 1 carrier's wholesale service quality plan are not contrary to the public interest.

b) The standards and measures in this Subpart shall apply to: negotiated agreements or amendments to interconnection agreements effective after September 1, 2004; negotiated interconnection agreements that do not expressly reference this Section; and negotiated agreements that do not expressly amend any of the standards and requirements contained in this Subpart.

83 Ill. Adm. Code 731.500 Applicability of Subpart E

The provisions of Subpart E are applicable to all Level 1 carriers.

83 Ill. Adm. Code 731.505 Commission Review and Approval of Wholesale Service Quality Plans

a) Approval. Following hearings on each plan or petition filed or any proceeding commenced pursuant to Section 731.205, the Commission shall approve a wholesale service quality plan for each carrier. The plans approved by the Commission may be those plans as filed by the Level 1 carriers or as modified by the Commission.

b) Basis for approval. In approving a wholesale service quality plan for each carrier, the Commission shall address and consider each of the following:

1. Whether the plan contains articulated, pre-determined measures and standards that encompass a comprehensive range of carrier-to-carrier performance;

2. Whether each measure has an articulated definition, or "business rule", that sets forth the manner in which the data are to be collected by the carrier, lists any relevant exclusions, and states the applicable performance standards;

3. Whether the plan contains a mechanism that detects and sanctions

non-compliant performance when it occurs on both an individual measure and aggregate basis;

4. Whether the plan subjects the Level 1 carrier to potential monetary liability that provides an incentive to comply with the designated performance standards;

5. Whether liability under the plan's enforcement mechanism would actually accrue at significant monetary levels when performance standards are missed;

6. Whether the plan contains a self-executing mechanism;

7. Whether the plan provides for data to be accurate and it provides that the reported data are able to be audited;

8. Whether the plan complies with the requirements set forth in Subparts B, C, D, and E of this Part, including but not limited to Section 731.305.

83 Ill. Adm. Code 731.600 Applicability of Subpart F

The provisions of Subpart F are applicable to all Level 2 carriers.

83 Ill. Adm. Code 731.605 Types of Service Covered by and Exemption from Reporting Requirements from Subpart F

Types of service covered. Unless otherwise indicated in this Subpart, the provisions of Subpart F are applicable to a Level 2 carrier to the extent the Level 2 carrier provides or offers the applicable service. Level 2 carriers shall be subject to wholesale service quality standards as provided in this Subpart for the following wholesale services, to the extent the carrier offers or provides the service:

a) Unbundled local loops;

b) Interconnection trunks;

c) Resold local services;

d) Collocation;

e) Loss notification; and

f) Customer service record.

83 Ill. Adm. Code 731.610 Measures and Standards Under Subpart F

a) Firm order confirmations

1. Level 2 Carriers shall provide FOCs or reject notices for wholesale service within the following timeframes, as measured from the time of receipt of an accurate and complete service request to the return of an FOC or reject notice:

A) Unbundled local loops − within 24 hours

B) Interconnection trunks − within 10 business days

C) Resold local service − within 24 hours

D) Collocation − within 10 business days

2. The start time for requests received after the end of the business day will be the beginning of the next business day.

3. There are two types of reject notices that may be issued by a carrier:

A) Syntax, which occurs if required fields are not included in a service request; and

B) Content, which occurs if invalid data is provided in a field.

4. A rejected service request must be corrected and resubmitted before provisioning can begin.

b) Provisioning

1. Level 2 carriers shall provision wholesale service within the following timeframes, as measured from the time of receipt of a complete and accurate service request to completion of the requested service:

A) Unbundled local loops − within five business days

B) Interconnection trunks − within 30 business days

C) Resold local service − within five business days

D) Collocation – within 90 business days after a provisioning carrier's receipt of an affirmative written response from the requesting carrier as to the terms of collocation.

2. The required due date is the later of the last day of the interval set forth in subsection (b)(1) or the provisioning date requested by the wholesale customer.

3. The provisioning intervals in subsection (b)(1) will not apply if the Level 2 carrier demonstrates that the requests are not technically feasible, i.e., physically impossible to undertake, and/or that the requested facilities are not available.

4. Except where otherwise agreed to, in writing, by the carriers, when a loop must be conditioned to remove bridge taps and load coils in order to provide a digitally capable loop or HFPL, the providing carrier must provide the conditioned (digitally capable) loop or HFPL within eight business days after receipt of an accurate and complete service request, rather than within five business days as set forth in subsection (b)(1). However, provisioning intervals do not apply to digitally capable loops and HFPL when conditioning of the loop to meet the request would result in a significant degradation of the voiceband service that the Level 2 carrier is providing over that same loop.

c) Maintenance and repair

1. Level 2 carriers shall clear wholesale out of service trouble reports within the following intervals, as measured from the time of receipt of an accurate and complete trouble report to the time the trouble report is cleared:

A) Unbundled local loops − within 24 hours

B) Interconnection trunks − within eight hours

C) Resold local service − within 24 hours

D) Collocation – within eight hours

2. All non-out of service (i.e., service affecting) trouble reports must be cleared by the end of the next business day after receipt of a non-out of service trouble report.

3. For a trouble report to be considered complete, the wholesale customer must provide the carrier:

A) the end user customer's telephone number;

B) the carrier's circuit identification number; and

C) a detailed description of the trouble conditions and other trouble prescreening information.

d) Loss notifications. Upon receipt of information that a customer has switched carriers, the customer's new Level 2 carrier shall provide loss notification within the following timeframes:

1. UNE-platform − within 24 hours

2. Resale − within 24 hours

e) Customer service record (CSR). Level 2 carriers shall provide CSRs to the carriers requesting the CSR within 24 hours after the receipt of that request.

f) The standards set forth in this Section shall not be considered to be violated for the period of any delay resulting from any of the following:

1. A negligent or willful act on the part of the wholesale customer or the end user retail customer;

2. A malfunction of equipment owned or operated by the wholesale customer or the end user retail customer;

3. A wholesale service emergency situation or a situation extended by a wholesale service emergency situation to the extent that the wholesale service emergency situation extends another type of situation;

4. The wholesale customer missing an appointment, provided that the violation is not further extended by the carrier;

5. A wholesale customer request to change the scheduled appointment, provided that the violation is not further extended by the carrier;

6. A carrier's right to refuse service to a wholesale customer as provided in an interconnection agreement, a wholesale service quality plan, or under applicable federal or State law; or

7. A lack of facilities where a wholesale customer requests service at a geographically remote location; a wholesale customer requests service in a geographic area where the carrier is not currently offering service; or there are insufficient facilities to meet the wholesale customer's request for service, subject to the carrier's obligation for reasonable facilities planning and the wholesale customer's obligation for forecasting.

g) Notwithstanding anything to the contrary in this Subpart, in those situations where a standard cannot be satisfied at all as a result of the occurrence of any of the causes identified in subsection (f), the failure to satisfy such standard shall not be deemed to be a violation of the applicable standard set forth in this Section.

83 Ill. Adm. Code 731. 615 Remedies Under Subpart F

83 Ill. Adm. Code 731.620 Reporting Under Subpart F

a) Each Level 2 carrier shall report monthly results on a quarterly basis to the Commission. At a minimum, the information reported shall include:

1. The total dollar amount of wholesale service quality credits on a per measure basis;

2. Any wholesale service quality credits not included in the amount reported under subsection (a)(1) but claimed due or owing by purchasing carriers;

3. The level of performance on an aggregate basis by measure (or as a whole with respect to all measures for service provided to all wholesale customers); and

4. The top 3 carriers receiving wholesale service quality credits from the Level 2 carrier.

b) Each Level 2 carrier shall also report monthly data on a quarterly basis to carriers purchasing wholesale services. At a minimum, the monthly data shall include the number of reportable transactions, the number of instances in which standards contained in Section 731.610 were not met, and all calculations supporting remedies paid as a result of Section 731.615.

c) Each carrier shall provide to the Commission, on a triennial basis (to be calculated three years from September 1, 2004), a business rule document for each measure it reports. These business rule documents describe what is being reported by the measure and compliant with the standards set out in Section 731.610. The business rules shall include an applicable title, detailed definition, any exclusions, levels of disaggregations and the specific calculation methodology used by the carrier.

83 Ill. Adm. Code 731.625 Auditing Under Subpart F

a) Carriers purchasing wholesale service from a Level 2 carrier may request an independent audit of the reported results. To the extent the independent audit confirms the specific concern of the carrier purchasing wholesale service from a Level 2 carrier, as specifically identified in writing to the Level 2 carrier prior to requesting the audit, the Level 2 carrier shall be responsible for the cost of the independent auditor associated with the specific concern identified in writing prior to the audit. If the independent auditor does not confirm the concern of the carrier purchasing wholesale service from a Level 2 carrier, the carrier purchasing wholesale services will be responsible for the cost of the independent audit. Any dispute over payment of audit costs will be resolved by the Commission pursuant to a petition filed with the Commission by either party pursuant to 83 Ill. Adm. Code 200.

b) Carrier-initiated audits of a Level 2 carrier's records shall be limited to no more than two per calendar year per purchasing carrier.

c) A Level 2 carrier shall make all records required by this Part available to the Commission or its authorized representatives at any time upon request. A carrier shall make customer proprietary network information available to the Commission. A carrier shall retain all records required by this Part for at least three years.

83 Ill. Adm. Code 731.630 Effect of Interconnection Agreement

If a Level 2 carrier provides wholesale service to another carrier pursuant to an interconnection agreement and those carriers have negotiated the interconnection agreement or an amendment to the interconnection agreement after September 1, 2004 that expressly references this Section and it amends any of the standards and requirements contained in this Subpart, those standards and requirements contained in this Subpart shall not apply to such carriers if, but only to the extent that, it is so provided in the interconnection agreement or amendment, and provided further that the changes from or to the standards and requirements contained in this Subpart are not contrary to the public interest. The standards and measures in this Subpart shall apply to: negotiated agreements or amendments to interconnection agreements effective after September 1, 2004; negotiated interconnection agreements that do not expressly reference this Section; and negotiated agreements that do not expressly amend any of the standards and requirements contained in this Subpart.

83 Ill. Adm. Code 731.635 Application of Level 1 Requirements to Level 2 Carriers and Conversion to Level 1

If a Level 2 carrier is asked to or required to provide wholesale services other than those set forth in Section 731.610, it must petition the Commission for a determination as to whether it should be required to comply with Level 1 requirements for the provision of the service or services in question.

a) A Level 2 carrier may be required to comply with some or all of the Level 1 requirements established in Subparts B, C, D, and E of this Part only after the Commission considers and rules upon the following items:

1. The technical feasibility of compliance with each Subpart B, C, D, and E requirement;

2. The economic feasibility of compliance with each Subpart B, C, D, and E requirement;

3. The expected volume of wholesale service activity to be provisioned by the Level 2 carrier;

4. Whether the benefits expected to accrue to requesting carriers justify the costs expected to be incurred by the provisioning carrier to comply with each Subpart B, C, D, and E requirement; and

5. With which Subpart B, C, D, and E requirements that carrier must comply and within what time period.

b) A carrier directed pursuant to a Commission order to comply with all of the requirements of Subparts B, C, D, and E shall be a Level 1 carrier effective 90 days after the date of the Commission's order unless a different conversion date is specified in the Commission's order. A carrier directed pursuant to a Commission order to comply with some but not all of the requirements of Subparts B, C, D, and E shall remain a Level 2 carrier, but shall, unless a different time period is provided in the Commission's order, comply with such Level 1 requirements as directed by the Commission commencing 90 days after the date of the Commission's order.

c) In any proceeding to determine whether a carrier should be required to comply with some or all of the Level 1 requirements established in Subparts B, C, D, and E of this Part, the Commission may order or establish an interim wholesale service quality plan and determine its effective date.

83 Ill. Adm. Code 731.700 Applicability of Subpart G

The provisions of Subpart G are applicable to all Level 3 carriers. Subparts B, C, D, E, and F of this Part shall not apply to LECs with rural exemptions pursuant to section 251(f) of the federal Telecommunications Act.

83 Ill. Adm. Code 731.705 Conversion to Level 2

a) A carrier whose rural exemption is terminated by a Commission order pursuant to section 251(f) of the federal Telecommunications Act will become a Level 2 carrier and shall comply with all of the Level 2 requirements established in Subpart F of this Part effective 90 days after the date of the Commission's order, unless the Commission makes a determination that there is good cause to delay and that a different time period is necessary.

b) Notwithstanding subsection (a), a Level 3 carrier whose rural exemption is terminated by a Commission order pursuant to section 251(f) of the federal Telecommunications Act may petition the Commission for an exemption from some or all of the Level 2 requirements established in Subpart F of this Part. The burden of proof in establishing the right to an exemption under this subsection shall be upon the petitioner. The petition shall include facts demonstrating that the requested exemption would not harm consumers and will not impede the development or operation of a competitive market. In ruling on any such petition, the Commission shall consider and rule upon the following items, when applicable:

1. The technical feasibility of compliance with each Subpart F requirement;

2. The economic feasibility of compliance with each Subpart F requirement;

3. The expected demand for wholesale service covered under Subpart F;

4. Whether the benefits accrued to competing carriers justify the costs incurred by that carrier necessary to comply with each Subpart F requirement;

5. With which Subpart F requirements that carrier must comply and within what time period; and

6. Whether the carrier needs to comply with Subpart F if the carrier enters into an agreement with a competing carrier whereby the competing carrier agrees to accept different wholesale service quality standards than those contained in Subpart F.

83 Ill. Adm. Code 731.805 Types of Service Covered by and Exemption from Certain Subparts

Services Covered. Level 4 carriers shall be subject to the wholesale service quality standards as provided in this Subpart for the following services, to the extent the carriers offer or provide the service:

a) Customer service record;

b) Unbundled loop return; and

c) Loss notification.

83 Ill. Adm. Code 731.810 Measures and Standards Under Subpart H

Level 4 carriers shall be subject to the following wholesale service measures and standards as provided for the following types of service, to the extent the carriers offer or provide the service:

a) Unbundled loop return for less than 20 loops − within 24 hours

b) Unbundled loop return for 20 or more loops − within 48 hours

c) Loss notification − within 24 hours

d) Customer service record − within 24 hours

83 Ill. Adm. Code 731.815 Remedies Under Subpart H

a) If a Level 4 carrier fails to comply with Section 731.810, it shall provide credits to the purchasing carrier in the following amounts:

1. Unbundled loop return − $1 per failure

2. Customer service record failures − $1 per failure

3. Loss notification − $1 per failure

b) Subparts B, C, D, E, F, and G of this Part shall not apply to Level 4 carriers (LECs without obligations pursuant to section 251(c) of the federal Telecommunications Act and that are not Level 3 carriers).

83 Ill. Adm. Code 731.820 Application of Level 2 Requirements to Level 4 Carriers and Conversion to Level 2

a) If a Level 4 carrier receives a bona fide request for wholesale service and either agrees to provide that service or is obligated to provide that service under the Act or the federal Telecommunications Act, that carrier may be required, after notice and hearing, to comply with some or all of the Level 2 requirements established in Subpart F. In connection with any such hearing, the Commission shall consider and rule upon each of the following items:

1. The technical feasibility of compliance with each Subpart F requirement;

2. The economic feasibility of compliance with each Subpart F requirement;

3. The expected demand for wholesale service covered under Subpart F;

4. Whether the benefits accrued to competing carriers justify the costs incurred by that carrier necessary to comply with each Subpart F requirement;

5. With which Subpart F requirements that carrier must comply and within what time period; and

6. Whether the carrier needs to comply with Subpart F if the carrier enters into an agreement with a competing carrier whereby the competing carrier agrees to accept different wholesale service quality standards than those contained in Subpart F.

b) A carrier directed pursuant to a Commission order to comply with all of the requirements of Subpart F shall become a Level 2 carrier effective 90 days after the date of the Commission's order unless the Commission determines that good cause for delay exists and a different time period is necessary and a different conversion date is specified in the Commission's order. A carrier directed pursuant to a Commission order to comply with some but not all of the requirements of Subpart F shall remain a Level 4 carrier, but shall, unless the Commission determines that a different time period is necessary and a different time period is provided in the Commission's order, comply with such Level 2 requirements as directed by the Commission commencing 90 days after the date of the Commission's order.

83 Ill. Adm. Code 731.900 Applicability of Subpart I

Subpart I is applicable to all carriers.

83 Ill. Adm. Code 731.905 Notice of Termination of Wholesale Service

Except where otherwise agreed to, in writing, by the carriers, no provisioning carrier offering or providing wholesale service to a requesting carrier shall terminate, discontinue, or abandon the service once initiated except upon at least 35 days prior written notice (the termination notice) to the Commission and the requesting carrier. Notwithstanding anything to the contrary in this Section, no termination notice shall be required for interruptions in service due to wholesale service emergency situations. Nothing in this Section shall be construed to abrogate or diminish the rights and obligations of a carrier under the Act or Commission rules (including, without limitation, Section 13-406 of the Act [220 ILCS 5/13-406] and 83 Ill. Adm. Code 735).

Subchapter f Telephone Utilities

Part 732 Customer Credits

83 Ill. Adm. Code 732.5 Application of Part

This Part shall apply to all telecommunications carriers providing basic local exchange service as defined in Section 13-712 of the Public Utilities Act, except that this Part is not applicable to:

a) telephone cooperatives as defined in Section 13-212 of the Act, pursuant to Section 13-701 of the Act;

b) Electing Providers as defined in Section 13-506.2(a)(1) of the Act; and

c) local exchange telecommunications service as defined in Section 13-204 of the Act, and classified as competitive pursuant to either Section 13-502 or Section 13-506.2(c)(5) of the Act.

History

• Source: Amended at 39 Ill. Reg. 360, effective December 22, 2014

83 Ill. Adm. Code 732.10 Definitions

When used in this Part, the listed terms will have the definitions given in this Section.

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

"Alternative telephone service" means, except where technically impracticable, a wireless telephone capable of making local calls, and may also include, but is not limited to, call forwarding, voice mail, or paging services. [220 ILCS 5/13-712(b)(1)]

"Appointment" means an arrangement made by a telecommunications carrier to meet a customer within an agreed 4 hour window.

"Basic local exchange service" means residential and business lines used for local exchange telecommunications service as defined in Section 13-204 of the Act, excluding: services that employ advanced telecommunications capability as defined in section 706(c)(1) of the federal Telecommunications Act of 1996; vertical services; company official lines; and records work only. [220 ILCS 5/13-712(b)(2)]

"Basic local exchange service installation" means the installation of basic local exchange service whereby the physical connecting and diagnostic testing of a local loop results in the provisioning of dial tone to the requesting customer's network interface device. It includes move orders and orders for additional lines.

"Commission" means the Illinois Commerce Commission.

"Customer" means any person, building owner, firm, partnership, corporation, municipality, cooperative, organization, governmental agency, etc., provided with local exchange carrier telecommunications services as defined in Section 13-204 of the Act. "Customer" may also be referred to as "end user".

"Emergency situation" means a single event that causes an interruption of service or installations affecting end users of a local exchange carrier. The emergency situation shall begin with the first end user whose service is interrupted by the single event and shall end with the restoration or installation of the service of all affected end users. The term "single event" shall include:

a declaration made by the applicable State or federal governmental agency that the area served by the local exchange carrier is either a State or federal disaster area; or

an act of third parties, including acts of terrorism, vandalism, riot, civil unrest, or war, or acts of parties that are not agents, employees or contractors of the local exchange carrier; or

a severe storm, tornado, earthquake, flood or fire, including any severe storm, tornado, earthquake, flood or fire that prevents the local exchange carrier from restoring service due to impassable roads, downed power lines, or the closing off of affected areas by public safety officials.

The term "emergency situation" shall not include:

a single event caused by high temperature conditions alone; or

a single event caused, or exacerbated in scope and duration, by acts or omissions of the local exchange carrier, its agents, employees or contractors or by the condition of facilities, equipment, or premises owned or operated by the local exchange carrier; or

any service interruption that occurs during a single event listed above, but are not caused by those single events; or

a single event that the local exchange carrier could have reasonably foreseen and taken precaution to prevent; provided, however, that in no event shall a local exchange carrier be required to undertake precautions that are technically infeasible or economically prohibitive.

This Part shall be construed as being content neutral as to whether a strike or other work stoppage is an "emergency situation". In the event of a strike or other work stoppage, the local exchange carrier's obligation to pay customer credits shall, in the absence of a decision by a court of competent jurisdiction, be determined by the Commission on a case-by-case basis based upon the individual factual circumstances of each strike or other work stoppage. In making such a determination, and notwithstanding the definition of "emergency situation" above, the Commission shall not presume that a strike or other work stoppage is an act of an employee or of the local exchange carrier.

"Link Up" means the Link Up Assistance program defined and established at 47 CFR 54.411 et seq., as amended. [220 ILCS 5/13-712(b)(3)]

"Monthly recurring charge" means monthly access/usage rate, end user common line charge, and tariffed vertical services.

"Out of service" means that, after reporting an out of service condition to the local exchange carrier, the customer still has no dial tone, cannot be called, or cannot call out. This defined term excludes call blocking or any other intentional alteration to an end user's calling or call receiving ability.

"Repair" means the restoration of out of service conditions as well as correction of service-affecting conditions.

"Telecommunications carrier" or "carrier" means a telecommunications carrier as that term is defined in Section 13-202 of the Act [220 ILCS 5/13-202] that is providing local exchange telecommunications service as defined in Section 13-204 of the Act.

History

• Source: Amended at 35 Ill. Reg. 6334, effective April 1, 2011

83 Ill. Adm. Code 732.20 Local Exchange Service Obligations

Each telecommunications carrier must do all of the following:

a) Install basic local exchange service within 5 business days after receipt of an order from the customer unless the customer requests an installation date that is beyond 5 business days after placing the order for basic service. If installation of service is requested on or by a date more than 5 business days in the future, the telecommunications carrier shall install service by the date requested. A telecommunications carrier offering basic local exchange service utilizing the network or network elements of another carrier shall install new lines for basic local exchange service within 3 business days after provisioning of the line or lines by the carrier whose network or network elements are being utilized is complete. This subsection does not apply to the migration of a customer between telecommunications carriers, so long as the customer maintains dial tone.

b) Restore basic local exchange service for a customer within 30 hours after receiving notice that a customer is out of service, including those service disruptions that occur when a customer switches existing basic local exchange service from one carrier to another.

c) Keep all repair and installation appointments for basic local exchange service, when a customer premises visit requires a customer to be present.

d) Inform a customer when a repair or installation appointment requires the customer to be present. [220 ILCS 5/13-712(d)]

e) At the time installation, repair or an appointment is requested, inform the customer of its duty to install, repair, and meet appointments within the specific timeframes set forth in this Part, as relevant to the customer's request. Additionally, the telecommunications carrier shall inform the customer at the time a request for installation, repair and/or an appointment is made, whether or not the telecommunications carrier has the requisite information to complete the request. If the telecommunications carrier requires additional information or is waiting for the customer to provide information before the installation, repair, and appointment can be completed, the customer shall be informed at the time the request is made that the order is incomplete and what information is needed from the customer to complete the order. Telecommunications carriers that install service through multiple platforms and that need additional information at the time of a customer request for installation shall inform the customer by telephone not later than 2 business days after the receipt of the installation request of its duty to install service by a specific date.

History

• Source: Amended at 36 Ill. Reg. 15013, effective October 1, 2012

83 Ill. Adm. Code 732.30 Customer Credits

A telecommunications carrier shall credit customers for violations of the basic local exchange service quality standards described in Section 732.20 of this Part. The credits shall be applied on the statement issued to the customer for the next monthly billing cycle following the violation or following the discovery of the violation and shall be identified as a "Service Quality Credit" or "S.Q. Credit". The telecommunications carrier may provide additional detail regarding the service quality credit if it wishes.

a) If a carrier fails to repair an out-of-service condition for basic local exchange service within 30 hours, the carrier shall provide a credit to the customer. If the service disruption is for over 30 hours but less than 48 hours, the credit must be equal to a pro-rata portion of the monthly recurring charges for all local services disrupted. A pro-rata portion shall be based upon a 30-day month. If the service disruption is for more than 48 hours, but not more than 72 hours, the credit must be equal to at least 33% of one month's recurring charges for all local services disrupted. If the service disruption is for more than 72 hours, but not more than 96 hours, the credit must be equal to at least 67% of one month's recurring charges for all local services disrupted. If the service disruption is for more than 96 hours, but not more than 120 hours, the credit must be equal to one month's recurring charges for all local services disrupted. For each day or portion thereof that the service disruption continues beyond the initial 120-hour period, the carrier shall also provide either alternative telephone service or an additional credit of $20 per day.

b) If a carrier fails to install basic local exchange service as required under Section 732.20(a), the carrier shall waive 50% of any installation charges, or in the absence of an installation charge or where installation is pursuant to the Link Up program, the carrier shall provide a credit of $25. If a carrier fails to install service within 10 business days after the service application is placed, or fails to install service within 5 business days after the customer's requested installation date, if the requested date was more than 5 business days after the date of the order, the carrier shall waive 100% of the installation charge or, in the absence of an installation charge or where installation is provided pursuant to the Link Up program, the carrier shall provide a credit of $50. For each day that the failure to install service continues beyond the initial 10 business days, or beyond 5 business days after the customer's requested installation date, if the requested date was more than 5 business days after the date of the order, the carrier shall also provide an additional credit of $20 per day until service is installed.

c) If a carrier fails to keep a scheduled repair or installation appointment when a customer premises visit requires a customer to be present, the carrier shall credit the customer $25 per missed appointment. A credit required by this subsection (c) does not apply when the carrier provides the customer with notice of its inability to keep the appointment no later than 8 p.m. of the day prior to the scheduled date of the appointment.

d) Credits required by this Section do not apply if the violation of a service quality standard:

1. occurs as a result of a negligent or willful act on the part of the customer;

2. occurs as a result of a malfunction of customer-owned telephone equipment or inside wiring;

3. occurs as a result of, or is extended by, an emergency situation;

4. is extended by the carrier's inability to gain access to the customer's premises due to the customer missing an appointment, provided that the violation is not further extended by the carrier;

5. occurs as a result of a customer request to change the scheduled appointment, provided that the violation is not further extended by the carrier;

6. occurs as a result of a carrier's right to refuse service to a customer as provided in 83 Ill. Adm. Code 735; or

7. occurs as a result of a lack of facilities where a customer requests service at a geographically remote location, a customer requests service in a geographic area where the carrier is not currently offering service, or there are insufficient facilities to meet the customer's request for service, subject to a carrier's obligation for reasonable facilities planning.

e) The provisions of this Section are cumulative and shall not in any way diminish or replace other civil or administrative remedies available to a customer or a class of customers. [220 ILCS 5/13-712(e)]

History

• Source: Amended at 36 Ill. Reg. 15013, effective October 1, 2012

83 Ill. Adm. Code 732.35 Ilec-Clec Reimbursement Mechanism

If the violation of a basic local exchange service quality standard is caused by a carrier other than the carrier providing retail service to the customer, the carrier providing retail service to the customer (for purposes of this Section 732.35, the "retail carrier") shall credit the customer as provided in this Section. The carrier causing the violation (for purposes of this Section 732.35, the "wholesale carrier") shall reimburse the carrier providing retail service the amount credited the customer. Such reimbursement by wholesale carrier to retail carrier shall be known as a recourse credit. When applicable, an interconnection agreement shall govern compensation between the carrier causing the violation, in whole or in part, and the retail carrier providing the credit to the customer. [220 ILCS 5/13-712]

History

• Source: Amended at 35 Ill. Reg. 6334, effective April 1, 2011

83 Ill. Adm. Code 732.40 Filing of Tariffs

Carriers offering basic local exchange service shall be fully subject to the requirements of this Part and shall file tariffs to implement the requirements of this Part. These carriers shall track customer eligibility for credits , and the tariffs filed pursuant to this Section shall provide for the credits required by this Part.

History

• Source: Amended at 35 Ill. Reg. 6334, effective April 1, 2011

83 Ill. Adm. Code 732.50 Customer Education

a) Each telecommunications carrier shall include in the informational pages in the front portion of regularly published telephone directories educational material(s) about the requirements to install, repair, and meet appointments within the specified amount of time, the availability and issuance of customer credits and alternative telephone service, and the applicable exemptions. This information shall be of a similar level of detail as that set forth in Section 13-712 of the Act [220 ILCS 5/13-712]. Telecommunications carriers that do not publish their own directories shall take steps to ensure that the directory that lists their customers contains the required information. Until such time as a telecommunications carrier's directory contains such educational materials, the telecommunications carrier shall utilize at least once each quarter bill inserts, bill messages, or direct mailings containing a detailed description of the identified information. The bill inserts, bill messages, or direct mailings shall also indicate that this information will appear in the telecommunications carrier's next directory.

b) Following a telecommunications carrier's publication of its directory containing the educational materials described in subsection (a), each telecommunications carrier shall also include on its bill to each customer at least twice each year the following bill message: "The law obligates all telecommunications carriers to provide installation and repair in a timely manner. Credits or other remedies may be available for delays in repair, installation or missed appointments." The biannual bill message shall also direct customers to the directory for more information.

c) Educational material(s) shall be prominently displayed, clear, accurate and printed in bold and type of sufficient size and readability. The Consumer Services Division of the Commission shall develop and post on the Commission's website standard minimum education material language that may be used by telecommunications carriers in their directories and bill inserts, bill messages, or direct mailings. Any telecommunications carrier who does not use the language posted on the Commission's website shall use language substantially similar to that suggested by the Consumer Services Division. Each telecommunications carrier shall also provide a forum or forums for continuous public education that may include, but not be limited to, company web site(s), voice response unit(s), or information posted in public location(s).

History

• Source: Amended at 26 Ill. Reg. 10465, effective July 1, 2002

83 Ill. Adm. Code 732.60 Reporting

a) All reports required to be submitted to either the Staff or to the Commission under this Part 732 shall be certified by an authorized agent of the reporting carrier. All such reports will be public records available for inspection, copying, and posting to the Commission's website.

b) Each telecommunications carrier shall provide to the Commission, on a quarterly basis and in a form suitable for posting on the Commission's website, a report that includes monthly performance data for basic local exchange service obligations as required to be collected and reported pursuant to this Part. The report shall be provided to the Commission within 30 days after the end of each calendar quarter. The monthly performance data shall be disaggregated for each customer class in each geographic area for which the telecommunications carrier internally monitored performance data as of March 2, 2001. The report shall include, at a minimum:

1. With regard to credits due in accordance with Section 732.30(a) (Out of Service More than 30 Hours):

A) Total dollar amount of any customer credits paid;

B) Number of credits issued for repairs between 30-48 hours;

C) Number of credits issued for repairs between 48-72 hours;

D) Number of credits issued for repairs between 72-96 hours;

E) Number of credits used for repairs between 96-120 hours;

F) Number of credits issued for repairs greater than 120 hours; and

G) Number of exemptions claimed for each of the categories identified in Section 732.30(e).

2. With regard to credits due in accordance with Section 732.30(b) (Failure to Install Basic Local Exchange Service):

A) Total dollar amount of any customer credits paid;

B) Number of installations after 5 business days;

C) Number of installations after 10 business days;

D) Number of installations after 11 business days; and

E) Number of exemptions claimed for each of the categories identified in Section 732.30(e).

3. With regard to credits due in accordance with Section 732.30(c) (Missed Appointments):

A) Total dollar amount of any customer credits paid;

B) Number of any customers receiving credits; and

C) Number of exemptions claimed for each of the categories identified in Section 732.30(e).

History

• Source: Amended at 36 Ill. Reg. 15013, effective October 1, 2012

Part 733 Provision of Advanced Telecommunications Services

83 Ill. Adm. Code 733.10 Applicability

This Part applies to Incumbent Local Exchange Carriers (ILECs) subject to the requirements of Section 13-517 of the Public Utilities Act [220 ILCS 5/13-517]. Pursuant to Section 13-506.2(k) of the Act, Section 13-517 of the Public Utilities Act does not apply to electing providers, as that term is defined in Section 13-506.2(a)(1) of the Act.

History

• Source: Amended at 36 Ill. Reg. 3891, effective March 1, 2012

83 Ill. Adm. Code 733.20 Definitions

Terms used in this Part have the following meanings:

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

“Advanced telecommunications services” means services capable of supporting, in at least one direction, a speed in excess of 200 kilobits per second (kbps) to the network demarcation point at the subscriber’s premises. [220 ILCS 5/13-517(c)]

"Commission" means the Illinois Commerce Commission.

“Customer” means a customer of an incumbent local exchange carrier (ILEC) that is an end user (as defined in Section 13-217 of the Act [220 ILCS 5/13-217]) provided with a telecommunications service by either the ILEC or by another local exchange carrier through network facilities of the ILEC, provided that the network facilities of the ILEC utilized by the other local exchange carrier are capable of delivering advanced telecommunications services. An end user provided telecommunications service at multiple locations is considered a customer at each location.

“Incumbent local exchange carrier” or "ILEC" means the same as the term is defined in Section 13-202.5 of the Act [220 ILCS 5/13-202.5].

83 Ill. Adm. Code 733.30 Provision of Advanced Telecommunications Services

Every ILEC shall offer or provide advanced telecommunications services to not less than 80% of its customers by January 1, 2005. [220 ILCS 5/13-517(a)]

83 Ill. Adm. Code 733.40 Monitoring

a) Every ILEC shall report to the Commission information concerning its deployment of advanced telecommunications services. The required information shall be provided annually by March 1. The information provided shall include:

1. The total number of customers of the ILEC;

2. The total number of ILEC customers offered advanced telecommunications services;

3. The total number of ILEC customers actually provided advanced telecommunications services;

4. A description of all technologies used to offer or provide advanced telecommunications services;

5. The number of ILEC customers offered advanced telecommunications services identified by each technology, where more than one technology is employed; and

6. The number of ILEC customers actually provided advanced telecommunications services identified by each technology, where more than one technology is employed.

b) The requirements of subsection (a) shall not apply to an ILEC that has been granted a full waiver of the obligations of Section 13-517(a) of the Act for the duration of the waiver.

83 Ill. Adm. Code 733.100 Waiver

a) The Commission is authorized to grant a full or partial waiver of the require­ments of Section 13-517(a) of the Act upon verified petition of any ILEC that demonstrates that full compliance with the requirements of Section 13-517(a) of the Act would be unduly economically burdensome or technically infeasible or otherwise impractical in exchanges with low population density. Notice of any such petition must be given to all potentially affected customers. If no potentially affected customer requests the opportunity for a hearing on the waiver petition, the Commission may, in its discretion, allow the waiver request to take effect without hearing.

b) The Commission shall grant such petition for waiver to the extent that, and for such duration as, the Commission determines that such waiver:

1. is necessary:

A) to avoid a significant adverse economic impact on users of telecommunications services generally;

B) to avoid imposing a requirement that is unduly economically burdensome;

C) to avoid imposing a requirement that is technically infeasible; or

D) to avoid imposing a requirement that is otherwise impractical to implement in exchanges with low population density; and

2. is consistent with the public interest, convenience, and necessity. [220 ILCS 5/13-517(b)]

83 Ill. Adm. Code 733.105 Application of Waiver Standards

a) In determining whether the requested waiver is necessary to avoid a significant adverse economic impact on users of telecommunications services generally, the factors which may be considered by the Commission include, but are not limited to, the following:

1. the impact on the quality of telecommunications services provided by the ILEC to users of telecommunications services;

2. the impact on the rates of telecommunications services provided by the ILEC to users of telecommunications services;

3. the impact on the availability of existing and new telecommunications services provided by the ILEC to users of telecommunications services;

b) In determining whether the requested waiver is necessary to avoid imposing a requirement that is unduly economically burdensome, the factors which may be considered by the Commission include, but are not limited to, the following:

1. the ability of the ILEC to attract capital on its Illinois jurisdictional investment or to raise capital on reasonable terms;

2. the impact on the ILEC's ability to compete in Illinois telecommunications markets;

3. the impact on the ILEC's ability to innovate.

c) In determining whether the requested waiver is necessary to avoid imposing a requirement that is technically infeasible, the factors which may be considered by the Commission include, but are not limited to, the following:

1. limits of available technology;

2. impacts on network reliability;

3. public health and safety;

4. the impact on the ILEC's telecommunications network design, interoperability, and architecture;

5. equipment safety.

d) For purposes of subsection (c), a determination of technical infeasibility does not include consideration of economic, accounting, billing, space, or site concerns, except that space and site concerns may be considered in circumstances where there is no possibility of expanding the space available.

e) In determining whether the requested waiver is necessary to avoid imposing a requirement that is otherwise impractical to implement in exchange with low population density, the factors which may be considered by the Commission include, but are not limited to, the following:

1. the estimated demand for advanced services in each exchange;

2. the exchange population density measured by customers per square mile, access lines per square mile, or other relevant measures;

3. the distribution of customers or access lines within the exchange;

4. the availability of advanced telecommunications services from other providers.

83 Ill. Adm. Code 733.110 Notice of Application for Waiver

An ILEC seeking a full or partial waiver of the requirements of Section 13-517(a) of the Act shall notify all potentially affected customers in its service area. Notification shall be made via a direct mailing to all potentially affected customers of the ILEC prior to the filing of a petition. The direct mail notice shall state the reasons for the waiver request, state the anticipated effect of the waiver request on those customers, and inform those customers of the opportunity to request a hearing on the waiver request at the Commission.

83 Ill. Adm. Code 733.120 Deadline for Application for Waiver

An ILEC seeking a waiver of the requirements of Section 13-517(a) of the Act by January 1, 2005 shall file an application for waiver no later than July 1, 2004.

83 Ill. Adm. Code 733.130 Application for Waiver

a) An ILEC may petition under Section 13-517(b) of the Act [220 ILCS 5/13-517(b) for a full or partial waiver of the requirements of Section 13-517(a) of the Act.

b) A verified petition for a waiver submitted pursuant to Section 13-517(b) of the Act shall include, at a minimum, the following information:

1. A description of the ILEC’s service territory for which waiver is sought, identification of each exchange for which waiver is sought, and the number of potentially affected customers;

2. The identification of the specific conditions or provisions of Section 13-517(b) under which waiver is sought;

3. All information required by Section 733.40, utilizing the most recent information available as of the date the petition is filed; and

4. A copy of notices required by Section 733.110.

c) Applicants requesting a full waiver of the requirements of Section 13-517(a) pursuant to the terms of Section 13-517(b)(1)(A), 13-517(b)(1)(B), or 13-517(b)(1)(D) of the Act [220 ILCS 5/13-517(b)(1)(A), (B), and (D)] shall provide, in addition to the information required under subsection (b), the following information:

1. Projected costs of providing the advanced telecommunications services required by Section 13-517(a) of the Act in its entire serving territory;

2. Projected revenues associated with provision of the advanced telecommunications services required by Section 13-517(a) of the Act in its entire serving territory;

3. Pro-forma financial statements both with and without the effects of providing the advanced telecommunications services required by Section 13-517(a) of the Act; and

4. The principal assumptions used in preparing the information required by subsections (c)(1)-(3).

d) Applicants requesting a partial waiver of the requirements of Section 13-517(a) pursuant to the terms of Section 13-517(b)(1)(A), 13-517(b)(1)(B), or 13-517(b)(1)(D) of the Act shall provide, in addition to the information required under subsection (b), the following information:

1. Projected costs of providing the advanced telecommunications services required by Section 13-517(a) of the Act for those exchanges, territories, or customers for which a waiver is requested;

2. Projected revenues associated with provision of the advanced telecommunications services required by Section 13-517(a) of the Act for those exchanges, territories, or customers for which a waiver is requested;

3. Pro-forma financial statements both with the effects of full compliance with Section 13-517(a) of the Act and with the effects of the requested partial waiver of the requirements of Section 13-517(a) of the Act; and

4. The principal assumptions used in preparing the information required by subsections (d)(1)-(3).

e) Applicants requesting a full or partial waiver of requirements of Section 13-517(a) of the Act pursuant to the terms of Section 13-517(b)(1)(C) of the Act [220 ILCS 5/13-517(b)(1)(C)] shall provide, in addition to the information required by subsection (b), a description of any technical factors that prevent advanced ser­vices from being deployed. This description shall include, but not be limited to, a description and technical analysis of outside plant facilities and central office equipment.

83 Ill. Adm. Code 733.140 Prepared Direct Testimony

At the time it files its verified petition for waiver, each ILEC shall file the prepared direct tes­timony of all witnesses and all exhibits the ILEC intends to rely upon to support its waiver request. For each exchange for which a waiver is sought, the ILEC’s prepared direct testimony shall include, at a minimum, the following information:

a) A presentation of all reasons and arguments supporting its waiver request; and

b) A description of all reports, studies, forecasts, projections, and other documentary material that the ILEC relies upon to support its waiver request.

83 Ill. Adm. Code 733.150 Commission Action Upon Petition

The Commission shall act upon any petition filed under Section 13-517(b) of the Act within 180 days after receiving the petition. [220 ILCS 5/13-517(b)]

83 Ill. Adm. Code 733.160 Reconsideration of Waiver

a) The Commission may, upon complaint or on its own motion, hold a hearing to reconsider its grant of a waiver in whole or in part. In the event that the Commission, following hearing, determines that the affected ILEC no longer meets the requirements of Section 13-517(b)(2) of the Act, the Commission shall by order rescind such waiver, in whole or in part.

b) In the event and to the degree the Commission rescinds such waiver, the Commission shall establish an implementation schedule for compliance with the requirements of Section 13-517 of the Act. [220 ILCS 5/13-517]

Subchapter f Telephone Utilities

Part 734 Mediation Practice

83 Ill. Adm. Code 734.10 Procedure Governed

This Part governs practice and procedure before the Illinois Commerce Commission (Commission) in the consumer mediation proceedings required by Section 13-713 of the Public Utilities Act [220 ILCS 5/13-713].

83 Ill. Adm. Code 734.20 Definitions

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

"Consumer" means the person who initiates a mediation procedure pursuant to Section 734.100.

"Mediation" means a process in which an impartial third party works with the disputing parties to facilitate and, if possible, to reach a mutually acceptable resolution of all of the issues in a dispute.

"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 parties on their interests, and seek creative problem solving to enable the parties to reach their own resolution of the dispute.

"Party" means a person who initiates a mediation proceeding by filing a written request for mediation or a telecommunications carrier that responds to the request for mediation pursuant to Section 13-713 of the Public Utilities Act.

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

83 Ill. Adm. Code 734.30 Appointment of Mediator

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.

83 Ill. Adm. Code 734.100 Request for Mediation

A residential consumer or business consumer with fewer than 20 lines shall have the right to request mediation for resolution of a dispute with a telecommunications carrier upon completion of the Commission's informal complaint process (see 83 Ill. Adm. Code 735.200) and prior to the initiation of a formal complaint as described in Commission Rules of Practice (see 83 Ill. Adm. Code 200). [220 ILCS 13-713(c)]

83 Ill. Adm. Code 734.110 Submitting a Request for Mediation

a) A request for mediation shall be in writing, shall be submitted to the Chief Clerk of the Commission and shall include the informal complaint number assigned by the Consumer Services Division.

b) A request for mediation shall also include:

1. A brief statement of the issues to be addressed in the mediation;

2. The billing telephone number (the telephone number associated with the dispute), billing name (the person whose name appears on the bill), and account number (the account number associated with the dispute); and

3. The specific relief requested.

c) A request for mediation may include any additional documents that the consumer believes are pertinent to the case.

83 Ill. Adm. Code 734.120 Telecommunications Carrier Participation

A telecommunications carrier that is a respondent to a consumer's request for mediation shall participate in the mediation process. [220 ILCS 13-713(c)]

83 Ill. Adm. Code 734.130 Notice of Mediation

a) Within seven calendar days after receipt of a consumer's request for mediation, the Chief Clerk of the Commission shall notify in writing the consumer and the respondent telecommunications carrier.

b) The notice shall explain the mediation process and a copy of the request for mediation submitted to the Chief Clerk of the Commission pursuant to Section 734.110 shall be provided to the respondent telecommunications carrier.

83 Ill. Adm. Code 734.140 Scheduling of Mediation

The mediation shall be scheduled taking into consideration the availability of the parties.

83 Ill. Adm. Code 734.200 Authority of the Telecommunications Carrier Representative

A person who has authority to mediate and bind the telecommunications carrier to any agreement that is reached in mediation shall represent the respondent telecommunications carrier.

83 Ill. Adm. Code 734.210 Supervision of Exchange of Information

The mediator shall supervise the exchange of information between the parties during the mediation.

83 Ill. Adm. Code 734.220 Confidentiality

a) All oral communications or documents received by a mediator during the mediation process shall be confidential.

b) All notes and writings pertaining to settlement discussions related to the mediation shall be exempt from discovery and shall be inadmissible in any agency or court proceeding. [220 ILCS 5/13-713(g)] Documents or information relevant to the dispute that are obtained by either party independent of the mediation process are not to be treated as confidential or exempt from discovery or inadmissible in any agency or court proceeding even if they are received by a mediator during the mediation process.

83 Ill. Adm. Code 734.230 Duration of Mediation

The mediation process shall be completed no later than 45 days after the consumer submits a written request for mediation. [220 ILCS 13-713(d)]

83 Ill. Adm. Code 734.240 Settlement Shall Be Reduced to Writing

a) If agreement is reached, the agreement shall be reduced to writing by the mediator at the conclusion of the mediation. [220 ILCS 5/13-713(e)]

b) The writing shall contain mutual conditions, payment arrangements, or other terms that resolve the dispute in its entirety. [220 ILCS 5/13-713(e)]

83 Ill. Adm. Code 734.300 Failure to Agree

a) If the parties are unable to reach agreement at the end of 45 days, the mediation is terminated.

b) If the parties are unable to reach agreement or after 45 days, whichever occurs first, the consumer may file a formal complaint with the Commission as described in 83 Ill. Adm. Code 200. [220 ILCS 5/13-713(e)]

83 Ill. Adm. Code 734.310 Enforcement of Settlement Agreement

If either the consumer or the carrier fails to abide by the terms of the settlement agreement, either party may exercise any rights it may have as specified in the terms of the agreement or as provided in 83 Ill. Adm. Code 200. [220 ILCS 5/13-713(f)]

Part 735 Procedures Governing the Establishment of Credit, Billing, Deposits, Termination of Service and Issuance of Telephone Directories for Local Exchange Telecommunications Carriers in the State of Illinois

83 Ill. Adm. Code 735.10 Definitions

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

"Applicant" – a person who applies for telecommunications service. Includes persons seeking reconnection of their service after Company-initiated termination.

"Business Service" – is telephone service where the use of the service is primarily or substantially of a business, professional, institutional, or otherwise occupational nature and as further defined in the Company's tariffs.

"Commission" – the Illinois Commerce Commission.

"Company" – telephone company or telecommunications carrier under the jurisdiction of the Illinois Commerce Commission.

"Customer" – any person who agrees to pay for telecommunication services provided by a telephone company.

"Discontinuance" – temporary (10 days or less) disconnection of telecommunications service.

"Electing Provider" – has the same meaning as ascribed in Section 13-506.2(a)(1) of the Act.

"Network Access Line" – the connecting facility between a customer's premises network interface device and the local exchange carrier's facility that provides access to the switching network for local exchange and interexchange telecommunications service. This includes the network interface or equivalent, the outside plant facilities, the office frame and frame wiring, and the office line termination.

"NSF Check" – any negotiable instrument returned by a bank, savings institution, or other eligible institution that is returned by that institution with one of the following instructions:

• not sufficient funds;

• uncollectible funds;

• account closed;

• account frozen;

• no account.

"Person" – a natural person, firm, partnership, corporation, association, municipality, cooperative, organization, governmental agency, real estate trust, or other legal entity.

"Residential Service" – telephone service where the major use of the service is of a social or domestic nature and business use, if any, is merely incidental; and where the service is located in a residence or, in the case of combined business and residential premises, where the service is located in bona fide residential quarters of the premises and business service is located in the business quarters of the same premises, and as further defined in the Company's tariffs.

"Termination" – permanent disconnection of telecommunications service.

"User" – any person who uses telecommunications service provided by a company under the jurisdiction of the Illinois Commerce Commission.

History

• Source: Amended at 37 Ill. Reg. 8373, effective July 1, 2013

83 Ill. Adm. Code 735.20 Policy

The purpose of this Part is to establish fair and equitable rules and procedures governing the establishment of credit, billing, deposits and termination of service for telephone utilities taking into account the duty of the company, customer, applicant, and user to demonstrate good faith in all transactions and disputes.

83 Ill. Adm. Code 735.30 Scope and Application

a) This Part shall apply to all telephone companies under the jurisdiction of the Commission in the offering or providing of noncompetitive telecommunications services as defined in Section 13-210 of the Act and shall regulate the:

1. establishment of procedures governing eligibility for service, billing, deposits, and payment practices; and

2. establishment of conditions under which service may be discontinued or terminated.

b) A telephone company that is an electing provider shall comply with this Part when offering or providing the optional packages required by Section 13-506.2(d) of the Act or stand-alone residential network access lines.

c) Except as otherwise provided in this Section, this Part sets forth the minimum general requirements and shall apply to any telecommunications carrier as defined as such by the Act that engaged in providing noncompetitive telecommunications telephone service and that comes under the jurisdiction of the Commission, provided that this Part also applies to electing providers only with respect to the offering or provision of the optional packages required by Section 13-506.2(d) of the Act and stand-alone residential network access lines.

d) This Part shall supersede any rate, rule, regulation or condition of service that any telephone utility presently has on file with the Commission. If any rate, rule, regulation or condition of service, or portion thereof, fails to meet the minimum general requirements in this Part, the utility shall refile that rate, rule, regulation or condition of service to conform with the provisions of this Part within 90 days after February 4, 1983. Any rate, rule, regulation or condition of service, or portion thereof, that fails to meet the minimum general requirements in this Part shall be considered null and void 91 days after February 4, 1983.

History

• Source: Amended at 37 Ill. Reg. 8373, effective July 1, 2013

83 Ill. Adm. Code 735.40 Discrimination Prohibited

No company shall discriminate against or penalize a customer in any way for exercising any right or remedy granted by this Part.

83 Ill. Adm. Code 735.50 Variance

The Commission, on application of a company, customer, applicant, or user or on its own motion, may grant a temporary or permanent variance from this Part in individual cases where the Commission finds that:

a) The provision from which the variance is granted is not statutorily mandated;

b) No party will be injured by the granting of the variance; and

c) The rule from which the variance is granted would, in the particular case, be unreasonable or unnecessarily burdensome.

83 Ill. Adm. Code 735.60 Saving Clause

The adoption of this Part shall in no way preclude the Commission from altering or amending it, in whole or in part, or from requiring or authorizing rules containing other provisions whenever it shall be deemed in the public interest to do so.

83 Ill. Adm. Code 735.70 Customer Billing

a) Billing Procedures

Bills to customers shall be issued on a monthly basis. Bills shall be itemized as set forth in subsection (b) of this Section.

b) Itemization of Charges

1. All bills for residential and single-line business customers shall contain an itemization of charges. Itemization of every monthly billing shall include, but not be limited to:

A) exchange access (basic local service) as requested by customer;

B) local service;

C) extended area service;

D) equipment;

E) enhanced and other local services;

F) the period of time for which the local service and equipment charges apply;

G) if a local exchange company has assumed responsibility of collection for toll calls, it shall include an itemization of all toll calls charged to the account including, but not limited to the date and time of the call, the rate which applied to the call, the length of the call in minutes, the destination of the call, or point of origin for collect and/or third party calls;

H) the phone number of the appropriate company business office;

I) the due date of the bill; and

J) the separate listing of the following:

i) additional charges due to state messages tax,

ii) municipal messages tax,

iii) municipal consumer tax, and

iv) federal excise tax.

2. Upon request, a company shall provide its customers with an itemization of service and equipment charges (but excluding message unit charges, as provided for in the company's tariff) once every calendar year free of charge. This itemization shall also include the phone number of the local company business office which the customer may contact to receive further information concerning the service and equipment charges listed on such itemization.

3. Where a company is able to provide an itemized billing for local message detail, the customer may request the company to provide such message unit detail for one billing period free of charge one time every six months or if a dispute exists as to the accuracy of the bill. This waiver of charges shall not apply to customers who contract with the company for monthly message detail.

c) Delivery of Bills

Customer bills sent through the United State mail shall be in envelopes and shall include return envelopes for payment of customer bills, unless the customer has elected to pay the bill electronically.

d) Transferring Billing for Past Due Service

Charges for business service shall not be transferred to a bill for residential service, nor shall charges for residential service be transferred to a bill for business service. A company may transfer billing to another account of the same customer of the same class (business or residential) when a final bill remains unpaid after the due date.

e) Adjustments for Interrupted Service

In the event that a customer's basic (i.e., residence, business, Private Branch Exchange (PBX)) service is interrupted and remains out of service for more than 12 hours after being reported to or found to be out of service by a company, appropriate adjustments shall be made to the customer's account upon request with a minimum of credit for 24 hours. The adjustment shall be the pro rata part of the month's charge for local exchange service for the period of days service was inoperative and shall be accomplished by a credit on a subsequent bill for telephone service. A check shall be issued if the final bill shows no amount owed. This provision shall not apply when the service interruption is caused by:

1. the negligence or willful act of the customer,

2. customer provided facilities, or

3. electric power failure where the customer furnishes such electric power.

f) Third Number Billing

On third number calls the operator may attempt to verify the authority to bill to the third number by calling the third number to get permission to bill the call to that number. Any third number calls that are billed to but denied by the billed party shall be removed from the bill unless these calls were verified in accordance with this paragraph.

g) Unbilled Service

1. Bills for service supplied by a company must be rendered within one (1) year of the date such service was supplied. No customer shall be liable for any amount of unbilled service after one (1) year. A company is not restricted to the above one (1) year limitation on unbilled service if a company has reason to believe that the customer used a device or scheme to obtain service without payment and where the company has so notified the customer prior to disconnection.

2. When delinquency occurs following the issuance of a bill for previously unbilled service, except where the customer has avoided payment as described in the preceding paragraph, a company shall review the bill with the customer, and shall offer to accept payments toward the liquidation of the amount of unbilled service over a period mutually agreed to by the company and customer. This period of time shall be at least as long as the period over which the unbilled or underbilled service was provided.

h) Refunds

1. In the event that a customer pays a bill as submitted by a telephone utility and the billing is later found to be incorrect due to an error either in charging more than the published rate, in measuring the quantity or volume of service provided, or in charging for the incorrect class of service, the utility shall refund the overcharge with interest from the date of overpayment by the customer.

2. The rate of interest shall be the rate as established by the Commission to be paid on deposits in Section 735.120 (h) (1) of this Part.

3. The refund shall be accomplished by a credit on a subsequent bill for telephone service, or by check if the account is final, or if so requested by the customer.

i) Special Toll Bills

1. If a customer accumulates unusually high charges for toll calls in a short period of time, and that customer's credit record indicates that satisfactory payment may not be made on this amount, a company may issue a special toll bill. Such special toll bills shall be due ten (10) days from the issuing date of the bill, seven (7) days if delivered by hand.

2. A company may render a special toll bill to a residential customer only during the first twenty-four (24) months of that customer's telephone service. No such limitation, however, shall be imposed in the case of business customers.

3. For the purpose of this subsection (i), an unusually high toll bill shall be considered to be an amount in excess of 175 percent of the average of the past three months' toll bills or an average toll bill for that class of service if three months' actual data is not available.

j) Electronic Billing and Payment

If the company offers electronic billing, customers may elect to have their bills sent electronically. Such bills shall be transmitted with instructions for payment. Information sent electronically shall be deemed to satisfy any requirement in this Part that such information be printed or written on a customer bill. Bills rendered in accordance with this Section may be paid electronically.

History

• Source: Amended at 18 Ill. Reg. 4146, effective March 15, 1994

83 Ill. Adm. Code 735.80 Deferred Payment Agreements

a) Applicability

Residential customers who are indebted to a company for past due utility service shall have the opportunity to make arrangements with the company to retire the delinquent amount by periodic payments referred to hereinafter as a Deferred Payment Agreement. All applicants for service, nonresidential customers and customers who have failed to make payment under such a plan during the past twelve (12) months, who are indebted to a company for past due utility service, may have the opportunity, at the discretion of the company, to make arrangements with the utility to retire the debt by periodic payments referred to hereinafter as a Deferred Payment Agreement.

b) Terms and Conditions

The terms and conditions of a Deferred Payment Agreement shall be determined by a company after consideration of the following:

1. size of the past due account;

2. customer's or applicant's ability to pay;

3. customer's or applicant's payment history;

4. reasons for the delinquency; and

5. any other relevant factors relating to the circumstances of the customer's or applicant's service.

c) Downpayment

A company may require an applicant for residential service or a residential customer to pay no more than ¼ of the amount past due and owing at the time of entering into a Deferred Payment Agreement. The company may require an applicant for business service or a business customer to pay no more than ⅓the amount past due and owing at the time of entering into the deferred payment agreement. The company shall allow the customer or applicant a minimum of four months from the date of said agreement and a maximum of twelve months in which to complete payment pursuant to a Deferred Payment Agreement.

d) Agreement to be in Writing

A Deferred Payment Agreement shall be in writing, with a copy provided to the applicant or customer, and shall conform to the following requirements:

1. the applicant or customer shall be required to pay all future bills for utility service by the due date; and

2. the applicant or customer shall retire the delinquent amount according to the terms of the Deferred Payment Agreement.

e) Default and Disconnection

If an applicant or customer shall default upon any payment due under the Deferred Payment Agreement, all amounts owed pursuant to the agreement become payable immediately and a company shall have the right to discontinue service, pursuant to proper notice.

83 Ill. Adm. Code 735.90 Preferred Payment Dates

When a customer establishes the regular inability to pay the bill on the Due Date (Section 735.160(a)) because of extenuating circumstances, such as the receipt of a monthly social security or benefit check which is out of the billing cycle, a company shall provide a Preferred Payment Date for that customer, not to exceed ten (10) days after the Due Date. If the customer fails to pay by the Preferred Payment Date more than one time in a six month period, the arrangement may be canceled and the original Due Date reestablished.

83 Ill. Adm. Code 735.100 Applicants for Service

a) Where a company's tariff provides for various types of service in an exchange, the applicant shall be advised of the one-party service with the lowest basic monthly service charge and lowest monthly charge for leased equipment or the lowest purchase price for company-marketed equipment for the type of service (business or residential) requested.

b) As a part of the first bill rendered for utility service to a new residential or single-line business customer, a company shall provide the customer with a listing of all services and leased telephone equipment which shall be provided to that customer, with an itemization of the monthly charges applicable thereto. The first bill shall also show the lowest basic local service charge available for the type of service supplied. If the customer notifies the company within 20 days after receiving his/her first bill that the customer does not desire to receive certain services or equipment, the company will delete such services or equipment from the customer's account. The customer shall be responsible for all monthly usage and installation charges incurred for the use of such service and equipment. No company, however, shall charge a record keeping or service ordering charge for such deletion or change.

c) A company shall establish a written procedure governing requirements for establishment of credit.

d) A company shall provide a listing of acceptable credit information, pursuant to its tariffs, to each applicant for service who is required to furnish credit information. This listing shall indicate the order of preference of this information, if any, and shall indicate what information that particular applicant must furnish in order to obtain service.

e) Credit information

1. If an applicant for service is unable to provide satisfactory credit information, the company may refuse to provide service unless the applicant furnished a deposit, pursuant to Section 735.120.

2. For residential applicants for service, satisfactory credit shall be based upon the following standards:

A) If the applicant has verifiable previous service with any telephone company for at least twelve months and the payment record on the account was satisfactory, the applicant would obtain service without a deposit.

B) If the applicant had not paid for the previous service, or the previous service had been disconnected for nonpayment within the past twelve months, the company may require a deposit prior to the connection of telephone service.

C) If the applicant does not have verifiable service, or if the applicant had previous service for less than one year, the applicant would be requested to provide further credit information. The applicant would be requested to provide proof of:

i) home ownership;

ii) employment of two years or more with the current employer;

iii) major oil company credit card;

iv) major credit card;

v) checking account;

vi) savings account;

vii) age of 50 years or more.

3. If the applicant is unable to provide affirmative responses to two of these credit criteria in subsection (e)(2) above, the company may request the applicant to furnish a deposit prior to the connection of telephone service.

4. For business customers, each company shall submit to the Commission a credit evaluation plan. In evaluating the company's credit evaluation plan the Commission will take into consideration whether the plan establishes reasonable criteria in relation to the risks the company might expect to experience from business customers, whether the criteria can be determined by objective, rather than subjective standards, and whether the criteria do not unreasonably discriminate against any class or group of commercial customers.

f) If a company finds that the applicant for service has failed to pay for past due telephone service of the same class provided by any telephone company, the company may refuse to provide service unless the applicant, at the option of the company, pays any past due bill and/or furnishes a deposit pursuant to Section 735.120. For purposes of this subsection, a company may refuse to provide service if the applicant is liable for a past due bill for telephone service pursuant to Section 15 of the Rights of Married Persons Act [750 ILCS 65/15], unless the applicant, at the option of the company, pays any past due bill and/or provides a deposit pursuant to Section 735.120 and/or enters into a deferred payment agreement pursuant to Section 735.80.

g) If verification of the applicant's credit is required, the company shall provide service if the applicant furnishes advance payment of both the applicable charges for connecting service and the estimated charges for the first 30 days of service. If the verification of credit provides unsatisfactory credit information, the applicant will be informed of the reason or reasons, after which the company may refuse to provide or continue service until the customer provides a deposit or guarantor, pursuant to Section 735.120. If the applicant so requests, the company shall provide these reasons in writing to the applicant.

h) When the company takes applications by telephone from third parties or users who will not be the customers of the service, and the company does not verify the third party or user application with the customer, the company shall not be entitled to collect from the customer of the service if the customer disclaims any responsibility for requesting the service within 20 days from the date of mailing of the first bill; provided, however, that users will be responsible for paying for any message unit or toll charges which accrue to the account.

History

• Source: Amended at 18 Ill. Reg. 17981, effective December 15, 1994

83 Ill. Adm. Code 735.110 Present Customers

a)

1. A company may request a deposit, pursuant to Section 735.120 herein, from any customer during the first twelve (12) months that a customer receives service if the customer, during that period, pays late four times or has service discontinued for nonpayment two times.

2. Prior to requesting a deposit from a customer for reasons of late payment, the company shall advise the customer of the availability of a Preferred Payment Date pursuant to Section 735.90 of this Part

3. A company may request a deposit from any customer after the first twelve (12) months that the customer has received service if the customer has had service discontinued two times in a twelve (12) month period, or if the company provides evidence that the customer used a device or scheme to obtain service without payment. The company may also request a deposit from any nonresidential customer after the first twelve (12) months the customer has received service if the customer pays late at least six (6) times during any twelve (12) month period.

b) The company requesting a deposit for any of the reasons stated in this Section shall make such request within 45 days after the event giving rise to the request takes place.

c) A present customer whose service is terminated for nonpayment becomes an applicant for service and will be subject to the provisions of Section 735.100(b), (c), and (e) herein for purposes of establishing service.

d) A customer who transfers service from one location or address to another within the Company's service territory shall be considered to be a present customer and shall not be subject to the rules for applicants for service contained in Section 735.100 of this Part. However, the company shall still be required to provide a complete listing of charges pursuant to Section 735.100(b).

83 Ill. Adm. Code 735.120 Deposits

Conditions under which a company may request a deposit from applicants for service and present customers are set out in Sections 735.100 and 735.110 of this Part, respectively.

a) Amount of Deposits – No company shall request a deposit from an applicant or customer in excess of the estimated charges for 2 months for residential service, and 4 months for business service. The estimated charges for customers shall be based on the average monthly billing of the past 6 months to that customer. In the case of an applicant for service or a present customer who does not have 6 months service with the company, the company may use the average monthly bill for that class and type of service to determine the correct amount for that deposit. The estimated deposit for an applicant may take into consideration past billing history for service of another company if service was provided within the State of Illinois and within 6 months of the application. The Company's tariffs shall provide the methods by which deposits shall be calculated. The amount of deposit may be adjusted by the company for a customer pursuant to Section 735.110. The amount of the deposit may be adjusted at the request of the customer, applicant or utility at any time when the character or degree of use of the service materially changes or when it is clearly established that the character or degree of use of the service will materially change in the immediate future.

b) Payment of Deposits – A utility may request that a maximum of ⅓ of the amount of a requested deposit from any customer be paid within 12 days after the date of the request for deposit. An applicant may be requested to pay no more than ⅓ of the deposit amount prior to the establishment of service. At least two billing periods shall be allowed for the balance of the deposit. A customer or applicant may, at their option, pay the deposit on a more expedited schedule.

c) Refund of Deposits

1. Deposits plus interest shall be automatically refunded after being held for 12 months, so long as:

A) the customer has paid any past due bill for service owed to the same company;

B) service has not been discontinued for nonpayment,

C) the customer has not paid late 4 times, or

D) the company has not provided evidence that the customer used a device or scheme to obtain service without payment.

2. If the company does not return a customer's deposit after 12 months, the company shall provide the customer with the reasons the deposit is being retained, if the customer so requests.

d) Records of Deposits – The company shall maintain records of deposits together with interest, which collectively will show all transactions pertaining to each deposit. The company shall provide the applicant or customer with a Deposit Receipt for any deposit received. The Receipt shall show the customer's name, service address, serial number, type of service, amount of deposit, rate of interest on deposit, date received, Company's name, and a statement of the conditions under which the deposit will be refunded.

e) Deposits plus interest shall be refunded when service has been terminated for more than 30 days, less the amount of unpaid bills, if any, for that service. A transfer of service from one premise to another within the area served by the company shall not be deemed a termination of service by the company if the class of service remains the same. When a deposit plus interest is applied to the liquidation of unpaid bills, the company shall provide the customer with a statement showing the amount of the unpaid bill(s) liquidated by the deposit plus interest, and the balance remaining due either to the customer or to the company.

f) All deposit refunds shall be by separate check and not by credit to the customer's account unless the deposit is used to pay the customer's final bill. When a deposit or portion of deposit is refunded, the company shall issue a Cancellation Notice carrying the same serial number as the Deposit Receipt and showing what portion of deposit is being refunded. No refund of less than $1 need be issued. When refunds are not deliverable, records shall be maintained to show a Company's efforts toward locating the applicant or customer, and delivering such refund.

g) At the option of the company, a deposit plus interest may be refunded, in whole or in part, at any time earlier than the times prescribed in this Section.

h) Interest Paid on Deposits

1. Interest shall be paid on all deposits held by the utility. The rate of interest will be the same as the rate existing for the average one-year yield on U.S. Treasury securities for the last full week in November. The interest rate will be rounded to the nearest .5%. In December of each year the Commission shall announce the rate of interest that shall be paid on all deposits held during all or part of the subsequent year.

2. At the request of a customer, the company shall compute the accrued interest upon the deposit and pay such amount to the customer. The company need not make such payment more often than once in a 12 month period, nor sooner than 12 months after receipt of a deposit.

i) Guarantee in Lieu of Deposit

1. In lieu of a deposit required by this Section, a company shall accept the written guarantee of a responsible party as surety for a residential service account. A current customer of the same company with at least 12 months' service which has not been discontinued for nonpayment during the most recent 12 months qualifies as a responsible party.

2. The form of each Company's guarantee must be filed with and approved by the Illinois Commerce Commission. A guarantee shall be approved in accordance with these rules if it conforms to the following conditions:

A) It shall be in writing.

B) It shall state the terms of the guarantee (including the maximum amount guaranteed) and that the company shall not hold the Guarantor liable for sums in excess of that amount.

C) This guarantee shall remain in full force and effect until 30 days after receipt by the company of a cancellation of this agreement from Guarantor. However, the company is not obliged to release the Guarantor from their obligation if the company has reason to believe that the customer has used a device or scheme to obtain service without payment, and has so notified the customer.

D) The maximum amount guaranteed shall not exceed the amount of the deposit which would have been charged the applicant or customer.

E) The Guarantor shall be released from their obligation when the customer has met the criteria set forth in Section 735.120(c).

j) A company shall agree to accept a Surety Bond in lieu of a cash deposit, provided that such surety bond has been issued by an insurance company that has received a certificate of authority from the Department of Insurance to do business in Illinois.

History

• Source: Amended at 26 Ill. Reg. 7078, effective May 1, 2002

83 Ill. Adm. Code 735.121 Refunds of Additional Charges

In the event that the Commission orders a telecommunications carrier to refund incorrectly calculated additional charges made pursuant to Section 9-221 or Section 9-222 of the Public Utilities Act, the telecommunications carrier shall pay interest on such refund at the rate established by the Commission to be paid on deposits in 83 Ill. Adm. 735.120(h)(1).

History

• Source: Added at 18 Ill. Reg. 6164, effective May 1, 1994

83 Ill. Adm. Code 735.130 Discontinuance or Refusal of Service

a) The company may discontinue or refuse service for any of the following reasons:

1. For failure to make or increase a deposit pursuant to Sections 735.100, 735.110, and 735.120;

2. For failure to pay a past due bill owed to the company, including one for the same class of service furnished to the applicant or customer at the same or another location, or where the applicant or customer voluntarily assumed, in writing, responsibility for the bills of another applicant or customer. For purposes of this subsection (a)(2), a company may discontinue service if the current customer is liable for a past due bill for telephone service pursuant to Section 15 of the Rights of Married Persons Act [750 ILCS 65/15], unless the customer, at the option of the company, pays any past due bill and/or provides a deposit pursuant to Section 735.120 and/or enters into a deferred payment agreement pursuant to Section 735.80;

3. For failure to provide company representatives with necessary access to company-owned service equipment, after the company has made a written request to do so;

4. For failure to make payment in accordance with the terms of a deferred payment arrangement;

5. When a company has reason to believe that a customer has used a device or scheme to obtain service without payment and where the company has so notified the customer prior to disconnection;

6. For violation of or noncompliance with a Commission order;

7. For violation of or noncompliance with any rules of the company on file with the Commission for which the company is authorized by tariff to discontinue service for violation or noncompliance on the part of the customer or user;

8. For violation of or noncompliance with municipal ordinances and/or other laws pertaining to service; or

9. The customer's use of equipment adversely affects the company's service to others. This disconnection may be done without notice to the customer or user.

b) The following shall not constitute sufficient cause for discontinuance or refusal of service:

1. Except as specified in subsection (a)(2), failure to pay the past due bill of a previous customer of the premises to be served, unless the applicant for service voluntarily signed a form agreeing to assume responsibility for the bills of the previous customer, or the previous customer is currently a member of the same household as the applicant;

2. Failure to pay charges for directory advertising;

3. Failure to pay the past due bill for a different class of service (residential or business); or

4. Failure to pay charges for terminal equipment or other telephone equipment purchased from the company, an affiliate, or a subsidiary.

c) Discontinuance procedures. The company may discontinue service to a customer only after it has mailed or delivered by other means a written notice of discontinuance, substantially in the form of Appendix A. Service shall not be discontinued until at least five days after the notice is delivered in person or eight days after the notice is mailed to the customer. If the notice is mailed, the company shall maintain and retain, for a two-year period, any documentation of the date of mailing that the US Postal Service requires for the mailing method used by the company. If the notice is mailed by the company and the envelope is postmarked by the US Postal Service, then the date of the postmark shall satisfy this documentation requirement.

1. The notice of discontinuance shall be delivered separately from any other written matter or bill.

2. Notice of discontinuance shall not be delivered or mailed before the third business day following the due date shown on the bill.

d) The notice required by subsection (c) shall remain in effect for 20 days beyond the date of discontinuance shown on the notice. The company shall not discontinue service beyond the 20 day period until at least five days after delivery of a new written notice of discontinuance or eight days after the postmark on a mailed notice.

e) In addition to the written notice, the company shall attempt to advise the customer when service is scheduled for discontinuance. The company shall not deliver more than two consecutive notices of discontinuance for past due bill without engaging in collection activity with the customer.

f) Timing of the discontinuance

1. Service shall not be discontinued for a past due bill after 12 noon on a day before or on any Saturday, Sunday, legal holiday recognized by the State of Illinois, or any day when the utility's business offices are not open for business. Services may be discontinued only between the hours of 8 a.m. and 2 p.m., unless the company is prepared to restore service within three hours after receipt of payment, at the standard restoral charge, if any.

2. Each company shall have personnel available until at least 5 p.m. on business days authorized to reconnect service if the conditions cited as grounds for discontinuance are corrected and any restoral charge specified by the company's tariff is paid.

g) Service shall not be discontinued, and shall be restored if discontinued, when a present customer who is indebted to the company enters into a payment arrangement pursuant to Section 735.80 and complies with the terms of the arrangement.

h) Service shall not be discontinued, and shall be restored if discontinued, for any reason that is the subject of a dispute or complaint pursuant to Section 735.190 and/or 735.200 while the dispute or complaint is pending and the complainant has complied with the provisions of those Sections.

i) Service shall not be discontinued for an amount due the company that has not been included in a discontinuance notice.

j) Nothing in this Section shall be construed to prevent immediate discontinuance of service without notice or the refusal of service for reasons of public safety or health.

History

• Source: Amended at 34 Ill. Reg. 3263, effective March 1, 2010

83 Ill. Adm. Code 735.140 Illness Provision

a) Certificate of Illness

1. A Telephone company shall postpone discontinuance of telephone service to a residential customer for thirty (30) days from the date of certification by a licensed physician that discontinuance of service will aggravate an existing medical emergency or create a medical emergency for the customer or a permanent resident in the customer's household.

2. Initial certification shall prohibit discontinuance of service for thirty (30) days. Certification may be renewed by the customer for one additional thirty (30) day period by providing another certificate to the utility. Failure to so renew the certificate shall entitle the utility to initiate discontinuance procedures.

3. Initial certification by the certifying physician may be by telephone if written certification is forwarded within five (5) days.

b) Contents of Certificate

This certificate of medical emergency must be in writing on stationery which clearly sets forth the name of the doctor, hospital, or medical clinic. The certificate must clearly show the name of the person whose illness would be aggravated, the nature of the medical emergency, and the name, title, and signature of the licensed physician certifying the medical emergency.

c) Payment Arrangements

Within the first thirty (30) days the customer must enter into a Deferred Payment Agreement for the retirement of the unpaid balance of the account and keep the current account paid during the period that the unpaid balance is to be retired.

d) Restoral of Service

In the event service is discontinued within ten (10) days prior to certification of illness by or for a qualifying resident, service shall be restored to that residence if a proper certification is thereafter made in accordance with the foregoing provisions.

e) Notice

Notice of discontinuance of service sent to residential customers must include a notice substantially in the form of Appendix B herein.

83 Ill. Adm. Code 735.150 Payment for Service

a) Payment shall be made by the due date shown on the monthly bill and will be by check, draft or other negotiable instrument denominated in U.S. dollars acceptable to the company or in United States currency.

b) If the customer remits to the company on more than one occasion during a twelve (12) month period a check, draft, or other instrument which is dishonored the company may refuse acceptance of further checks and place the customer on a "cash" basis pursuant to its tariffs. Under a "cash" basis the company may refuse acceptance of anything as payment other than United States currency, U.S. Postal Service money orders, or an instrument denominated in U.S. dollars and guaranteed by or issued by a third party acceptable to the company. The company shall advise the customer in writing of the restriction and of the various options available in paying by "cash."

c) Receipt of a subsequently dishonored negotiable instrument in response to a notice of discontinuance shall not constitute payment of a customer's account and no utility shall be required to issue additional notice prior to discontinuance. However, three (3) banking days must be allowed for redemption of such instrument.

d) The company may assess a charge for dishonored checks in accordance with tariffs approved by the Commission.

83 Ill. Adm. Code 735.160 Past Due Bills

a) Due Date.

1. The company shall retain documentation for a period of two years of the following:

A) the due date of each bill; and

B) the date each bill was mailed, delivered, sent or made available to each customer.

2. The due date printed on the monthly bill may not be less than 21 days after the date upon which:

A) the bill is mailed to the customer;

B) the bill is delivered in person to the customer;

C) the bill is sent electronically to the customer; or

D) the customer is notified that the bill is available electronically.

3. The bill shall include a bill date, which shall not be less than 21 days prior to the due date on the bill.

4. If the company relies upon the US Postal Service for mailing bills to its customers, then the documentation required in subsection (a)(1)(B) may be satisfied by retention and, if necessary, production of the records created for the method of mailing required by the US Postal Service.

5. If the company employs a method of mailing with the US Postal Service whereby a postmark with date is applied to the mailing, then the company shall not be obliged to maintain the documentation required in subsection (a)(1)(B).

b) Payment at Company Offices or Authorized Agents.

Payment made in person at the company's office or authorized agent shall be deemed received the date payment is made.

c) Night Depository Payments.

Payment made in the company's night depository shall be deemed received on the next full business date.

d) Late Payment Charges.

The company may assess a late payment charge in accordance with tariffs approved by the Commission against the amount considered past due under this Section.

History

• Source: Amended at 34 Ill. Reg. 3263, effective March 1, 2010

83 Ill. Adm. Code 735.170 Service Restoral Charge

a) When service has been discontinued pursuant to Section 735.130 herein, the company may charge and collect the restoral charge, if any, set forth in its rules, regulations or terms and conditions of service which are on file with the Commission. Such rules, as filed, shall provide for automatic waiver of the customer's first service restoral charge of each calendar year.

b) When service has been discontinued for nonpayment and payment has not been received or satisfactory payment arrangements have not been made for a period of ten (10) calendar days the company may consider the service terminated and the equipment owned by the company may be removed. Reconnection may be considered as a new installation as provided in the company tariffs.

83 Ill. Adm. Code 735.180 Directories

a)

1. Primary telephone directories of all exchanges shall be revised, printed and distributed to customers at least once each year. Each directory shall list the name, address and telephone number of all customers, except public telephones. At the customer's request, that customer's listing or a portion of that listing, may be omitted. A company may charge for listing additional names for each main station on separate directory lines.

2. For the purpose of consolidating directories, variation in publisher's printing schedules, coordination with a large number of telephone number changes, or other good and sufficient reason, publication may be delayed thirty (30) days on written notification to the Commission. In addition to said delay in publication, an additional sixty (60) days may be allowed by the Commission upon notification by letter of the rescheduled publication dates and reason for the additional delay. In deciding whether to grant the delay, the Commission shall consider, among other things, physical impossibility and the consolidation of exchanges.

b) A business customer may be required to provide evidence that the name contained in a current or proposed listing is the name under which that customer is doing business.

c) Each company shall list its customers in the Directory Assistance directory in such a manner which will enable the Directory Assistance operators to provide the requested telephone numbers (except public telephones and telephone numbers not published at the customer's request) based on the customer's names and addresses, if available.

d) Upon issuance, one copy of each directory shall be distributed to each customer served by that directory and two copies of each directory shall be furnished to the Commission.

e) The name of the company, the area included in the directory and the month and year of issue shall appear on the front cover. Information pertaining to emergency calls, such as for the police and fire departments, shall appear conspicuously in the front part of the directory pages.

f) Each directory will provide space in a prominent location in clearly readable type for an explanation of the dispute and consumer complaint process set forth in Sections 735.190 and 735.200 of this Part, together with the Chicago and Springfield telephone numbers and post office address of the Commission's Consumer Affairs Division.

g) The directory shall contain such instructions concerning placing local and long distance calls, calls to repair and information services, and location of Company's public business offices as may be appropriate to the area served by the directory.

h) Directory Assistance or intercept operators shall have access to records of all telephone numbers (except public telephones and telephone numbers not published at the customer's request) in the area for which they are responsible for furnishing Directory Assistance service.

i) In the event of an error in the listed number of any customer, the company shall intercept all calls to the listed number for at least 120 days provided existing central office equipment will permit and the number is not in service. In the event of an error or omission in the name listing of a customer, such customer's correct name and telephone number shall be in the files of the Directory Assistance or intercept operators and the correct number furnished the calling party either upon request or intercept.

j) Whenever any customer's telephone number is changed after a directory is published, the company shall intercept all calls to the former number for at least 120 days and give the calling party the new number provided existing central office equipment will permit, and the customer so desires.

k)

1. When additions or changes in plant, records, or operations which will necessitate a large group of number changes are scheduled, not less than 90 days notice shall be given to all customers so affected.

2. If the change affects 10 percent or more customers in the exchange and the change is not coincident with a new directory issue, the Consumer Affairs Division and Telephone Engineering Section will be consulted to determine if a special directory or other appropriate measures will be required. In making the decision, Commission staff will consider the size of the exchange, the cost benefits available to them, and any special circumstances made known to it.

l) If a company charges for Directory Assistance (information) the company shall, upon request, furnish directories for up to five other exchanges in the same area code for each main station line servicing a customer, at no cost to the customer. Additional directories will be made available by the company at a charge set forth in the Company's tariffs approved by the Commission.

m) Telephone numbers will not be changed as a penalty or to enforce payment for directory advertising charges. Changes may be made if made for engineering or technical reasons.

83 Ill. Adm. Code 735.190 Dispute Procedures

a) The company shall assign one or more of its personnel in each of its offices where it transacts business with the public the duty of hearing, in person, any dispute by an applicant, customer or user. Such personnel shall consider the complainant's allegations and shall explain the complainant's account and the Company's assertions in connection therewith. Such personnel shall be authorized to act on behalf of the company in resolving the complaint and shall be available during all business hours for the duty hereinabove described.

b) If the company does not maintain an office where it transacts business in the community/exchange where the complainant resides and/or receives service, the company shall upon request meet with the customer at a mutually acceptable location in the community lacking such business office. The company shall notify the customer of its willingness to meet in the customer's exchange to resolve the dispute.

c) The company shall direct its personnel engaged in personal contact with the applicant, customer, or user seeking dispute resolution under the provisions of this Part to inform the customer of their right to have the problem considered and acted upon by supervisory personnel of the company where any dispute cannot be resolved. The company shall further direct such supervisory personnel to inform such applicant, complainant, or user who expresses nonacceptance of the decision of such supervisory personnel of their right to have the problem reviewed by the Commission and shall furnish them with the telephone number and address of the Consumer Affairs Division of the Illinois Commerce Commission.

d)

1. When a customer disputes a particular bill, the company shall not discontinue service for nonpayment so long as the customer:

A) pays the undisputed portion of the bill; and

B) pays all future periodic bills by the due date; and

C) enters into discussions with the company to settle the dispute with dispatch.

2. No late payment charge shall be charged on any disputed bill paid within fourteen (14) days of resolution of the dispute if the complaint was filed before the bill became past due.

83 Ill. Adm. Code 735.200 Commission Complaint Procedures

a)

1. Before the Commission will allow the filing of a formal complaint by an applicant, customer, user or company an informal complaint shall be filed with the Commission's Consumer Affairs Division.

2. The informal complaint:

A) should be in writing but may be initiated by telephone or in person at the offices of the Commission; and

B) shall provide the following information to the Commission:

i) the name, address and telephone number of the applicant, customer, or user,

ii) the name of the company involved,

iii) the nature of the complaint in a clear and concise manner,

iv) the specific relief requested.

b) Upon receipt of the informal complaint, the Consumer Affairs Division shall:

1. advise the party complained of that a complaint has been filed against it; the party complained of must respond to the Consumer Affairs Division within fourteen (14) days; and

2. review and investigate the complaint;

3. advise the parties of the results of the investigation within a reasonable time not to exceed fourteen (14) days following receipt of a complete response from the party complained of. By agreement of the parties and the Consumer Affairs Division, these time limits may be extended.

c) If the Consumer Affairs Division is unable to resolve the complaint to the satisfaction of the parties or if the party complained of fails to respond to the Consumer Affairs Division, any party may file a formal complaint in accordance with the Commission's Rules of Practice, 83 Ill. Adm. Code 200 (General Order 154).

d) Service shall not be discontinued for the reason which is the subject of the complaint during the pendency of any proceeding (formal/informal) before the Commission pursuant to the provisions of this Section so long as the customer has complied with the provisions of Section 735.190(d).

83 Ill. Adm. Code 735.210 Public Notice of Commission Rules

The company shall post in a public and conspicuous place in each of its offices where it transacts business with the public a notice not less than seven inches (7") by ten inches (10") in size, printed in black on a white background, substantially in the form shown on Appendix C herein.

83 Ill. Adm. Code 735.220 Second Language

Where there is a demonstrated need for second language notices in the service area of any utility, as determined by the Commission on the basis of census figures, the community area involved, and customer complaints and requests for such notice, notices as set out in Appendices A and B herein shall be sent to customers located within the area and contain the following warning in the appropriate second language: Important – This notice affects your rights and obligations and should be translated immediately. If you cannot find a person to translate for you, call the telephone company immediately.

83 Ill. Adm. Code 735.230 Customer Information Booklet

A customer information booklet which contains a utility's credit and collection practices shall be provided by each utility to all customers within 90 days of the effective date of this Part, to all applicants for service and shall be available at all business offices.

83 Ill. Adm. Code 735.APPENDIX A Notice of Discontinuance of Service

IMPORTANT! READ THIS IMMEDIATELY

UTILITY NAME

CUSTOMER

ADDRESS

CITY, STATE, ZIP

ADDRESS

PHONE #

ACCOUNT #

YOUR

(Utility)

SERVICE WILL BE DISCONTINUED ON OR AFTER

(Date)

. BECAUSE:

YOU OWE

$

IN PAST DUE BILLS

YOU OWE

$

FOR A DEPOSIT FOR

TELEPHONE SERVICE

OTHER

(Specify)

TO AVOID DISCONTINUANCE OF

(Utility)

SERVICE, YOU MUST PAY

$

BEFORE

(Date)

.

---

If you cannot pay the whole amount now, you may be able to get a payment plan

with

(Utility Name)

. Call us at Phone #

for more information.

---

(Utility name)

has employees on duty from

A.M. to

P.M.

to answer your questions or listen to your complaints. If you do not understand why

you owe this money, or if you think there has been a mistake, call

(Utility Name)

at Phone #

, as soon as possible. If the person you talk to cannot help

you, ask to talk to a supervisor. If the supervisor cannot help you, call the Consumer Affairs Division of the Illinois Commerce Commission at 312-793-2887 (Chicago) or 217-782-2024 (Springfield). Call before you are Discontinued!

---

IMPORTANT: If your services are Discontinued, you will have to pay

$

before your service will be turned on again.

(Printed on Red Paper)

Reverse Side (Printed on Red Paper)

83 Ill. Adm. Code 735.APPENDIX B Requirements to Avoid Shutoff of Service in the Event of Illness

IF DISCONTINUANCE OF SERVICE WILL AGGRAVATE OR CREATE A MEDICAL EMERGENCY FOR A RESIDENT OF YOUR HOUSEHOLD, WE WILL NOT DISCONTINUE YOUR SERVICE.

WHAT YOU MUST DO:

YOU MUST CONTACT A PHYSICIAN OR LOCAL BOARD OF HEALTH.

THEY MUST CALL

(Utility Name)

AT

(Phone)

RIGHT

AWAY. THEY ALSO MUST SEND A WRITTEN CONFIRMATION, SIGNED BY A PHYSICAN, TO THE COMPANY WITHIN 5 DAYS WHICH CONTAINS THE FOLLOWING INFORMATION:

Name of the person. A statement that the person is a resident of the premises in question; the name, business address, and telephone number of the certifying physician; the nature of the illness; the period of time during which discontinuance of telephone utility service will aggravate the illness.

HOW LONG IS THE CERTIFICATION VALID?

THE CERTIFICATION IS VALID FOR ONE MONTH. IT CAN ALSO BE RENEWED FOR ONE MONTH IF THE PHYSICAN WRITES TO THE COMPANY AGAIN. IF THE CERTIFICATION IS NOT RENEWED, YOU TELEPHONE SERVICE MAY BE DISCONTINUED AFTER THE FIRST MONTH.

FOR MORE INFORMATION CALL

(Utility Name)

AT

(Phone)

OR CALL:

CONSUMER AFFAIRS DIVISION

ILLINOIS COMMERCE COMMISION

217-782-2024 (Springfield)

or

312-793-2887 (Chicago)

Chapter I Illinois Commerce Commission

Subchapter f Telephone Utilities

Part 735 Procedures Governing the Establishment of Credit, Billing, Deposits, Termination of Service and Issuance of Telephone Directories for Local Exchange Telecommunications Carriers in the State of Illinois

83 Ill. Adm. Code 735.APPENDIX C Public Notice Concerning Availability of This Part

PUBLIC NOTICE

PROCEDURES GOVERNING THE ESTABLISHMENT OF CREDIT,

BILLING, DEPOSITS, TERMINATION OF SERVICE

AND ISSUANCE OF TELEPHONE DIRECTORIES

ILLINOIS COMMERCE COMMISSION

83 Ill. Adm. Code 735

(General Order 218)

83 Ill. Adm. Code 735 (General Order 218), the rules and regulations of the Illinois Commerce Commission prescribing procedures governing establishment of credit, billing, deposits, termination of service and issuance of telephone directories are on file in this office and open to public inspection.

Copies of 83 Ill. Adm. Code 735 (General Order 218) in the Spanish language are also available for inspection.

Any employee will direct you to the place where you may inspect a copy of the Commission's rules and will direct you to personnel assigned the duty of providing information about them.

Copies of 83 Ill. Adm. Code 735 (General Order 218) may also be reviewed and/or obtained at the Commission's offices at 160 North LaSalle Street, Chicago, Illinois, or 527 East Capitol Avenue, Springfield, Illinois.

Part 736 Service Quality Requirements Applicable to Wireless Eligible Telecommunications Carriers

83 Ill. Adm. Code 736.100 Application of Part

This Part shall apply to all wireless eligible telecommunication carriers (WETCs) offering or providing either competitive or noncompetitive telecommunications services as defined in Sections 13-209 and 13-210 of the Public Utilities Act [220 ILCS 5/13-209, 13-210]. This Part shall only apply to the relationship between a serving WETC and its end user. This Part shall not apply to the relationship between a serving WETC that provides wholesale facilities or services to another serving WETC for provisioning of services to its retail end user customers. For WETCs that are designated as ETC providers for the sole purpose of receiving federal universal service Lifeline support, this Part shall only apply to the Lifeline Supported Services of those WETCs.

History

• Source: Amended at 38 Ill. Reg. 21064, effective October 23, 2014

83 Ill. Adm. Code 736.105 Definitions

As used in this Part, the following terms shall have these definitions:

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

"Commission" means the Illinois Commerce Commission.

"Customer" means any person, building owner, firm, partnership, corporation, municipality, cooperative, organization, governmental agency, etc., provided with WETC telecommunications services as defined in Section 13-204 of the Act [220 ILCS 5/13-204]. "Customer" may also be referred to as "end user."

"End user" means any person, building owner, firm, partnership, corporation, municipality, cooperative, organization, governmental agency, etc., provided with WETC regulated telecommunications service for consumption, not for resale, as defined in Section 13-204 of the Act [220 ILCS 5/13-204]. "End user" may also be referred to as "customer."

"Lifeline" means the retail local service offering defined and established at 47 CFR 54.401 as of February 6, 2013. This incorporation does not include any later amendments or editions.

"Map" means a drawing showing a geographical area in which a WETC furnishes regulated telecommunications services.

"Regulated telecommunications service" means the ability to transmit and receive voice service over the WETC's network at the end user's residence or business location, as identified by the billing or designated address of the account. Regulated telecommunications service refers to Commission regulation, and does not include WETC network performance in other service territories (e.g., roaming) or from other cellular towers at locations away from the billing or designated address.

"Wireless Eligible Telecommunications Carrier" or "WETC" means a wireless telecommunications carrier that has been designated by the Commission as eligible to receive federal universal service funds.

History

• Source: Amended at 38 Ill. Reg. 21064, effective October 23, 2014

83 Ill. Adm. Code 736.110 Waiver

The Commission, on application of a company, customer, applicant, or end user or on its own motion, may grant a temporary or permanent waiver from this Part, or any subsections contained in this Part, in individual cases where the Commission finds, after notice and hearing, that:

a) The provision from which the waiver is granted is not statutorily mandated;

b) No party will be injured by the granting of the waiver; and

c) The rule from which the waiver is granted would, as applied to the particular case, be unreasonable or unnecessarily burdensome.

83 Ill. Adm. Code 736.115 Reporting (repealed)

History

• Source: Repealed at 38 Ill. Reg. 21064, effective October 23, 2014

83 Ill. Adm. Code 736.120 Enforcement

Upon complaint or its own motion, the Commission may find, pursuant to a proceeding conducted under the authority of Section 10-101 of the Public Utilities Act [220 ILCS 5/10-101], that a WETC has not met the requirements or standards established in this Part. Upon such a finding, the Commission may impose monetary penalties in its discretion under the authority granted it under the Act or choose to withdraw or withhold its positive recommendation, certification or designation to the Federal Communications Commission (FCC) regarding the WETC's eligibility to receive universal service funding.

83 Ill. Adm. Code 736.300 Construction and Maintenance of Plant and Equipment (repealed)

History

• Source: Repealed at 38 Ill. Reg. 21064, effective October 23, 2014

83 Ill. Adm. Code 736.305 Emergency Operation

a) Each WETC shall make provisions to meet emergencies resulting from failures of commercial or power service, sudden and prolonged increases in traffic, illness of personnel, fire, storm, or other natural disasters. Each WETC shall inform employees as to procedures to be followed in the event of emergency in order to prevent or minimize interruption or impairment of regulated telecommunications service.

b) Each WETC shall maintain a reasonable amount of back-up power to ensure functionality without an external power source, be able to reroute traffic around damaged facilities, and be capable of managing traffic spikes resulting from emergency situations.

History

• Source: Amended at 38 Ill. Reg. 21064, effective October 23, 2014

83 Ill. Adm. Code 736.310 Incorporation of National Codes and Standards (repealed)

History

• Source: Repealed at 38 Ill. Reg. 21064, effective October 23, 2014

83 Ill. Adm. Code 736.500 Adequacy of Service

Each WETC shall comply with the service quality and consumer protection provisions contained in the Wireless Association® (CTIA) Consumer Code for Wireless Service (CTIA Code). The Commission adopts the version in effect on August 24, 2015. The CTIA Code may be viewed on the Commission's web site at: http://www.icc.illinois.gov.

History

• Source: Amended at 41 Ill. Reg. 4737, effective April 19, 2017

83 Ill. Adm. Code 736.505 Answering Time (repealed)

History

• Source: Repealed at 38 Ill. Reg. 21064, effective October 23, 2014

83 Ill. Adm. Code 736.510 Interoffice Trunks (repealed)

History

• Source: Repealed at 38 Ill. Reg. 21064, effective October 23, 2014

83 Ill. Adm. Code 736.515 Dropped Calls and Signal Strength (repealed)

History

• Source: Repealed at 38 Ill. Reg. 21064, effective October 23, 2014

83 Ill. Adm. Code 736.520 Service Outages and Notification (repealed)

History

• Source: Repealed at 38 Ill. Reg. 21064, effective October 23, 2014

83 Ill. Adm. Code 736.525 Installation Requests - Failure to Provide Service (repealed)

History

• Source: Repealed at 38 Ill. Reg. 21064, effective October 23, 2014

83 Ill. Adm. Code 736.530 Trouble Reports (repealed)

History

• Source: Repealed at 38 Ill. Reg. 21064, effective October 23, 2014

83 Ill. Adm. Code 736.540 Directory Notification (repealed)

History

• Source: Repealed at 38 Ill. Reg. 21064, effective October 23, 2014

83 Ill. Adm. Code 736.550 Obligation to Serve (repealed)

History

• Source: Repealed at 38 Ill. Reg. 21064, effective October 23, 2014

83 Ill. Adm. Code 736.555 Wetc Service Area

a) Each WETC shall file with the Commission:

1. a list of exchanges for which it is granted ETC status. If a WETC's Commission-defined ETC service area includes a portion of an exchange, but less than the entire exchange, then that exchange shall be included on the exchange list and shall be identified as being served "in part", or

2. a list of census blocks for which it is granted ETC status.

b) Each WETC shall file with the Commission a map of its designated ETC service area, in accordance with the WETC's ETC designation.

c) Each map shall show the boundary lines of the WETC's Commission designated ETC service area. ETC service area boundaries shall be identified according to:

1. labeled rate exchange areas (exchanges) for all exchanges included in their entirety within the ETC service area. Any exchange served only in part shall have the ETC service area boundary displayed by section lines, waterways, railroads or roads for any portion of that boundary located on section lines, waterways, railroads or roads. Any portion of the boundary line not located on section lines, waterways, railroads or roads shall be displayed by appropriate measurement to an identifiable location; or

2. labeled census blocks.

d) The name of the WETC filing the map shall be placed at the top left corner of the map, and the words "(Name of carrier) ETC Service Area Boundary Map" shall be placed at the right top corner of the map. The first filing of a map shall display the word "Original" immediately below the words "(Name of carrier) ETC Service Area Boundary Map". If the map is subsequently refiled, the words "First Revision" shall replace the word "Original", and on each subsequent refiling the next higher number shall replace the number preceding the word "Revision" on the previous map filed. The docket number and the date of the order granting ETC Status shall also appear at the right top corner of the map.

e) Each WETC shall maintain and make available for public inspection a map of its ETC service area consistent with all requirements of this Part.

History

• Source: Amended at 47 Ill. Reg. 1667, effective January 18, 2023

83 Ill. Adm. Code 736.610 Customer Billing (repealed)

History

• Source: Repealed at 38 Ill. Reg. 21064, effective October 23, 2014

83 Ill. Adm. Code 736.620 Deferred Payment Agreements (repealed)

History

• Source: Repealed at 38 Ill. Reg. 21064, effective October 23, 2014

83 Ill. Adm. Code 736.630 Applicants for Service (repealed)

History

• Source: Repealed at 38 Ill. Reg. 21064, effective October 23, 2014

83 Ill. Adm. Code 736.640 Present Customers (repealed)

History

• Source: Repealed at 38 Ill. Reg. 21064, effective October 23, 2014

83 Ill. Adm. Code 736.650 Deposits (repealed)

History

• Source: Repealed at 38 Ill. Reg. 21064, effective October 23, 2014

83 Ill. Adm. Code 736.660 Discontinuance or Refusal of Service (repealed)

History

• Source: Repealed at 38 Ill. Reg. 21064, effective October 23, 2014

83 Ill. Adm. Code 736.670 Illness Provision (repealed)

History

• Source: Repealed at 38 Ill. Reg. 21064, effective October 23, 2014

83 Ill. Adm. Code 736.680 Payment for Service (repealed)

History

• Source: Repealed at 38 Ill. Reg. 21064, effective October 23, 2014

83 Ill. Adm. Code 736.685 Past Due Bills (repealed)

History

• Source: Repealed at 38 Ill. Reg. 21064, effective October 23, 2014

83 Ill. Adm. Code 736.690 Service Restoration Charge (repealed)

History

• Source: Repealed at 38 Ill. Reg. 21064, effective October 23, 2014

83 Ill. Adm. Code 736.695 Dispute Procedures (repealed)

History

• Source: Repealed at 38 Ill. Reg. 21064, effective October 23, 2014

83 Ill. Adm. Code 736.700 Commission Complaint Procedures (repealed)

History

• Source: Repealed at 38 Ill. Reg. 21064, effective October 23, 2014

83 Ill. Adm. Code 736.705 Second Language (repealed)

History

• Source: Repealed at 38 Ill. Reg. 21064, effective October 23, 2014

83 Ill. Adm. Code 736.710 Customer Information Booklet (repealed)

History

• Source: Repealed at 38 Ill. Reg. 21064, effective October 23, 2014

83 Ill. Adm. Code 736.APPENDIX A Notice of Discontinuance of Service (repealed)

History

• Source: Repealed at 38 Ill. Reg. 21064, effective October 23, 2014

83 Ill. Adm. Code 736.APPENDIX B Requirements to Avoid Shutoff of Service in the Event of Illness (Repealed)

History

• Source: Repealed at 38 Ill. Reg. 21064, effective October 23, 2014

Chapter I Illinois Commerce Commission

Subchapter f Telephone Utilities

Part 737 Standards of Service and Customer Credits for Electing Providers and Competitive Non-Electing Providers

83 Ill. Adm. Code 737.100 Application of Part

This Part shall apply to the provision of competitive retail telecommunications service by Electing Providers, as that term is defined in Section 13-506.2(a)(1) of the Public Utilities Act [220 ILCS 5/13-506.2(a)(1)], and to the provision of retail telecommunications service classified as competitive pursuant to Section 13-502 or 13-506.2(c)(5) of the Act.

History

• Source: Amended at 39 Ill. Reg. 364, effective December 22, 2014

83 Ill. Adm. Code 737.110 Definitions

As used in this Part, the following terms shall have these definitions:

"Access line" means the connecting facility between a customer's premises network interface device and the Local Provider's facility that provides access to the switching network for local exchange and interexchange telecommunications service. This includes the network interface or equivalent, the outside plant facilities, the office frame and frame wiring and the office line termination.

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

"Analog" means a continuous electrical signal that carries information by means of variations in its amplitude or frequency. The electrical signal being transmitted varies in direct relation to the signal generated by the source.

"Application" means a verbal or written request for a telecommunications service.

"Appointment" means an arrangement made by a telecommunications carrier to meet a customer to address an installation or repair situation. The appointment window shall be either a specific time or, at a maximum, a 4-hour time block during evening, weekend and normal business hours. (See 220 ILCS 5/13-506.2(e)(1)(C).)

"Basic local exchange service" means either a stand-alone residence network access line and per-call usage or, for any geographic area which such stand-alone service is not offered, a stand-alone flat rate residence network access line for which local calls are not charged for frequency or duration. Extended Area Service shall be included in basic local exchange service. [220 ILCS 5/13-506.2(a)(2)] Pursuant to Section 13-506.2(e)(1) of the Act, as used in this Part, "basic local exchange service" also includes the consumer choice safe harbor options that Electing Providers are required to offer to residential customers under Section 13-506.2(d) of the Act.

"Basic local exchange service installation" means the installation of basic local exchange service in which the physical connecting and diagnostic testing of a local loop results in the provisioning of dial tone to the requesting customer's network interface device. It includes move orders and orders for additional lines.

"Busy hour" means the 2 consecutive half-hours each day during which the greatest volume of traffic is handled.

"Calls" means customers' messages attempted.

"Central office" means the site at which switching equipment is located. A local central office, also called an end office, is the switching office where an individual subscriber's access lines appear. It houses the equipment that receives calls transmitted on the local loop and routes the call over the switched network either directly to the person called, if the call is placed to a location served by the same local central office, or to another central office, if the call is placed to a customer served by a different central office. Each central office serves local loops in an exclusive geographical area.

"Certificate of service authority" means the authorization by the Illinois Commerce Commission (Commission) granting a telecommunications carrier the right to provide telecommunications services within a specified geographical area.

"Channel" means a single path between 2 or more points provided for transport of user information and/or signaling for a communications service.

"Competitive Non-Electing Provider" means a provider, other than an Electing Provider, of telecommunications services classified as competitive pursuant to Section 13-502 or 13-506.2(c)(5) of the Act.

"Customer" or "end user" means a residential retail customer purchasing basic local exchange service.

"Customer premises equipment" or "CPE" means equipment employed on the premises of a person (other than a carrier) to originate, route or terminate telecommunications. Customer premises equipment includes customer premises wire.

"Customer premises wire" or "inside wire" means any wire, including interface equipment, on the customer side of the network interface or equivalent.

"Customer trouble report" means any verbal or written report relating to difficulty or dissatisfaction with the operation of regulated telecommunications services. One report shall be counted for a verbal or written report received. When several items are reported by one customer at the same time, and the group of troubles so reported is clearly related to a common cause, they are counted as one report.

"dBrnc" means a measure of the interfering effect of noise.

"Decibel" or "dB" means a standard unit used for expressing a transmission signal gain or loss.

"Dial tone" means an audible tone sent from an automatic switching system to a customer to indicate the equipment is ready to receive dial signals.

"Digital" means a signal that carries information by discrete changes in its parameters. For digital transmission of analog information, the incoming voice, data or video signals are sampled periodically and digitally coded for transport through the network.

"Electing Provider" has the same meaning as "Electing Provider" defined in Section 13-506.2(a)(1) of the Act.

"Emergency situation" means an emergency situation as that term is defined in 83 Ill. Adm. Code 732.10.

"Exchange area" means a unit established by a Local Provider and approved by the Commission for the administration of telecommunications service in a specified geographical area. It may consist of one or more central offices together with associated plant used in furnishing telecommunications services in that area. Exchange areas are identified on exchange boundary maps on file with the Commission.

"Installation trouble report" means any network trouble report filed within 7 days after the completion of a basic local exchange service installation on the same line.

"Interoffice trunk" means a communication path between 2 central offices.

"Line" means the conductor or conductors, supporting circuit equipment, and structures extending between customer network interfaces and central offices, or between central offices, whether they be in the same or different communities.

"Local exchange carrier" means a telecommunications carrier certificated by the Commission to provide intra-exchange and/or inter-exchange service within the same market service area.

"Local exchange service" means the same as "local exchange telecommunications service" as defined in Section 13-204 of the Act.

"Local exchange service area" means the area in which telecommunications service is furnished to customers under a specific schedule of rates and without toll charges. A local exchange service area may include one or more exchange areas or portions of exchange areas.

"Local loop" means a channel between a customer's network interface and its serving central office.

"Local Provider" means an Electing Provider or Competitive Non-Electing Provider.

"Map" means a drawing showing a geographical area in which a Local Provider furnishes telecommunications services.

"Message" means a completed customer call.

"Network" means the aggregate of transmission systems and switching systems. It is an arrangement of channels, such as loops, trunks and associated switching facilities.

"Network interface" means the point of termination on the customer premises at which the Local Provider's responsibility for the provision and maintenance of network channel or line service ends. The network interface is part of the network and the order of appearance of central office lines on it is determined solely by the Local Provider.

"Noise to Ground" or "Ng" means the noise measured between ground and the tip and ring conductors. The customer does not hear the noise to ground, but the amount of noise to ground affects the amount of noise metallic that a customer hears.

"Noise metallic" or "Nm" means the noise measured across the tip and ring of a circuit and is the noise that the customer hears.

"Out of Service > 30 Hours" means that 30 hours after reporting an out-of-service condition to the Local Provider, the customer still has no dial tone, or cannot be called, or cannot call out. This term excludes call blocking or any other intentional alteration to an end user's calling or call receiving ability.

"Outside plant" means the telecommunications equipment and facilities installed on, along, over, or under streets, alleys, highways, or on private rights-of-way between the central office and customer locations or between central offices.

"Premises" means the space occupied in a single local exchange area by a customer in a building or in adjoining buildings not separated by a public thoroughfare or in a public office building in which the customer's office space is all contiguous.

"Simplex Condition" – Equipment that is deployed in a two-sided, redundant configuration and that has both sides running normally is considered to be in duplex mode. When one side is down and the redundancy is lost, it is considered to be in a simplex condition.

"Telecommunications service" has the same meaning ascribed to that term in Section 13-203 of Act.

"Traffic" means call volume based on number and duration of messages.

"Transmission" means the process of sending information from one point to another.

"Trouble report" means any customer complaint to the Local Provider regarding the operation of the network affecting its basic local exchange service, including both service-affecting conditions or out-of-service conditions.

"Trunk" means a transmission path between switching units, switching centers and/or toll centers.

"Working line" means an active access line or channel.

History

• Source: Amended at 39 Ill. Reg. 364, effective December 22, 2014

83 Ill. Adm. Code 737.120 Waiver

The Commission, on application of a Local Provider, customer, applicant or end user or on its own motion, may grant a temporary or permanent waiver from this Part, or any individual requirements contained in this Part, in individual cases where the Commission finds that:

a) The provision from which the waiver is granted is not statutorily mandated;

b) No party will be injured by the granting of the waiver; and

c) The rule from which the waiver is granted would, as applied to the particular case, be unreasonable or unnecessarily burdensome.

History

• Source: Amended at 39 Ill. Reg. 364, effective December 22, 2014

83 Ill. Adm. Code 737.130 Reporting

a) The requirements of Section 737.130(c) and (d) shall not apply to Competitive Non-Electing Providers.

b) The requirements of Section 737.130(c) and (d) shall apply to an Electing Provider for a period of three years after its notice of election becomes effective pursuant to Section 13-506.2(b) of the Act. After the three year period, the requirements of Section 737.130(c) and (d) shall not apply to the Electing Provider.

c) Each Electing Provider subject to this subsection (c) shall provide to the Commission on a quarterly basis, and in a form suitable for posting on the Commission's website, a public report that includes the following data for basic local exchange service quality of service, shown for each of the 3 months of the quarter for which the report is filed. The report shall be provided to the Commission within 30 days after the end of each calendar quarter.

1. With regard to credits due to out-of-service conditions lasting more than 30 hours:

A) the total dollar amount of any customer credits paid;

B) the number of credits issued for repairs between 30 and 48 hours;

C) the number of credits issued for repairs between 49 and 72 hours;

D) the number of credits issued for repairs between 73 and 96 hours;

E) the number of credits issued for repairs between 97 and 120 hours;

F) the number of credits issued for repairs greater than 120 hours; and

G) the number of exemptions claimed for each of the categories identified in Section 737.300(b).

2. With regard to credits due to failure to install basic local exchange service within 5 business days:

A) the total dollar amount of any customer credits paid;

B) the number of installations after 5 business days;

C) the number of installations after 10 business days;

D) the number of installations after 11 business days; and

E) the number of exemptions claimed for each of the categories identified in Section 737.300(b).

3. With regard to credits due to missed appointments:

A) the total dollar amount of any customer credits paid;

B) the number of any customers receiving credits; and

C) the number of exemptions claimed for each of the categories identified in Section 737.300(b).

d) Each Electing Provider subject to this subsection (d) shall, on an annual basis, submit to the Commission a report that includes, for informational reporting, the performance data described in Section 737.200(a), (b) and (c) and trouble reports per 100 access lines, calculated in accordance with Sections 737.220, 737.230, 737.240 and 737.250, respectively. The annual report shall be filed within 90 days after the end of each calendar year. Each Annual Report shall include performance data for each of the 12 months of the calendar year subject to the Report.

e) Upon request by the Commission, a Competitive Non-Electing Provider or an Electing Provider that is not subject to the requirements of subsections (c) and (d) shall provide a report showing the number of credits and exemptions, as specified in Section 737.300, for the requested time period.

History

• Source: Amended at 39 Ill. Reg. 364, effective December 22, 2014

83 Ill. Adm. Code 737.200 Service Quality for Basic Local Exchange Service

A Local Provider shall meet the following service quality standards in providing basic local exchange service.

a) Install basic local exchange service within 5 business days after receipt of an order from the customer unless the customer requests an installation date that is beyond 5 business days after placing the order for basic service and to inform the customer of the Local Provider's duty to install service within this timeframe. If installation of service is requested on or by a date more than 5 business days in the future, the Local Provider shall install service by the date requested.

b) Restore basic local exchange service for the customer within 30 hours after receiving notice that the customer is out of service.

c) Keep all repair and installation appointments for basic local exchange service if a customer premises visit requires a customer to be present. The appointment window shall be either a specific time or, at a maximum, a 4-hour time block during evening, weekend and normal business hours.

d) Inform a customer when a repair or installation appointment requires the customer to be present.

e) A Local Provider offering basic local exchange service utilizing the network or network elements of another carrier shall install new lines for basic local exchange service within 3 business days after provisioning of the line or lines has been completed by the carrier whose network or network elements are being utilized.

History

• Source: Amended at 39 Ill. Reg. 364, effective December 22, 2014

83 Ill. Adm. Code 737.220 Calculation of Performance Data for Installation

a) For purposes of the annual informational reporting requirement of Section 737.130(d), each Electing Provider subject to that subsection shall report the monthly percentage of its basic local exchange service installations completed within 5 business days after the customer requests installation or by a later date as requested by the applicant, as subject to the exclusions set forth in Section 737.300(b). For purposes of calculating this percentage, the time it takes to complete a basic local exchange service installation shall be measured from the date the customer makes that application or request to the date the installation order is completed and signed off by the carrier as completed.

b) This Section does not apply to the migration of a customer between telecommunications carriers, so long as the customer maintains dial tone.

History

• Source: Amended at 39 Ill. Reg. 364, effective December 22, 2014

83 Ill. Adm. Code 737.230 Calculation of Performance Data for Out-of-Service Conditions

a) For purposes of the annual informational reporting requirement of Section 737.130(d), each Electing Provider subject to that subsection shall report the monthly percentage of basic local exchange service out-of-service conditions up to the customer network interface cleared within 30 hours after outages are reported by the customer.

b) The percentage required to be reported pursuant to subsection (a) shall be calculated as follows: each occurrence shall be measured from the "create date and time" to the "cleared date and time".

c) The requirement set forth in subsection (a) shall be calculated as follows:

or

the "adjusted number of out-of-service conditions

not repaired within 30 hours"

or

the "adjusted number of out-of-service calls"

percent repaired within 30 hours

5. Variables used in the formulas in subsections (c)(1) through (4) are defined as follows:

a

=

Total number of out-of-service conditions not repaired within 30 hours

b

=

Total number of out-of-service calls received by the Electing Provider

c

=

Subsequent reports for the same out of service condition

d

=

Condition caused by payphone equipment

e

=

Condition caused by customer premises equipment (CPE) or inside wire

f

=

Exclusion due to no access to the property (when access is required)

g

=

Exclusion due to customer requested later appointment

h

=

Exclusion due to emergency situations

i

=

Exclusion due to negligent or willful act on part of customer

o

=

Adjusted number of out-of-service conditions not repaired within 30 hours

p

=

Adjusted number of out-of-service calls received by the Electing Provider

w

=

Out-of-service conditions due to a severe storm, tornado, earthquake, flood or fire, including any severe storm, tornado, earthquake, flood or fire that prevents the Electing Provider from restoring service due to impassable roads, downed power lines or the closing off of affected areas by public safety officials

d) The information to be reported pursuant to this Section shall include out-of-service conditions occurring on holidays or weekends.

History

• Source: Amended at 39 Ill. Reg. 364, effective December 22, 2014

Chapter I Illinois Commerce Commission

Subchapter f Telephone Utilities

Part 737 Standards of Service and Customer Credits for Electing Providers and Competitive Non-Electing Providers

83 Ill. Adm. Code 737.240 Calculation of Performance Data for Missed Installation or Repair Appointments

a) For purposes of the annual reporting requirement of Section 737.130(d), each Electing Provider subject to that subsection shall report the monthly number of missed installation and repair appointments for customers of basic local exchange service made in accordance with the requirement of Section 737.200(c)(.

b) The total number of missed appointments reported pursuant to this Section shall not include:

1. those appointments missed due to customer-caused delays;

2. customer-missed appointments; or

3. delayed appointments with respect to which the Electing Provider notified the customer of the delay and the reason for that delay no later than 8:00 pm of the day prior to the scheduled date of the appointment.

History

• Source: Amended at 39 Ill. Reg. 364, effective December 22, 2014

83 Ill. Adm. Code 737.250 Calculation of Performance Data for Trouble Reports

For purposes of the annual reporting requirement of Section 737.130(d), each Electing Provider subject to that subsection shall report the monthly number of trouble reports per 100 access lines, to be calculated by dividing the number of customer-initiated network trouble reports in any given month that are cleared to network dispositions, less customer premises equipment (CPE), inside wire, or emergency situations, by the total number of access lines in service. The rate shall be reported on a per 100 access line basis.

History

• Source: Amended at 39 Ill. Reg. 364, effective December 22, 2014

83 Ill. Adm. Code 737.300 Customer Credits for Basic Local Exchange Service Violations

a) Customers shall be credited by the Local Provider for violations of basic local exchange service quality standards described in Section 737.200. The credits shall be applied automatically on the statement issued to the customer for the next monthly billing cycle following the violation or following the discovery of the violation. The next monthly billing cycle following the violation or the discovery of the violation means the billing cycle immediately following the billing cycle in process at the time of the violation or discovery of the violation, provided the total time between the violation or discovery of the violation and the issuance of the credit shall not exceed 60 calendar days. The Local Provider is responsible for providing the credits and the customer is under no obligation to request those credits and the credits shall be identified as Service Quality or SQ credits. The following credits shall apply:

1. If a Local Provider fails to repair an out-of-service condition for basic local exchange service within 30 hours as required under Section 737.200(b), the Local Provider shall provide a credit to the customer. If the service disruption is for more than 30 hours, but not more than 48 hours, the credit must be equal to a pro-rata portion of the monthly recurring charges for all basic local exchange services disrupted. If the service disruption is for more than 48 hours, but not more than 72 hours, the credit must be equal to at least 33% of one month's recurring charges for all local services disrupted. If the service disruption is for more than 72 hours, but not more than 96 hours, the credit must be equal to at least 67% of one month's recurring charges for all basic local exchange services disrupted. If the service disruption is for more than 96 hours, but not more than 120 hours, the credit must be equal to one month's recurring charges for all basic local exchange services disrupted. For each day or portion of that day that the service disruption continues beyond the initial 120-hour period, the Local Provider shall also provide an additional credit of $20 per calendar day.

2. If a Local Provider fails to install basic local exchange service as required under Section 737.200(a), the Local Provider shall waive 50% of any installation charges, or in the absence of an installation charge or when installation is pursuant to the Link Up program, the Local Provider shall provide a credit of $25. If a Local Provider fails to install service within 10 business days after the service application is placed, or fails to install service within 5 business days after the customer's requested installation date, if the requested date was more than 5 business days after the date of the order, the Local Provider shall waive 100% of the installation charge, or in the absence of an installation charge or where installation is provided pursuant to the Link Up program, the Local Provider shall provide a credit of $50. For each day that the failure to install service continues beyond the initial 10 business days, or beyond 5 business days after the customer's requested installation date, if the requested date was more than 5 business days after the date of the order, the Local Provider shall also provide an additional credit of $20 per calendar day until the basic local exchange service is installed.

3. If a Local Provider fails to keep a scheduled repair or installation appointment when a customer premises visit requires a customer to be present as required under Section 737.200(c), the Local Provider shall credit the customer $25 per missed appointment. A credit required by this subsection does not apply when the Local Provider provides the customer notice of its inability to keep the appointment no later than 8:00 pm of the day prior to the scheduled date of the appointment.

b) Credits required by this Section do not apply if the violation of a service quality standard:

1. occurs as a result of a negligent or willful act on the part of the customer;

2. occurs as a result of a malfunction of customer-owned telephone equipment or inside wiring;

3. occurs as a result of, or is extended by, an emergency situation as defined in 83 Ill. Adm. Code 732.10;

4. is extended by the Local Provider's inability to gain access to the customer's premises due to the customer missing an appointment, provided that the violation is not further extended by the Local Provider;

5. occurs as a result of a customer request to change the scheduled appointment, provided that the violation is not further extended by the Local Provider;

6. occurs as a result of a Local Provider's right to refuse service to a customer as provided in Commission rules; or

7. occurs as a result of a lack of facilities when a customer requests service at a geographically remote location, where a customer requests service in a geographic area where the Local Provider is not currently offering service, or when there are insufficient facilities to meet the customer's request for service, subject to a Local Provider's obligation for reasonable facilities planning.

History

• Source: Amended at 39 Ill. Reg. 364, effective December 22, 2014

Chapter I Illinois Commerce Commission

Subchapter f Telephone Utilities

Part 737 Standards of Service and Customer Credits for Electing Providers and Competitive Non-Electing Providers

83 Ill. Adm. Code 737.400 Safety

A Local Provider shall furnish, provide and maintain service instrumentalities, equipment and facilities as shall promote the safety, health, comfort and convenience of its patrons, employees and public and as shall be in all respects adequate, reliable and efficient without discrimination or delay. Every Local Provider shall provide service and facilities that are in all respects environmentally safe.

History

• Source: Amended at 39 Ill. Reg. 364, effective December 22, 2014

83 Ill. Adm. Code 737.410 Emergency Operation

a) Each Local Provider shall make provisions to meet emergencies resulting from failures of commercial or power service, sudden and prolonged increases in traffic, illness of personnel, fire, storm, or other natural disasters. Each Local Provider shall inform employees of the procedures to be followed in the event of an emergency in order to prevent or minimize interruption or impairment of telecommunications service.

b) Each existing central office will contain a reserve battery supply of 5 hours when emergency power generators are not installed and 3 hours when they are in place. Central office batteries shall be maintained in accordance with Institute of Electrical and Electronic Engineers (IEEE) standards as adopted in Section 737.420, and records verifying maintenance shall be kept on site. New central offices or central offices being replaced shall contain a reserve battery supply of 8 hours when emergency power generators are not installed and 5 hours when they are in place. In central offices without installed emergency power generators, a mobile power unit shall be available that can be delivered and connected within 5 hours.

c) In new central offices exceeding 3,000 working lines, a permanent power generator shall be installed. For existing central offices having over 3,000 lines, permanent power generators shall be installed at the time of office replacement or battery replacement.

d) Emergency generator units shall have available at least a 12 hour fuel supply.

e) Emergency generator units shall be tested under load once a month. A record of the test results shall be maintained.

f) The requirements of subsections (b) through (e) apply to a Local Provider only to the extent that it owns and/or operates central offices.

History

• Source: Amended at 39 Ill. Reg. 364, effective December 22, 2014

83 Ill. Adm. Code 737.420 Incorporation of National Codes and Standards

a) The Commission adopts as its rules the following portions of the National Electric Safety Code (NESC) (1997 edition, approved June 6, 1996, published by the Institute of Electric and Electronic Engineers, Inc. (IEEE), 345 East 47th Street, New York, New York 10017):

1. Section 2 (Definitions of Special Terms).

2. Section 9 (Grounding Methods of Electric Supply and Communications Facilities).

b) The Commission adopts as its rules the following publications of the IEEE:

1. IEEE Std 1188-1996 Recommended Practice for Maintenance, Testing, and Replacement of Valve-Regulated Lead-Acid (VRLA) Batteries for Stationary Applications.

2. IEEE Std 450-1995 Recommended Practice for Maintenance, Testing and Replacement of Lead Acid Batteries for Stationary Applications.

c) These incorporations do not include any later amendments or editions.

83 Ill. Adm. Code 737.430 Network Outages and Notification

a) Each Local Provider shall inform the Commission verbally or via e-mail of any service interruption exceeding 30 minutes duration caused by a complete or partial central office failure or complete or partial isolation of an exchange due to toll circuit failure, including cut cables. A reportable outage is any one of the following occurrences with duration, unless otherwise specified, of at least 30 minutes affecting more than 50% of the customers and affecting more than 100 access lines in the affected exchange:

1. Toll isolation;

2. Loss of dial tone;

3. One or more end offices or host/remote clusters is isolated from 9-1-1 service;

4. There is loss of ANI/ALI processing; or

5. Simplex conditions exceed 5 days.

b) The notification shall be made via telephone call to (217)558-6166 or via e-mail at the outage notification e-mail address posted on the Commission's website and shall consist of the following information:

1. Affected Area Code/Prefix

2. Exchange name

3. Local Provider name

4. Cause of interruption

5. Outage date and time

6. Restoral date and time

7. Effect on 9-1-1 service

8. Name and number of persons reporting the service interruption.

c) A follow-up written report shall be filed within 30 days, either via U.S. Postal Service, facsimile or e-mail.

d) All outages affecting 9-1-1 services shall be reported in accordance with 83 Ill. Adm. Code 725, Standards Applicable to 9-1-1 Emergency Systems.

e) Whenever it is necessary to interrupt customer service for the purpose of working on the distribution system or central office equipment, the work should be completed with minimal customer impact. The Local Provider shall use reasonable efforts to notify in advance public service customers (e.g., 9-1-1 entities, police, fire, hospitals) it reasonably believes may be most seriously affected by the interruption. Any customer credits for interrupted service shall be made pursuant to Section 737.300.

f) The requirements of this Section apply to a Local Provider only to the extent that it owns and/or operates the network facilities and/or equipment that results in an interruption or outage.

History

• Source: Amended at 42 Ill. Reg. 2042, effective January 12, 2018

83 Ill. Adm. Code 737.440 Interoffice Trunks

Local interoffice trunks and intraoffice trunks, interoffice toll trunks, and the intertoll trunk and any related switching components shall be engineered so that at least 98% of calls shall not encounter an All Trunks Busy (ATB) condition and at least 98% of properly dialed incoming interMSA calls, during the busy hour, shall receive ringing signal, station busy tone, or intercept (other than ATB) on the first attempt. When the completion rate falls below 98% for 3 consecutive months, corrective action shall be initiated and the action reported to the Commission.

83 Ill. Adm. Code 737.450 Central Office Administrative Requirements

a) Central office capacity and equipment shall be sufficient to provide a dial tone within 3 seconds on 95% of all calls placed during the busy hour of any given day. Whenever the dial tone rate falls below 95%, the local exchange carrier shall take corrective action and report that action to the Commission.

b) All remote switching units are to be equipped to continue to perform basic internal switching functions if a base unit connection is interrupted.

83 Ill. Adm. Code 737.500 Map Requirements

Each Local Provider shall have on file with the Commission an exchange area boundary map for each of its exchanges within the State of Illinois. Competitive Non-Electing Providers may satisfy the requirements of all Sections of this Subpart by filing information with the Commission, upon request, identifying the exchanges in which they offer telecommunications services.

History

• Source: Amended at 39 Ill. Reg. 364, effective December 22, 2014

83 Ill. Adm. Code 737.510 Map Specifications

a) A Local Provider boundary map filed after the effective date of this Part shall be in accordance with an already-existing certificate of service authority, a Petition for a new Certificate of Service Authority, or a notice submitted pursuant to 83 Ill. Adm. Code Section 730.711.

b) Each map shall show the boundary lines of the area the Local Provider holds itself out to serve in connection with the exchange. Exchange boundary lines shall be located by appropriate measurement to an identifiable location if that portion of the boundary line is not otherwise located on section lines, waterways, railroads, or roads.

c) The name of the Local Provider filing the map shall be placed at the left side of the top of the map and the name of the exchange followed by the words "(Name of carrier) Exchange Area Boundary Map" shall be placed at the right side of the top of the map. The first filing of a map shall be designated by the word "Original" placed just below the words "(Name of carrier) Exchange Area Boundary Map". If the map is subsequently refiled, the words "First Revisions" shall be substituted for the word "Original", and on each subsequent refiling the next higher number shall be substituted for the number preceding the word "Revision" on the last map filed. The date of the issuance of the new boundary map shall be placed under the word "Original" or "Revision."

History

• Source: Amended at 39 Ill. Reg. 364, effective December 22, 2014

83 Ill. Adm. Code 737.520 Changes to Existing Boundaries

No telecommunications carrier shall make a change to any of its exchange area boundaries, except upon 30 days notice to any affected customers and 60 days notice to the Commission. These notices shall meet the following requirements:

a) Notice to the Commission shall be filed with the Chief Clerk's Office with a copy to the Chief Telephone Engineer. The Chief Telephone Engineer will have the notice posted to the ICC's web site within 7 calendar days after receipt. This notice shall be accompanied by a new exchange area boundary map for any exchange area affected by the revision, with the new maps conforming to the provisions of 83 Ill. Adm. Code 737.510. If there are any customers whose local exchange service will be affected by the proposal, then the Commission Notice shall also be accompanied by a copy of the customer notice as well as the names, addresses and telephone numbers of each customer being sent a copy of the notice. If the proposed revision affects the boundary line of more than one carrier, the notice shall also be accompanied by a verified statement that the revised boundary lines have been agreed to by the other local exchange carriers or other Electing Providers adjoining the boundary lines to be changed.

b) Notice to customers. The carrier shall provide notice to those customers located within the area being changed, and the notice shall be dated and sent by mail to the affected customers. The notice shall provide specific details as to the carrier's proposal, including what impact it will have on the customer's telephone number, calling areas and rates. The notice shall also specifically inform the customer that it has 30 days after the mailing of the dated notice to express opposition to or support for the proposed boundary change by calling the Commission's Chief Telephone Engineer at (217) 524-5072.

c) Proposed boundary changes shall go into effect after the stated 60 days notice, unless the Commission, upon its own motion or upon complaint, initiates an investigation of the proposed exchange area boundary. In these cases, the Commission may, after notice and hearing, prohibit the proposed exchange area boundary change if the Commission finds that the change would be contrary to the public interest.

d) For any boundary change that will result in the elimination of an exchange in its entirety, the carrier shall file a petition with the Commission seeking the issuance of a new Certificate of Service Authority.

History

• Source: Amended at 39 Ill. Reg. 364, effective December 22, 2014

Chapter I Illinois Commerce Commission

Subchapter f Telephone Utilities

Part 737 Standards of Service and Customer Credits for Electing Providers and Competitive Non-Electing Providers

83 Ill. Adm. Code 737.530 Service Outside Exchange Boundaries

a) No local exchange telecommunications service will be established outside the exchange boundary of the exchange that normally would provide service except on an emergency temporary basis or after the serving Local Provider has filed a notice of proposed boundary change with the Commission.

b) In cases where local exchange telecommunications service is provided outside the exchange boundary of the normal serving exchange without authorization of the Commission (other than foreign exchange service) and the location of the service is in the exchange of another local exchange carrier certificated by the Commission, the service shall be discontinued as soon as facilities are made available from the exchange in which the service is located. The customer whose service is affected by this Section shall be given at least 90 days notice prior to the time service can be provided from the proper telephone exchange.

History

• Source: Amended at 39 Ill. Reg. 364, effective December 22, 2014

83 Ill. Adm. Code 737.540 Map Maintenance

Each Local Provider shall maintain and make available for public inspection a map of each exchange served.

History

• Source: Amended at 39 Ill. Reg. 364, effective December 22, 2014

83 Ill. Adm. Code 737.600 Construction and Maintenance

a) Each Local Provider shall place a minimum of 80% of all newly constructed outside cable plant facilities (measured in sheath miles) underground.

b) The telecommunications outside plant shall be designed, constructed, maintained and operated in accordance with the provisions of 83 Ill. Adm. Code 305 and 83 Ill. Adm. Code 265.

History

• Source: Amended at 39 Ill. Reg. 364, effective December 22, 2014

83 Ill. Adm. Code 737.610 Maintenance of Plant and Equipment

Each Local Provider shall:

a) Adopt a maintenance program for its equipment based on the minimum standards set forth in this Part. The program shall be updated regularly, but not less than every 2 years, unless an earlier update is requested by the Commission.

b) Inspect every 2 years, in accordance with the NESC standards identified in 83 Ill. Adm. Code 305, its electrical grounding equipment owned by the carrier for each central office, including, without limi­tation, the component of the system commonly known as the master ground bar, to ascertain the integrity of the central office ground field. The Local Provider shall maintain a copy of the test results in its office and make that copy available for inspection. The inspection shall be performed annually if one of the following events occurs: an office conversion (replacement of the current switching equipment), a building addition to a central office, or renovations to the building facilities and grounds, such as water, sewer, gas, electric facilities or parking lot.

c) Make a copy, on a monthly basis, of its database for switching equipment applicable to each central office and store the copy off-site or in a fireproof on-site storage for use in emergency restoration purposes (any copying and storage must be performed in accordance with current software backup procedures).

d) Make a copy, on a monthly basis, of its digital access and cross-connect system (DACS) database for each central office, if technically feasible, and store the copy off-site or in a fireproof on-site storage for use in emergency restoration purposes (any copying and storage must be performed in accordance with current software backup procedures).

e) Make a copy, on a monthly basis, of its fiber optic terminal database for each central office, if technically feasible, and store the copy off site or in a fireproof on-site storage for emergency restoration purposes (the copying and storage must be performed in accordance with current software backup procedures).

History

• Source: Amended at 39 Ill. Reg. 364, effective December 22, 2014

83 Ill. Adm. Code 737.620 Network Interface

a) Telecommunications carriers shall have in place, no later than December 31, 2003, external combination protector/demarcation interfaces for all one- and two-line customers in single tenant residences and commercial buildings.

b) The network interface for a residential customer shall be located on a structure owned, rented or leased by the customer, in which the customer resides.

c) The network interface for business customers shall be located outside structures owned, rented or leased by the customer, in which the customer is conducting business. The demarcation point shall be located at the minimum point of penetration of the network cable to the building, normally within 25 feet. Deviation from this location must be mutually agreeable to the building owner and the telecommunications provider.

d) Network interfaces shall not be located on fence posts, utility poles or cable pedestals.

e) Network interfaces for temporary services or serving trailers, boats or customer-owned pay telephones shall be located on structures provided by the customer or on a utility pole.

f) The requirements of this Section apply to a Local Provider only to the extent that it owns and/or maintains network interfaces.

History

• Source: Amended at 39 Ill. Reg. 364, effective December 22, 2014

83 Ill. Adm. Code 737.630 Transmission Requirements

Local Providers shall furnish and maintain plant, equipment and facilities to meet the following minimum transmission standards. The transmission standards set forth in this Section are based upon measurements from the network interface at the customer premises through the local loop to a nominal 48-volt central office and measured at a frequency of 1004 hertz.

a) Local line analog loops shall have a loop resistance not exceeding the operating design of the associated central office equipment. Longer loops may be used by deployment of loop range extenders.

b) All analog loops are to be maintained to a minimum of 40,000 ohms insulation resistance.

c) Transmission loss of analog local loop shall be engineered not to exceed 10.0 dB when measured in accordance with subsection (a). The local loop transmission loss shall be adjusted to 10.0 dB or less if it exceeds 10.0 dB.

d) Transmission loss in analog interoffice trunks shall be engineered not to exceed 7 dB. If the loss exceeds expected design loss by + or - 3.5 dB, it shall be corrected to within 1 dB of the design loss.

e) Transmission loss on analog toll terminating trunks shall be engineered not to exceed 4 dB. If the loss exceeds expected design loss by + or - 3.5 dB, it shall be corrected to within 1 dB of the design loss.

f) Transmission loss on all digital interoffice trunks shall be engineered and maintained not to exceed 6 dB.

g) Loop current shall be maintained at 20 milliamperes or greater.

h) Power influence (Ng) shall not exceed 90 dBrnc.

i) Circuit noise (Nm) shall not exceed 30 dBrnc.

History

• Source: Amended at 39 Ill. Reg. 364, effective December 22, 2014

Part 745 Tariff Filings

83 Ill. Adm. Code 745.10 Applicability

This Part applies to all telecommunications carriers subject to regulation by the Illinois Commerce Commission (Commission) under the provisions of Article XIII of the Public Utilities Act [220 ILCS 5/Art. XIII].

History

• Source: Amended at 23 Ill. Reg. 1597, effective February 1, 1999

83 Ill. Adm. Code 745.15 Definitions

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

"Competitive telecommunications service" means the same as the definition in Section 13-209 of the Act.

"Electing Provider" means an Electing Provider as defined in Section 13-506.2(a)(1) of the Act.

"Prepaid calling service" means the same as defined in Section 13-230 of the Act.

History

• Source: Amended at 36 Ill. Reg. 15048, effective October 1, 2012

83 Ill. Adm. Code 745.20 General Filing Requirements

a) No telecommunications carrier shall offer or provide noncompetitive telecommunications service, telecommunications service subject to Section 13-506.2(g), 13-900.1 or 13-900.2 of the Act, or telecommunications service referred to in an interconnection agreement as a tariffed service, unless and until a tariff is filed with the Commission which complies with this Part and which describes the nature of the service, applicable rates and other charges, terms and conditions of service, and the exchange, exchanges or other geographical area or areas in which the service shall be offered or provided. (Section 13-501(a) of the Act)

b) A telecommunications carrier shall offer or provide telecommunications service that is not subject to Section 13-501(a) of the Act and subsection (a) of this Section pursuant to either a tariff filed with the Commission or a written service offering that shall be available on the telecommunications carrier's website as required by Section 13-503 of the Act and that describes the nature of the service, applicable rates and other charges, terms and conditions of service. (Section 13-501(c) of the Act)

c) As required by Section 13-503 of the Act, with respect to rates or other charges made, demanded or received for any telecommunications service offered, provided or to be provided that is subject to Section 13-501(a) of the Act and subsection (a) of this Section, telecommunications carriers shall comply with the publication and filing provisions of Sections 9-101, 9-102, 9-102.1 and 9-201 of the Act.

d) As required by Section 13-503 of the Act, except for the provision of services offered or provided by payphone providers pursuant to a tariff, telecommunications carriers shall make all tariffs and all written service offerings for competitive telecommunications service available electronically to the public without requiring a password or other means of registration.

History

• Source: Amended at 38 Ill. Reg. 22045, effective November 17, 2014

83 Ill. Adm. Code 745.30 Classification of Tariffs

a) Any tariff filed with the Commission shall clearly indicate whether the service to be offered or provided is competitive or noncompetitive. Tariffs for noncompetitive services shall comply with Subpart B of this Part, and tariffs for competitive services shall comply with Subpart C of this Part.

b) All tariffs shall state whether the service to be provided is an interexchange telecommunications service, a local exchange telecommunications service, a prepaid calling service, a customer owned pay telephone service, or some combination of these services.

History

• Source: Amended at 36 Ill. Reg. 15048, effective October 1, 2012

83 Ill. Adm. Code 745.40 Temporary Corrections

a) If, upon the presentation of tariffs for filing, an error is discovered either by the filing telecommunications carrier or the Staff of the Commission, the filing carrier may either temporarily correct or authorize Commission Staff to correct the following types of errors:

1. company name;

2. incorrect sheet revision numbers;

3. incorrect issue and/or effective dates; or

4. coding errors.

b) These temporary corrections shall necessitate the filing carrier to submit corrected pages either by hand or by overnight mail delivery.

c) A maximum of six unique errors per tariff filing may be corrected. Any filing containing an excess of six unique errors shall be rejected.

History

• Source: Amended at 36 Ill. Reg. 15048, effective October 1, 2012

83 Ill. Adm. Code 745.100 Filing Requirements for Noncompetitive Tariffs

a) In addition to the requirements imposed by Subpart A and Section 745.230, telecommunications carriers shall, with respect to tariffs for noncompetitive services, comply with the requirements imposed by Article XIII of the Public Utilities Act and by 83 Ill. Adm. Code 255.30 and 285.

b) With respect to tariffs for noncompetitive service, a telecommunications carrier shall provide notice of the filing of a general rate increase, as defined in 83 Ill. Adm. Code 255.10, by:

1. providing notice in accordance with 83 Ill. Adm. Code 255.20(f); or

2. providing notice, no later than 10 days following the filing, to potentially affected customers by letters, post cards, bill messages or electronic mail.

c) With respect to tariffs for noncompetitive service, a telecommunications carrier shall provide notice of the filing of a change other than a general rate increase, as defined in 83 Ill. Adm. Code 255.10, by:

1. providing notice in accordance with 83 Ill. Adm. Code 255.20(b);

2. providing notice to potentially affected customers by letters, post cards, bill messages, or electronic mail; or

3. posting notice of the change in a conspicuous location on the page of the carrier's website where the tariff is located.

History

• Source: Amended at 38 Ill. Reg. 22045, effective November 17, 2014

83 Ill. Adm. Code 745.110 Simplified Noncompetitive Tariff Filings Under Section 13-504

a) The simplified ratemaking provisions of Section 13-504 of the Act shall only apply to any proposed change in rates or charges, or proposed change in any classification of tariff resulting in a change in rates or charges. All other proposed changes shall be filed in accordance with the requirements of Article IX of the Act.

b) Local exchange telecommunications carriers that file proposed tariffs pursuant to the simplified procedure set forth in Section 13-504 of the Act shall give 30 days notice to the Commission and all potentially affected customers (Section 13-504 of the Act).

c) Form of Notice

1. The local exchange telecommunications carrier shall provide notice to all existing customers whose currently billed rates or charges will be different as a result of the proposed tariff by mailing this notice, postage prepaid, three days prior to the date that the proposed tariff is filed with the Commission. Such notice shall be substantially in the form of Exhibit B of this Part and shall contain all of the information provided for in that Exhibit.

2. Notice to all other customers of the local exchange telecommunications carrier shall be by notice published in a secular newspaper of general circulation (that has been regularly published for at least 6 months prior to the publication of such notice) in the area served by the carrier. Notice shall be published no later than the day on which the proposed tariff is filed with the Commission. Such notice shall be substantially in the form of Exhibit B and shall contain all of the information provided for in that Exhibit.

History

• Source: Amended at 17 Ill. Reg. 10258, effective July 1, 1993

83 Ill. Adm. Code 745.200 Filing Requirements for Competitive Tariffs

a) Telecommunications carriers shall, with respect to tariffs filed pursuant to Sections of the Act under which competitive telecommunications services are to be offered or provided, comply with the requirements imposed on public utilities by 83 Ill. Adm. Code 255.30 (except subsections (i) and (j)).

b) All tariffs classifying a service as competitive shall clearly state that they are being filed pursuant to Section 13-502(b) or 13-506.2 of the Act.

c) All such tariffs classifying a service as competitive, with the exception of competitive retail telecommunications services provided under Section 13-506.2 of the Act, shall be accompanied by a verified statement (see 83 Ill. Adm. Code 200.130) that:

1. specifically alleges that, for some identifiable class or group of customers in an exchange, group of exchanges, or some other clearly defined geographical area, that service, or its functional equivalent, or a substitute service, is reasonably available from more than one provider, whether or not the provider is a telecommunications carrier subject to regulation under the Act;

2. specifically identifies, through the use of descriptions, maps or equivalent means, the identifiable class or group of customers in an exchange, group of exchanges or other clearly defined geographical area for which the classification is made;

3. specifically describes the service, its functional equivalent, or the substitute service for which classification is being made; and

4. specifies:

A) one or more entities that provide the same service, its functional equivalent, or a substitute service; and

B) the identifiable class or group of customers in an exchange, group of exchanges or other clearly defined geographical area to whom the service is offered by that entity or entities.

d) Tariffs filed pursuant to Section 13-502(b) or 13-506.2 of the Act take effect immediately upon filing.

History

• Source: Amended at 38 Ill. Reg. 22045, effective November 17, 2014

83 Ill. Adm. Code 745.210 Additional Provisions Concerning Tariffs Filed Under Section 13-502(e) (repealed)

History

• Source: Repealed at 23 Ill. Reg. 1597, effective February 1, 1999

83 Ill. Adm. Code 745.220 Post-Filing Proceedings Under Section 13-502(e) (repealed)

History

• Source: Repealed at 23 Ill. Reg. 1597, effective February 1, 1999

83 Ill. Adm. Code 745.221 Rate Changes for Competitive Services

a) Requirements for proposed changes in rates for competitive services are found in Section 13-505 of the Act.

b) Notice of an increase shall be given, no later than the prior billing cycle, to all potentially affected customers by mail or equivalent means of notice, including electronic if the customer has elected electronic billing. Additional notice by publication in a newspaper of general circulation may also be given. (Section 13‑505 of the Act)

History

• Source: Amended at 38 Ill. Reg. 22045, effective November 17, 2014

83 Ill. Adm. Code 745.225 Interim Orders (repealed)

History

• Source: Repealed at 23 Ill. Reg. 1597, effective February 1, 1999

83 Ill. Adm. Code 745.230 Information Available to the Public

As required by Section 13-503 of the Act, each telecommunications carrier that maintains a website shall provide, in conspicuous manner, information on the rates, charges, terms, and conditions of service available and a toll-free telephone number that may be used to contact an agent for assistance with obtaining rate or other charge information or the terms and conditions of service. (Section 13-503)

History

• Source: Added at 36 Ill. Reg. 15048, effective October 1, 2012

83 Ill. Adm. Code 745.300 Reclassification

a) If the Commission enters into a hearing upon complaint pursuant to Section 13-502(b) of the Act regarding the propriety of any classification, the complaint is deemed granted if the Commission fails to issue an order within 180 days from the date such hearing is initiated. For purposes of complaints filed under Section 13-502(b), failure of the Commission to issue an order within 180 days shall result in the reclassification of the service that is the subject of the complaint.

b) Pursuant to Section 13-502(b) of the Act, the Commission, the applicant, and all parties to the hearing may agree to extend such 180 day time period.

History

• Source: Added at 17 Ill. Reg. 10258, effective July 1, 1993

83 Ill. Adm. Code 745.EXHIBIT A Notice of Competitive Tariff Filing Under Section 13-502(e) (repealed)

History

• Source: Repealed at 23 Ill. Reg. 1597, effective February 1, 1999

83 Ill. Adm. Code 745.EXHIBIT B Notice of Simplified Noncompetitive Tariff Filing Under Section 13-504

(Date)

To the customers of

:

(Company)

The

(Company)

hereby gives notice that on

(Date)

it will file a

proposed tariff that makes a change in its rates, charges, or classifications resulting in a change in rates or charges for local exchange telecommunications service pursuant to Section 13-504 of the Public Utilities Act.

(1) (State whether the change is in rates, charges, classification, rule or regulation.)

(2) (Give present and proposed rates so consumer can determine the effect on his or her bill.)

(3) (Give area or exchange that is affected by tariff filing.)

This proposed tariff will become effective 30 days after it is filed with the Illinois Commerce Commission. The Commission must investigate whether the proposed change is just and reasonable if a telecommunications carrier that is a customer of the local exchange telecommunications carrier or 10 percent of the potentially affected subscribers of the company file a petition or complaint with the Chief Clerk of the Commission requesting an investigation.

Additional information concerning this filing may be obtained from

(Company)

,

(Address)

at

(Telephone No.)

, or from the Chief Clerk, Illinois Commerce

Commission, 527 East Capitol Avenue, Springfield, Illinois, 62701, (217)782-7434.

(Signature)

(Title)

History

• Source: Amended at 36 Ill. Reg. 15048, effective October 1, 2012

Part 750 Waivers and Modifications Under Section 13-402 of the Public Utilities Act

83 Ill. Adm. Code 750.10 Applicability

This Part applies to telecommunications carriers who have or are seeking authority to offer interexchange telecommunications services.

83 Ill. Adm. Code 750.15 Definition

"Public Utilities Act" means The Public Utilities Act (Ill. Rev. Stat. 1985, ch. 111⅔, pars. 1-101 et seq.).

83 Ill. Adm. Code 750.20 Application for Waiver or Modification

a) Any telecommunications carrier may apply under Section 13-402 of the Public Utilities Act for a waiver or modification of the application of the Commission's rules, procedures or notice requirements (Ill. Rev. Stat. 1985, ch. 111⅔, par. 13-402) by either

1. requesting such waiver or modification as a part of the initial proceeding in which the Certificate of Interexchange Service Authority is sought, or

2. filing a petition with the Chief Clerk of the Commission in which such waiver or modification is sought as to interexchange telecommunications service for which the carrier already has authority.

b) The application provided for in subsection (a) shall

1. specifically describe

A) the rules, procedures or notice requirements for which the waiver or modification is sought,

B) the interexchange service or services involved, and

C) the geographical area in which the service is offered and for which the waiver or modification is sought;

2. state the amount of the applicant's annual revenues;

3. identify the way or ways in which the requested waiver or modification will reduce the economic burdens of regulation; and

4. be verified according to Section 200.130 of the Commission's Rules of Practice, 83 Ill. Adm. Code 200.130.

c) In determining whether to grant an application for waiver or modification under this Section, the Commission shall use the standards set forth in Section 13-402 of The Pubic Utilities Act.

d) Notice and applicability to other carriers

1. Whenever a telecommunications carrier with annual revenues exceeding $10,000,000 files an application for waiver or modification after the effective date of this Part, the Commission shall send notice of such application to all interexchange telecommunications carriers known by it to have annual revenues exceeding $10,000,000.

2. Any waiver granted in such proceeding shall apply to all interexchange telecommunications carriers with annual revenues exceeding $10,000,000 unless the commission finds in such proceeding that restricting the application of such waiver or modification to only one such carrier or some group of such carriers is consistent with and would promote the purposes and policies of Article XIII of the Public Utilities Act and the protection of telecommunications customers.

83 Ill. Adm. Code 750.30 Waivers and Modifications Granted Before January 1, 1986

Waivers or modifications of Commission rules, procedures, or notice requirements in any certificate granted by the Commission before January 1, 1986, with respect to a telecommunications carrier's interexchange telecommunications service, shall continue in full force and effect as to that carrier until the certificate is rescinded or the waivers or modifications are amended or rescinded by further Commission order.

83 Ill. Adm. Code 750.40 Notice of Waiver Application

a) Any telecommunications carrier with annual revenues exceeding $10,000,000 which did not receive a waiver under Section 750.20(d) but which intends, under Section 13-402 of the Public Utilities Act, to claim the automatic application of a waiver or modification granted to another telecommunications carrier pursuant to Section 750.30 must, as a prerequisite to claiming such exemption or waiver, file with the Commission a notice of such intention. Such notice, which shall be titled "Notice of Waiver Application," shall include the following:

1. a citation to the Commission proceeding in which the waiver or modification sought was granted to another telecommunications carrier,

2. a verified statement of the amount of annual revenues of the telecommunications carrier filing the notice, and

3. any other information which the telecommunications carrier considers relevant (optional).

b) The Commission shall allow the waiver or modification sought by a telecommunications carrier with annual revenues exceeding $10,000,000 pursuant to subsection (a) to apply, and shall so notify the affected telecommunications carrier, unless the Commission specifically finds, after notice to all interexchange telecommunications carriers known by it to have annual revenues exceeding $10,000,000, and a hearing, that restricting the application of such waiver or modification to only one such carrier or some group of such carriers is consistent with and would promote the purposes and policies of Article XIII of the Public Utilities Act and the protection of telecommunications customers.

Part 755 Telecommunications Access for Persons with Disabilities

83 Ill. Adm. Code 755.10 Definitions

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

"Acting in concert with" means persons who, pursuant to an agreement or understanding (whether formal or informal), cooperate with a vendor to take actions that, if taken by the vendor directly, would give rise to a conflict of interest for that vendor.

"Affiliate" of a vendor means:

Any corporation or person owning or holding, directly or indirectly, or in any chain of successive ownership of, 10% or more of the voting capital stock of the vendor;

Any corporation or person, 10% of whose voting capital stock is owned by a person or corporation owning 10% or more of the vendor's voting capital stock, or by a person or corporation in any chain of successive ownership of 10% or more of the vendor's voting capital stock;

Any corporation, 10% or more of whose voting securities is owned, directly or indirectly, by the vendor;

Any corporation that has one or more elective officers or directors in common with the vendor;

Any corporation or person that, after investigation and hearing, the Commission determines is actually exercising substantial influence over the policies and actions of the vendor, even though that influence is not based upon stock holding, stockholders, directors or officers;

Any entity that, after investigation and hearing, the Commission determines is actually exercising substantial influence over the vendor's policies and actions of the vendor in conjunction with one or more other corporations or persons to which that person or corporation is related by ownership or blood relationship, or by action in concert, so that together the entity is affiliated with the vendor even though there is not a direct relationship between the two.

No person or corporation is affiliated, however, if that person or corporation has not had transactions or dealings other than the holding of stock and the receipt of stock dividends with the vendor during the previous two years.

"Assessment" means the charge authorized by Section 13-703(f) of the Act and includes the charge per subscription or per wireless line, or the equivalent percentage charge imposed per prepaid wireless telecommunications service retail transaction.

"Centers for Independent Living " means organizations serving the needs of those persons with hearing or speech disabilities as described in Section 12a of the Disabled Persons Rehabilitation Act [20 ILCS 2405/12a].

"Commission" means the Illinois Commerce Commission.

"Deaf-blind" refers to a person who is deaf or hard-of-hearing and who also has a sight-disability and who can regularly and routinely communicate by telephone only through the aid of equipment.

"Deaf or hard-of-hearing" refers to a condition of permanent hearing loss (whether continuous or variable) by which regular and routine telephone communication is possible only through the aid of equipment.

"Disability" refers to a condition of being permanently hearing disabled, deaf-blind, speech-disabled, hearing-sight disabled, or speech-sight disabled.

"Equipment" means telecommunications devices capable of servicing the needs of those persons with a hearing or speech disability as specified in ITAC's tariff or on ITAC's website pursuant to Section 755.135(a).

"Hearing care professional" means a person who is a licensed audiologist, a licensed hearing instrument dispenser, or a licensed physician.

"Hearing disability" refers to condition of being permanently deaf or hard-of-hearing.

"Hearing-sight disability" refers to a condition of permanent hearing and sight disability that renders regular and routine telephone communication possible only through the aid of equipment.

"Illinois Telecommunications Access Corporation" or "ITAC" means the not-for-profit corporation jointly established by Illinois telecommunications carriers providing local exchange service pursuant to Section 755.105 to administer programs mandated by Section 13-703 of the Act.

"Interconnected Voice over Internet Protocol provider" or "interconnected VoIP provider" has the same meaning as "interconnected voice over Internet protocol provider" as defined in Section 13-235 of the Act. For purposes of this Part, Interconnected VoIP providers are limited to those providers subject to Section 13-401.1 of the Act.

"ITAP" or "program" means the Illinois Telecommunications Access Program, by which Illinois telecommunications carriers providing local exchange service shall provide the telecommunications devices capable of servicing the needs of subscribers with disabilities as required by Section 13-703 of the Act.

"Line charge" means the charge authorized by Section 13-703(c) of the Act.

"Organizations" means Centers for Independent Living and those Illinois-based not-for-profit organizations not:

affiliated with or otherwise acting in concert with an owner or vendor of equipment promoted for use by persons with disability; or

owned or operated by any political subdivision, public institution of higher learning, state agency, or municipal corporation of this State

whose primary purpose is serving the needs of those persons with disabilities.

"Person with a disability" or "persons with a disability" means a person or persons with at least one disability as defined in this Section.

"Personal service contracts" means all contracts entered into by ITAC, on behalf of the carriers for publicity/marketing and accounting.

"Prepaid wireless telecommunications service" has the meaning given to that term in Section 10 of the Prepaid Wireless 9-1-1 Surcharge Act [50 ILCS 753].

"Projection period" means, for each annual filing required by Subpart F, a 12-month period beginning January 1 of the year in which the filing is made.

"Recipient" is a user or a parent or legal guardian of a minor user in whose name equipment is granted, as provided in Section 755.205(b).

"Retail transaction" has the meaning given to that term in Section 10 of the Prepaid Wireless 9-1-1 Surcharge Act.

"Selection center" is a location designated by ITAC to display and demonstrate equipment for an eligible recipient to test in order to select the appropriate equipment for the recipient's disability.

"Seller" has the meaning given to that term in Section 10 of the Prepaid Wireless 9-1-1 Surcharge Act.

"Speech-disability" refers to a condition of permanent speech disability that precludes oral communication by which regular and routine telephone communication is possible only through the aid of equipment.

"Speech-sight disability" refers to a condition of permanent speech and sight disability that precludes oral communication, and by which regular and routine telephone communication is possible only through the aid of equipment.

"Staff" means individuals employed by the Illinois Commerce Commission.

"Subscriber lines" means a voice grade communication channel between a subscriber and a telecommunications carrier's public switched network that would be required to carry the subscriber's interpremises traffic and that is capable of providing access to the public switched network. A subscriber line does not include 800 lines or access lines used for official communications of telecommunications carriers providing local exchange service. For customer bills issued before June 1, 2004, in calculating charges on subscriber lines of telecommunications carriers, each centrex line shall be equivalent to one-tenth of a residence or business access line. For customer bills issued on or after June 1, 2004, in calculating charges on subscriber lines pursuant to Section 13-703(c) of the Act, one charge shall be applied for each five centrex lines, and five charges shall be applied for each PBX trunk. ITAC's tariff or website shall specify the manner of applying charges to other multi-channel technologies.

"Subscriptions" means a count of the maximum number of interconnected VoIP calls that an end-user may have active at the same time. If the interconnected VoIP provider's retail customer purchases a service or services that allows more than one interconnected VoIP call to be made from the customer's physical location at the same time, the number of subscriptions equals the maximum number of interconnected VoIP calls that the customer may have active at the same time. In the case of a business retail customer that purchases a service or services pursuant to a service agreement, the number of subscriptions equals the maximum number of interconnected VoIP calls that the customer may have active at the same time under the terms of the service agreements with that customer. In calculating assessments on business subscriptions, one assessment shall be applied for each five business subscriptions (i.e., the application of the assessment on business subscriptions shall mirror the application of the line charge to centrex lines).

"Telecommunications carrier" or "carrier" means a telecommunications carrier as that term is defined in Section 13-202 of the Act that is providing local exchange telecommunications service as defined in Section 13-204 of the Act. For purposes of this Part, "telecommunications carrier" or "carrier" also includes telecommunications carriers that are mutual concerns as defined in Section 13-202(b) of the Act.

"Telecommunications relay service" or "TRS" or "relay service call volumes" means all Illinois intrastate calls placed through any Illinois Relay Center, whether or not completed.

"User" means an Illinois resident with a disability whose eligibility has been established as provided in this Part for whose use equipment is provided, as set forth in Section 755.205.

"Vendor" means an owner or vendor of equipment or services promoted for use by persons with a disability.

"Voice grade access" means a functionality that enables a user of telecommunications services to transmit voice communications, including signaling the network that the caller wishes to place a call, and to receive voice communications, including receiving a signal indicating that there is an incoming call. For the purposes of this Part, bandwidth for voice grade access is 300 to 3,000 Hertz.

"Voucher program" means a program for the distribution of equipment offered by ITAC, on behalf of the carriers, pursuant to Section 755.100(b).

"Wireless carrier" has the meaning given to that term in Section 10 of the Wireless Emergency Telephone Safety Act.

"Wireless lines" means a communication channel between a subscriber and a wireless carrier's network that would be required to carry the subscriber's traffic and that is capable of providing access to the public switched network. A wireless line does not include lines used for official communications of wireless carriers.

History

• Source: Amended at 41 Ill. Reg. 5401, effective May 5, 2017

83 Ill. Adm. Code 755.11 Waiver

The Commission, on application of ITAC on behalf of the carriers, a carrier, the Advisory Council, or a user, or on the Commission's own motion, may grant a temporary or permanent waiver from this Part in specific cases where the Commission finds that:

a) The provision from which the waiver is granted is not statutorily mandated;

b) No person will be injured by the granting of the waiver; and

c) The rule from which the waiver is granted would, in the particular case, be unreasonable, unnecessary, or economically burdensome.

History

• Source: Added at 28 Ill. Reg. 859, effective January 1, 2004

83 Ill. Adm. Code 755.15 Dispute Procedures

a) If there is a problem with equipment distributed pursuant to Section 755.100(a):

1. the ITAC office should be contacted; and

2. if the ITAC office, with the assistance of the vendor, cannot satisfactorily resolve the problem, they shall inform the user of the address and telephone number of the Staff Liaison and the information contained in Section 755.410(b).

b) After receiving the complaint, the Staff Liaison will begin an informal investigation in an effort to settle the dispute.

c) Disputes arising under this Part shall also be governed by 83 Ill. Adm. Code 735.200.

History

• Source: Amended at 41 Ill. Reg. 5401, effective May 5, 2017

83 Ill. Adm. Code 755.20 Notice (repealed)

History

• Source: Repealed at 19 Ill. Reg. 17105, effective January 1, 1996

83 Ill. Adm. Code 755.25 Deviations (repealed)

History

• Source: Repealed at 19 Ill. Reg. 17105, effective January 1, 1996

83 Ill. Adm. Code 755.100 Components of Itap Services

ITAC, on behalf of the carriers, shall implement Section 13-703(a) of the Act through the provision of a loan and/or a voucher program to distribute equipment to recipients.

a) If ITAC, on behalf of the carriers, offers equipment through a loan program, ITAC shall:

1. Provide equipment to Illinois residents who are recipients, as prescribed by this Part;

2. Provide or contract for repair or exchange services for the loaned equipment; and

3. Provide training in the use of the loaned equipment by personnel capable of communicating with the recipient.

b) In lieu of or in addition to implementation of a loan program under subsection (a), ITAC, on behalf of the carriers, initiated a voucher program in 2005. The terms and conditions of the voucher program and equipment available through the voucher program shall be specified in ITAC's tariff or on ITAC's website. Equipment obtained through the voucher program shall become the property of the recipient. Notwithstanding subsection (a), ITAC and the carriers shall not be required to provide maintenance service, repair service, exchange service, or training for equipment offered as part of a voucher program. The equipment offered through the voucher program need not be the same as that offered through a loan program implemented pursuant to subsection (a).

c) In addition to subsections (a) and (b), the carriers, through ITAC, may dispose of, by sale or other means, used, unneeded, or obsolete equipment.

History

• Source: Amended at 41 Ill. Reg. 5401, effective May 5, 2017

83 Ill. Adm. Code 755.105 Execution and Administration of Itap

a) Each carrier shall collect from its customers and remit to ITAC the monthly charge per subscriber line allowed by Section 13-703(c) of the Act and ordered by the Commission. The line charge identification shall be "IL Telecom Relay Service and Equipment" or an equivalent phrase that is not detrimental to persons with disabilities. The charge applies to all subscriber lines as defined in Section 755.10.

b) Each interconnected VoIP provider, directly or via another entity, shall collect from its customers and remit to ITAC the monthly assessment per subscription required by Section 13-703(f) of the Act and ordered by the Commission. Indirect remittances to ITAC shall indicate the interconnected VoIP provider on whose behalf assessments are being remitted. The assessment applies to all subscriptions as defined in Section 755.10. The requirements of this subsection (b) shall become effective January 1, 2011.

c) Each wireless carrier, with exception of sellers of prepaid wireless telecommunications services, directly or via another entity, shall collect from its customers and remit to ITAC the monthly assessment per wireless line required by Section 13-703(f) of the Act and ordered by the Commission. Indirect remittances to ITAC shall indicate the wireless carrier on whose behalf assessments are being remitted. The requirements of this subsection (c) shall become effective June 1, 2016, but, notwithstanding the effective date, wireless carriers shall have at least 60 days from the date the Commission files an order to implement the new rate established by the order.

d) Each seller of prepaid wireless telecommunications services shall collect from its customers an assessment, as required by Section 13-703(f) of the Act and ordered by the Commission, and remit the assessment to the Illinois Department of Revenue. These assessments shall be imposed per retail transaction as a percentage of the retail transaction on all retail transactions occurring in the State. Remittances to the Illinois Department of Revenue shall be on the same form and in the same manner as remittances submitted pursuant to the Prepaid Wireless 9-1-1 Surcharge Act. The requirements of this subsection (d) shall become effective June 1, 2016, but, notwithstanding the effective date, sellers of prepaid wireless telecommunications services shall have at least 60 days from the date the Commission files an order to implement the new rate established by the order.

e) The carriers or ITAC, on their behalf, may make voluntary or contractual agreements with businesses, agencies of local, state, or federal government, organizations, and other third parties for provision or distribution of equipment, maintenance, warehousing, training, administration, or miscellaneous supports services as required to fulfill the goals of this program in a manner consistent with the intent and provisions of the Act and this Part.

f) The carriers or ITAC, on their behalf, shall administer the ITAP so as to take full advantage of any economies of scale that may exist by centralizing the provision of ITAP services listed in Section 755.100. However, the carriers or ITAC, on their behalf, shall provide sufficient selection centers to insure a reasonable access to ITAP by persons with disabilities.

g) The carriers may determine and propose to the Commission for approval, subject to the requirements of Section 7-101 and 7-102 of the Act [220 ILCS 5/7-101 and 7-102], a plan for joint execution and administration of ITAP. If the Commission approves a plan for joint execution and administration of ITAP through a not-for-profit corporation or other entity, all carriers shall join and participate fully in the plan for joint execution and administration.

History

• Source: Amended at 41 Ill. Reg. 5401, effective May 5, 2017

83 Ill. Adm. Code 755.110 Publicity Concerning Itap

a) Carriers shall publicize ITAP. Publicity shall include, but not be limited to, bill inserts or bill messages and notices published in the directories.

b) ITAC, on behalf of the carriers, shall provide publicity, at least annually, by cost-effective means of communication. Any entity wishing to receive program information shall contact ITAC and place itself on an ITAP information service list.

c) Information to be provided shall include at a minimum the services offered, descriptions of the intended recipients of these services, and the terms under which these services are available.

History

• Source: Amended at 41 Ill. Reg. 5401, effective May 5, 2017

83 Ill. Adm. Code 755.115 Application Procedure and Processing

a) Applications shall be made available to the public at all selection centers and at the request of hearing care professionals, medical, educational or services agencies that serve persons with disabilities as defined in Section 755.10, or any other similar entity. The application form shall contain:

1. A description of the application process for service under this Part;

2. A certificate to be filled out according to the provisions of Section 755.200, certifying the applicant as a person with a disability;

3. Information to be completed by the prospective recipient, including but not limited to his/her full name, address, last four social security number digits, birth date, telephone number, carrier, wireless carrier or VoIP provider, and the name of the person to whom telephone service is billed; and

4. A section for the prospective recipient to sign, if the prospective recipient is acting for a minor user.

b) Assistance in completing application forms shall be provided at selection centers and through ITAC.

c) Applicants shall complete (or have completed) all forms, attach all documentation required by ITAC to establish eligibility, and mail the completed application to ITAC.

d) Upon receipt of a completed application, ITAC shall process all applications. In no event shall the ITAC, on behalf of the carriers, take more than 21 calendar days to verify an applicant's eligibility. If ITAC, on behalf of the carrier, determines that it cannot make a decision within 21 days because the application is incomplete or contains inaccurate information, it must immediately notify the applicant upon making this determination and solicit clarification and additional information from the applicant in order to determine the applicant's eligibility.

e) Processing of applications by ITAC, on behalf of the carriers, shall consist of a review for completeness and verification of eligibility.

f) Upon request, ITAC shall provide an applicant with:

1. a description of the Advisory Council and its role as liaison to persons with disabilities; and

2. the office telephone number of the Staff Liaison.

History

• Source: Amended at 41 Ill. Reg. 5401, effective May 5, 2017

83 Ill. Adm. Code 755.120 Equipment

Before offering equipment as part of an equipment distribution or voucher program pursuant to Section 755.100, the carriers or ITAC, on their behalf, shall consider the following factors:

a) Whether the equipment allows persons who are deaf or hard-of-hearing, deaf-blind, hearing-sight disabled, or speech or speech-sight disabled access to the telecommunications network to send or receive messages;

b) Whether the equipment falls within the scope of the Program pursuant to legislative mandates;

c) The financial impact on the Program and on the intended recipients of procuring the equipment, and the cost-effectiveness of the equipment;

d) Whether the equipment meets an identified need;

e) The ease of availability of the equipment;

f) The durability, reliability, and quality of the equipment;

g) The cost, ease, and feasibility of training persons, including disabled persons as defined in Section 755.10, in the use of the equipment;

h) The cost, ease, and feasibility of equipment repair;

i) The availability of warranties upon the equipment;

j) Ease of use of the equipment by persons with a disability; and

k) Compatibility of the equipment with other ITAC equipment and other telecommunications technology.

History

• Source: Amended at 28 Ill. Reg. 859, effective January 1, 2004

83 Ill. Adm. Code 755.125 Equipment Set Specifications – Telebraille (repealed)

History

• Source: Repealed at 28 Ill. Reg. 859, effective January 1, 2004

83 Ill. Adm. Code 755.126 Equipment Set Specifications – Text Telephone with Lvd (repealed)

History

• Source: Repealed at 28 Ill. Reg. 859, effective January 1, 2004

83 Ill. Adm. Code 755.130 Bids

a) Except as provided in subsection (c), prior to entering into new agreements with new providers, the carriers or ITAC, on their behalf, shall solicit and accept bids from various providers.

b) Bids will be evaluated and awarded based upon the bidder's ability, as demonstrated in the bid proposal, to advance the goals and objectives of ITAP, consistent with the following criteria:

1. Corporate and fiscal integrity, history, and ability of the bidder to deliver equipment or services up for bid must be evaluated;

2. Equipment up for bid must be evaluated in light of the factors specified in Section 755.120; and

3. Maintenance and training services up for bid must be deliverable as prescribed in Sections 755.100 and 755.310.

c) The requirements of subsections (a) and (b) shall not apply to arrangements for the provision of accounting or legal services for ITAP, or to amendments to, extensions of, or renewals of existing agreements not subject to the renewal requirements of the Illinois Procurement Code [30 ILCS 500].

History

• Source: Amended at 41 Ill. Reg. 5401, effective May 5, 2017

83 Ill. Adm. Code 755.135 Itap Filing Requirements

a) ITAC, on behalf of the carriers, shall publish on its website or in its tariff the following items:

1. A description of any equipment distribution program offered pursuant to Section 755.100(a), with a detailed description of the equipment the carriers provide pursuant to ITAP, including:

A) the manufacturers of the equipment;

B) the model numbers of the equipment;

C) the model names of the equipment;

D) a description of the operating functions and specifications of the equipment; and

E) the recipient disability certification requirements for receipt of each specific equipment offered.

2. A description of the voucher program described in Section 755.100(b), including the applicable recipient eligibility requirements for equipment.

3. Notwithstanding the requirements of subsections (a)(1) and (2), ITAC, on behalf of the carriers, may purchase or otherwise obtain a limited number of pieces of equipment for distribution and use on a trial basis, for the purpose of evaluating whether that equipment should be offered to recipients pursuant to Section 755.100, without including the trial equipment on its website or tariff offerings under this subsection (a). However, the distribution and use shall be limited to ITAC employees, ITAC board members, members of the Advisory Council, and the persons identified by ITAC whose use characteristics will enable realistic testing of the equipment. The trial shall not exceed 20 pieces of equipment and shall not exceed one year in duration.

b) All contracts entered into by ITAC, with the exception of contracts for regular and routine program operations, shall be filed with the Commission on an informational basis.

c) ITAC, on behalf of the carriers, shall file with the Commission an annual report (to be filed no later than March 31 of each year) that shall contain the following information:

1. Updates on administration procedures for ITAP;

2. Description of program activities of the past year, including at a minimum the number of applications received, the number of and type of equipment and/or vouchers distributed, the number and location of selection centers, and the number of maintenance/repair/exchange incidents; and

3. Description and brief evaluation of program effectiveness including at a minimum the following information:

A) the average period of time needed to process a typical application;

B) the average period of time between the processing of an application and the receipt of the equipment or voucher; and

C) a list of issues or problem areas identified by the Advisory Council and any action taken by the carriers or ITAC in response.

History

• Source: Amended at 41 Ill. Reg. 5401, effective May 5, 2017

83 Ill. Adm. Code 755.145 Renewal of Agreements (repealed)

History

• Source: Repealed at 28 Ill. Reg. 859, effective January 1, 2004

83 Ill. Adm. Code 755.200 Disability Certification

a) An applicant with a hearing disability seeking ITAP eligibility shall have completed by a hearing care professional, a designated counselor with the Illinois Department of Human Services-Division of Rehabilitation Services (DHS-DRS), or a care coordinator with the University of Illinois Division of Specialized Care for Children (DSCC) a standard form (provided by ITAC, on behalf of the carriers) certifying that the applicant is deaf or hard-of-hearing as those terms are defined in this Part.

b) An applicant who is deaf-blind or hearing-sight disabled seeking ITAP eligibility shall have completed by a hearing care professional, designated counselor with DHS-DRS, a designated counselor with any agency with which ITAC contracts to provide services for persons who are deaf-blind or a care coordinator with DSCC a standard form (provided by ITAC, on behalf of the carriers), provisionally certifying the applicant as deaf-blind or hearing-sight disabled as those conditions are defined in this Part. In instances in which deaf-blindness or the hearing-sight disability is certified by a hearing care professional, the hearing care professional shall make the provisional certification only upon review of medical records that confirm the applicant's sight disability. An applicant who has been provisionally certified as deaf-blind or hearing-sight disabled, as those conditions are defined in this Part, shall receive final certification only upon determination by a designated counselor with any agency with which ITAC contracts to provide services for persons who are deaf-blind that the applicant has the potential skills and potential ability to appropriately utilize the applicable equipment to make a telephone call.

c) An applicant who has a speech disability seeking ITAP eligibility shall have completed by a licensed physician, speech-language pathologist, care coordinator with DSCC, or designated counselor with DHS-DRS a standard form (provided by ITAC, on behalf of the carriers) certifying the applicant has a speech disability as that condition is defined in this Part. In instances in which the applicant's speech disability is certified by a designated counselor with DHS-DRS or a care coordinator with DSCC, the DHS-DRS counselor or DSCC care coordinator shall make this certification only upon review of medical records that confirm the applicant's speech disability.

d) An applicant who has a speech-sight disability seeking ITAP eligibility shall have completed by a licensed physician, speech-language pathologist, a care coordinator with DSCC, or a designated counselor with DHS-DRS a standard form (provided by ITAC, on behalf of the carriers) certifying the applicant as a person with a speech-sight disability as that condition is defined in this Part. In instances in which the applicant has a speech-sight disability and the speech disability is certified by a speech-language pathologist, the speech-language pathologist shall make this certification only upon review of medical records that confirm the applicant's sight disability. In instances in which the applicant's speech disability and the sight disability is certified by a designated counselor with DHS-DRS or a care coordinator with DSCC, the DHS-DRS counselor or DSCC care coordinator shall make this certification only upon review of medical records which confirm the applicant's speech disability or disabilities.

History

• Source: Amended at 41 Ill. Reg. 5401, effective May 5, 2017

83 Ill. Adm. Code 755.205 Eligibility and Application for Equipment for Recipients

a) Unless ITAC's tariff or website provides otherwise, one piece of landline or VoIP-compatible equipment shall be provided per subscriber line or per VoIP subscription in a residence that is the permanent legal residence of a certified user. Subject to subsection (g), the maximum number of landline and VoIP-compatible pieces of equipment that shall be provided is the lesser of the number of certified users or the number of subscriber lines and VoIP subscriptions in the residence. Subject to subsection (g), there is only one recipient per subscriber line or subscription.

b) Unless ITAC's tariff or website provides otherwise, one piece of wireless-compatible equipment shall be provided to an eligible, certified user of wireless telephone service. Unless ITAC's tariff or website provides otherwise, there is only one recipient per wireless line.

c) The equipment shall be granted in the name of the recipient. Recipient status shall be granted to an eligible adult user or the parent or legal guardian residing with an eligible minor user.

d) The recipient shall assume all responsibilities and liabilities for the equipment as prescribed by this Part.

e) The recipient shall be required to sign and complete all forms and submit all documents required in the application as described in Section 755.115(a).

f) Along with the completed application, the recipient shall provide copies of drivers' licenses, Illinois State I.D.'s, or some other proof of identification and Illinois residence for the recipient and identification of the person to whom telephone service is billed, and shall comply with all eligibility requirements specified on ITAC's website or in its tariff.

g) Notwithstanding the requirements of subsection (a), if two or more certified users with different disabilities reside in the same legal residence, and if the certified users require dissimilar landline or VoIP-compatible equipment in order to engage in regular and routine telephone communications as a result of their differing disabilities, ITAC, on behalf of the carriers, shall provide an additional piece of landline or VoIP-compatible equipment or additional pieces of equipment.

History

• Source: Amended at 41 Ill. Reg. 5401, effective May 5, 2017

83 Ill. Adm. Code 755.210 Eligibility and Application for Equipment for Organizations

a) Organizations having more than one office receiving basic telephone service shall designate one office to receive the equipment.

b) Recipient status shall be granted to the organization. The president, executive director, or other official of the organization shall sign the appropriate application forms on behalf of the organization.

c) The organization shall assume all responsibilities and liabilities for the equipment prescribed for recipients by this Part.

d) The organization shall file a verified Application or Petition for Eligibility with the Commission containing the following:

1. Address and telephone number of the organization's headquarters and the office to which the equipment will be assigned;

2. Statement explaining how the organization meets the definition of "organization" contained in Section 755.10;

3. Statement of the equipment applied for and a demonstration that the organization's primary purpose is serving those persons with disabilities who require that kind of equipment;

4. Full names, addresses, and telephone numbers of officers who can act for the organization;

5. Articles of incorporation, by-laws, charter, or any other documenting evidence supporting the statement required by subsection (d)(2);

6. Most recent annual report (if applicable).

e) The organization's eligibility will be determined by the Commission upon the filing of a complete verified Application or Petition. A determination of eligibility shall be based on a finding by the Commission that the organization meets the definition of "organization" contained in Section 755.10 and that its primary purpose is to serve the needs of those persons with disabilities who require the equipment for which the organization has applied.

f) The verified Application or Petition for Eligibility and all subsequent documents filed and orders issued in a proceeding under this Section shall be served on ITAC pursuant to 83 Ill. Adm. Code 200.150.

History

• Source: Amended at 28 Ill. Reg. 8875, effective July 1, 2004

83 Ill. Adm. Code 755.220 Time Period for Possession

Contingent upon the recipient's compliance with provisions of this Part, all equipment distributed pursuant to Section 755.100(a) will be provided until the user's legal residence ceases to have telephone service for more than 45 days. At that time the equipment must be returned to ITAC. If telephone service is reestablished after the equipment has been returned to ITAC, eligibility must be reapplied for as though no prior service had been provided. An applicant who re-applies after having returned the equipment may submit an eligibility form certifying the disability, as described in Section 755.115(a)(2), dated up to one year prior to the date of notice of loss of eligibility.

History

• Source: Amended at 28 Ill. Reg. 859, effective January 1, 2004

83 Ill. Adm. Code 755.225 Shared Residence

In the event that two or more recipients share a common permanent legal residence, equipment distributed pursuant to Section 755.100(a) in excess of that permitted under Section 755.205 shall be returned to ITAC.

History

• Source: Amended at 41 Ill. Reg. 5401, effective May 5, 2017

83 Ill. Adm. Code 755.230 Change of Recipient Information

If the recipient changes his/her permanent legal address, name, telephone number, or carrier, wireless carrier, or VoIP provider, he/she must notify ITAC of this change.

History

• Source: Amended at 41 Ill. Reg. 5401, effective May 5, 2017

83 Ill. Adm. Code 755.300 Equipment Ownership and Liability

a) All loaned equipment distributed under Section 755.100(a) shall remain the property of ITAC.

b) Equipment distributed pursuant to Section 755.100(a) and (b) may not be sold, loaned, or otherwise transferred out of the possession of the original recipient. Transfers will subject the recipient to disqualification from further ITAP participation.

c) Upon implementation of a voucher system pursuant to Section 755.100(b), the tariff filed or website postings pursuant to Section 755.135(a)(2) shall specify the Program requirements regarding ownership and liability.

History

• Source: Amended at 41 Ill. Reg. 5401, effective May 5, 2017

83 Ill. Adm. Code 755.305 Recipient Responsibility

a) In cases in which the recipient is the sole user within the residence:

1. in the event the recipient permanently relocates outside of Illinois, the recipient must return any loaned equipment distributed under Section 755.100(a)to ITAC prior to leaving the State;

2. in the event of the death of the recipient, the executor of the recipient's estate, or other responsible survivor must return any loaned equipment distributed under Section 755.100(a) to ITAC.

b) In cases in which the user of the loaned equipment distributed pursuant to Section 755.100(a) resides with a person with a disability and in the event of the user's death or permanent relocation outside of Illinois, the remaining person with the disability or the parent or legal guardian of the remaining person with a disability must give notice to ITAC and make application for the assignment of recipient status to the eligible individual within the residence.

c) In cases in which the recipient of loaned equipment distributed pursuant to Section 755.100(a) is not a user, on the occasion of the 18th birthday of a minor user, recipient status shall be transferred to the user.

History

• Source: Amended at 41 Ill. Reg. 5401, effective May 5, 2017

83 Ill. Adm. Code 755.310 Responsibility for Maintenance

a) Unless otherwise specified by this Section, all ordinary expense of maintenance and repair of loaned equipment distributed pursuant to Section 755.100(a) is borne by ITAC, on behalf of the carriers.

b) If loaned equipment is damaged, lost, or destroyed due to negligence of the recipient and not due to ordinary wear and tear, the recipient shall be held responsible for the cost of replacing the lost or destroyed equipment or ITAC's cost of restoring the damaged equipment to its original condition, unless ITAC, on behalf of the carriers, assumes the responsibility for the costs of repair in these instances. ITAC shall have the right to bill the recipient for the cost of replacing or restoring the lost, destroyed, or damaged equipment, and to withhold further participation by the recipient in the programs offered under Section 755.100(a) and (b) of this Part until payment is made.

c) The recipient must immediately notify ITAC if any loaned equipment distributed pursuant to Section 755.100(a) is lost, destroyed, stolen, or damaged. If equipment is stolen, damaged, or destroyed due to fire, flood, or other acts of God, the police, fire, or insurance adjustor's report, specifying the stolen, damaged, or destroyed ITAC equipment, must be forwarded to ITAC within 30 days after the date the incident was reported.

History

• Source: Amended at 41 Ill. Reg. 5401, effective May 5, 2017

83 Ill. Adm. Code 755.400 Staff Liaison

The Executive Director of the Commission shall appoint one Staff member to act as Staff Liaison to the programs required by Section 13-703 of the Act. The Staff Liaison shall serve as a contact person, advisor and monitor of the ITAP administrators and the Advisory Council.

History

• Source: Amended at 41 Ill. Reg. 5401, effective May 5, 2017

83 Ill. Adm. Code 755.405 Advisory Council

An Advisory Council composed of seven members who are representatives of persons with disabilities shall function as an organ for the input of individuals with disabilities to ITAP.

a) For the purpose of selecting representatives to the Advisory Council, the Commission shall divide the State into the following five districts:

1. District 1: Cook, DuPage, Grundy, Iroquois, Kane, Kankakee, Kendall, Lake, LaSalle, McHenry, Putnam, and Will Counties;

2. District 2: Boone, Carroll, DeKalb, Jo Daviess, Lee, Mercer, Ogle, Rock Island, Stephenson, Whiteside, and Winnebago Counties;

3. District 3: Bureau, Champaign, DeWitt, Ford, Fulton, Hancock, Henderson, Henry, Knox, Livingston, Logan, Marshall, Mason, McDonough, McLean, Peoria, Piatt, Stark, Tazewell, Vermilion, Warren, and Woodford Counties;

4. District 4: Adams, Brown, Cass, Christian, Clark, Coles, Cumberland, Douglas, Edgar, Effingham, Greene, Macon, Macoupin, Menard, Montgomery, Morgan, Moultrie, Pike, Sangamon, Schuyler, Scott, and Shelby Counties; and

5. District 5: Alexander, Bond, Calhoun, Clay, Clinton, Crawford, Edwards, Fayette, Franklin, Gallatin, Hamilton, Hardin, Jackson, Jasper, Jefferson, Jersey, Johnson, Lawrence, Madison, Marion, Massac, Monroe, Perry, Pope, Pulaski, Randolph, Richland, Saline, St. Clair, Union, Wabash, Washington, Wayne, White, and Williamson Counties.

b) The Advisory Council shall be made up of seven members.

1. Three members shall be selected from District 1;

2. One member shall be selected from each of the four remaining districts; and

3. The Advisory Council members shall be elected to staggered terms of three years with an election being held annually.

c) In each district, nominations for seats on the Advisory Council shall be solicited by ITAC. The sitting Advisory Council shall identify appropriate local organizations, including, but not limited to, all selection centers, local chapters of the Illinois Association for the Deaf, the Association for Late-Deafened Adults, and Self Help for Hard of Hearing. Each nomination shall be accompanied by a resume of the nominee. Any nominee who is affiliated with or otherwise acts in concert with an owner or vendor of equipment or services promoted for use by persons with disability, or whose relationship with an owner or vendor could give rise to a conflict of interest, shall be disqualified.

d) Those local organizations identified in subsection (c) shall be entitled to vote for the Advisory Council members representing that district.

e) If no nominations are received for a seat in any district, that seat shall become an at-large seat, and the organizations specified in subsection (c) shall submit nominations, accompanied by resumes of the nominee, without regard to the residence of the nominee. All the local organizations identified in subsection (c) shall be entitled to vote for at-large seats.

f) The seven members of the Advisory Council shall elect a chairperson.

History

• Source: Amended at 41 Ill. Reg. 5401, effective May 5, 2017

83 Ill. Adm. Code 755.410 Advisory Council Rights

a) ITAC shall serve notice of all filings, reports or other information pertaining to ITAP provided to the Commission on the chairperson of the Advisory Council.

b) Upon receipt of complaints concerning this program, ITAC shall inform the recipient that if he/she remains dissatisfied in his/her dispute, the recipient may contact the Advisory Council. ITAC shall provide the recipient with the name, telephone number and business address of a designated member of the Advisory Council and inform the recipient that the Advisory Council may be able to aid the recipient in his/her dispute.

History

• Source: Amended at 41 Ill. Reg. 5401, effective May 5, 2017

83 Ill. Adm. Code 755.415 Biannual Workshop

At least two times each year, ITAC, in consultation with the Staff Liaison, shall find and organize, including but not limited to arranging for the location, interpreters, and other accessibility support, a meeting of the Advisory Council to:

a) Provide a review and analysis of the program's development; and

b) Solicit suggestions and comments from the members of the Advisory Council.

History

• Source: Amended at 28 Ill. Reg. 859, effective January 1, 2004

83 Ill. Adm. Code 755.500 Annual Filings

a) On or before April 1 of each year, ITAC shall file with the Commission a verified petition requesting that the Commission establish the annual line charge and assessment, and shall file with the petition the following information, and shall serve the filing as provided in Section 755.515(b):

1. ITAC's audited financial statements as of December 31 of the prior calendar year;

2. A projected balance sheet, projected statement of revenues and expenses, projected statement of cash flows, and a summary of significant projection assumptions and accounting policies for the projection period;

3. A pro forma adjustment to annualize December levels of revenues and expenses for the projection period shall be added to the projected revenues and expenses;

4. A statement from an independent certified public accountant that the projected balance sheet and statements of revenues and expenses and cash flows comply with the guidelines for presentation of a projection established in the "Prospective Financial Information Guide", April 1, 2017, by the American Institute of Certified Public Accountants (1211 Avenue of the Americas, New York NY 10036), and that the underlying assumptions provide a reasonable basis for management's projections. No later amendment or edition of the "Prospective Financial Information Guide" is included by this incorporation; and

5. Schedules for the projection period presenting the following information in the format of Exhibit A through Exhibit M:

A) A calculation of the proposed monthly line charge and assessment (Exhibit A);

B) A comparison of present and proposed line charges and assessments, as adjusted (Exhibit B);

C) A statement of revenues and expenses at present line charge and assessments, as adjusted (Exhibit C);

D) A statement of prior calendar year actual revenues over/(under) expenses (Exhibit D);

E) A schedule of adjustment to projected cash balance (Exhibit E);

F) A supporting schedule of planned capital expenditures during projection period (Exhibit F);

G) A schedule of projected increase to cash under proposed line charge and assessment before cash adjustment (Exhibit G);

H) A schedule of projected and historical TRS call volumes and projected and historical subscriber lines, wireless lines, subscriptions, and prepaid wireless telecommunications services retail transactions (Exhibit H);

I) A depreciation schedule (Exhibit I); and

J) Comparative actual and projected balance sheets, at proposed line charge and assessment, as adjusted (Exhibit L).

b) For purposes of projecting subscriber lines, wireless lines, and subscriptions for the projection period as required by subsection (a), it shall be assumed, with the exception of the 2016 calendar year period, that subscriber lines, wireless lines, and subscriptions will increase or decrease annually from the number of subscriber lines, wireless lines, and subscriptions on December 31 of the prior calendar year reported by ITAC pursuant to subsection (a)(5)(H), at a weighted average growth rate. This growth rate shall be based on historical Illinois rates of increase or decrease in subscriber lines, wireless lines, and subscriptions.

c) For purposes of projecting TRS call volumes for the projection period as required by subsection (a), forecasts of call volumes shall be based on historical Illinois TRS call volumes.

d) For purposes of projecting expenses for the projection period as required by subsection (a), an annual inflation factor equal to the consensus Gross National Product implicit price deflator for the projection period, as reported in the publication "Blue Chip Economic Indicators" for January of the year in which the filing is made, shall be applied to all costs, excluding depreciation and costs fixed by contract between ITAC and another party, and other reasonably estimated costs.

e) For purposes of establishing the proposed line charge and assessment for the projection period, ITAC shall make calculations so that the following amounts are reflected in the proposed line charge and assessment over a 12 month period:

1. projection period revenues (over)/under expenses at present line charge and assessment, as adjusted;

2. the total difference, if any, between ITAC's actual revenues and ITAC's actual expenses for the prior calendar year; and

3. any adjustment necessary so that ITAC's cash balance, under the proposed line charge and assessment, at the end of the projection period will be no less than one-eighth and no greater than one-fourth of ITAC's projected expenses, as adjusted, for the projection period, excluding depreciation, plus an allowance for planned capital expenditures during the projection period.

f) ITAC shall make available to the Commission Staff all workpapers, documentation, and calculations supporting its annual filing.

History

• Source: Amended at 43 Ill. Reg. 7869, effective July 2, 2019

83 Ill. Adm. Code 755.505 Carrier, Wireless Carrier, and Interconnected Voip Provider Reports and Remittances to Itac

a) Each carrier, wireless carrier (with the exception of providers of prepaid wireless services), and interconnected VoIP provider (or affiliated entity on its behalf), as defined in this Part, shall provide a monthly remittance report to ITAC, indicating the number of subscriber lines excluding centrex lines, the number of telecommunications carriers' centrex lines, PBX lines and other technologies indicated in ITAC's tariff or on its website, the number of wireless lines, and the number of VoIP subscriptions; the applicable line charges and assessments; revenues from each source; adjustments for errors (if any) in prior monthly reports; and the total remittance. All revenue amounts shall be reported net of uncollectible amounts prescribed by 83 Ill. Adm. Code 756.220(d) and shall be remitted to ITAC as reported. This data shall be presented in the format defined in ITAC's tariff or on its website. The Staff Liaison shall provide assistance to ITAC in monitoring remittances. Indirect remittances to ITAC shall indicate the interconnected VoIP provider or wireless carrier on whose behalf reports are being remitted. The requirements of this subsection (a) shall become effective for interconnected VoIP providers on January 1, 2011. The requirements of this subsection (a) shall become effective for wireless carriers (with the exception of providers of prepaid wireless services) on June 1, 2016, but notwithstanding the effective date reports and remittances shall only be required with respect to periods following the wireless carrier's implementation of rates established by Commission orders.

b) Information at the reporting entity level, submitted to ITAC pursuant to this Section, shall be considered confidential and shall only be disclosed (other than to the Commission and its staff) pursuant to a valid and enforceable subpoena or court order or as required by the Freedom of Information Act [5 ILCS 140]. Information reported pursuant to this Part may, however, be aggregated (e.g., according to carrier class and/or technology) and reported publicly provided subscribership information specific to each reporting entity is not disclosed or discernible from the information reported to the public.

History

• Source: Amended at 41 Ill. Reg. 5401, effective May 5, 2017

83 Ill. Adm. Code 755.510 Determination and Adjustment of the Line Charge and Assessment

a) The Commission shall issue its order establishing the competitively neutral amount to be charged or assessed to subscribers of telecommunications carriers and wireless carriers, Interconnected VoIP service providers and purchasers of prepaid wireless telecommunications service on or prior to June 1 of each year.

b) The Commission's order establishing the line charge and assessment shall be served on ITAC, the ITAP Advisory Council chairperson, the Staff Liaison, the Director of the Commission's Policy Division, all carriers and wireless carriers, all interconnected VoIP providers, and the Department of Revenue.

c) If any change in the line charge and assessment is ordered, the order shall direct each carrier, wireless carrier, interconnected VoIP service provider, and seller to implement the new rate and assessment within 60 days in compliance with the order and without further notice.

History

• Source: Amended at 41 Ill. Reg. 5401, effective May 5, 2017

83 Ill. Adm. Code 755.515 Notice and Filing Requirements

a) ITAC shall, beginning not later than ten days after it files the information required under Section 755.500 or under Section 755.520, cause to be published once each week for two consecutive weeks a notice of its filing in the official state newspaper and in a secular newspaper (that has been regularly published for at least six months prior to the first publication of this notice) in general circulation in the cities of Chicago and Springfield. This notice shall be not less than one column in width and three inches in length.

b) ITAC shall file with the Chief Clerk of the Commission the required reports and schedules pursuant to Section 755.500 and 755.520. Any documents filed with the Commission pursuant to those Sections shall also be served on the following persons: Director of the Commission's Consumer Services Division and Policy Division, the Manager of the Accounting Department of the Commission's Financial Analysis Division, the Staff Liaison, the Director of the Department of Revenue, and the ITAP Advisory Council chairperson.

History

• Source: Amended at 41 Ill. Reg. 5401, effective May 5, 2017

83 Ill. Adm. Code 755.520 Interim Line Charge and Assessment Adjustments

a) ITAC may request, by petition, an interim line charge and assessment adjustment. This petition shall be verified and shall include documentation in substantially the same form as Exhibit A through Exhibit L of this Part supporting the need for an interim line charge and assessment adjustment and a projected cash flow statement. If a hearing is conducted, ITAC shall bear the burden of proof regarding the need for an interim line charge and assessment adjustment.

b) The Commission shall issue an order on an expedited basis addressing any requested interim line charge and assessment adjustment, either denying, granting in full, or granting in part the requested interim line charge and assessment adjustment. The Commission's order shall be served on the same persons as in Section 755.510(b). If the Commission determines that an interim line charge and assessment adjustment is necessary, the order shall authorize an interim line charge and assessment, to remain in effect until subsequent order of the Commission. If the Commission's order authorizes an interim line charge and assessment adjustment, it shall direct all carriers, wireless carriers, interconnected VoIP providers and sellers to implement the new rate and assessment in compliance with the order.

History

• Source: Amended at 41 Ill. Reg. 5401, effective May 5, 2017

83 Ill. Adm. Code 755.525 Waiver of Requirements of Section 755.500

The Commission shall grant a waiver of any requirements of Section 755.500 if the verified petition filed under that Section states that:

a) ITAC is unable to obtain the statement required under Section 755.500(a)(4) if the requirements are adhered to;

b) the reasons stated by the independent certified public accountant why the statement cannot be provided if the rule is adhered to; and

c) the alternate projections or underlying assumptions used by ITAC so that the independent certified public accountant is able to provide the statement required by Section 755.500(a)(4).

History

• Source: Added at 17 Ill. Reg. 5594, effective March 31, 1993

83 Ill. Adm. Code 755.EXHIBIT A Calculation of Monthly Line Charge and Assessment (schedule a-1)

Line

Description

Amount

(A)

(B)

(C)

1

Projection Period Revenues (Over)/Under Expenses

at Present Line Charge and Assessment, As Adjusted (a)

2

Prior Calendar Year Actual Revenues (Over)/Under Expenses (b)

3

Adjustment to Projected Cash Balance (c)

4

End-of-Period Projected Lines

5

Annual Revenue Adjustment Per Line (Line 3 Divided by Line 4 – Rounded to 4 Decimal Places)

6

Increase (Decrease) in Monthly Line Charge and Assessment for Projection Period (Line 5 Divided by 12 Months – Rounded to 4 Decimal Places)

7

Add: Present Line Charge and Assessment

8

Subtotal (Line 6 Plus Line 7)

9

Proposed Monthly Line Charge and Assessment (Line 8 Rounded to Next Higher Cent)

10

Prepaid wireless sale (d)

11

Proposed Monthly Line Charge (Line 9 as a Percentage of Line 10)

12

3% Retailer Surcharge Collected Before ITAC Remittance (Line 11 multiplied by 1.03)

13

2% IDOR Surcharge Collected After Retailer Surcharge and Before ITAC Remittance (Line 12 multiplied by 1.02)

14

Proposed Prepaid Wireless Line Charge Percentage

NOTES:

(a)

Amount from Line 17, column E, schedule A-3.

(b)

Amount from line 17, column D, schedule A-4.

(c)

Amount from line 6 or 11, column D, schedule A-5.

(d)

Estimated value of a prepaid wireless sale based 9-1-1 prepaid wireless charges.

History

• Source: Amended at 41 Ill. Reg. 5401, effective May 5, 2017

83 Ill. Adm. Code 755.EXHIBIT B Comparison of Present and Proposed Line Charges and Assessments (schedule a-2)

Line (A)

Description

(B)

Projection Period (Year) As Adjusted At Present Line Charge and Assessment (C)

Projection Period (Year) As Adjusted At Proposed Line Charge and Assessment (D)

Difference (Column D - Column C)

(E)

Percentage Change (Column E/ Column C)

(F)

1

Number of VoIP Residential Subscriptions, Wireless and Subscriber Lines and Equivalents, Excluding Centrex*

2

Number of Business Subscriptions and Centrex Lines

3

Line Charge and Assessment Excluding Centrex

4

Centrex Line Charge

5

Subtotal

6

Investment Income

7

TRS

8

Other:

9

Total Revenues

10

Expenses

11

Revenue Over/(Under) Expenses

*Includes PBX and other advanced line equivalents.

History

• Source: Amended at 41 Ill. Reg. 5401, effective May 5, 2017

83 Ill. Adm. Code 755.EXHIBIT C Projection Period Statement of Revenues and Expenses at Present Line Charge and Assessment, as Adjusted (schedule a-3)

Line

Description

Projection Period Ending 12/31/__

Adjustment to Annualize December Levels

Total

(A)

(B)

(C)

(D)

(E)

1

Revenues

2

Line Charge and Assessment

3

Investment Income

4

TRS

5

Other Income:

6

TOTAL REVENUES

7

Expenses:

8

TRS

9

Administration

10

Equipment Distribution and

Maintenance

11

Legal

12

Accounting and Consulting

13

Depreciation

14

(Gain)/Loss on Property

and Equipment Retirements

15

Other Expenses:

16

TOTAL EXPENSES

17

Revenues Over (Under) Expenses

History

• Source: Amended at 41 Ill. Reg. 5401, effective May 5, 2017

83 Ill. Adm. Code 755.EXHIBIT D Prior Calendar Year Actual Revenues Over/(under) Expenses (schedule a-4)

Line

Description

Year Ended

12/31/__

Amount

(A)

(B)

(C)

(D)

1

Revenues:

2

Line Charge and Assessment

3

Investment Income

4

TRS

5

Other Income:

6

TOTAL REVENUES

7

Expenses:

8

TRS

9

Administration

10

Equipment Distribution &

Maintenance

11

Legal

12

Accounting and Consulting

13

Depreciation

14

(Gain)/Loss on Property and

Equipment Retirements

15

Other Expenses:

16

TOTAL EXPENSES

17

Revenue Over/(Under) Expenses

History

• Source: Amended at 41 Ill. Reg. 5401, effective May 5, 2017

83 Ill. Adm. Code 755.EXHIBIT E Schedule of Adjustment to Projected Cash Balance (schedule a-5)

Line

(A)

Description

(B)

Amount

(C)

Amount

(D)

1

Projected Cash Balance at Proposed Line Charge and Assessment Before Cash Adjustment (a)

2

One-Eighth of Projected Expenses, As Adjusted (Excluding Depreciation and Gain/Loss on Property and Equipment Retirements)

3

Planned Capital Expenditures During Projection Period (b)

4

Line 2 plus Line 3

5

If Line 4 is greater than Line 1, enter amount from Line 4 here. If line 4 is less than line 1, go to line 7.

6

Adjustment to Cash Balance (Line 5 minus Line 1)

*IF THERE IS AN ENTRY ON LINE 5, STOP HERE AND ENTER AMOUNT FROM LINE 6 ON LINE 3 OF SCHEDULE A-1

7

One-Fourth of Projected Expenses, As Adjusted (Excluding Depreciation and Gain/Loss Property and Equipment Requirements)

8

Amount from Line 3

9

Line 7 plus Line 8

10

If Line 9 is less than Line 1, enter amount from Line 9 here. If Line 9 is greater than Line 1, there is no adjustment to Cash Balance.

11

Adjustment to Cash Balance (Line 10 minus Line 1)

*IF THERE IS AN ENTRY ON LINE 10, ENTER AMOUNT FROM LINE 11 ON LINE 3 OF SCHEDULE A-1.

(a) Amount from Line 7, Column D, Schedule A-7.

(b) Amount from Line 19, Column D, Schedule A-6.

History

• Source: Amended at 36 Ill. Reg. 15058, effective October 1, 2012

83 Ill. Adm. Code 755.EXHIBIT F Supporting Schedule of Planned Capital Expenditures During Projection Period (schedule a-6)

Line

(A)

Description

(B)

Amount

(C)

Amount

(D)

Amount of Property and Equipment Purchased in prior calendar years to be paid in projection period:

Equipment

Computer Equipment and Software

Furniture and Fixtures

Buildings

Subtotal

Add: Amount of Projected Property and Equipment purchases:

Equipment

Computer Equipment and Software

Furniture and Fixtures

Buildings

Subtotala

Less: Amount of Projected Property and Equipment Purchases to be Paid in years following projection period:

Equipment

Computer Equipment and Software

Furniture and Fixtures

Buildings

Subtotal

Total Planned Capital Expenditures During Projection Period

a Amount from Line 9, Column D, Schedule A-9

History

• Source: Amended at 28 Ill. Reg. 859, effective January 1, 2004

83 Ill. Adm. Code 755.EXHIBIT G Schedule of Projected Increase to Cash Under Proposed Line Charge and Assessment Before Cash Adjustment (schedule a-7)

Line

Description

Amount

Amount

(A)

(B)

(C)

(D)

1

Projected Cash Balance at Present Rates, as adjusted

2

Projected increase to Cash Balance at proposed line charge and assessment before cash adjustment calculation

3

Projection Period Revenues (Over)/Under Expenses at Present Line Charge and Assessment, as adjusted (a)

4

Prior period actual revenues (Over)/Under Expenses (b)

5

Subtotal (Line 3 plus Line 4)

6

Projected increase/(decrease) to cash under proposed line charge and assessment before cash adjustment (One-Fourth of Line 5)

7

Projected Cash Balance at proposed line charge and assessment before cash adjustment (Line 1 plus Line 6)

NOTES:

(a)

Amount of Line 17, Column E, Schedule A-3.

(b)

Amount from Line 17, Column D, Schedule A-4.

History

• Source: Amended at 41 Ill. Reg. 5401, effective May 5, 2017

83 Ill. Adm. Code 755.EXHIBIT H Call Volumes and Lines and Assessments (schedule a-8)

TRS Call Volume

Lines and

Equivalents

Line

Month

Actual Prior Cal Yr

Proj

Period

Diff Col D

• Col C

Actual Prior Cal Yr

Proj Period

Diff Col G - Col F

(A)

(B)

(C)

(D)

(E)

(F)

(G)

(H)

1

Jan

2

Feb

3

Mar

4

Apr

5

May

6

June

7

July

8

Aug

9

Sept

10

Oct

11

Nov

12

Dec

13

Total

History

• Source: Amended at 41 Ill. Reg. 5401, effective May 5, 2017

83 Ill. Adm. Code 755.EXHIBIT I Depreciation Schedule (schedule a-9)

Line

Description

Actual Prior Cal Yr 12/31 Prop and Equipment

At Cost

Proj Period (Year) Additions

Proj Period (Year) Retirements

Proj Period 12/31 Prop and Equipment

At Cost

Average Useful Life

Proj Period Depreciation Expense

(A)

(B)

(C)

(D)

(E)

(F)

(G)

(H)

1

Buildings

2

Computer Equipment

3

Computer Software

4

Furniture and Fixtures

5

Equipment

6

Other:

7

Total

Reconciliation of Accumulated Depreciation

12/31/ Accumulated Depreciation

Accumulated Depreciation Associated With Retirements

(Year) Depreciation Expense

12/31/ Accumulated Depreciation

8

History

• Source: Amended at 28 Ill. Reg. 859, effective January 1, 2004

83 Ill. Adm. Code 755.EXHIBIT J Projected Payroll Expenses, as Adjusted (other Than Dprs Payroll Expenses) (schedule a-10) (repealed)

History

• Source: Repealed at 28 Ill. Reg. 859, effective January 1, 2004

83 Ill. Adm. Code 755.EXHIBIT K Projected Line Charge Filing Expenses (schedule a-11) (repealed)

History

• Source: Repealed at 28 Ill. Reg. 859, effective January 1, 2004

83 Ill. Adm. Code 755.EXHIBIT L Comparative Actual and Projected Balance Sheets, at Proposed Line Charge and Assessment, as Adjusted (schedule a-12)

Line

Description

Actual Prior Calendar Year 12/31/

Projected 12/31/

(A)

(B)

(C)

(D)

1

ASSETS

2

Current Assets:

3

Cash, Cash Equivalents

and Other Cash Investments

4

Accounts Receivable

5

Interest Receivable

6

Prepaid Distribution Expenses

7

Other

8

Total Current Assets

9

Property and Equipment:

10

Computer Equipment and Software

11

Furniture and Fixtures

12

Equipment

13

Less: Accumulated Depreciation

14

Property and Equipment, Net

15

Other

16

Total Assets

17

LIABILITIES AND FUND BALANCE

18

Current Liabilities:

19

Accounts Payable:

20

TRS

21

Other

22

Total Current Liabilities

23

Fund Balance:

24

Beginning Balance

25

Revenues Over/(Under) Expenses

26

Ending Balance

27

Total Liabilities and Fund Balance

History

• Source: Amended at 36 Ill. Reg. 15058, effective October 1, 2012

83 Ill. Adm. Code 755.EXHIBIT M Comparative Actual and Projected Statements of Revenues and Expenses at Proposed Line Charge, As Adjusted (Schedule A-13) (Repealed)

History

• Source: Repealed at 28 Ill. Reg. 859, effective January 1, 2004

83 Ill. Adm. Code 755.EXHIBIT N Local Exchange Carrier Monthly Report to ITAC (Repealed)

History

• Source: Repealed at 28 Ill. Reg. 859, effective January 1, 2004

Chapter I Illinois Commerce Commission

Subchapter f Telephone Utilities

Part 756 Telecommunications Relay Services

83 Ill. Adm. Code 756.10 Definitions

"7-1-1" means the abbreviated dialing code for accessing all types of relay services anywhere in the United States.

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

"Advisory Council" means the advisory council established by 83 Ill. Adm. Code 755.405.

"American Sign Language" or "ASL" means a visual language based on hand shape, position, movement, and orientation of the hands in relation to each other and the body.

"ASCII" is an acronym for the American Standard Code for Information Interexchange that employs an eight bit code and can operate at any standard transmission baud rate including 300, 1200, 2400 and higher.

"Baudot" means a seven bit code, only five of which are information bits. Baudot is used by some text telephones to communicate with each other at a 45.5 baud rate.

"Call release" means a Telecommunications Relay Service (TRS) feature that allows the Communications Assistant (CA) to sign-off or be "released" from the telephone line after the CA has set up a telephone call between the originating text telephone (TTY) caller and a called TTY party, such as when a TTY user must go through a TRS facility to contact another TTY user because the called TTY party can only be reached through a voice-only interface, such as a switchboard.

"Communications Assistant" or "CA" means a person who transliterates or interprets conversations between two or more end users of TRS. CA supersedes the term "TRS operator".

"Commission" means the Illinois Commerce Commission.

"Disability" refers to a condition of being permanently hearing disabled, deaf-blind, speech-disabled, hearing-sight disabled, or speech-sight disabled, as those terms are defined in 83 Ill. Adm. Code 755.10.

"FCC" means Federal Communications Commission.

"Hearing carry over" or "HCO" means a form of TRS in which the person with the speech disability is able to listen to the other end user and, in reply, the CA speaks the text as typed by the person with the speech disability. The CA does not type any conversation. Two-line HCO is an HCO service that allows TRS users to use one telephone line for hearing and the other for sending TTY messages. HCO-to-TTY allows a relay conversation to take place between an HCO user and a TTY user. HCO-to-HCO allows a relay conversation to take place between two HCO users.

"Illinois Telecommunications Access Corporation" or "ITAC" means the not-for-profit corporation jointly established by the Illinois telecommunications carriers providing local exchange service in order to administer the programs mandated by Section 13-703 of the Act on behalf of the carriers.

"Interconnected Voice over Internet Protocol Provider" or "Interconnected VoIP Provider" has the same meaning as defined in Section 13-235 of the Act. For purposes of this Part, Interconnected VoIP providers are limited to those providers subject to Section 13-401.1 of the Act.

"Interexchange carrier" or "IXC" means a telecommunications carrier providing interexchange service as defined in Section 13-205 of the Act.

"Non-English language relay service" means a telecommunications relay service that allows persons with hearing or speech disabilities who use languages other than English to communicate with voice telephone users in a shared language other than English, through a CA who is fluent in that language.

"Public Safety Answering Point" or "PSAP" means a facility that has been designated to receive 9-1-1 calls and route them to emergency services personnel.

"Qualified interpreter" means an interpreter who is able to interpret effectively, accurately and impartially, both receptively and expressively, using any necessary specialized vocabulary.

"Relay system" means the configuration, provision and operation of the facilities, equipment and personnel through which the telecommunications carriers shall provide relay service.

"Speech-to-speech relay service" or "STS" means a telecommunications relay service that allows individuals with speech disabilities to communicate with voice telephone users through the use of specially trained CAs who understand the speech patterns of persons with speech disabilities and can repeat the words spoken by that person.

"Speed dialing" means a TRS feature that allows a TRS user to place a call using a stored number maintained by the TRS facility. In the context of TRS, speed dialing allows a TRS user to give the CA a "short-hand" name or number for the user's most frequently called telephone numbers.

"SS7" or "Signaling System 7" means a carrier to carrier out-of-band signaling network used for call routing, billing and management. SS7 provides for the delivery of Caller ID, improves access to 9-1-1, and eliminates the need to collect some information currently collected manually through caller profiles.

"Staff Liaison" means the Staff Liaison established by 83 Ill. Adm. Code 755.400.

"System provider" means that corporation, organization, coalition or entity who, under contract to the ITAC, provides the relay system through which the telecommunications carriers shall provide relay service.

"Telecommunications carrier" or "carrier" has the same meaning as in Section 13-202 of the Act that is providing local exchange telecommunications service as defined in Section 13-204 of the Act. For purposes of this Part, "telecommunications carrier" or "carrier" also includes telecommunications carriers that are mutual concerns as defined in Section 13-202(b) of the Act.

"Telecommunications relay service " or "TRS" or "relay service" means telephone transmission services that provide the ability for an individual with a hearing or speech disability to engage in communication by wire or radio with a hearing individual in a manner that is functionally equivalent to the ability of an individual who does not have a hearing or speech disability to communicate using voice communication services by wire or radio. This term includes services that enable two-way communication between an individual who uses a text telephone or other nonvoice terminal device and an individual who does not use such a device, speech-to-speech services, non-English language relay service, and video relay service. TRS supersedes the terms "dual party relay system", "message relay services" and "TDD Relay".

"Text telephone" or "TTY" means a machine that employs graphic communication in the transmission of coded signals through a wire or radio communication system. TTY supersedes the term "TDD" or "telecommunications device for the deaf" and "TT".

"Three-way calling" means a TRS feature that allows more than two parties to be on the telephone line at the same time with the CA.

"Transliterate" means to verbally express a message received by TTY or to send by TTY a verbal message received.

"Video relay service" or "VRS" means a telecommunications relay service that allows people with hearing or speech disabilities who use sign language to communicate with voice telephone users through video equipment. The video link allows the CA to view and interpret the party's signed conversation and relay the conversation back and forth with a voice caller.

"Voice carry over" or "VCO" means a form of TRS in which the person with the hearing disability is able to speak directly to the other end user. The CA types the response back to the person with the hearing disability. The CA does not voice the conversation. Two-line VCO is a VCO service that allows TRS users to use one telephone line for voicing and the other for receiving TTY messages. A VCO-to-TTY TRS call allows a relay conversation to take place between a VCO user and a TTY user. VCO-to-VCO allows a relay conversation to take place between two VCO users.

"Wireless carrier" has the meaning given to that term in Section 10 of the Wireless Emergency Telephone Safety Act [50 ILCS 751].

History

• Source: Amended at 41 Ill. Reg. 5446, effective May 5, 2017

83 Ill. Adm. Code 756.15 Dispute Procedures

a) The system provider shall assign to one or more of its personnel the duty of hearing any dispute by a relay service user. The personnel shall consider the user's allegations and shall explain the user's situation and system provider's assertions in connection therewith. The personnel shall be authorized to act on behalf of the system provider in resolving the complaint and shall be available during all hours for this duty.

b) The system provider shall direct its personnel engaged in personal contact with the user seeking dispute resolution under the provisions of this Part to inform the user of his/her right to have the problem considered and acted upon by supervisory personnel of the relay service where any dispute cannot be resolved.

c) Should a user express nonacceptance of the decision of supervisory personnel, the supervisory personnel shall then inform the user of his/her right to have the problem reviewed by ITAC, and shall furnish the user with the telephone number and address of ITAC.

d) The system provider shall maintain a log of consumer complaints and must retain the log until the next application for certification by the FCC is granted. The log shall include, at a minimum, the date the complaint was filed, the nature of the complaint, the date of resolution, and an explanation of the resolution.

e) In cases where the dispute is not resolved, ITAC shall direct its personnel to inform the user of his/her right to have the problem reviewed by the Commission and shall furnish the user with the telephone number and address of the Staff Liaison. In addition, ITAC shall offer the assistance of the Advisory Council pursuant to Section 756.305(b).

f) Billing disputes

1. When a customer disputes a particular bill, the customer's telecommunications carrier shall not discontinue service for nonpayment so long as the customer:

A) pays the undisputed portion of the bill;

B) pays all future periodic bills by the due date; and

C) enters into discussion with the customer's telecommunications carrier to settle the dispute.

2. No late payment charge shall be charged on any disputed bill paid within 14 days of resolution of the dispute if the complaint was filed with the telecommunications carrier before the bill became past due.

g) Disputes arising under this Part shall also be governed by 83 Ill. Adm. Code 735.200.

History

• Source: Amended at 28 Ill. Reg. 6974, effective May 1, 2004

83 Ill. Adm. Code 756.20 Notice (repealed)

History

• Source: Repealed at 28 Ill. Reg. 6974, effective May 1, 2004

83 Ill. Adm. Code 756.30 Waiver

If ITAC, on behalf of the telecommunications carriers, determines that compliance with any portion of this Part is technologically or financially infeasible, it may request a waiver of such provision. A request for a waiver shall be made by petition and shall set forth a full statement of the reason for the requested waiver. The burden of proof in any request for a waiver shall be upon ITAC and ITAC must show, among other things, that such modification would not violate any legislative mandate. If the Commission grants such waiver, it may specify the period for which such waiver is granted.

History

• Source: Amended at 28 Ill. Reg. 6974, effective May 1, 2004

83 Ill. Adm. Code 756.100 Components of Relay Service

a) Each telecommunications carrier shall provide intrastate service whereby a person with a hearing or speech disability can communicate with voice telephone users through the use of a trained CA or functionally equivalent technology. At a minimum, relay service shall:

1. Provide text-to-voice and voice-to-text relay service;

2. Be capable of communicating with ASCII or Baudot format at any speed generally in use;

3. Provide speech-to-speech relay service;

4. Provide Spanish language relay service;

5. Provide VCO, two-line VCO, VCO-to-TTY, and VCO-to-VCO;

6. Provide HCO, two-line HCO, HCO-to-TTY, HCO-to-HCO; and

7. Provide access via the 7-1-1 dialing code to all relay services as a toll free call.

b) The minimum requirements listed in this Section do not prevent ITAC from offering more relay services, including but not limited to Video Relay Service and Non-English language relay service.

c) TRS providers are required to provide the following features:

1. Call release functionality;

2. Speed dialing functionality;

3. Three-way calling functionality; and

4. Answering machine and voice mail retrieval.

History

• Source: Amended at 28 Ill. Reg. 6974, effective May 1, 2004

83 Ill. Adm. Code 756.105 Relay Service Execution and Administration

Each telecommunications carrier shall:

a) Fund the relay service in part through tariffed charges or, when authorized to do so by Section 13-501(c) of the Act, through charges included in a written service offering on its website to relay service users as provided in Section 756.125(a). The telecommunications carriers shall derive the balance of the relay service funding requirements from the revenues collected as authorized by the Commission pursuant to Section 13-703(c) and (f) of the Act;

b) Jointly administer the relay service through the ITAC, on behalf of the carriers;

c) Direct the ITAC, on behalf of the carriers, to develop and circulate, pursuant to the requirements of Section 756.115, a Request-for-Proposal (RFP) for the provision of the relay system;

d) Direct the ITAC, on behalf of the carriers, to establish a system provider selection procedure pursuant to the requirements of Section 756.115;

e) Direct the ITAC, on behalf of the carriers, to contract, pursuant to Section 756.120, with a system provider for the provision of the relay system;

f) Bill and collect charges for relay-assisted calls pursuant to the requirements of Sections 756.125(a) and 756.220; and

g) Retain individual and collective responsibility for ensuring the provision and maintenance of the relay service consistent with the standards set forth in this Part.

History

• Source: Amended at 41 Ill. Reg. 5446, effective May 5, 2017

83 Ill. Adm. Code 756.110 Publicity Concerning Relay Service

a) Telecommunications carriers or ITAC, on their behalf, shall publicize the relay service to increase awareness of the availability and use of all forms of TRS offered in Illinois. Efforts to educate the public about TRS should extend to all segments of the public, including individuals who are hard of hearing or speech disabled and senior citizens, as well as members of the general population. Publicity shall include, at a minimum:

1. Annual bill inserts and notices published in the directories;

2. Placement of TRS instructions in telephone directories, through directory assistance services, and incorporation of TTY numbers in telephone directories; and

3. Ongoing education and outreach programs that publicize the availability of TRS in a manner reasonably designed to reach the largest number of consumers in a cost-effective manner.

b) Relay service information publicized by the telecommunications carriers or ITAC, on their behalf, shall include the items listed in this subsection. Each publication shall include all items whenever feasible and consistent with the purpose of the publicity.

1. Relay service access numbers;

2. A description of the relay service functions offered, which shall include, at a minimum, those prescribed in Section 756.100;

3. Statements of the full time availability of relay service; and

4. Statements advising that for the quickest response, TTY users should directly contact their local 9-1-1 service in emergency situations, or appropriate local emergency agencies in areas where 9-1-1 is not in service, instead of employing the relay service to complete emergency calls, and explaining the process defined in Section 756.205(e).

History

• Source: Amended at 41 Ill. Reg. 5446, effective May 5, 2017

83 Ill. Adm. Code 756.115 Rfp Selection Process

a) The ITAC, on behalf of the carriers, shall develop and circulate to prospective system providers an RFP for the provision of the relay system through which telecommunications carriers shall provide the relay service mandated by Section 13-703(b) of the Act and this Part.

1. The RFP shall require each respondent to submit a proposal for the design, configuration and supply of a statewide relay system meeting or exceeding the minimum specifications and standards prescribed in Sections 756.200, 756.205, 756.210 and 756.215.

2. The RFP shall require each respondent to supply, either through direct provision or through the securing of services and facilities provided by other entities, the following:

A) All relay center buildings, real estate, permits, rights-of-way or clearances necessary to operate the relay system as specified in this Part;

B) All telecommunications trunks, cables or lines connected to the relay center in order to receive or initiate telecommunications for the purposes of providing the relay system as specified in this Part;

C) All telecommunications or other facilities and equipment required in order to provide the relay system as specified in this Part;

D) All supplies, furniture or miscellaneous items required in order to provide the relay system as specified in this Part; and

E) All personnel and the training of such personnel required in order to staff and operate the relay system as specified in this Part.

3. The RFP shall state whether responses shall be based on a cost-plus-fee or a fixed-cost type contract.

4. Prior to circulating the RFP to prospective system providers, ITAC, on behalf of the carriers, shall file the RFP with the Commission for approval, providing copies to the Advisory Council and Staff Liaison on the file date.

A) The Advisory Council and Staff Liaison shall have the opportunity to file comments on the RFP within 20 business days following the file date of the RFP. The ITAC, on behalf of the carriers, shall be allowed to respond to the comments within 10 business days following the close of the comment period.

B) The Commission shall approve or disapprove the RFP for circulation to prospective system providers by ITAC, on behalf of the carriers, based upon the conformity of the RFP with the requirements of Section 13-703(b) of the Act and this Part.

C) If the Commission disapproves the RFP, the Commission shall:

i) Specify those aspects which do not conform to the specifications of this Part; and

ii) Direct ITAC, on behalf of the carriers, to revise the RFP in regard to those elements.

5. System provider proposals shall be evaluated on the following criteria:

A) The ability of a proposal to cost-effectively achieve the relay system requirements prescribed by this Part;

B) A bidder's abilities to fulfill the conditions of its proposal. The bidder shall be assessed according to its financial condition (e.g., net worth, cash flow, and ability to raise capital); technical, operational and managerial expertise; and past experience and level and quality of performance.

C) A bidder's prior experience in providing relay services.

6. Each RFP will indicate a date, time, and place for prospective system providers to submit a bid or proposal. Responses received late shall not be considered.

7. All bids or proposals received prior to the time set for opening shall be opened in public at the date, time, and place specified in the RFP.

b) Evaluation procedure

1. Within two business days following the deadline for submission of proposals by all parties, the ITAC, on behalf of the carriers, shall file with the Commission and provide to the Advisory Council and Staff Liaison a copy of each bid or proposal with a sworn statement by the president, a vice-president or secretary of ITAC, on behalf of the carriers, stating that said proposals are complete records and that they were received by ITAC under seal which was not broken except as provided in subsection (a)(7);

2. If, after evaluating all proposals, the ITAC Board determines that no proposals meet the requirements of Section 13-703(b) of the Act, this Part, or the RFP, the ITAC, on behalf of the carriers, shall file with the Commission notice of this determination and a report citing the specific deficiencies of each proposal in adequately fulfilling the requirements of Section 13-703(b) of the Act, this Part, or the RFP.

A) The Advisory Council and the Staff Liaison shall have the opportunity to file comments on this report within 20 business days of filing by ITAC, on behalf of the carriers. Comments in opposition to the ITAC, on behalf of the carriers, determination shall cite and defend that proposal which the commentator believes best meets or exceeds the requirements of Section 13-703(b) of the Act, this Part, and the RFP.

B) The ITAC Board shall have the opportunity to file a response to the comments within 10 business days of the close of the comment period.

C) Based upon the requirements of Section 13-703(b) of the Act, this Part, and the RFP, the Commission shall either:

i) approve the ITAC determination and direct ITAC to develop and issue a new RFP according to the requirements of this Part, or to reissue its prior RFP, or to request any or all bidders to supplement their proposals to conform to the RFP; or

ii) deny the ITAC determination and specify a proposal which the ITAC shall be directed to accept.

History

• Source: Amended at 28 Ill. Reg. 6974, effective May 1, 2004

83 Ill. Adm. Code 756.116 Commission Approval of Proposal

a) If, after evaluating all proposals, the ITAC Board determines that it is able to accept a proposal, it shall file a petition with the Commission seeking approval of the proposal. As part of the petition, the ITAC Board shall attach testimony supporting this determination and explaining the rationale for its selection. The Commission shall set the matter for a pre-hearing conference within 21 days of the filing of the petition.

b) The ITAC Board shall serve a copy of the petition and the supporting testimony on the Advisory Council and the Staff Liaison at the time of the filing with the Commission.

c) Based upon the requirements of the Act, this Part, and the RFP, the Commission shall either:

1. Approve the ITAC selection and direct the Board to accept the proposal. The Commission shall approve the selection if the proposal has been shown to meet the relay service program standards and specifications of this Part and to be the most cost-effective method of providing the service, as required by Section 13-703 of the Act;

2. Deny the ITAC selection and specify another proposal that the ITAC shall be directed to accept because it meets the relay service program standards and specification of this Part and it is the most cost-effective method of providing the service; or

3. Deny the ITAC selection and direct the Board to develop and issue a new RFP, to reissue its prior RFP, or to request any and all bidders to supplement their proposals to conform to the RFP.

d) The Commission shall issue an order on the petition for approval within 150 days after the date of filing of ITAC's petition.

History

• Source: Added at 17 Ill. Reg. 12294, effective July 15, 1993

83 Ill. Adm. Code 756.120 System Provider Interactions

a) Upon Commission approval and ITAC acceptance of a proposal, the ITAC and the selected respondent shall draft a contract in which each telecommunications carrier shall concur as a party. The terms of the contract shall be consistent with the conditions of the proposal. This contract shall be filed with the Commission by a petition pursuant to 83 Ill. Adm. Code 200 and shall take effect only upon Commission approval. The Commission shall approve the contract if it is consistent with the specifications of Section 13-703(b) of the Act, this Part, the RFP, and the selected proposal.

b) Upon Commission approval of the contract, the selected respondent shall be designated as the system provider.

c) In addition to the provisions of subsection (a), the following general conditions shall apply to the contract between ITAC, on behalf of the carriers, and the system provider:

1. The system provider shall comply with the reporting requirements in Section 756.215.

2. The ITAC, on behalf of the carriers, shall perform a yearly evaluation of the system provider's operations to determine compliance with the contract. The system provider shall be required to address any reported service deficiencies.

3. The contract shall state the terms under which it may be amended.

4. The contract shall state the terms under which it may be unilaterally terminated by ITAC or the system provider.

d) At least 14 months prior to the termination of an approved contract, ITAC, on behalf of the carriers, shall file a new RFP with the Commission pursuant to Section 756.115, for the provision of a relay system.

History

• Source: Amended at 28 Ill. Reg. 6974, effective May 1, 2004

83 Ill. Adm. Code 756.125 Filing Requirements

In addition to the filing requirements prescribed in other Sections of this Part, the following filing requirements shall apply:

a) Each telecommunications carrier shall file a tariff or include a written service offering on its website:

1. Providing a description of the relay service functions offered, that shall include, at a minimum, those mandated in Section 756.100; and

2. Setting forth the basis for rates that shall be charged for relay-assisted calls.

A) Local TRS payphone calls shall be free.

B) TRS users shall not be charged for local calls placed or received through the relay system. For calls other than local calls, TRS users shall pay rates no greater than the rates paid for functionally equivalent voice communication services with respect to those factors as the duration of the call, the time of day, and the distance from the point of origination to the point of termination.

C) Any discounts that would apply to a direct call between the originating and terminating points on the same day, time and duration of the relay-assisted call shall be applied to the charges billed for the relay-assisted call.

D) Access via the 7-1-1 dialing code to all relay services shall be toll free.

b) Each IXC shall file a tariff or include a written service offering on its website setting forth the basis for rates that shall be charged for relay-assisted calls that originate and terminate in different exchanges and that, if dialed directly without intervention by the relay service, would have been transmitted by an IXC.

1. TRS users shall pay rates no greater than the rates paid for functionally equivalent voice communication services with respect to such factors as the duration of the call, the time of day, and the distance from the point of origination to the point of termination.

2. Access via the 7-1-1 dialing code to all relay services shall be toll free.

3. Any discounts that would apply to a direct call between the originating and terminating points on the same day, time and duration of the relay-assisted call shall be applied to the charges billed for the relay-assisted call.

c) The ITAC, on behalf of the carriers, shall file an annual report with the Commission (to be filed no later than April 30 of each year) that shall contain the following information:

1. Updates on administration procedures for the relay service;

2. A description of program activities of the past year;

3. A description and brief evaluation of program effectiveness; and

4. As an appendix, the annual report provided by the system provider to the ITAC per the requirement of Section 756.215.

History

• Source: Amended at 41 Ill. Reg. 5446, effective May 5, 2017

Chapter I Illinois Commerce Commission

Subchapter f Telephone Utilities

Part 756 Telecommunications Relay Services

83 Ill. Adm. Code 756.200 Relay Service General Quality Standards

Service provided under this Part shall conform to 83 Ill. Adm. Code 730 or 737, as applicable, unless specifically indicated otherwise in this Part. In addition, no rule in this Part is intended to discourage or impair the development of improved technology that fosters the availability of telecommunications to persons with disabilities.

History

• Source: Amended at 41 Ill. Reg. 5446, effective May 5, 2017

83 Ill. Adm. Code 756.205 Relay Service Operations and Specifications

a) TRS as described in Section 756.100(a) shall operate at all times for all Illinois exchanges. Relay services that are not mandated as described in Section 756.100(b) by the FCC need not be provided at all times.

b) TRS shall have redundancy features functionally equivalent to the equipment in normal central offices, including uninterruptible power for emergency use.

c) TRS shall be designed to handle on a statewide basis the current calling volume, with capabilities to alter the facilities to handle the projected volume of calls.

d) At a minimum, TRS shall be accessed by callers via the 7-1-1 dialing code and a toll-free telephone number. The same toll-free telephone number shall be available to the Illinois relay system regardless of the relay system provider. Callers shall be required to dial (enter) no more than 11 digits in order to access the relay system.

e) TRS shall have a system for incoming emergency calls that, at a minimum, automatically and immediately transfers the caller to an appropriate PSAP. An appropriate PSAP is the designated PSAP to which a direct call from the particular number would be delivered. In addition, a CA must pass along the caller's telephone number to the PSAP when a caller disconnects before being connected to emergency services.

f) TRS users shall have access to their chosen interexchange carrier through the TRS and to all other operator services, to the same extent that access is provided to standard telephone users.

g) TRS shall transmit conversations between TTY and voice callers in real time. The relay service shall accept calls that can be dialed directly by a CA at the request of the originating caller. Specifically, the CA shall accept and complete TRS calls with the ability to transliterate text messages to voice and voice messages to text.

h) TRS shall ensure adequate TRS facility staffing to provide callers with efficient access under projected calling volumes, so that the probability of a busy response due to CA unavailability shall be functionally equivalent to what a voice caller would experience, as defined in 83 Ill. Adm. Code Part 730.520, in attempting to reach a party through the voice telephone network.

i) TRS facilities shall, except during network failure, answer 85% of all calls within 10 seconds by any method that results in the caller's call immediately being placed, not put in a queue or on hold. The 10 seconds begins at the time the call is delivered to the TRS facility's network. The call is considered delivered when the TRS facility's equipment accepts the call from the local telecommunications carrier and the public switched network actually delivers the call to the TRS center. Abandoned calls shall be included in the speed-of-answer calculation. A TRS provider's compliance with this subsection shall be measured on a daily basis. The system shall be designed to a P.01 standard. A telecommunications carrier shall provide the call attempt rates and the rates of calls blocked between the telecommunications carrier and the TRS facility to relay administrators and the TRS providers upon request.

j) Consistent with the obligations of telecommunications carrier operators, CAs are prohibited from refusing single or sequential calls or limiting the length of calls utilizing relay services.

k) TRS shall be capable of handling any type of call normally provided by carriers unless the FCC determines that it is not technologically feasible to do so. Relay service providers have the burden of proving the infeasibility of handling any type of call.

l) CAs must alert the TRS user to the presence of a recorded message and interactive menu through a hot key on the CA's terminal. The hot key will send text from the CA to the consumer's TTY indicating that a recording or interactive menu has been encountered. Relay providers shall electronically capture recorded messages and retain them for the length of the call. Relay providers may not impose any charges for additional calls, which must be made by the relay user in order to complete calls involving recorded or interactive messages.

m) TRS shall be capable of handling pay-per-call calls.

n) The system provider shall be permitted to decline to complete a call because credit authorization is denied.

o) A TRS facility shall ensure that adequate network facilities shall be used in conjunction with TRS so that, under projected calling volume, the probability of a busy response due to loop trunk congestion shall be functionally equivalent to what a voice caller would experience, as defined in 83 Ill. Adm. Code 730.520, in attempting to reach a party through the voice telephone network.

p) TRS facilities are permitted to use SS7 technology or any other type of similar technology to enhance the functional equivalency and quality of TRS. TRS facilities that utilize SS7 technology are independently subject to the Calling Party Telephone Number rules set forth at 47 CFR 64.1600 to 64.1604.

q) When a TRS facility is able to transmit any calling party identifying information to the public network, the TRS facility must pass through, to the called party, at least one of the following: the number of the TRS facility, 7-1-1, or the 10-digit number of the calling party.

History

• Source: Amended at 28 Ill. Reg. 6974, effective May 1, 2004

83 Ill. Adm. Code 756.210 Communications Assistant Standards

a) TRS providers are responsible for requiring that all CAs shall be sufficiently trained to effectively meet the specialized communications needs of individuals with hearing and speech disabilities. The system provider may request such training from organizations with prior experience in the provision of services to persons with disabilities. In addition, each CA shall have competent skills in typing, grammar, spelling, interpretation of typewritten ASL, and familiarity with hearing and speech disability cultures, languages and etiquette. CAs must possess clear and articulate voice communications. CAs must provide a typing speed of a minimum of 60 words per minute. Technological aids may be used to reach the required typing speed. Providers must give oral-to-type tests of CA speed. TRS providers are responsible for requiring that VRS CAs are qualified interpreters.

b) CAs are prohibited from disclosing the content of any relayed conversation regardless of content and, with a limited exception for STS CAs, from keeping records of the content of any conversation beyond the duration of a call.

1. Except for purposes of billing calls and as otherwise required or permitted by law, CAs shall not reveal information about any call, including the fact that the call occurred.

2. At the request of the user, STS CAs may retain information from a particular call in order to facilitate the completion of consecutive calls. The caller may request the STS CA to retain such information, or the CA may ask the caller if he wants the CA to repeat the same information during subsequent calls. The CA may retain the information only for as long as it takes to complete the subsequent calls.

3. Appropriate measures must be taken by relay providers to ensure that confidentiality of VRS users is maintained.

4. When training new CAs by the method of sharing past experiences, the trainers shall not reveal any of the following information:

A) Names, genders, or ages of the parties to the call;

B) Originating or terminating points of call; and

C) Specifics of the information conveyed in the call.

c) CAs are prohibited from altering a relayed conversation and, to the extent that it is not inconsistent with federal, State, or local law regarding the use of telecommunications carrier facilities for illegal purposes, must relay all conversations verbatim unless the relay user specifically requests summarization, or the user requests interpretation of an ASL call. An STS CA may facilitate the call of an STS user with a speech disability so long as the CA does not interfere with the independence of the user, the user maintains control of the conversation, and the user does not object.

d) CAs shall not counsel, advise or interject personal opinions or additional information into any communication which they are translating.

e) Any paper printouts made at a relay center of communications conducted over the relay service shall be destroyed at the completion of the call except as otherwise required or permitted by law.

f) No CA shall disconnect a call against the wishes of the originating and terminating parties without first obtaining the permission of the CA's supervisor. In the instance that a call is terminated, the supervisor shall log the reason for the termination and sign the log. The supervisor shall authorize such disconnections only in instances in which the caller is abusive to or intentionally uncooperative with the CA.

g) All CA calls shall be carefully supervised. Disconnects shall be made promptly at the end of each call.

h) CAs answering and placing a TTY-based TRS or VRS call must stay with the call for a minimum of 10 minutes. CAs answering and placing an STS call must stay with the call for a minimum of 15 minutes.

i) TRS providers must make best efforts to accommodate a TRS user's requested CA gender when a call is initiated and, if a transfer occurs, at the time the call is transferred to another CA.

j) Relay providers must offer STS users the option to maintain at the relay center a list of names and telephone numbers that the STS user calls. When the STS user requests one of these names, the CA must repeat the name and state the telephone number to the STS user. This information must be transferred to any new STS provider.

History

• Source: Amended at 28 Ill. Reg. 6974, effective May 1, 2004

83 Ill. Adm. Code 756.215 System Provider Reporting Requirements

a) The system provider shall maintain its records of relay service operations so as to permit review and determination of relay service results. Such records shall be made available during normal business hours for inspection by an individual telecommunications carrier, the ITAC, the Commission, the Advisory Council, or the Staff Liaison.

b) The system provider shall perform traffic studies and maintain records to the extent and frequency necessary to determine that the requirements of this Part and the contract are being met.

c) The system provider shall provide to the ITAC an annual report of operations, traffic patterns and accounting details of the relay system. The annual report shall be submitted to ITAC no later than February 28 of each year.

d) The ITAC, on behalf of the carriers, is obligated to review the relay system operations in order to assure the furnishing of service in accordance with the standards set forth in this Part.

History

• Source: Amended at 28 Ill. Reg. 6974, effective May 1, 2004

83 Ill. Adm. Code 756.220 Relay Service Billing and Collection Procedures

a) Any disputes or customer refusals to pay charges assessed for relay-assisted calls shall be governed by Section 756.15.

b) Uncollectible charges for relay-assisted calls shall be determined and treated the same as a telecommunications carrier's or IXC's other uncollectible charges.

c) Nonpayment of charges for relay-assisted calls shall be treated the same as nonpayment of other monthly charges collected from customers by telecommunications carriers or IXCs.

d) All billing for TRS shall comply with the requirements of Section 756.125(a) and (b).

History

• Source: Amended at 28 Ill. Reg. 6974, effective May 1, 2004

83 Ill. Adm. Code 756.225 Relay Service Revenues

a) Each telecommunications carrier shall remit to ITAC the revenues collected each month pursuant to Section 13-703(c) of the Act. Each Interconnected VoIP provider and each wireless carrier, with the exception of prepaid wireless telecommunications services, shall remit to ITAC the revenues collected each month pursuant to Section 13-703(f) of the Act. Each seller of prepaid wireless telecommunications services shall collect from its customers an assessment, as required by Section 13-703(f) of the Act and ordered by the Commission, and remit the assessment to the Illinois Department of Revenue. The Commission will distribute to ITAC amounts available to the Commission for distribution to ITAC, from remittances to the Illinois Department of Revenue, pursuant to Section 13-703(f).

b) From those revenues ITAC, on behalf of the carriers, shall pay the system provider for any fees or charges due under the contract specified in Section 756.120.

History

• Source: Amended at 41 Ill. Reg. 5446, effective May 5, 2017

83 Ill. Adm. Code 756.300 Staff Liaison

a) The Executive Director of the Illinois Commerce Commission shall appoint one Staff member to act as Staff Liaison to the programs required by Section 13-703 of the Act. The Staff Liaison shall serve as a contact person and advisor to the Advisory Council for the relay system program.

b) The Staff Liaison shall maintain a log of consumer complaints about TRS and must retain the log until the next application for FCC certification is granted. The log shall include, at a minimum, the date the complaint was filed, the nature of the complaint, the date of resolution, and an explanation of the resolution. Summaries of the logs must be submitted annually to the FCC and at the time of certification.

c) The name of the Staff Liaison as contact person or office for TRS consumer information and complaints about intrastate TRS shall be submitted to the FCC. This submission must include, at a minimum, the name and address of the State office that receives complaints, grievances, inquiries and suggestions, voice and TTY telephone numbers, fax number, e-mail address, and physical address to which correspondence should be sent.

d) The Staff Liaison shall be responsible for the compilation and coordination of the FCC filing for State relay certification or recertification. In addition, the Staff Liaison is responsible for coordination of the notification to the FCC of substantial changes in the State's TRS program within 60 days after the changes occur.

History

• Source: Amended at 28 Ill. Reg. 6974, effective May 1, 2004

83 Ill. Adm. Code 756.305 Advisory Council Rights

a) ITAC and the telecommunications carrier shall serve notice of all filings, reports, or other information pertaining to the relay service provided to the Commission on the chairperson of the Advisory Council.

b) Upon the receipt of complaints concerning the relay service, the system provider, ITAC or the telecommunications carrier staff shall inform the complainant that if the complainant remains dissatisfied in the complainant's dispute, the complainant may contact the Advisory Council. The system provider, ITAC, or the telecommunications carrier staff shall provide the complainant with the name, telephone number and business address of designated members of the Advisory Council and inform the recipient that the Advisory Council may be able to aid the complainant in the complainant's dispute.

History

• Source: Amended at 41 Ill. Reg. 5446, effective May 5, 2017

83 Ill. Adm. Code 756.310 Biannual Workshop

The Staff Liaison shall include a review of the relay service program's development on its agenda for the biannual workshop required by 83 Ill. Adm. Code 755.415.

Part 757 Telephone Assistance Programs

83 Ill. Adm. Code 757.10 Definitions

For the purpose of this Part:

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

"Broadband internet access service" or "BIAS" has the meaning ascribed in 47 CFR 54.400 (July 1, 2017).

"Commission" means the Illinois Commerce Commission.

"Eligible new subscriber" is an applicant for local exchange service or broadband internet access service who meets the eligibility guidelines set forth in Section 757.225. As used in this Part, a subscriber who meets the eligibility criteria set forth in Section 757.225 who relocates his or her principal place of residence is also an eligible new subscriber.

"Eligible subscriber" is any individual currently subscribing to local exchange service who meets the eligibility guidelines set forth in Section 757.225.

"Eligible telecommunications carrier" has the meaning given to it at 47 CFR 54.201, as amended through the FCC's Third Report and Order, Further Report and Order and Order on Reconsideration, FCC 16-38, WC Docket Nos. 11-42, 09-197 and 10-90 (released April 27, 2016). This incorporation does not include any later amendments or editions.

"LEC" means "local exchange carrier", which is a telecommunications carrier providing local exchange telecommunications service as defined in Section 13-204 of the Act [220 ILCS 5].

"Lifeline" means "Lifeline service", as defined in Section 13-301.1(c) of the Act.

"Local exchange service charge waiver" means any reduction in a participant's initial local exchange service installation charge or local exchange service obligation in the amount established under this Part.

"Local exchange service installation charge" means those charges pursuant to either a tariff filed with the Commission or, if no tariff is filed, a written service offering available on the local exchange carrier's website assessed for connecting an eligible new subscriber to the network. These charges do not include security deposit requirements.

"Local exchange service" means local exchange telecommunications service as defined in Section 13-204 of the Act.

"Local exchange service obligation" means those charges pursuant to either a tariff filed with the Commission or, if no tariff is filed, a written service offering available on the local exchange carrier's website assessed on a monthly basis for access to the network. These charges do not include taxes.

"Member Agreement" means the contract between an LEC and a UTAC.

"Program" or "plan" means the telephone assistance programs offered under this Part.

"Proxy Programs" include the assistance programs identified in 47 CFR 54.409, as amended through the FCC's Third Report and Order, Further Report and Order and Order on Reconsideration, FCC 16-38, WC Docket Nos. 11-42, 09-197 and 10-90 (released April 27, 2016), which include, with respect to Illinois, only: Medicaid; Supplemental Nutrition Assistance Program; Supplemental Security Income; Federal Public Housing Assistance; and Veterans and Survivors Pension Benefit. This incorporation does not include any later amendments or editions.

"Staff" means individuals employed by the Illinois Commerce Commission, exclusive of Commissioners.

"UTAC" means the Universal Telephone Assistance Corporation, an Illinois not-for-profit corporation responsible for the administration of the UTSAP as described in Section 757.215.

"UTSAP" means the Universal Telephone Service Assistance Program in which all Illinois LECs shall participate as provided in Section 757.200.

"UTSAP Administrator" is the Universal Telephone Assistance Corporation, an Illinois not-for-profit corporation responsible for the administration of the UTSAP as described in Section 757.215.

History

• Source: Amended at 42 Ill. Reg. 16417, effective August 15, 2018

83 Ill. Adm. Code 757.15 Dispute Procedures

Low-income subscribers seeking or receiving benefits under the Illinois UTSAP program may appeal to the Commission's Consumer Services Division pursuant to 83 Ill. Adm. Code 735.

History

• Source: Amended at 37 Ill. Reg. 11287, effective July 2, 2013

83 Ill. Adm. Code 757.100 Link Up Service Requirement (repealed)

History

• Source: Repealed at 37 Ill. Reg. 11287, effective July 2, 2013

83 Ill. Adm. Code 757.105 Link Up Recovery Mechanism (repealed)

History

• Source: Repealed at 37 Ill. Reg. 11287, effective July 2, 2013

83 Ill. Adm. Code 757.110 Link Up Publicity (repealed)

History

• Source: Repealed at 37 Ill. Reg. 11287, effective July 2, 2013

83 Ill. Adm. Code 757.115 Link Up Application Procedure and Processing (repealed)

History

• Source: Repealed at 37 Ill. Reg. 11287, effective July 2, 2013

83 Ill. Adm. Code 757.120 Link Up Filing Requirements (repealed)

History

• Source: Repealed at 37 Ill. Reg. 11287, effective July 2, 2013

83 Ill. Adm. Code 757.125 Link Up Eligibility (repealed)

History

• Source: Repealed at 37 Ill. Reg. 11287, effective July 2, 2013

83 Ill. Adm. Code 757.130 Link Up Eligibility Certification (repealed)

History

• Source: Repealed at 37 Ill. Reg. 11287, effective July 2, 2013

83 Ill. Adm. Code 757.200 Service Requirement

a) Each LEC shall participate in the local exchange service portions of the Universal Telephone Service Assistance Program (UTSAP) as required and authorized by Section 13-301.1 of the Public Utilities Act and as ordered by the Commission. All voluntary contributions received by an LEC under Section 757.205 shall be forwarded to the UTSAP Administrator, consistent with the provisions of Section 757.210(d). The UTSAP Administrator shall invest these funds in:

1. Securities backed by the United States government or its agencies;

2. Investment grade bonds with remaining terms to maturity of three years or less;

3. Mutual funds that invest no less than 80% of their assets in bonds backed by the United States government or its agencies;

4. Investment grade bonds, with weighted-average remaining terms to maturity of three years or less; or

5. Federal Deposit Insurance Corporation (FDIC)-insured certificates of deposit, FDIC-insured money market accounts, and other cash equivalent FDIC-insured investments.

b) On July 1 of each year, UTAC shall file with the Commission a petition requesting the Commission to determine the amount of supplemental assistance, if any, UTAC shall provide each eligible new subscriber or eligible subscriber under the programs set forth in subsection (c). The petition shall contain recommendations of the UTSAP Administrator as provided in Section 757.215(c). The Commission may enter an order without a hearing; however, a hearing shall be held if requested by a party or by Staff within 30 days after the date the petition is filed, and a hearing may also be held on the Commission's or the Administrative Law Judge's own motion. The Commission shall determine, subject to the availability of funds, the amount of supplemental assistance, if any, the LECs shall provide each eligible new subscriber or eligible subscriber under the programs set forth in subsection (c).

c) UTSAP may provide assistance or, in the case of customers of eligible telecommunications carriers, supplement the assistance as provided by Section 13-301.1 of the Act, including, but not limited to:

1. a local exchange service charge waiver of the local exchange service installation charges for eligible new subscribers of local exchange service;

2. a local exchange service charge waiver of all or a portion of the local exchange service obligation of eligible subscribers or eligible new subscribers, which, in the case of eligible telecommunications carriers, is supplemental to any federal Lifeline assistance;

3. a combination of both subsections (c)(1) and (2) as ordered by the Commission under subsections (b), (d), and (e); or

4. any other program authorized by Section 13-301.1 of the Act.

d) Limitation of Eligibility

1. If the Commission determines that a local exchange service charge waiver of all or a portion of the local exchange service obligation should be provided by the UTSAP, in the form of State Lifeline service support or otherwise, the Commission may, if it deems necessary, limit eligibility to:

A) one or more of the individual Proxy Programs identified in the definition of "Proxy Programs" in Section 757.10; or

B) one or more subprograms within, or components of, an individual Proxy Program.

2. Any proposals to limit eligibility pursuant to this subsection (d) shall be made as part of the petition filed annually under subsection (b).

3. The Commission shall adopt a proposal that limits eligibility for assistance to one or more Proxy Programs or subprograms or components thereof pursuant to this subsection (d) only if it finds that:

A) participation in the Proxy Program, subprogram, or component can be verified;

B) the funds available to the UTSAP from voluntary contributions are sufficient and predictable, so as to permit the UTSAP to provide State Lifeline support to all subscribers or all new subscribers within the Proxy Program, subprogram, or component on an ongoing basis;

C) the proposal will increase accessibility to telecommunications services;

D) the proposal adequately considers the needs of and potential benefits to participants in the Proxy Programs; and

E) the proposal establishes narrowly targeted qualification criteria that are based solely on income or factors directly related to income, consistent with 47 CFR 54.409, as amended through the FCC's Third Report and Order, Further Report and Order and Order on Reconsideration, FCC 16-38, WC Docket Nos. 11-42, 09-197 and 10-90 (released April 27, 2016). This incorporation does not include any later amendments or editions.

e) The Commission, on its own motion, or based upon a petition filed by the UTSAP Administrator, may order the LECs to temporarily suspend payment of or temporarily reduce the amount of the supplemental assistance provided under the programs set forth in Section 757.200(c), if the total program costs, in combination with the costs of any other programs administered by UTAC subject to this Part, exceed, or will exceed, the funds available from contributions specified in Section 757.205. If the Commission suspends or reduces the amount of payments under this Section, the Commission shall determine, subject to the availability of funds, the amount of supplemental assistance, if any, the LECs shall provide each eligible new subscriber or eligible subscriber under the programs set forth in subsection (c).

History

• Source: Amended at 42 Ill. Reg. 16417, effective August 15, 2018

83 Ill. Adm. Code 757.205 Utsap Funding

a) All funding for UTSAP will be by voluntary contributions.

b) Customers wishing to participate in the funding of UTSAP may do so by electing to contribute, on a monthly basis, a fixed amount to be included by the LEC on the customer's monthly bill for local exchange service. This contribution shall not reduce the customer's total amount due for local exchange services or other charges appearing on the bill.

c) Residential customers may elect to contribute either $.50, $1.00, $2.00 or $5.00 per month. Business customers may elect to contribute $1.00, $5.00, $10.00 or $25.00 per month. Contributions will be collected on a recurring basis each month from the customer's bill remittance and will be reported and transferred to the UTSAP Administrator as specified in Section 757.210(c).

d) Customers may elect to discontinue or change the amount of the monthly contribution on their bill at any time upon providing at least 30 days' notice to the LEC.

e) LECs shall provide local exchange service customers the ability and the opportunity to make the elections referred to in subsections (b), (c) and (d) on the bill inserts required by Section 757.220(a).

f) Failure by the customer in any month to remit the entire billed amount shall reduce the UTSAP contribution accordingly.

g) One time or periodic contributions in excess of those amounts shown in subsection (d) shall be made directly to the UTSAP Administrator.

h) There are no other funding requirements on any party or individual for UTSAP above and beyond those shown in this Section.

History

• Source: Amended at 42 Ill. Reg. 16417, effective August 15, 2018

83 Ill. Adm. Code 757.210 Utsap Recovery

Costs incurred as a result of providing local exchange service under Section 757.200 shall be recovered in the following manner:

a) The LECs shall deduct the local exchange service charge waivers provided to participants for local exchange service obligations and any additional local exchange service charge waivers of the initial local exchange service installation charge as specified in Section 757.200 from the voluntary UTSAP contributions. Each LEC shall forward to the UTSAP Administrator voluntary UTSAP contributions net of installation local exchange service charge waivers and Lifeline local exchange service charge waivers provided pursuant to Section 757.200(c).

b) The LECs shall be allowed to recover their administrative costs associated with the UTSAP from the voluntary UTSAP contributions. If seeking recovery, administrative costs shall be reported by LECs annually to the Commission and the UTSAP Administrator through reports in the form of Exhibit B.

c) Each LEC with more than 35,000 access lines shall report in the form of Exhibit C and remit monthly to the UTSAP Administrator, and shall report quarterly in the form of Exhibit A to the Commission and the UTSAP Administrator. Each LEC with 35,000 or fewer access lines shall report quarterly in the form of Exhibits A and C to the Commission and the UTSAP Administrator, and shall remit quarterly to the UTSAP Administrator.

d) The monthly LEC reports to the UTSAP Administrator required of LECs with more than 35,000 access lines shall be in the form of Exhibit C and shall include:

1. the total UTSAP contributions billed, less adjustments for previous months UTSAP contributions billed but not collected;

2. the total amount of local exchange service obligations waived;

3. the amount of the additional local exchange service charge waivers of the initial local exchange service installation charges as specified in Section 757.200; and

4. any allowable administrative expenses incurred as specified in subsection (b).

e) Costs of the UTSAP Administrator and its functions will be recovered from the UTSAP contributions before any other payments are made under the plan.

f) Subject to its jurisdiction, the Commission may examine at any time the reasonableness of the LEC's costs incurred solely because of participation in UTSAP. If the Commission determines, after notice and hearing, that those expenditures are not reasonable, the LEC shall remit the amounts determined not to be reasonable to the UTSAP Administrator.

History

• Source: Amended at 42 Ill. Reg. 16417, effective August 15, 2018

83 Ill. Adm. Code 757.215 Utsap Administrator

a) All Illinois LECs shall be members of the Universal Telephone Assistance Corporation (UTAC), an Illinois not-for-profit corporation that will serve as the UTSAP Administrator.

b) The UTAC Board will consist of 9 members. There shall be three classes of directors: one class consisting of 5 directors who shall be elected from five or more nominations made by the LECs, one class consisting of two directors who shall be elected from two or more nominations made by the Attorney General and the Citizens Utility Board, and one class consisting of two directors who shall be elected from two or more nominations made by the National People's Action, the Community Action for Fair Utility Practice, and the South Austin Coalition Community Council. The directors of all three classes shall be elected by a vote of the members of UTAC.

c) The responsibilities of the UTAC, as the UTSAP Administrator, shall be:

1. to administer a statewide UTSAP pool to which all LECs will report UTSAP contributions and expenses.

2. to collect UTSAP contributions net of installation and Lifeline local exchange service charge waivers provided pursuant to Section 757.200(c) and reimburse LECs for their administrative expenses.

3. to advise the Commission at any time that the total program costs exceed or will exceed the total contributions, so that the Commission may consider suspending any UTSAP programs or reducing the amount of assistance until such time as there are sufficient funds available to offset the costs.

4. to assess the total UTSAP costs and the total UTSAP revenues and to petition the Commission pursuant to Section 757.200(b) and (d) for the purpose of recommending any changes in the local exchange service charge waiver amounts, the establishment of any new UTSAP programs, or the discontinuance of any existing programs.

5. to provide external promotion and advertising of UTSAP programs in conformance with and in addition to that specified in Section 757.220.

d) The UTAC, with Board approval, may contract with an outside agency to establish and maintain the UTSAP pooling function. The UTAC shall obtain Commission approval of any such contract.

e) The UTSAP Administrator shall request bids and seek Commission approval of all contracts exceeding $25,000.

f) To receive a payment from the UTSAP Administrator, an LEC must comply with Section 13-301.1 of the Act, all requirements of this Part, and the bylaws and Member Agreement of the UTSAP Administrator.

1. The UTSAP Administrator may request information in writing regarding an LEC's payment request. An LEC shall have 14 business days to respond. The UTSAP Administrator may temporarily withhold payment for 60 calendar days after the filing due dates in Section 757.250, or deny, in whole or in part, an LEC payment request if the request is not adequately documented, is inaccurate, or does not comply with all requirements of this Part, Section 13-301.1 of the Act, and the bylaws and Member Agreement of the UTSAP Administrator.

2. The UTSAP Administrator shall notify an LEC in writing, by U.S. mail to the LEC's address of record, of a decision to deny a payment request.

3. An LEC denied a payment request shall have 60 calendar days after the mailing date of the UTSAP Administrator's denial notification to file a complaint pursuant to 83 Ill. Adm. Code 200.170.

History

• Source: Amended at 42 Ill. Reg. 16417, effective August 15, 2018

83 Ill. Adm. Code 757.220 Utsap Contribution Solicitation and Program Publicity

a) All LECs shall publicize the UTSAP to encourage contributions.

1. Annually, each LEC shall notify its local exchange service customers that they may elect to participate in the funding of UTSAP by electing to contribute, on a monthly basis, a fixed amount to be included in monthly bills until canceled by the customer.

2. The customer notification specified in subsection (a)(1) shall be in the form of an insert in the customer bill. The mailing will specify fixed monthly amounts from which customers wishing to contribute may choose. In addition, the bill insert shall contain a phone number, post card or a mailing address that the customer may use to contact the LEC in order to initiate monthly contribution billing.

3. On an ongoing basis, at least once each quarter, each LEC shall solicit UTSAP contributions from its local exchange service customers through bill inserts, news releases, LEC publications or other suitable means.

4. The LEC will inform customers that they may contribute to UTSAP in connection with all orders for new service installation or move of service within the LEC's territory.

b) Each LEC shall publicize, in all of its exchanges, each local exchange service program offered by the LEC under this Subpart C at least once each calendar quarter. These advertisements may appear in press releases, brochures, bill inserts, LEC publications, newspapers, radio, television and/or any other suitable means in the LEC's service territory.

History

• Source: Amended at 42 Ill. Reg. 16417, effective August 15, 2018

83 Ill. Adm. Code 757.225 Utsap Eligibility

a) In order to be eligible to receive benefits under the UTSAP Program described in this Subpart C, an individual must meet the Lifeline Program eligibility criteria adopted by the FCC in 47 CFR 54.409, as amended through the FCC's Third Report and Order, Further Report and Order and Order on Reconsideration, FCC 16-38, WC Docket Nos. 11-42, 09-197 and 10-90 (released April 27, 2016).

b) Benefits available under the UTSAP program shall be limited to one discount per household at the principal place of residence of the eligible subscriber.

History

• Source: Amended at 42 Ill. Reg. 16417, effective August 15, 2018

83 Ill. Adm. Code 757.230 Utsap Application Procedure and Processing

The LECs shall be responsible for processing all UTSAP applications related to local exchange service.

History

• Source: Amended at 42 Ill. Reg. 16417, effective August 15, 2018

83 Ill. Adm. Code 757.235 Lec Utsap Eligibility Determination

The LEC shall verify that the individual in the UTSAP for local exchange service qualifies as an eligible subscriber or eligible new subscriber, as applicable. The LEC may rely on eligibility verification provided by a National FCC Lifeline Eligibility Verifier, if one is available for the federal Lifeline Program, or directly verify that the individual in the UTSAP for local exchange service qualifies as an eligible subscriber or eligible new subscriber, as applicable.

History

• Source: Amended at 42 Ill. Reg. 16417, effective August 15, 2018

83 Ill. Adm. Code 757.240 Recertification (repealed)

History

• Source: Repealed at 22 Ill. Reg. 8810, effective May 9, 1998

83 Ill. Adm. Code 757.245 Utsap Filing Requirements

a) LECs shall provide for, in tariffs filed with the Commission or in written service offerings available on their websites, an additional local exchange service charge waiver of the initial local exchange service installation charge and/or a Lifeline local exchange service charge waiver pursuant to orders of the Commission under Section 757.200 authorizing such supplemental assistance programs.

b) UTAC shall file with the Commission, on a quarterly basis, a report containing the information specified in Exhibit D.

c) UTAC shall file with the Commission copies of the minutes of all meetings of the Board of Directors of UTAC.

History

• Source: Amended at 42 Ill. Reg. 16417, effective August 15, 2018

83 Ill. Adm. Code 757.250 Lec Filing Requirements

Each LEC shall complete Exhibit A and file an original of this report with the Chief Clerk of the Illinois Commerce Commission within 30 days after the end of each calendar quarter. Any LEC seeking administrative cost reimbursement shall complete Exhibit B and file an original of this report with the Chief Clerk of the Illinois Commerce Commission within 30 days after the end of each calendar year.

History

• Source: Added at 42 Ill. Reg. 16417, effective August 15, 2018

83 Ill. Adm. Code 757.300 Staff Liaison

a) The Executive Director of the Illinois Commerce Commission shall appoint one Staff member to act as Staff Liaison to the programs provided under this Part. The Staff Liaison shall serve as contact person, advisor, and monitor of the UTSAP Administrator and low-income residential customers.

b) The UTSAP Administrator and the LECs shall serve one copy of all filings, reports or other information provided to the Commission under this Part on the Staff Liaison.

History

• Source: Amended at 20 Ill. Reg. 15257, effective December 1, 1996

83 Ill. Adm. Code 757.400 Lifeline Service Requirements

a) Each eligible telecommunications carrier shall participate in the Lifeline Program adopted by the FCC in 47 CFR 54.Subpart E, as amended through the FCC's Third Report and Order, Further Report and Order and Order on Reconsideration, FCC 16-38, WC Docket Nos. 11-42, 09-197 and 10-90 (released April 27, 2016). This incorporation does not include any later amendments or editions.

b) Each eligible telecommunications carrier shall comply with all Lifeline Program requirements adopted by the FCC in 47 CFR 54.Subpart E, as amended through the FCC's Third Report and Order, Further Report and Order and Order on Reconsideration, FCC 16-38, WC Docket Nos. 11-42, 09-197 and 10-90 (released April 27, 2016). This incorporation does not include any later amendments or editions.

c) Each eligible telecommunications carrier shall meet additional Lifeline service requirements, if any, established by Commission Order.

d) Each eligible telecommunications carrier shall complete Exhibit A and file an original of this report with the Chief Clerk of the Illinois Commerce Commission within 30 days after the end of each calendar quarter. Carriers that have eligible telecommunications carrier designations for both wireline and wireless operations shall report separately for wireline and wireless operations. Any LEC seeking administrative cost reimbursement shall complete Exhibit B and file an original of this report with the Chief Clerk of the Illinois Commerce Commission within 30 days after the end of each calendar year.

History

• Source: Amended at 42 Ill. Reg. 16417, effective August 15, 2018

83 Ill. Adm. Code 757.405 Lifeline Recovery Mechanism (repealed)

History

• Source: Repealed at 37 Ill. Reg. 11287, effective July 2, 2013

83 Ill. Adm. Code 757.410 Lifeline Publicity (repealed)

History

• Source: Repealed at 37 Ill. Reg. 11287, effective July 2, 2013

83 Ill. Adm. Code 757.415 Lifeline Application Procedures and Processing (repealed)

History

• Source: Repealed at 37 Ill. Reg. 11287, effective July 2, 2013

83 Ill. Adm. Code 757.420 Lifeline Filing Requirements (repealed)

History

• Source: Repealed at 37 Ill. Reg. 11287, effective July 2, 2013

83 Ill. Adm. Code 757.425 Lifeline Eligibility

In order to be eligible to receive benefits under the Lifeline Program described in this Subpart E an individual must:

a) Meet Lifeline Program eligibility criteria adopted by the FCC in 47 CFR 54.Subpart E, as amended through the FCC's Third Report and Order, Further Report and Order and Order on Reconsideration, FCC 16-38, WC Docket Nos. 11-42, 09-197 and 10-90 (released April 27, 2016). This incorporation does not include any later amendments or editions.

b) Meet additional eligibility criteria, if any, established by the Commission pursuant to Section 757.200(d).

History

• Source: Amended at 42 Ill. Reg. 16417, effective August 15, 2018

83 Ill. Adm. Code 757.430 Lifeline Eligibility Certification and Verification (repealed)

History

• Source: Repealed at 37 Ill. Reg. 11287, effective July 2, 2013

83 Ill. Adm. Code 757.500 Bias Program Administration

a) Notwithstanding any other provision of this Part, UTAC may develop a recommendation for UTAC to administer a program to provide assistance to eligible customers and/or eligible new customers of BIAS offered by BIAS providers that voluntarily participate in that program. If UTAC elects to develop such a recommendation, UTAC shall file with the Commission a petition requesting the Commission to approve the recommended program and determine the amount of assistance UTAC shall provide each eligible new subscriber or eligible subscriber under the program. The petition shall contain recommendations of the UTSAP Administrator as to the amount of the assistance. The Commission may enter an order adopting UTAC's recommendation without a hearing; however, a hearing shall be held if requested by a party or by Staff within 30 days after the date the petition is filed, and a hearing may also be held on the Commission's own motion.

b) On July 1 of each year thereafter, UTAC shall file with the Commission a petition requesting the Commission to redetermine the amount, if any, UTAC shall provide each eligible new subscriber or eligible subscriber under the programs set forth in this subsection (b). The petition shall contain recommendations of the UTSAP Administrator of the amount of that assistance. The Commission may enter an order without a hearing; however, a hearing shall be held if requested by a party or by Staff within 30 days after the date the petition is filed, and a hearing may also be held on the Commission's own motion. The Commission shall determine, subject to the availability of funds, the amount of supplemental assistance, if any, the providers shall provide each eligible new subscriber or eligible subscriber. The petition filed pursuant to this subsection (b) shall be filed together with the petition filed pursuant to Section 757.200(b).

c) The Commission, on its own motion, or based upon a petition filed by the UTSAP Administrator, may order the suspension of payments or temporarily reduce the amount of the supplemental assistance provided under the programs set forth in this Section if the total program costs, in combination with the costs of any other programs administered by UTAC subject to this Part, exceed, or will exceed, the funds available from contributions specified in Section 757.205. If the Commission suspends or reduces the amount of payments under this Section, the Commission shall determine, subject to the availability of funds, the amount of supplemental assistance, if any, the providers shall provide each eligible new subscriber or eligible subscriber.

d) Whenever UTAC elects or is obligated to make a filing under this Section or any other provision of this Part, UTAC may address BIAS and local exchange service in the same filing, provided that any discussion of programs, supplemental assistance or recommendations shall clearly identify whether the discussion pertains to BIAS, local exchange service, or both.

e) If and when UTAC develops a recommendation for UTAC to administer a program to provide assistance to eligible customers and/or eligible new customers of BIAS offered by BIAS providers that voluntarily participate in that program, UTAC may propose to extend the BIAS program to include assistance to eligible customers and/or eligible new customers of Voice Telephony Service (as that term is defined in 47 CFR 54.400 (July 1, 2017)) other than local exchange service offered by Voice Telephony Service providers that voluntarily participate in the BIAS program.

History

• Source: Added at 42 Ill. Reg. 16417, effective August 15, 2018

83 Ill. Adm. Code 757.EXHIBIT A Lec and Etc Quarterly Report to Commission

LIFELINE AND

UNIVERSAL TELEPHONE SERVICE ASSISTANCE PROGRAMS

QUARTERLY REPORT TO THE ILLINOIS COMMERCE COMMISSION

Company

Mailing

Address

Date of Submission

Data Period:

Year

Quarter: 1st 2nd 3rd 4th

Contact Name

Type of Filing: Original Correction

Telephone

Service Type: Wireline Wireless

Program

(a)

Month:

(b)

Month:

(c)

Month:

(d)

Quarter Totals

(e)

Year-to-Date Totals:

1.0 UTSAP INSTALLATION WAIVER

1.1 Number of applications approved during the month

1.2 Number of customers for whom supplemental local exchange service installation charges were waived during the month

1.3 Supplemental local exchange service installation charges waived

$

$

$

$

$

2.0 LIFELINE – FEDERAL

2.1 Number of Federal Lifeline customers at end of month

2.2 Number of Illinois Federal Lifeline applications approved during the month

2.3 Number of Illinois Federal Lifeline customers added during the month

2.4 Number of Illinois Federal Lifeline customers lost during the month

2.5 Total Illinois Federal Lifeline Assistance

$

$

$

$

$

3.0 LIFELINE – UTSAP

SUPPLEMENTAL

MONTHLY ASSISTANCE

3.1 Number of UTSAP funded Lifeline customers at end of month

**

3.2 Number of UTSAP funded Lifeline applications approved during the month

3.3 Number of UTSAP funded Lifeline customers added during the month

$

$

$

$

$

3.4 Number of UTSAP funded Lifeline customers lost during the month

3.5 UTSAP funded total Lifeline Supplemental Assistance

NOTES:

a) Each LEC must file the original of this Exhibit A with the Chief Clerk of Illinois Commerce Commission and forward a copy to the UTSAP Administrator and the Staff Liaison within 30 days after the end of each calendar quarter. Each ETC, if not otherwise required by this Part, shall complete the "LIFELINE AND UNIVERSAL TELEPHONE SERVICE ASSISTANCE PROGRAMS QUARTERLY REPORT TO THE ILLINOIS COMMERCE COMMISSION" portion of this Exhibit A and file an original of this report with the Chief Clerk of the Illinois Commerce Commission within 30 days after the end of each calendar quarter unless the ETC participates solely in BIAS programs subject to this Part.

b) A Lifeline customer should be counted as approved during the month if the LEC accepts the customer for participation in the Lifeline Program during the month. A Lifeline customer should be counted as added during a month if the LEC provided an initial Lifeline subsidy to the customer during the month and claimed reimbursement for the subsidy. Please note that counts of approved and added customers will differ to the extent that customers approved in a month are not added (i.e., provided service and Lifeline subsidies) until subsequent months. A Lifeline customer should be counted as lost during a month if the LEC ceased providing the Lifeline subsidy to the customer during the month and did not claim reimbursement for the subsidy.

QUARTERLY REPORT TO THE ILLINOIS COMMERCE COMMISSION

STATUS OF UTSAP EXPENDITURES

LOCAL EXCHANGE COMPANY:

FOR CALENDAR QUARTER ENDING:

UTSAP EXPENDITURE REPORT

Current Quarter

Year to Date*

Telecommunications Expenses

a.

Billing and Data Processing

$

$

b.

Customer Notification and Bill Inserts

c.

Certification Administration (LEC) and Contact Time

(Total of Lines 1-6 below)

Salaries & Fringe Benefits

Materials

3

Postage

Transportation Expenses

Preprinted Forms

Other

d.

Certification Administration (IDPA/SSI)

e.

Service Representative Training

f.

Other, please specify

---

TOTALS

$

$

Less UTSAP Reimbursement Received

$

$

BALANCES

$

$

Includes Current Quarter

NOTES::

Each Local Exchange Company must file the original of this Exhibit A with the Chief Clerk of the Illinois Commerce Commission and forward a copy to the UTSAP Administrator and the Staff Liaison within 30 days after the end of each calendar quarter. Expenses associated with the Federal Lifeline Program should not be reported on this form.

LECs shall maintain supporting documentation in such a manner as to be able to readily identify the above expenses in appropriate subaccounts.

Quarterly "Totals" reported on this page should correspond to the sum of the monthly "Administrative Costs" reported on Exhibit B by LECs with over 35,000 access lines.

History

• Source: Amended at 42 Ill. Reg. 16417, effective August 15, 2018

83 Ill. Adm. Code 757.EXHIBIT B LEC Annual Report to the Commission

LOCAL EXCHANGE COMPANY:

FOR CALENDAR YEAR ENDING:

UTSAP EXPENDITURE REPORT

Calendar Year

Telecommunications Expenses

a.

Billing and Data Processing

$

b.

Customer Notification and Bill Inserts

c.

Certification Administration (LEC) and Contact Time

(Total of Lines 1-5 below)

Materials

Postage

Transportation Expenses

Preprinted Forms

Other

d.

Certification Administration (HFS/SSI)

e.

Service Representative Training

f.

Other, please specify

TOTAL

$

Less UTSAP Reimbursement Received

$

BALANCE

$

2. Notes:

History

• Source: Added at 37 Ill. Reg. 11287, effective July 2, 2013

Chapter I Illinois Commerce Commission

Subchapter f Telephone Utilities

Part 757 Telephone Assistance Programs

83 Ill. Adm. Code 757.EXHIBIT C Lec Supplemental Assistance Charge and Contributions Report

Monthly/Quarterly LEC Supplemental Assistance Charge and Contribution Report

LEC

Month/Quarter

Contributions:

a)

Total Contribution Billed

b)

Less Uncollectible Contributions

from previous months

c)

Total Contributions

Supplemental Assistance:

a)

Total Supplemental Local Exchange Service Installation Charges

(Exhibit A, line 1.3)

b)

Total Monthly Supplemental

Assistance (Exhibit A, line 3.5)

c)

Total Supplemental Assistance

Amount Due from UTSAP Administrator

(Supplemental Assistance exceeds Contributions)

or

Amount to be Remitted to UTSAP

Administrative (Contributions exceed

Supplemental Assistance

Administrative Costs

Note: Exhibit C is to be forwarded monthly to the UTSAP Administrator by LECs with more than 35,000 access lines and quarterly by LECs with fewer than 35,000 access lines.

History

• Source: Amended at 42 Ill. Reg. 16417, effective August 15, 2018

83 Ill. Adm. Code 757.EXHIBIT D Quarterly Utsap Administrator Report to Commission

Quarterly UTSAP Administrator Report

For Calendar Quarter Ending

Balance in Pool at Beginning of Quarter

Total Contributions to UTSAP

a)

Billed by LECs

b)

Directly to UTSAP Administrator

c)

Interest Earned

d)

Less Uncollected Contributions

Total Contributions

Total Costs

a)

LEC Supplemental Installation

Charges

b)

LEC Supplemental Monthly Assistance

c)

LEC Administrative Expenses

d)

UTSAP Administrator Expenses

Total Costs

Balance in Pool at End of Quarter

(Line 1 plus Line 2 minus Line 3)

History

• Source: Exhibit C reunumbered to Exhibit D at 37 Ill. Reg. 11287, effective July 2, 2013

83 Ill. Adm. Code 757.EXHIBIT E Lifeline Verification Ineligibility Notice (repealed)

History

• Source: Exhibit D renumbered to Exhibit E and repealed at 37 Ill. Reg. 11287, effective July 2, 2013

83 Ill. Adm. Code 757.EXHIBIT F Link Up/Lifeline Programs Certification Form (repealed)

History

• Source: Exhibit E renumbered to Exhibit F and repealed at 37 Ill. Reg. 11287, effective July 2, 2013

Part 758 Program to Foster the Elimination of the Digital Divide

83 Ill. Adm. Code 758.10 Definitions

When used in this Part, the listed terms will have the definitions given in this Section.

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

"Commission" means the Illinois Commerce Commission.

"Customer" means any person, building owner, firm, partnership, corporation, municipality, cooperative, organization, governmental agency, etc., provided with local exchange carrier telecommunications services as defined in Section 13-204 of the Act [220 ILCS 5/13-204]. "Customer" may also be referred to as "end-user".

"Department" means the Department of Commerce and Community Affairs (DCCA).

"Program" means the Program to foster the elimination of the digital divide established pursuant to Section 13-301.2 of the Act [220 ILCS 5/13-301.2].

"Telecommunications carrier" or "carrier" means a telecommunications carrier as that term is defined in Section 13-202 of the Act [220 ILCS 5/13-202] that is providing local exchange telecommunications service as defined in Section 13-204 of the Act.

83 Ill. Adm. Code 758.20 Dispute Procedures

Disputes arising under this Part shall be governed by 83 Ill. Adm. Code 735.190 and 735.200.

83 Ill. Adm. Code 758.30 Service Requirement

a) Each telecommunications carrier shall participate in the notification, collection, and remittance of the monthly voluntary contributions to support the Program.

b) By August 14, 2002, each telecommunications carrier shall file with the Commission a tariff pursuant to Section 13-301.2 of the Act for the provision of the Program.

c) All voluntary contributions received by a telecommunications carrier under Section 758.50 shall be forwarded to the Department for deposit into the Digital Divide Elimination Fund.

83 Ill. Adm. Code 758.40 Contribution Solicitation and Program Publicity

All telecommunications carriers shall publicize the Program to encourage contributions.

a) Annually, each telecommunications carrier shall notify its customers that they may elect to participate in the funding of the Program by electing to contribute, on a monthly basis, a fixed amount to be included in the monthly bills until cancelled by the customers.

b) The customer notification specified in subsection (a) of this Section shall be in the form of a paper or electronic insert or message in the customers bill. The document, as proposed by the Department, shall specify fixed monthly amounts from which customers wishing to contribute may choose. In addition, the document shall contain a telephone number, postcard, mailing address, or e-mail address, if available, that the customer may use to contact the telecommunications carrier in order to initiate monthly contribution billing.

c) On an ongoing basis, the Department shall advertise the program.

d) Telecommunication carrier's directories may include an explanation of the Program as proposed by the Department.

e) The telecommunications carrier shall inform customers verbally or in written format that they may contribute to the Program with all orders for new service installation.

83 Ill. Adm. Code 758.50 Contributions

a) Customers wishing to participate in the funding of the Program may do so by electing to contribute, on a monthly basis, a fixed amount to be included by the telecommunications carrier on the customer's monthly bill. This contribution shall not reduce the customer's total amount due for telecommunications services or other charges appearing on the bill.

b) This contribution will be a line item on the bill and identified as the "Digital Divide Fund.

c) Customers may elect to contribute $.50, $1, $2, $5, $10, $15, or $25 per month per line.

d) Contributions shall be collected on a recurring basis each month from the customer's bill and remittance shall be reported and transferred to the Department or its designee as required by Section 758.60.

e) Customers may elect to discontinue or change the amount of the monthly contribution on their bill at any time upon providing at least 30 days notice by telephone, mail, or e-mail, if available, to the telecommunications carrier.

f) Contributions other than those provided for in subsection (c) of this Section above shall be made directly to the Department or its designee.

g) By September 30, 2002, telecommunications carriers shall provide customers the ability and the opportunity to make the elections referred to in subsections (c) and (f) of this Section on the bill inserts required by Section 758.40.

h) Failure by the customer in any month to remit the entire billed amount may reduce the contribution accordingly.

i) There are no other funding requirements on any party or individual for the Program beyond those in this Section.

83 Ill. Adm. Code 758.60 Telecommunications Carrier Remittance

a) Each telecommunications carrier shall report and remit all donations received during the quarter within 30 days after the end of each calendar quarter to the Department or its designee. All donations collected through the end of the quarter shall be remitted to the Department or its designee through a check or other means as agreed to by the Department or its designee made out to the Department of Commerce and Community Affairs or its designee, as directed by the Department. In the event that no donations are collected during a quarter, a quarterly report shall be submitted to the Department or its designee certifying that zero voluntary donations were received.

b) The quarterly telecommunications carrier reports to the Department shall include, at a minimum, the following information:

1. Name, address, telephone number, contact person and Federal Employee Identification Number (FEIN) for the reporting telecommunications carrier.

2. The quarter amount collected, remittance check number or identification of another means of deposit, an assurance certifying that the payment includes all voluntary contributions for the quarter and that the information on the report is accurate and has been properly recorded, and a signature from an authorized employee of the telecommunications carrier.

3. The total number of customers making a contribution.

83 Ill. Adm. Code 758.70 Monitoring of Telecommunications Carriers

a) Telecommunications carriers shall exercise reasonable internal control to ensure compliance with and monitoring of this Part.

b) The Commission may, upon complaint, its own motion, or a petition from the Department or its designee, require Commission staff to review, examine, and evaluate telecommunications carriers' books and records to determine compliance with the requirements specified in Section 758.60 of this Part.

c) At a minimum, telecommunications carriers shall maintain records sufficient to substantiate the data contained in the quarterly reports submitted to the Department or its designee pursuant to Section 758.60 of this Part.

d) Each telecommunication carrier's internal auditors and/or chief financial officer and/or responsible in-state officer shall annually certify to the Commission that the amount of voluntary contributions reported and remitted are correct.

Part 759 Digital Divide Elimination Infrastructure Fund

83 Ill. Adm. Code 759.110 Purpose

Section 13-301.3 of the Public Utilities Act [220 ILCS 5/13-301.3] created the Digital Divide Elimination Infrastructure Fund (Fund) as a special fund in the State treasury to be used by the Illinois Commerce Commission (Commission) for grants to fund the construction of high-speed data transmission facilities in the State and the provision of accessible electronic information service to blind and disabled throughout Illinois as provided in the Accessible Electronic Information Act [15 ILCS 323]. This Part specifies the procedures that shall be followed with respect to the awarding of these grants.

History

• Source: Amended at 29 Ill. Reg. 3019, effective March 1, 2005

83 Ill. Adm. Code 759.120 Definitions

When used in this Part, the listed terms shall have the definitions given in this Section.

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

"Advanced telecommunications services" or "advanced services" means services capable of supporting, in at least one direction, a speed in excess of 200 kilobits per second (kbps) to the network demarcation point at the subscriber's premises [220 ILCS 5/13-517].

"Applicant" means an eligible entity that has submitted a proposal.

"Fund" means the Digital Divide Elimination Infrastructure Fund established pursuant to Section 13-301.3 of the Act [220 ILCS 5/13-301.3].

"Grant" means any award of monies from the Fund pursuant to this Part.

"Grant agreement" means the agreement specified in Section 759.320 executed by the grantee and delivered to the Commission.

"Grantee" means any eligible entity who is awarded a grant.

"Incumbent local exchange carrier" means a telecommunications carrier as that term is defined in Section 13-202.5 of the Act [220 ILCS 5/13-202.5].

"Program" means the procedures established pursuant to this Part for the Commission's issuance of a grant.

"Project" means the construction of high-speed data transmission facilities necessary to provision advanced services within an eligible area, as described in an applicant's proposal.

"Proposal" means an application for a grant submitted to the Commission pursuant to this Part.

"Telecommunications carrier" or "carrier" means a telecommunications carrier as that term is defined in Section 13-202 of the Act [220 ILCS 5/13-202] that is providing local exchange telecommunications service as defined in Section 13-204 of the Act.

History

• Source: Amended at 29 Ill. Reg. 3019, effective March 1, 2005

Chapter I Illinois Commerce Commission

Subchapter f Telephone Utilities

Part 759 Digital Divide Elimination Infrastructure Fund

83 Ill. Adm. Code 759.210 Eligible Entities

Eligible entities shall be either:

a) An entity that maintains, in good standing, a certificate from the Commission to provide telecommunications services,or

b) An entity that is not required to hold a certificate from the Commission to provide telecommunications services but can demonstrate, through information provided in its grant proposal, its technical, financial and managerial resources and abilities to construct high-speed data transmission facilities.

83 Ill. Adm. Code 759.220 Eligible Uses

a) The use of grants shall be limited to the payment of certain costs incurred in the construction of high-speed data transmission facilities within an eligible area. (See Section 759.230.) The use of grants shall be limited to payment of the following reasonable and verifiable costs incurred in connection with the project ("eligible costs"):

1. Construction costs, including but not limited to site preparation and construction/installation of equipment and other infrastructure facilities.

2. Purchase of equipment to be installed.

b) Excluded Costs:

1. Costs related to project design or preparation of the grant proposal are explicitly excluded from eligible uses.

2. Costs related to the installation of capital improvements that do not address construction of high-speed data transmission facilities are explicitly excluded from eligible uses.

83 Ill. Adm. Code 759.230 Eligible Areas

a) Grants shall only be used for eligible purposes (see Section 759.220) within an eligible area of the State. For purposes of determining whether an area is an eligible area, the Commission shall consider, among other things, whether:

1. The area, to be served by advanced telecommunications services, as defined in Section 13-517(c) of the Act, is under-provided to residential or small business end users, either directly or indirectly through an Internet Service Provider;

2. The area has a low population density;

3. The area has not yet developed a competitive market for advanced services.

b) If an entity seeking a grant of funds from the Fund is an incumbent local exchange carrier having the duty to serve that area, and the obligation to provide advanced services to that area pursuant to Section 13-517 of the Act [220 ILCS 5/13-517], the entity shall demonstrate that it has sought and obtained an exemption from the obligation to provide advanced services.

History

• Source: Amended at 29 Ill. Reg. 3019, effective March 1, 2005

83 Ill. Adm. Code 759.310 Proposal Content

a) Subject to appropriation and availability of funds, the Commission shall issue a Request for Grant Proposal that shall include instructions and formats for the submission of grant proposals.

b) Proposal items: The grant proposal shall be docketed and shall include, at a minimum, the following sections:

1. A cover page;

2. Ownership information of the applicant;

3. An executive summary of the proposal;

4. A description of the applicant, demonstrating that the applicant is an eligible entity (see Section 759.210);

5. Current financial information for the applicant;

6. The location of the proposed infrastructure project and a description of the area as it relates to the eligible area criteria. (see Section 759.230.);

7. A description of the proposed infrastructure project, including its social and economic benefits;

8. A detailed project budget and schedule by task, including a proposed completion date.

History

• Source: Amended at 29 Ill. Reg. 14183, effective September 10, 2005

83 Ill. Adm. Code 759.320 Selection of Grant Recipients

Grantees shall be competitively selected by the Commission. The Commission shall use the following criteria when reviewing proposals and awarding grants:

a) The technical, financial and managerial resources and abilities of the applicant;

b) The economic justification for the project, which includes the social and economic benefits of the project; and

c) The location of the project.

History

• Source: Amended at 29 Ill. Reg. 14183, effective September 10, 2005

Chapter I Illinois Commerce Commission

Subchapter f Telephone Utilities

Part 759 Digital Divide Elimination Infrastructure Fund

83 Ill. Adm. Code 759.330 Limitations and Obligations

Grants are subject to the following:

a) Each grant shall be awarded from the Fund under the condition that the grantee shall agree to expend a minimum of three times the amount of the grant award on eligible costs incurred in connection with the project.

b) No project may receive a grant of more than $1,000,000 under this program.

c) Any entity awarded a grant shall be required to execute and deliver to the Commission, prior to disbursement of the grant, a grant agreement in form and substance approved by the Commission as a condition of receiving the grant or any part of the grant. The grant agreement shall set forth the rights and responsibilities of the grantee with respect to the grant, including, without limitation, acceptance of the terms of the grant as set forth in this Part and applicable State and federal statutory and administrative requirements, including provisions covering expenditure of grant funds and utilization of property purchased with the grant.

d) Grants shall be disbursed by the Commission to grantees in no fewer than three installments, as follows:

1. When a grantee can demonstrate through its reports to the Commission, as specified in Section 759.340, that the grantee has expended at least 25% of the total eligible project costs, the Commission shall release 25% of the grant award to the grantee.

2. When a grantee can demonstrate through its reports to the Commission, as specified in Section 759.340, that the grantee has expended at least 75% of the total eligible project costs, the Commission shall release an additional 50% of the grant award to the grantee.

3. When a grantee can demonstrate through its reports to the Commission, as specified in Section 759.340, that the grantee has expended 100% of the total eligible project cost, the Commission shall release the balance of the grant award to the grantee.

e) Grantees must expend all funds received from the Commission in under two years' time, as outlined in the Illinois Grant Funds Recovery Act [30 ILCS 705/5].

f) For regulatory accounting purposes, any grant amount awarded under Part 759 shall be treated as a contribution toward the construction of plant.

g) Each grantee is under an affirmative duty to maintain proper, complete and accurate accounting records relating to the use of all grant funds for a period of 7 years after the receipt of the grant. This Part shall not be construed as excusing compliance with any other lawful requirement for the preservation of records for periods longer than those prescribed in subsection (g).

83 Ill. Adm. Code 759.340 Reporting

a) Unless otherwise specified in the grant agreement delivered to the Commission by the recipient, a grantee shall report financial information, as defined in subsection (b), and programmatic information, as defined in subsection (c), to the Commission on a regular basis using formats provided by the Commission. The Commission shall require quarterly reporting of expenditures and project achievements at a level of detail sufficient to provide for program accountability.

b) Expenditures: Grantee shall report actual expenditures incurred in connection with the project using the format supplied by the Commission. Expenditure summaries are to be submitted to the Commission by the 15th day following the end of each calendar quarter (e.g., March 31, June 30, September 30, December 31).

c) Program Report: Grantee shall submit a program report in a format provided by the Commission. The program report shall include a narrative describing the grantee's progress towards achieving objectives and activities as specified in the grant agreement delivered to the Commission. Program reports shall be submitted to the Commission by the 15th day following the end of each calendar quarter (e.g., March 31, June 30, September 30, December 31).

Part 760 Cellular Radio Exclusion

83 Ill. Adm. Code 760.10 Cellular Radio Exclusion

For purposes of the exclusion from active regulatory oversight for providers of cellular radio service pursuant to Section 13-203 of the Public Utilities Act (Ill. Rev. Stat. 1991, ch. 111⅔, par. 13-203, as amended by P.A. 87-856, effective May 14, 1992), cellular radio service provided by facilities in geographic areas in which there are 2 or more certified providers of cellular radio service is excluded from the applicable tariff provisions contained in Sections 13-501, 13-502, 13-503, 13-504, 13-505, and 13-509 of the Public Utilities Act (Ill. Rev. Stat. 1991, ch. 111⅔, pars. 13-501, 13-502, 13-503, 13-504, 13-505, and 13-509, as amended by P.A. 87-856, effective May 14, 1992.

History

• Source: Section repealed, new Section adopted at 16 Ill. Reg. 16573, effective November 1, 1992

83 Ill. Adm. Code 760.20 Downstate Area Exclusions (repealed)

History

• Source: Repealed at 16 Ill. Reg. 16573, effective November 1, 1992

Part 761 Arbitration Practice

83 Ill. Adm. Code 761.10 Procedure Governed

This Part governs practice and procedure before the Illinois Commerce Commission (Commission) in the arbitration proceedings required by Section 252(b) of the Communications Act of 1934 (47 U.S.C. 252(b)).

83 Ill. Adm. Code 761.20 Deviation from This Part

To the extent permitted by law, including Article 10 of the Illinois Administrative Procedure Act [5 ILCS 100/Art. 10] any provision of this Part may be waived, suspended or modified by the Commission or an Examiner, either upon their own motion or upon motion by any person.

83 Ill. Adm. Code 761.30 Definitions

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

"Commissioner" means a member of the Commission.

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

"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 761.1020 and consisting of a user I.D. and password attached to or logically associated with an electronic document.

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

"Hearing Examiner" means a person employed by the Commission under Section 2-106 of the Public Utilities Act, who is assigned to conduct arbitration proceedings pursuant to Section 252 of the Communications Act of 1934 (47 USC 252). A Commissioner may also serve as a Hearing Examiner for purposes of this Part.

"Party" means any person who initiates a Commission proceeding by filing a petition for arbitration or a person entitled to file a response to a petition for arbitration pursuant to Section 252(b)(3) of the Communications Act of 1934. Staff is not a party but shall have the specific rights and duties of parties as enumerated in this Part. No other person shall be granted party status or be allowed to intervene.

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

"Petitioner" means a party who, by petition, applies for or seeks relief through arbitration pursuant to Section 252(b) of the Communications Act of 1934.

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

"Respondent" means a party against whom a petition is filed.

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

History

• Source: Amended at 24 Ill. Reg. 15958, effective October 15, 2000

83 Ill. Adm. Code 761.40 Authority of Hearing Examiner

a) The Hearing Examiner shall have authority over the conduct of an arbitration and the responsibility for submission of the matter to the Commission for decision. The Hearing Examiner shall have those duties and powers necessary to these ends, including the following:

1. To conduct arbitration hearings and pre-hearing conferences;

2. To direct parties to serve verified statements and exhibits and establish a date certain for service;

3. To conduct discovery of the parties;

4. To supervise all or any part of any discovery procedure;

5. To administer oaths and affirmations;

6. 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;

7. To examine witnesses and allow parties to examine an adverse party or agent;

8. To rule upon all matters which do not result in the final determination of the proceeding;

9. To call upon any person at any stage of the arbitration proceeding to produce witnesses or information that is material and relevant to any issue;

10. To issue proposed arbitration decisions pursuant to Section 761.420 of this Part; and

11. To issue protective orders in accordance with 83 Ill. Adm. Code 761.240 of this Part.

b) Any party who fails to comply with an order of the Hearing Examiner may be limited in its presentation of information during the arbitration proceeding.

83 Ill. Adm. Code 761.50 Federal Preemption of State Court Review

No State court shall have jurisdiction to review the action of the Commission in approving or rejecting an agreement under Section 252 of the Communications Act of 1934.

83 Ill. Adm. Code 761.100 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 principal office of the Commission. The Chief Clerk is the official custodian of all Commission records.

History

• Source: Amended at 24 Ill. Reg. 15958, effective October 15, 2000

83 Ill. Adm. Code 761.105 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.

History

• Source: Added at 24 Ill. Reg. 15958, effective October 15, 2000

83 Ill. Adm. Code 761.110 Filing of Petition for Arbitration

a) All petitions for arbitration:

1. Shall clearly set forth on their first page the date upon which the original request for negotiation under Section 252 of the Communications Act of 1934 (47 U.S.C. 252) was received by the incumbent local exchange carrier and the dates 135 days, 160 days, and 9 months thereafter;

2. Shall be filed during the period from the 135th to the 160th day (inclusive) after the date on which the incumbent local exchange carrier received the request for negotiation under Section 252 of the Communications Act of 1934 (47 U.S.C. 252);

3. Shall be verified; and

4. Shall be accompanied by the Petitioner's discovery requests.

b) The party petitioning the Commission shall, at the same time as it submits the petition, provide the Commission all relevant documentation concerning:

1. The unresolved issues;

2. The position of each of the parties with respect to those issues; and

3. Any other issue discussed and resolved by the parties.

c) A petition for arbitration shall not be accepted for filing unless it is verified.

d) All responses to a petition for arbitration shall be verified, and shall be accompanied by the verified written statements and verified exhibits of all witnesses the party proposes to call at the arbitration hearing.

e) Verified responses and verified written statements and exhibits constituting respondent's support for its response shall be filed no more than 25 days after the filing of the petition for arbitration.

83 Ill. Adm. Code 761.130 Contents of Documents

a) All documents submitted in arbitration proceedings before the Commission 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 Section 761.1050. A party later may agree, or may revoke its agreement, to accept electronic service, provided that the party shall file and serve a notice of the later agreement or revocation.

b) The original of every document filed with the Commission 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. The verification shall be in form and substance as follows:

I,

do on oath depose and state that the facts

contained in the foregoing document are true and correct to the best of my knowledge and belief.

SIGNATURE OF PERSON VERIFYING DOCUMENT

SIGNED AND SWORN TO BEFORE ME THIS

DAY OF

,

(year)

.

NOTARY PUBLIC

History

• Source: Amended at 24 Ill. Reg. 15958, effective October 15, 2000

83 Ill. Adm. Code 761.140 Copies of Documents

a) For proceedings initiated prior to January 1, 2000, all documents shall be filed with the Chief Clerk in one original and two paper copies, unless otherwise specified in this Part.

b) For proceedings initiated after January 1, 2000, the original of any document shall be filed with the Chief Clerk.

History

• Source: Amended at 24 Ill. Reg. 15958, effective October 15, 2000

83 Ill. Adm. Code 761.150 Service

a) All documents shall be deemed filed on the date received by the Chief Clerk of the Commission. 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 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.

83 Ill. Adm. Code 761.200 Pre-Arbitration Conferences

a) Upon direction of the Commission or on his or her own motion, the Hearing Examiner may request all parties to attend a pre-arbitration conference. Notice of the pre-arbitration conference shall be given in writing, telephone, e-mail, or telephone facsimile not later than 24 hours before the pre-arbitration conference. Such a conference may be held for any purpose, including, but not limited to:

1. Scheduling;

2. Identification and simplification of issues;

3. Amendments to documents;

4. Limitations on the number of witnesses;

5. The issuance of rulings denying, limiting, conditioning or regulating discovery;

6. The issuance of rulings supervising all or any part of any discovery procedure; and

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

History

• Source: Amended at 24 Ill. Reg. 15958, effective October 15, 2000

83 Ill. Adm. Code 761.210 Schedule of Pre-Arbitration Procedure and Discovery

In the absence of a schedule established at a pre-arbitration conference held under Section 761.200 of this Part, proceedings under this Part will be conducted under the following schedule:

a) Respondent files and serves discovery responses and requests for discovery on Petitioner no later than 7 days after filing of the petition for arbitration;

b) Petitioner files and serves verified written statements and exhibits of all witnesses it proposes to call at the arbitration hearing, along with responses to Respondent's discovery requests, no later than 14 days from the filing of the petition for arbitration;

c) Respondent files and serves verified response to petition, and all documents required by Sections 761.110 and 761.120 of this Part no later than 25 days after the filing of the petition for arbitration;

d) Staff files and serves requests for discovery of Petitioner and Respondent no later than 32 days after the filing of the petition;

e) Petitioner and Respondent file and serve discovery responses no later than 7 days after the service of Staff's requests for discovery;

f) Staff files and serves verified written statements and exhibits no later than 46 days from the filing of the petition for arbitration;

g) Petitioner and Respondent file and serve requests for discovery of Staff no later than 53 days after the filing of the petition for arbitration;

h) Staff files and serves discovery responses no later than 60 days after the filing of the petition for arbitration;

i) Petitioner and Respondent file supplemental verified written statements and exhibits of the witnesses they propose to call at the arbitration hearing in order to respond to Staff's verified written statements and exhibits 64 days from the filing of the petition for arbitration.

83 Ill. Adm. Code 761.220 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 Hearing Examiner 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.

83 Ill. Adm. Code 761.230 Motion to Quash Subpoena

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

83 Ill. Adm. Code 761.240 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.

History

• Source: Amended at 24 Ill. Reg. 15958, effective October 15, 2000

83 Ill. Adm. Code 761.300 Disqualification of Hearing Examiner

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

b) Whenever any party believes a Hearing Examiner for any reason should be disqualified from conducting, or continuing to conduct, a proceeding assigned to him or her, such party may file a motion to disqualify the Hearing Examiner, setting forth by affidavit the alleged grounds for disqualification. The Hearing Examiner shall have 5 days after filing of the motion within which to enter a written ruling thereon. A copy of such ruling shall be served upon all parties.

c) Any ruling by a Hearing Examiner denying a request for recusal under this Section may be reviewed by the Commission. Review shall be sought no more that 3 days from the denial of the motion to recuse or disqualify. The party seeking review of the ruling shall file with the Chief Clerk a verified petition, together with any offer of proof, and shall serve a copy of the petition upon the Hearing Examiner and all parties to the proceeding. Other parties and the staff representative may file responses within 3 days after the filing of the petition. The Hearing Examiner shall have 3 days from the filing of the petition within which to file a report to the Commission with the Chief Clerk, who shall serve copies of such report on the parties and staff representative.

83 Ill. Adm. Code 761.310 Arbitration Hearing Procedure

a) Arbitration hearings shall be commenced not later than 67 days from the filing of the petition for arbitration.

b) The party filing the petition for arbitration shall begin the arbitration by presenting all of its witnesses to be cross-examined. The party filing the response to the petition for arbitration shall then present all of its witnesses to be cross-examined. Finally, Staff shall present all of its witnesses to be cross-examined.

c) Where the parties jointly file the petition for arbitration, the Hearing Examiner shall decide the order in which the parties shall present their witnesses for cross-examination.

d) The Hearing Examiner will specify whether certain witnesses may be presented as a panel for cross-examination.

83 Ill. Adm. Code 761.320 Transcripts

a) A complete record of all arbitrations conducted under this Part, including oral arguments before the Commission or Hearing Examiner, 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 Petitioner.

b) Suggested corrections to the transcript of record must be filed within 7 days from the day on which the hearing is held or at such other time as prescribed by the Hearing Examiner, and shall be in writing and served upon each party, the official reporter and the Hearing Examiner.

c) Objections to suggested corrections shall be filed within 5 days after the filing of the suggestions, unless otherwise prescribed by the Hearing Examiner. The Hearing Examiner shall determine what changes, if any, shall be made in the record.

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

83 Ill. Adm. Code 761.330 Consolidation and Severance

a) Where not inconsistent with the requirements of the Communications Act of 1934, the Commission or Hearing Examiner may, to the extent practical, order the consolidation of two or more proceedings under Section 252(b) of the Communications Act of 1934 in order to reduce administrative burdens on telecommunications carriers and the Commission in carrying out its responsibilities under Section 252 of the Communications Act of 1934.

b) Where not inconsistent with the requirements of the Communications Act of 1934, the Commission or Hearing Examiner may, to the extent practical, order the severance of two or more proceedings previously consolidated under subsection (a) of this Section in order to reduce administrative burdens on telecommunications carriers and the Commission in carrying out its responsibilities under Section 252 of the Communications Act of 1934 or order the severance of issues from a proceeding in those instances where the issues need not be decided within the time limit set in the Communications Act of 1934 for the Commission's decision on the arbitration.

83 Ill. Adm. Code 761.340 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 Hearing Examiner may, either with or without objection, exclude irrelevant, immaterial, unduly repetitious or otherwise inadmissible information.

83 Ill. Adm. Code 761.350 Information to Be Under Oath or Affirmation

All orally presented information to be considered by the Commission at the arbitration shall be sworn or affirmed. All other information submitted at the arbitration shall be verified pursuant to Section 761.130(b) of this Part.

83 Ill. Adm. Code 761.360 Stipulation of Facts

The parties to any arbitration before the Commission may, by written stipulation filed with the Commission or by oral stipulation entered in the record, agree upon the facts or any part thereof related to the contested issues in the arbitration. Notwithstanding the stipulation of the parties, the Commission or the Hearing Examiner may require further information in support of the facts so stipulated.

83 Ill. Adm. Code 761.370 Exhibits

a) All exhibits shall be marked numerically and/or alphabetically with a party designation and shall conform to the requirements of Section 761.130 of this Part.

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

83 Ill. Adm. Code 761.380 Ex Parte Communications

a) The provisions of Section 10-60 of the Illinois Administrative Procedure Act [5 ILCS 100/10-60] shall apply in full to Commission arbitration proceedings that are subject to this Part. The provisions of Section 10-60 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, directly or indirectly, with members of the Commission, any Hearing Examiner in the proceeding, or any Commission employee who is or may reasonably be expected to be involved in the decisional process of the proceeding.

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

1. All such written communications;

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

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

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

1. Service on the parties at the arbitration; or

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

83 Ill. Adm. Code 761.400 Briefs

a) At the close of the arbitration, the Hearing Examiner or the Commission may order the parties to file a brief. Parties must use transcript citations if they refer to testimony or evidence adduced at the arbitration hearings. In the discretion of the Commission or the Hearing Examiner, failure to use transcript citations may result in rejection of all or part of the brief.

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

1. A table of contents;

2. A short statement of the case;

3. A summary of the position of the party filing; and

4. Argument.

83 Ill. Adm. Code 761.410 Draft Proposed Arbitration Decisions

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

83 Ill. Adm. Code 761.420 Hearing Examiner's Proposed Arbitration Decision

The Hearing Examiner presiding shall, after the close of the arbitration, prepare a proposed arbitration decision, including a statement of findings and conclusions and the reasons or basis therefor, on all the material issues of fact, law or discretion presented on the record. Such proposed arbitration decision, shall be served by the Chief Clerk of the Commission on all parties to the arbitration.

83 Ill. Adm. Code 761.430 Exceptions; Reply

a) The parties may file exceptions to the Hearing Examiner's proposed decision at such time as is fixed by the Hearing Examiner or the Commission. The Hearing Examiner or the Commission may also require the parties to file as a reply "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 such exceptions or reply.

83 Ill. Adm. Code 761.440 Filing of Briefs

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

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

History

• Source: Amended at 24 Ill. Reg. 15958, effective October 15, 2000

83 Ill. Adm. Code 761.450 Oral Argument

The Commission, upon its own motion, may hear oral argument from the parties to the arbitration.

83 Ill. Adm. Code 761.460 Additional Hearings

Before issuance of a final order by the Commission, the Hearing Examiner may, on his or her own motion or when directed by the Commission, hold additional hearings.

83 Ill. Adm. Code 761.470 Reopening on Motion of the Commission

After issuance of an order by the Commission, the Commission may, on its own motion, reopen any proceeding when it has reason to believe that conditions of fact or law have so changed as to require, or that the public interest requires, such reopening.

83 Ill. Adm. Code 761.1000 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.

History

• Source: Added at 24 Ill. Reg. 15958, effective October 15, 2000

83 Ill. Adm. Code 761.1010 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.

History

• Source: Added at 24 Ill. Reg. 15958, effective October 15, 2000

83 Ill. Adm. Code 761.1020 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.

History

• Source: Added at 24 Ill. Reg. 15958, effective October 15, 2000

83 Ill. Adm. Code 761.1030 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 arbitration proceeding are allowed to file electronic documents in that case.

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.

History

• Source: Added at 24 Ill. Reg. 15958, effective October 15, 2000

83 Ill. Adm. Code 761.1040 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 761.1010(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 Commission or the Hearing Examiner.

History

• Source: Added at 24 Ill. Reg. 15958, effective October 15, 2000

83 Ill. Adm. Code 761.1045 Electronic Documents Accepted by the Commission

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

History

• Source: Added at 24 Ill. Reg. 15958, effective October 15, 2000

83 Ill. Adm. Code 761.1050 Service by Electronic Means

a) Service by electronic means is allowed when agreed to by individual parties. Notwithstanding Section 761.150, any party required to serve a pleading or other document may serve copies of pleadings and other documents on other parties of record by electronic means in substitution of first class mail, provided that the service is on an e-mail address that the recipient has identified in its appearance or in a subsequent filing or agreement. Because of pagination and format concerns, the parties are encouraged to serve in PDF. When serving by electronic means, service is deemed complete on the day of electronic transmission if transmitted at or before the time due, except service by electronic means on weekends or holidays shall be deemed complete on the next business day unless otherwise specified by the Commission or the Hearing Examiner.

b) If any party files a proprietary electronic document (see Section 761.240), 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 761.240. The e-Docket system does not allow any person outside of the Commission to see or access proprietary electronic documents.

History

• Source: Added at 24 Ill. Reg. 15958, effective October 15, 2000

83 Ill. Adm. Code 761.1060 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 as filed and found in the e-Docket system. If a prefiled electronic 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 electronic 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.

History

• Source: Added at 24 Ill. Reg. 15958, effective October 15, 2000

Part 762 Approval or Rejection of Arbitrated Agreements

83 Ill. Adm. Code 762.10 Procedure Governed

This Part governs practice and procedure before the Illinois Commerce Commission (Commission) in the approval or rejection of arbitrated agreements required by Sections 252(e)(1) and 252(e)(2)(B) of the Communications Act of 1934 (47 U.S.C. 252).

83 Ill. Adm. Code 762.20 Deviation from This Part

To the extent permitted by law, including the provisions of Article 10 of the Illinois Administrative Procedure Act [5 ILCS 100 Art 10], any provision of this Part may be waived, suspended or modified by the Commission or an Examiner, either upon their own motion or upon motion by any person.

83 Ill. Adm. Code 762.30 Definitions

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

"Commissioner" means a member of the Commission.

"Documents" means petitions, amended and supplemental petitions, motions, responses, replies, notices, proposed decisions, exceptions to Hearing Examiners' proposed orders, comments, drafts or suggested forms of order, and similar writings.

"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 762.1020 and consisting of a user I.D. and password attached to or logically associated with an electronic document.

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

"Hearing Examiner" means a person employed by the Commission under Section 2-106 of the Public Utilities Act, who is assigned to conduct arbitration proceedings pursuant to Section 252 of the Communications Act of 1934 (47 USC 252). A Commissioner may also serve as a Hearing Examiner for purposes of this Part.

"Intervenor" means a person who, upon written petition, is permitted to intervene in any proceeding under this Part.

"Party" means those persons who submit to the Commission for approval an arbitrated agreement pursuant to Section 252(e) of the Communications Act of 1934 (47 USC 252); or, a person allowed by the Commission or Hearing Examiner to intervene in a proceeding. Staff is not a party but shall have the specific rights and duties of parties as enumerated in this Part.

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

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

History

• Source: Amended at 24 Ill. Reg. 15934, effective October 15, 2000

83 Ill. Adm. Code 762.40 Authority of Hearing Examiner

a) The Hearing Examiner shall have authority over the conduct of a proceeding under this Part and the responsibility for submission of the matter to the Commission for decision. The Hearing Examiner shall have those duties and powers necessary to these ends, including the following:

1. To conduct hearings and pre-decisional conferences;

2. To grant or deny Petitions to Intervene;

3. To conduct discovery of the parties;

4. To authorize the parties to conduct discovery and to supervise all discovery so authorized;

5. To direct parties to serve testimony and exhibits and establish a date certain for service;

6. To administer oaths and affirmations;

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

8. To examine witnesses and allow the examination of an adverse party or agent;

9. To rule upon all matters which do not result in the final determination of the proceeding;

10. To call upon any party at any stage of the proceeding to produce further information that is material and relevant to any issue;

11. To issue recommended decisions pursuant to Section 762.410 of this Part;

12. To issue protective orders in accordance with 83 Ill. Adm. Code 762.220; and

13. To have any proceeding transcribed by a reporter appointed by the Commission.

b) Any party who fails to comply with an order of the Hearing Examiner may be limited in its presentation of information during the proceeding.

83 Ill. Adm. Code 762.50 Federal Preemption of State Court Review

No State court shall have jurisdiction to review the action of the Commission in approving or rejecting an agreement under Section 252 of the Communications Act of 1934.

83 Ill. Adm. Code 762.60 Failure to Act

Pursuant to Section 252(e)(4) of the Communications Act of 1934, if the Commission does not act to approve or reject the agreement within 30 days after submission by the parties of an agreement adopted by arbitration under Section 252(b) of the Communications Act of 1934, the agreement shall be deemed approved.

83 Ill. Adm. Code 762.100 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 principal office of the Commission. The Chief Clerk is the official custodian of all Commission records.

History

• Source: Amended at 24 Ill. Reg. 15934, effective October 15, 2000

83 Ill. Adm. Code 762.105 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 white paper 8½ inches by 11 inches and shall have inside text margins of not less than one inch. An optional heading consisting of the docket number and document title shall be placed in the upper right-hand corner and have a top margin of not less than ¾ inch. Page numbers shall be centered and have a bottom margin of not less than ½ inch. Line numbers shall have a left-hand margin of not less than ½ inch. All exhibits of a documentary character shall, whenever practical, conform to these requirements of size and margin. The impression shall be on one side of the paper only and shall be double spaced; footnotes may be single spaced and quotations may be single spaced and indented.

b) All pleadings or other documents shall be composed in either Arial or Times New Roman font, black type on white background. The text of pleadings or documents shall be at least 12-point. Footnotes shall be at least 10-point. Other material not in the body of the text, such as financial data schedules and exhibits, shall be at least 8-point. All exhibits of a documentary character shall, whenever practical, conform to these requirements.

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.

History

• Source: Added at 24 Ill. Reg. 15934, effective October 15, 2000

83 Ill. Adm. Code 762.110 Submission for Commission Approval of an Arbitrated Agreement

All arbitrated agreements submitted under this Part shall be accompanied by written comments and draft proposed decisions supporting either approval or rejection of the agreement.

83 Ill. Adm. Code 762.120 Filing of Comments

a) For proceedings subject to this Part that were initiated prior to January 1, 2000, an original and eight paper copies of all comments and draft proposed decisions shall be filed with the Commission. Comments shall be concise, and, if in excess of 20 pages, excluding appendices, shall contain:

1. A table of contents;

2. A short statement of the case;

3. A summary of the position of the party filing; and

4. Argument.

b) For proceedings subject to this Part that were initiated after January 1, 2000, one original document shall be filed with the Commission, subject to the content requirements of subsection (a).

History

• Source: Amended at 24 Ill. Reg. 15934, effective October 15, 2000

83 Ill. Adm. Code 762.130 Service

a) All documents shall be deemed filed on the date received by the Chief Clerk of the Commission. Service on the Chief Clerk of the Commission cannot be made by telephone facsimile. All documents must be served upon the parties and intervenors to the proceeding 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.

83 Ill. Adm. Code 762.200 Pre-Decisional Conferences

Upon direction of the Commission or on his or her own motion, the Hearing Examiner may request all parties to attend a pre-decisional conference. Notice of the pre-decisional conference shall be given in writing, telephone, e-mail, or telephone facsimile no later than 24 hours before the pre-decisional conference. Such a conference may be held for any purpose, including, but not limited to:

a) Scheduling;

b) Identification and simplification of issues;

c) Amendments to documents; and

d) Such other matters as may aid in the simplification of the issues and disposition of the proceeding.

History

• Source: Amended at 24 Ill. Reg. 15934, effective October 15, 2000

83 Ill. Adm. Code 762.205 Schedule of Pre-Decisional Procedure

In the absence of a schedule established at a Section 762.200 pre-decisional conference, all other parties to the proceeding shall file and serve comments and draft proposed decisions twelve days from the filing of the petition for approval of the arbitrated agreement.

83 Ill. Adm. Code 762.210 Intervention

a) Petitions 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.

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

History

• Source: Amended at 24 Ill. Reg. 15934, effective October 15, 2000

83 Ill. Adm. Code 762.220 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.

History

• Source: Amended at 24 Ill. Reg. 15934, effective October 15, 2000

83 Ill. Adm. Code 762.300 Disqualification of Hearing Examiner

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

b) Whenever any party believes a Hearing Examiner for any reason should be disqualified from conducting, or continuing to conduct, a proceeding assigned to him or her, such party may file a motion to disqualify the Hearing Examiner, setting forth by affidavit the alleged grounds for disqualification. The Hearing Examiner shall have 5 days after filing of the motion within which to enter a written ruling thereon. A copy of such ruling shall be served upon all parties.

c) Any ruling by a Hearing Examiner denying a request for recusal under this Section may be reviewed by the Commission. Review shall be sought no more than 3 days from the denial of the motion to recuse or disqualify. The party seeking review of the ruling shall file with the Chief Clerk a verified petition, together with any offer of proof, and shall serve a copy of the petition upon the Hearing Examiner and all parties to the proceeding. Other parties and the staff representative may file responses within 3 days after the filing of the petition. The Hearing Examiner shall have 3 days from the filing of the petition within which to file a report to the Commission with the Chief Clerk, who shall serve copies of such report on the parties and the staff representative.

83 Ill. Adm. Code 762.310 Consolidation and Severance

a) Where not inconsistent with the requirements of the Communications Act of 1934, the Commission or Hearing Examiner may, to the extent practical, order the consolidation of two or more proceedings under Section 252(a) of the Communications Act of 1934 in order to reduce administrative burdens on telecommunications carriers and the Commission in carrying out its responsibilities under Section 252 of the Communications Act of 1934.

b) Where not inconsistent with the requirements of the Communications Act of 1934, the Commission or Hearing Examiner may, to the extent practical, order the severance of two or more proceedings previously consolidated under subsection (a) of this Section in order to reduce administrative burdens on telecommunications carriers and the Commission in carrying out its responsibilities under Section 252 of the Communications Act of 1934 or order the severance of issues from a proceeding in those instances where the issues need not be decided within the time limit set in the Communications Act of 1934 for the Commission's decision on an agreement adopted by arbitration.

83 Ill. Adm. Code 762.320 Ex Parte Communications

a) The provisions of Section 10-60 of the Illinois Administrative Procedure Act [5 ILCS 100/10-60] shall apply in full to Commission proceedings that are subject to this Part. The provisions of Section 10-60 shall not apply, however, to communications between Commission employees who are engaged in investigatory or advocacy functions and other parties to the proceeding, provided that such Commission employees are still prohibited from communicating on an ex parte basis, as designated in Section 10-60, directly or indirectly, with members of the Commission, any Hearing Examiner in the proceeding, or any Commission employee who is or may reasonably be expected to be involved in the decisional process of the proceeding.

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

1. all such written communications;

2. memoranda stating the substance of all such oral communications; and

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

c) The material specified in subsection (b) shall be disclosed to the parties of record by service by hand delivery, overnight mail or courier service or telephone facsimile on all parties to the proceeding.

83 Ill. Adm. Code 762.410 Hearing Examiner's Proposed Decision

The Hearing Examiner presiding shall, after the receipt of Initial comments, prepare a proposed decision, including a statement of findings and conclusions and the reasons or basis therefor, on all the material issues presented. Such proposed decision shall be served by the Chief Clerk of the Commission on all parties to the proceeding.

83 Ill. Adm. Code 762.420 Exceptions

a) The parties may file Exceptions to the Hearing Examiner's proposed decision. Unless otherwise ordered by the Hearing Examiner or the Commission, briefs on exceptions are due no later than 5 days after service of the Hearing Examiner's proposed decision. Replies to Exceptions shall be due no later than 8 days after service of the Hearing Examiner's proposed decision.

b) 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 to a statement or finding of fact, a suggested replacement statement or finding must be incorporated. Exceptions may contain written arguments in support of the position taken by the party or staff representative filing such exceptions.

83 Ill. Adm. Code 762.430 Oral Argument

The Commission, upon its own motion, may hear oral argument from the parties.

83 Ill. Adm. Code 762.440 Additional Comments

Before issuance of a final order by the Commission, the Hearing Examiner may, on his or her own motion or when directed by the Commission, seek additional written comments from the parties.

83 Ill. Adm. Code 762.1000 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.

History

• Source: Added at 24 Ill. Reg. 15934, effective October 15, 2000

83 Ill. Adm. Code 762.1010 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.

History

• Source: Added at 24 Ill. Reg. 15934, effective October 15, 2000

83 Ill. Adm. Code 762.1020 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.

History

• Source: Added at 24 Ill. Reg. 15934, effective October 15, 2000

83 Ill. Adm. Code 762.1030 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.

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.

History

• Source: Added at 24 Ill. Reg. 15934, effective October 15, 2000

83 Ill. Adm. Code 762.1040 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 762.1010(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 Commission or the Hearing Examiner.

History

• Source: Added at 24 Ill. Reg. 15934, effective October 15, 2000

83 Ill. Adm. Code 762.1045 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.

History

• Source: Added at 24 Ill. Reg. 15934, effective October 15, 2000

83 Ill. Adm. Code 762.1050 Service by Electronic Means

a) Service by electronic means is allowed when agreed to by individual parties. Notwithstanding Section 762.150, any party required to serve a pleading or other document may serve copies of pleadings and other documents on other parties of record by electronic means in substitution of first class mail, provided that the service is on an e-mail address that the recipient has identified in its appearance or in a subsequent filing or agreement. Because of pagination and format concerns, the parties are encouraged to serve in PDF. When serving by electronic means, service is deemed complete on the day of electronic transmission if transmitted at or before the time due, except service by electronic means on weekends or holidays shall be deemed complete on the next business day unless otherwise specified by the Commissioner or the Hearing Examiner.

b) If any party files a proprietary electronic document (see Section 762.220), 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 762.220. The e-Docket system does not allow any person outside of the Commission to see or access proprietary electronic documents.

History

• Source: Added at 24 Ill. Reg. 15934, effective October 15, 2000

83 Ill. Adm. Code 762.1060 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.

History

• Source: Added at 24 Ill. Reg. 15934, effective October 15, 2000

Part 763 Approval of Negotiated Agreements

83 Ill. Adm. Code 763.10 Procedure Governed

This Part governs practice and procedure before the Illinois Commerce Commission (Commission) in the approval of Negotiated Agreements required by section 252(e)(1) and (e)(2)(A) of the Communications Act of 1934 (47 USC 252).

History

• Source: Amended at 39 Ill. Reg. 4038, effective April 1, 2015

83 Ill. Adm. Code 763.20 Deviation from This Part

To the extent permitted by law, including Article 10 of the Illinois Administrative Procedure Act [5 ILCS 100/Art. 10], any provision of this Part may be waived, suspended or modified by the Commission or an Administrative Law Judge, either upon their own motion or upon motion by any person.

History

• Source: Amended at 39 Ill. Reg. 4038, effective April 1, 2015

83 Ill. Adm. Code 763.30 Definitions

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

"Administrative Law Judge" means an employee of the Commission, or a Commissioner, designated by the Commission to conduct proceedings pursuant to section 252(e) of the Communications Act of 1934 (47 USC 252).

"Commissioner" means a member of the Commission.

"Documents" means petitions, amended and supplemental petitions, written discovery, answers to discovery, motions, responses, replies, notices, suggested findings of fact and conclusions of law, exceptions to Administrative Law Judges' proposed orders, briefs, drafts or suggested forms of order, and similar writings.

"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 763.1020 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]

"Intervenor" means a person who, upon written petition, is permitted to intervene in any proceeding under this Part.

"Negotiated Agreement" is an agreement, including an amendment to an agreement, negotiated and entered into pursuant to section 252(a) of the Communications Act of 1934 that is subject to Commission approval under section 252(e) of the Communications Act of 1934.

"Negotiated Agreement Filing System" means a Web based electronic filing system that will be used as the initial filing mechanism for all Negotiated Agreements filed for approval of the Illinois Commerce Commission. This system will allow electronic filing, management, and access to the electronic records that make up case files for Negotiated Agreements.

"Party" means any person who enters into a negotiated agreement for which Commission approval is sought under 47 USC 252(e); or, any person allowed by the Commission or an Administrative Law Judge to intervene in a proceeding. Staff is not a party but shall have the specific rights and duties of parties as enumerated in this Part.

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

"Staff" or "Commission Staff" means individuals employed by the Commission. For purposes of this Part, an Administrative Law Judge is not considered a member of the Commission Staff.

History

• Source: Amended at 39 Ill. Reg. 4038, effective April 1, 2015

83 Ill. Adm. Code 763.40 Authority of the Administrative Law Judge in Contested Proceedings

a) The Administrative Law Judge shall have authority over the conduct of a proceeding under this Part and the responsibility for submission of the matter to the Commission for decision. The Administrative Law Judge shall have those duties and powers necessary to these ends, including the following:

1. To conduct hearings and pre-hearing conferences;

2. To direct parties to serve testimony and exhibits and establish a date certain for service;

3. To grant or deny Petitions to Intervene;

4. To conduct discovery of the parties;

5. To supervise all or any part of any discovery procedure;

6. To administer oaths and affirmations;

7. To examine witnesses and to allow the examination of an adverse party or agent;

8. To rule upon all matters that do not result in the final determination of the proceeding;

9. To call upon any party at any stage of the proceeding to produce further information that is material and relevant to any issue;

10. To issue proposed decisions pursuant to Section 763.420;

11. To issue protective orders in accordance with Section 763.430; and

12. To ensure that the proceeding 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.

b) Any party who fails to comply with an order of the Administrative Law Judge may be limited in its presentation of information during the proceeding.

History

• Source: Amended at 39 Ill. Reg. 4038, effective April 1, 2015

83 Ill. Adm. Code 763.50 Federal Preemption of State Court Review

No State court shall have jurisdiction to review the action of the Commission in approving or rejecting an agreement under Section 252 of the Communications Act of 1934.

83 Ill. Adm. Code 763.60 Failure to Act

Pursuant to section 252(e)(4) of the Communications Act of 1934, the Commission has 90 days after a Negotiated Agreement has obtained a "Filed Date" under Section 763.1130 on the Commission's Negotiated Agreement Filing System to act to approve or reject it. Notwithstanding the timelines associated with the automatic approval of uncontested Negotiated Agreements as shown in Subpart G, if the Commission does not act to approve or reject any agreement within 90 days after the Filed Date, the Negotiated Agreement shall be deemed approved.

History

• Source: Amended at 39 Ill. Reg. 4038, effective April 1, 2015

83 Ill. Adm. Code 763.100 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 principal office of the Commission. The Chief Clerk is the official custodian of all Commission records.

History

• Source: Amended at 24 Ill. Reg. 15945, effective October 15, 2000

83 Ill. Adm. Code 763.105 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 white paper 8½ inches by 11 inches and shall have inside text margins of not less than one inch. An optional heading consisting of the docket number and document title shall be placed in the upper right-hand corner and have a top margin of not less than ¾ inch. Page numbers shall be centered and have a bottom margin of not less than ½ inch. Line numbers shall have a left-hand margin of not less than ½ inch. All exhibits of a documentary character shall, whenever practical, conform to these requirements of size and margin. The impression shall be on one side of the paper only and shall be double spaced; footnotes may be single spaced and quotations may be single spaced and indented.

b) All pleadings or other documents shall be composed in either Arial or Times New Roman font, black type on white background. The text of pleadings or documents shall be at least 12-point. Footnotes shall be at least 10-point. Other material not in the body of the text, such as financial data schedules and exhibits, shall be at least 8-point. All exhibits of a documentary character shall, whenever practical, conform to these requirements.

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 said requirements.

History

• Source: Added at 24 Ill. Reg. 15945, effective October 15, 2000

83 Ill. Adm. Code 763.110 Filing of Petition for Rejection of Negotiated Agreement

a) Any petition seeking rejection of a Negotiated Agreement shall:

1. Be verified;

2. Identify the Negotiated Agreement for which rejection is sought;

3. Identify all parties to the Negotiated Agreement for which rejection is sought;

4. Be accompanied by verified written statements and exhibits to support the petitioner's position that:

A) the agreement, or any portion of the agreement, discriminates against a carrier not a party to the Negotiated Agreement; and/or

B) implementation of the Negotiated Agreement, or any portion of the agreement, would be inconsistent with the public interest; and

5. Be served on each party to the Negotiated Agreement.

b) Each party to the Negotiated Agreement shall be deemed a party in a proceeding seeking rejection of the Negotiated Agreement.

History

• Source: Amended at 39 Ill. Reg. 4038, effective April 1, 2015

83 Ill. Adm. Code 763.120 Required Disclosures (repealed)

History

• Source: Repealed at 39 Ill. Reg. 4038, effective April 1, 2015

83 Ill. Adm. Code 763.130 Contents of Documents

a) All documents submitted in approval proceedings before the Commission shall display the docket number of the proceeding. Documents initiating a new proceeding shall leave a space for the docket number. All documents shall also include the full name, address, and 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 a proceeding, shall state whether it agrees to accept service by electronic means as provided for in Section 763.1050. A party later may agree, or may revoke its agreement, to accept electronic service, provided that the party shall file and serve a notice of the later agreement or revocation.

b) The original of every document filed with the Commission 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. The verification shall be in form and substance as follows:

I,

do on oath depose and state that the facts

contained in the foregoing document are true and correct to the best of my knowledge and belief.

SIGNATURE OF PERSON VERIFYING DOCUMENT

SIGNED AND SWORN TO BEFORE ME THIS

DAY OF

,

(year)

.

NOTARY PUBLIC

History

• Source: Amended at 24 Ill. Reg. 15945, effective October 15, 2000

83 Ill. Adm. Code 763.140 Copies of Documents

a) For any proceeding subject to this Part that was initiated prior to January 1, 2000, all documents shall be filed with the Chief Clerk in one original and two paper copies, unless otherwise specified in this Part.

b) For any proceeding subject to this Part that was initiated after January 1, 2000, one original document shall be filed with the Chief Clerk.

History

• Source: Amended at 24 Ill. Reg. 15945, effective October 15, 2000

83 Ill. Adm. Code 763.150 Service

a) All documents shall be deemed filed on the date received by the Chief Clerk of the Commission. Service on the Chief Clerk of the Commission cannot be made by telephone facsimile. All documents shall be served upon the parties to the proceeding 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.

83 Ill. Adm. Code 763.200 Scheduling Conferences

Upon direction of the Commission or on his or her own motion, the Administrative Law Judge may request all parties to attend a scheduling conference. Notice of the conference shall be given in writing, telephone, e-mail, or telephone facsimile not later than 24 hours before the pre-hearing conference. Such a conference may be held for any purpose, including, but not limited to:

a) Scheduling;

b) Identification and simplification of issues;

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 evidence and disposition of the proceeding.

History

• Source: Amended at 39 Ill. Reg. 4038, effective April 1, 2015

83 Ill. Adm. Code 763.210 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 a hearing, the Administrative Law Judge may suspend further proceedings until compliance is obtained, or the Administrative Law Judge may strike all or any part of the pleadings of that party, or refuse to allow the party to support designated claims or defenses.

History

• Source: Amended at 39 Ill. Reg. 4038, effective April 1, 2015

83 Ill. Adm. Code 763.230 Protective Orders

a) At any time during the pendency of a proceeding, the Commission or the Administrative Law Judge 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 Administrative Law Judge.

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

History

• Source: Amended at 39 Ill. Reg. 4038, effective April 1, 2015

83 Ill. Adm. Code 763.300 Disqualification of Administrative Law Judge

a) An Administrative Law Judge assigned to a proceeding may, upon written request to and approval of the Chief Administrative Law Judge, recuse himself or herself from the proceeding.

b) Whenever any party believes an Administrative Law Judge for any reason should be disqualified from conducting, or continuing to conduct, a proceeding assigned to him or her, that party may file a motion to disqualify the Administrative Law Judge, setting forth by affidavit the alleged grounds for disqualification. The Administrative Law Judge shall have 5 days after filing of the motion within which to enter a written ruling thereon. A copy of the ruling shall be served upon all parties.

c) Any ruling by an Administrative Law Judge denying a request for recusal under this Section may be reviewed by the Commission. Review shall be sought no more than 3 days from the denial of the motion to recuse or disqualify. The party seeking review of the ruling shall file with the Chief Clerk a verified petition, together with any offer of proof, and shall serve a copy of the petition upon the Administrative Law Judge and all parties to the proceeding. Other parties and the staff representative may file responses within 3 days after the filing of the petition. The Administrative Law Judge shall have 3 days from the filing of the petition within which to file a report to the Commission with the Chief Clerk, who shall serve copies of the report on the parties and staff representatives.

History

• Source: Amended at 39 Ill. Reg. 4038, effective April 1, 2015

83 Ill. Adm. Code 763.320 Transcripts

a) A complete record of all proceedings conducted under this Part, including oral arguments before the Commission or Administrative Law Judge, 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 Petitioner.

b) Suggested corrections to the transcript of record must be filed within 7 days from the day on which the hearing is held or at such other time as prescribed by the Administrative Law Judge, and shall be in writing and served upon each party, the official reporter and the Administrative Law Judge.

c) Objections to suggested corrections shall be filed within 5 days after the filing of the suggestions, unless otherwise prescribed by the Administrative Law Judge. The Administrative Law Judge shall determine what changes, if any, shall be made in the record.

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

History

• Source: Amended at 39 Ill. Reg. 4038, effective April 1, 2015

83 Ill. Adm. Code 763.330 Consolidation and Severance

a) When not inconsistent with the requirements of the Communications Act of 1934, the Commission or Administrative Law Judge may, to the extent practical, order the consolidation of two or more proceedings under section 252(b) of the Communications Act of 1934 in order to reduce administrative burdens on telecommunications carriers and the Commission in carrying out its responsibilities under section 252 of the Communications Act of 1934.

b) When not inconsistent with the requirements of the Communications Act of 1934, the Commission or Administrative Law Judge may, to the extent practical, order the severance of two or more proceedings previously consolidated under subsection (a) in order to reduce administrative burdens on telecommunications carriers and the Commission in carrying out its responsibilities under section 252 of the Communications Act of 1934 or order the severance of issues from a proceeding in those instances in which the issues need not be decided within the time limit set in the Communications Act of 1934 for the Commission's decision on an agreement adopted by negotiation.

History

• Source: Amended at 39 Ill. Reg. 4038, effective April 1, 2015

83 Ill. Adm. Code 763.340 Information to Be Adduced

a) In all proceedings subject to this Part, irrelevant, immaterial or unduly repetitious information shall be excluded. Relevant information may be admitted at the hearing 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 Administrative Law Judge may, either with or without objection, exclude irrelevant, immaterial, unduly repetitious or otherwise inadmissible information.

History

• Source: Amended at 39 Ill. Reg. 4038, effective April 1, 2015

83 Ill. Adm. Code 763.350 Information to Be Under Oath or Affirmation

All orally presented information to be considered by the Commission shall be sworn or affirmed testimony.

83 Ill. Adm. Code 763.360 Stipulation of Facts

The parties and Staff may, by written stipulation filed with the Commission or by oral stipulation entered in the record, agree upon the facts or any part thereof related to the contested issues in the proceeding. Notwithstanding the stipulation of the parties, the Commission or the Administrative Law Judge may require further information in support of the facts so stipulated.

History

• Source: Amended at 39 Ill. Reg. 4038, effective April 1, 2015

83 Ill. Adm. Code 763.370 Exhibits

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

b) When exhibits are identified for the record, unless the Administrative Law Judge directs otherwise, an original and two copies shall be offered at the hearing and a copy provided to the Administrative Law Judge and to each party.

History

• Source: Amended at 39 Ill. Reg. 4038, effective April 1, 2015

83 Ill. Adm. Code 763.380 Ex Parte Communications

a) The provisions of Section 10-60 of the Illinois Administrative Procedure Act [5 ILCS 100/10-60] shall apply in full to Commission proceedings that are subject to this Part. The provisions of Section 10-60 shall not apply, however, to communications between Commission employees who are engaged in investigatory or advocacy functions and other parties to the proceeding, provided that such Commission employees are still prohibited from communicating on an ex parte basis, as designated in Section 10-60, directly or indirectly, with members of the Commission, any Administrative Law Judge in the proceeding, or any Commission employee who is or may reasonably be expected to be involved in the decisional process of the proceeding.

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

1. All such written communications;

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

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

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

1. Service on the parties at the hearing; or

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

History

• Source: Amended at 39 Ill. Reg. 4038, effective April 1, 2015

83 Ill. Adm. Code 763.400 Briefs

a) The Administrative Law Judge or the Commission may order the parties to file a brief. If hearings are held, parties must use transcript citations if they refer to testimony or evidence adduced at a hearing. In the discretion of the Commission or the Administrative Law Judge, failure to use transcript citations may result in rejection of all or part of the brief.

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

1. A table of contents;

2. A short statement of the case;

3. A summary of the position of the party filing; and

4. Argument.

History

• Source: Amended at 39 Ill. Reg. 4038, effective April 1, 2015

83 Ill. Adm. Code 763.410 Draft Proposed Decisions

The Administrative Law Judge may permit or require a party or parties to file draft proposed decisions.

History

• Source: Amended at 39 Ill. Reg. 4038, effective April 1, 2015

83 Ill. Adm. Code 763.420 Administrative Law Judge's Proposed Decision

In a contested case, the Administrative Law Judge presiding shall prepare a proposed decision, including a statement of findings and conclusions and the reasons or basis therefor, on all material issues. The proposed decision shall be served by the Chief Clerk of the Commission on all parties to the proceeding.

History

• Source: Amended at 39 Ill. Reg. 4038, effective April 1, 2015

83 Ill. Adm. Code 763.430 Exceptions; Reply

a) The parties may file exceptions to the Administrative Law Judge's proposed decision at such time as is fixed by the Administrative Law Judge or the Commission. The Administrative Law Judge or the Commission may also require the parties to file as a reply "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 witnesses filing the exceptions or reply.

History

• Source: Amended at 39 Ill. Reg. 4038, effective April 1, 2015

83 Ill. Adm. Code 763.440 Filing of Briefs (repealed)

History

• Source: Repealed at 39 Ill. Reg. 4038, effective April 1, 2015

83 Ill. Adm. Code 763.450 Oral Argument

The Commission, upon its own motion, may hear oral argument from the parties to the proceeding.

83 Ill. Adm. Code 763.460 Additional Hearings

Before issuance of a final order by the Commission, the Administrative Law Judge may, on his or her own motion or when directed by the Commission, hold additional hearings.

History

• Source: Amended at 39 Ill. Reg. 4038, effective April 1, 2015

83 Ill. Adm. Code 763.470 Reopening on Motion of the Commission

After issuance of an order by the Commission, the Commission may, on its own motion, reopen any proceeding when it has reason to believe that conditions of fact or law have so changed as to require, or that the public interest requires, such reopening.

83 Ill. Adm. Code 763.1000 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.

History

• Source: Added at 24 Ill. Reg. 15945, effective October 15, 2000

83 Ill. Adm. Code 763.1010 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.

History

• Source: Added at 24 Ill. Reg. 15945, effective October 15, 2000

83 Ill. Adm. Code 763.1020 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.

History

• Source: Added at 24 Ill. Reg. 15945, effective October 15, 2000

83 Ill. Adm. Code 763.1030 Control Processes

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

b) Only members of the service list for a particular 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.

History

• Source: Added at 24 Ill. Reg. 15945, effective October 15, 2000

83 Ill. Adm. Code 763.1040 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 763.1010(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 Commission or the Administrative Law Judge.

History

• Source: Amended at 39 Ill. Reg. 4038, effective April 1, 2015

83 Ill. Adm. Code 763.1045 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.

History

• Source: Added at 24 Ill. Reg. 15945, effective October 15, 2000

83 Ill. Adm. Code 763.1050 Service by Electronic Means

a) Service by electronic means is allowed when agreed to by individual parties. Not withstanding Section 763.150, any party required to serve a pleading or other document may serve copies of pleadings and other documents on other parties of record by electronic means in substitution of first class mail, provided that the service is on an e-mail address that the recipient has identified in its appearance or in a subsequent filing or agreement. Because of pagination and format concerns, the parties are encouraged to serve in PDF format. 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 Administrative Law Judge.

b) If any party files a proprietary electronic document (see Section 763.230), 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 763.230. The e-Docket system does not allow any person outside of the Commission to see or access proprietary electronic documents.

History

• Source: Amended at 39 Ill. Reg. 4038, effective April 1, 2015

83 Ill. Adm. Code 763.1060 Electronic Documents and the Hearing Process

If any prefiled testimony or exhibit in the e-Docket system is offered and admitted into evidence without alteration at a hearing in a Negotiated Agreement 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 electronic 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 Administrative Law Judge.

History

• Source: Amended at 39 Ill. Reg. 4038, effective April 1, 2015

83 Ill. Adm. Code 763.1100 Expedited Approval of Negotiated Agreements

Notwithstanding the requirements contained in Subparts B through F, all filings seeking Commission approval of a Negotiated Agreement shall be submitted electronically to the Commission's Negotiated Agreement Filing System pursuant to requirements set forth in this Subpart.

History

• Source: Added at 39 Ill. Reg. 4038, effective April 1, 2015

83 Ill. Adm. Code 763.1110 Negotiated Agreement Filing System Accounts

a) Any party seeking to submit a Negotiated Agreement to the Commission's Negotiated Agreement Filing System must obtain an on-line account with the Commission.

b) The Commission's Chief Clerk shall publish on its website information required by the Commission to register for and maintain an on‑line account to access the Commission's Negotiated Agreement Filing System. This information shall include the website address for the Commission's Negotiated Agreement Filing System.

History

• Source: Added at 39 Ill. Reg. 4038, effective April 1, 2015

83 Ill. Adm. Code 763.1120 Submission of the Negotiated Agreement for Approval

a) One or more parties to the Negotiated Agreement, in seeking approval of a Negotiated Agreement, shall submit a complete and executed electronic copy of the Negotiated Agreement and an electronic transmittal letter that meets all filing requirements of the Commission's Negotiated Agreement Filing System.

b) All documents submitted to the Commission's Negotiated Agreement Filing System shall be in PDF electronic format.

c) Upon successful completion of a submission to the Commission's Negotiated Agreement Filing System, a tracking number will be provided electronically to the submitting party.

History

• Source: Added at 39 Ill. Reg. 4038, effective April 1, 2015

83 Ill. Adm. Code 763.1130 Negotiated Agreement Approval Process

a) A Negotiated Agreement meeting the requirements of Section 763.1120 shall be deemed filed on the third business day after it is electronically entered in the Commission's Negotiated Agreement Filing System ("Filed Date"), and shall be displayed on a public page of the Commission website with the Filed Date.

b) If no Verified Petition contesting approval is timely filed pursuant to subsection (c), or if the Commission does not on its own motion initiate a proceeding for the purposes of determining approval, a Negotiated Agreement filed with the Commission shall, with no further Commission action, be approved pursuant to this Part 30 days after the Filed Date. The Negotiated Agreement shall thereafter be displayed as approved on the Commission's website.

c) An interested party may, within 14 business days after the Filed Date, initiate a docketed proceeding by filing a Verified Petition seeking rejection of the Negotiated Agreement pursuant to the requirements of Section 763.110. Upon the timely filing of a Verified Petition pursuant to Section 763.110, or upon initiation by the Commission on its own motion of a docketed proceeding for the purposes of determining approval, the Commission's website will note that the Negotiated Agreement is the subject of a contested proceeding and indicate the appropriate docket number. When a docketed proceeding is established, the procedures of this Subpart will be suspended and the procedures of Subparts B through F of this Part shall apply to the docketed proceeding. Any party to the Negotiated Agreement shall have the right to pursue approval of the Negotiated Agreement in any such docketed proceeding. In a docketed proceeding, the parties to the Negotiated Agreement retain the burden of proof.

d) If the party or parties seeking approval of a Negotiated Agreement choose to withdraw the agreement, they shall, prior to 30 days after the Filed Date, submit an electronic transmittal letter that meets all filing requirements of the Commission's Negotiated Agreement Filing System stating that they are withdrawing the request for approval of the Negotiated Agreement. The Commission's website will note that the Negotiated Agreement has been withdrawn.

History

• Source: Added at 39 Ill. Reg. 4038, effective April 1, 2015

Chapter I Illinois Commerce Commission

Subchapter f Telephone Utilities

Part 765 Universal Service

83 Ill. Adm. Code 765.10 Discounts for Entities Eligible for Universal Service Support

a) The Illinois Commerce Commission adopts the amounts specified in 47 CFR 54.505 as of July 17, 1997 for the discounts on intrastate telecommunications services available to those entities that qualify for such universal service discounts on intrastate telecommunications services pursuant to 47 CFR 54.501.

b) No later amendments or editions are incorporated by this Part.

Part 766 Telecommunications Enforcement

83 Ill. Adm. Code 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].

83 Ill. Adm. Code 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]

History

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

83 Ill. Adm. Code 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.

History

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

83 Ill. Adm. Code 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.

83 Ill. Adm. Code 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.

History

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

83 Ill. Adm. Code 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.

83 Ill. Adm. Code 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.

History

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

83 Ill. Adm. Code 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.

83 Ill. Adm. Code 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.

83 Ill. Adm. Code 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.

83 Ill. Adm. Code 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.

83 Ill. Adm. Code 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.

83 Ill. Adm. Code 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.

83 Ill. Adm. Code 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.

83 Ill. Adm. Code 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.

History

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

83 Ill. Adm. Code 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.

History

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

83 Ill. Adm. Code 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.

History

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

83 Ill. Adm. Code 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.

History

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

83 Ill. Adm. Code 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.

History

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

83 Ill. Adm. Code 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.

History

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

83 Ill. Adm. Code 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.

History

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

83 Ill. Adm. Code 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.

History

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

Part 770 Operator Service Providers

83 Ill. Adm. Code 770.10 Definitions

"Access code" means a sequence of numbers that, when dialed, connects the caller to the provider of operator services associated with that sequence. These access codes include, but are not limited to, 950, 1-800 and 10XXX.

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

"Aggregator" means any person or entity, that is not an operator service provider and that in the ordinary course of its operations makes telephones available to the public or to transient users of its premises, including, but not limited to, a hotel, motel, hospital, or university, for telephone calls between points within this State that are specified by the user using an operator service provider (Section 13-901 of the Act).

"Call splashing" means the transfer of a telephone call from one provider of operator services to another such provider in such a manner that the subsequent provider is unable or unwilling to determine the location of origination of the call, and because of such inability or unwillingness is prevented from billing the call on the basis of such location.

"Commission" means the Illinois Commerce Commission.

"Consumer" means a person initiating any intrastate telephone call using operator services.

"Contract" means any contract that involves the provision of operator services.

"Equal access" has the meaning given that term in Appendix B of the Modification of Final Judgement entered by the United States District Court on August 24, 1982 in United States v. Western Electric, Civil Action No. 82-0192 (D.D.C. 1982), as amended by the Court in its orders issued prior to September 1, 1994.

"Equal access code" means an access code that allows the consumer to obtain an equal access connection to the carrier associated with that code.

"FCC" means the Federal Communications Commission.

"GDP Implicit Price Deflator" means the index that the Department of Commerce produces to measure the price level for a varied market basket of goods and services in the economy. The recorded measure of the GDP Implicit Price Deflator as reported by the WEFA Group is to be used for purposes of this Part.

"Operator service provider" means every telecommunications carrier that provides operator services or any other person or entity that the Commission determines is providing operator services (Section 13-901 of the Act).

"Operator services" means any telecommunications service that includes, as a component, any automatic or live assistance to a consumer to arrange for billing or completion, or both, of a telephone call between points within this State that are specified by the user through a method other than:

Automatic completion with billing to the telephone from which the call originated;

Completion through an access code or a proprietary account number used by the consumer, with billing to an account previously established with the carrier by the consumer; or

Completion in association with directory assistance services (Section 13-901 of the Act).

History

• Source: Amended at 18 Ill. Reg. 13053, effective September 1, 1994

83 Ill. Adm. Code 770.20 Standards of Service

a) Each provider of operator services shall:

1. identify itself, audibly and distinctly, to the consumer at the beginning of each telephone call and before the consumer incurs any charge for the call;

2. permit the consumer to terminate the telephone call at no charge before the call is connected; and

3. disclose immediately to the consumer, upon request and at no charge to the consumer:

A) a quotation of its rates or charges for the call;

B) the methods by which such rates or charges will be collected; and

C) the methods by which complaints concerning such rates, charges, or collection practices will be resolved.

b) Each aggregator, person, or entity owning or controlling the telephone instrument shall post the following on or near the telephone instrument, in plain view of consumers:

1. the name, address, and toll-free telephone number of the provider of operator services;

2. a written disclosure that the rates for all operator-assisted calls are available on request, and that consumers have a right to obtain access to the carrier of their choice and may contact their preferred carrier for information on accessing that carrier's service using that telephone.

c) Each aggregator shall ensure by contract or tariff that each of its telephones presubscribed to a provider of operator services allows the consumer to use "800", "950", and equal access code numbers (for example, "10XXX 0+") to obtain access to the provider of operator services desired by the consumer.

d) Access to carriers via equal access codes shall be provided to consumers where equal access is available, according to the unblocking requirements in Section 770.30 of this Part.

e) All 9-1-1 telephone calls shall be directed to the network as dialed.

f) Upon receipt of any emergency telephone call, a provider of operator services shall immediately connect the call to the appropriate emergency service of the reported location of the emergency, if known, and, if not known, of the originating location of the call.

History

• Source: Amended at 18 Ill. Reg. 13053, effective September 1, 1994

83 Ill. Adm. Code 770.30 Requirements for Unblocking of Access

a) Each aggregator or operator service provider shall ensure that any of its equipment allows the consumer to use equal access codes to obtain access, where available, from the central office to the consumer's desired provider of operator services. The requirements for the unblocking of access for intrastate telephone calls are as follows:

1. All equipment shall allow the consumer to use access codes other than equal access code to gain access to the consumer's desired provider of operator services;

2. Each pay telephone shall allow the consumer to use equal access codes to gain access to the consumer's desired provider of operator services;

3. All existing equipment that is technologically capable of identifying the dialing of an equal access code followed by any sequence of numbers that will result in billing to the originating telephone and that is technologically capable of blocking access through such dialing sequences without blocking access through other dialing sequences involving equal access codes shall allow the consumer to use equal access codes to obtain access to the consumer's desired provider of operator services;

4. All new equipment or software that is installed by an aggregator shall, immediately upon installation by the aggregator, allow the consumer to use equal access codes to obtain access to the consumer's desired provider of operator services;

5. All existing equipment that can be modified at a cost of no more than $15.00 per line to be technologically capable of identifying the dialing of an equal access code followed by any sequence of numbers that will result in billing to the originating telephone and to be technologically capable of blocking access through such dialing sequences without blocking access through other dialing sequences involving equal access codes shall allow the consumer to use equal access codes to obtain access to the consumer's desired provider of operator services;

6. All equipment not included in subsections (a)(2) - (5) of this Section shall, no later than April 17, 1997, allow the consumer to use equal access codes to obtain access to the consumer's desired provider of operator services.

b) The requirements of subsection (a) do not apply to the use by consumers of equal access code dialing sequences that result in billing to the originating telephone.

c) The Commission shall grant a petition for a waiver from unblocking requirements of this Section when the FCC has granted the petitioner a waiver of the requirements of 47 C.F.R. 64.704.

d) All providers of operator services, except those employing a store-and-forward device that serves only consumers at the location of the device, shall provide an "800" or "950" access code number. If a local exchange carrier that provides operator services is not accessible from all aggregator phones in its service area, then the local exchange carrier shall provide an "800" or "950" access code number.

History

• Source: Amended at 18 Ill. Reg. 13053, effective September 1, 1994

83 Ill. Adm. Code 770.40 Restrictions on Billing and Charges

a) Restrictions on billing

1. Consumers shall be billed within one year after the date the service was provided.

2. The operator service provider (or its billing agent) shall be identified on the consumer's bill. Where technically feasible, the operator service provider shall be listed in lieu of, or in addition to, the billing agent.

3. Incorrect billing

A) Refunds for Completed Calls. In the event that a consumer is billed incorrectly for a completed call by the operator service provider due to an error either in charging more than the published rate, in measuring the quantity or volume of the service provided, or in charging for the incorrect class of service, the operator service provider shall refund the overcharge upon discovery or upon request.

B) Refunds for uncompleted calls. No operator service provider shall knowingly charge for uncompleted calls. All operator service providers shall make refunds for any paid uncompleted calls upon request.

C) Rate of interest. If the consumer has paid the bill in subsection (a)(3)(A) or (a)(3)(B) above, and the billing is later found to be incorrect, then the refund will be made with interest from the date of overpayment by the consumer. The rate of interest shall be the rate as established by the Commission to be paid on deposits in 83 Ill. Adm. Code 735.120(h)(1). The refund shall be accomplished by a credit on a subsequent bill for telephone service, or by check if so requested by the consumer.

b) Restriction on charges. A provider of operator services shall:

1. not bill for unanswered telephone calls in areas where equal access is available;

2. not knowingly bill for unanswered telephone calls where equal access is not available;

3. not bill for a call in a manner that does not reflect the location of the origination of the call, except as provided in subsection (b)(4) of this Section;

4. not engage in call splashing, as defined in Section 770.10, unless the consumer requests to be transferred to another provider of operator services, the consumer is informed prior to incurring any charges that the rates for the call may not reflect the rates from the actual originating location of the call, and the consumer then consents to be transferred.

c) Each provider of intrastate operator services shall comply with the following requirements:

1. The maximum rates and charges to be charged by an operator service provider for usage charges shall not exceed the following rates:

Rate Mileage

Initial 1 Minute

Each Additional Minute

1-10

$.2125

$.1875

11-22

$.2250

$.2125

23-55

$.2375

$.2250

56-124

$.2625

$.2500

125-292

$.2875

$.2750

293+

$.3000

$.2875

2. The maximum rates and charges for operator surcharges shall not exceed the following rates:

A) Operator Station (consumer dialed 0+) collect, billed to third number, coin call, or billed to a calling card: $2.50;

B) Operator Station (operator dialed 0-) collect, billed to third number, coin call, or billed to a calling card: $3.75;

C) Person-to-Person (consumer dialed 0+ and operator dialed 0-) billed to a calling card: $4.50;

D) Person-to-person (consumer dialed 0+) collect, billed to third number, or coin call: $4.50; and

E) Person-to-person (operator dialed 0-) collect, billed to third number, or coin call: $5.75.

d) All charges shall be included in the amounts authorized by subsection (c) above.

e) The amounts authorized in subsection (c) shall be escalated annually by the percentage change in the GDP Implicit Price Deflator with the first adjustment to be effective January 1, 1995. In December of each year the Commission shall announce the rate of inflation and the new maximum price levels for the next year.

History

• Source: Added at 18 Ill. Reg. 13053, effective September 1, 1994

83 Ill. Adm. Code 770.50 Contract/Tariff Provisions Between Operator Service Providers and Aggregators

a) Each provider of operator services shall ensure, by contract or tariff:

1. that each aggregator for which such provider is the presubscribed provider of operator services is in compliance with the requirements of Sections 770.20 and 770.30 of this Part;

2. that payment (on a location-by-location basis) of any compensation, including commissions, will be withheld to aggregators if such provider reasonably believes that the aggregator is blocking access to intrastate common carriers in violation of Section 770.20(c) and (d).

b) For purposes of this Part, telephones in the following locations will not be considered aggregator locations:

1. Those areas of mental health facilities as defined in Section 1-114 of the Mental Health and Developmental Disabilities Code [405 ILCS 5/1-114] or developmental disability facilities as defined in Section 1-107 of the Mental Health and Developmental Disabilities Code [405 ILCS 5/1-107] that are not accessible to the public; and

2. Those areas of correctional institutions or facilities as defined in Section 3-1-2 of the Unified Code of Corrections [730 ILCS 5/3-1-2], county jails and detention centers, or any detention facility operated by a unit of local government that are not accessible to the public.

History

• Source: Added at 18 Ill. Reg. 13053, effective September 1, 1994

83 Ill. Adm. Code 770.60 Enforcement of Rules

a) Upon receipt of a complaint of a violation of this Part, the Commission may initiate a proceeding to revoke the Certificate of Service Authority of an operator service provider or an aggregator alleged to be in violation of this Part, or may initiate a proceeding to terminate service to an operator service provider or an aggregator alleged to be in violation of this Part.

b) A copy of the Commission's order in either proceeding shall be served on the designated agent of the operator service provider and on the aggregator, if known. The Commission shall set the matter for hearing within 30 days after its order. The procedures for such hearing to review alleged violations shall follow 83 Ill. Adm. Code 200, "Rules of Practice."

c) The Commission shall issue its final order within 90 days after the order initiating the proceeding. Certified copies of the order shall be served on the designated agent for the operator service provider and on the aggregator, if appropriate.

d) A telecommunications carrier shall terminate service to the operator service provider or the aggregator that is found to be in violation of this Part within 14 days after the Commission's order.

e) A violation of this Part is a business offense subject to a fine of not less than $1,000 nor more than $5,000.

History

• Source: Added at 18 Ill. Reg. 13053, effective September 1, 1994

Part 771 Pay Telephone Providers

83 Ill. Adm. Code 771.100 Applicability

a) This Part shall apply to any telecommunications carrier, as defined in Section 13-202 of the Public Utilities Act [220 ILCS 5/13-202], providing pay telephone service.

b) This Part does not apply to pay telephone provider's provision of "private" or "private use" pay telephones in that the telecommunications services offered by these pay telephones are not for public use. Pay telephones in locations where the telephone is available to a limited group such as family, club members, employees, or patrons are not for public use under the Act, including, but not limited to, the locations described below:

1. Those areas of mental health facilities as defined in Section 1-114 of the Mental Health and Developmental Disabilities Code [405 ILCS 5/1-114] or developmental disability facilities as defined in Section 1-107 of the Mental Health and Developmental Disabilities Code [405 ILCS 5/1-107] that are not accessible to the public;

2. Those areas of correctional institutions or facilities as defined in Section 3-1-2 of the Unified Code of Corrections [730 ILCS 5/3-1-2], county jails and detention centers, or any detention facility operated by a unit of local government that are not accessible to the public; and

3. Those indoor areas of banking establishments, restaurants, bars, taverns, retail stores, barbershops, beauty shops, grocery stores, department stores, movie houses, hospitals, doctors' offices, gas stations, and factories.

c) Providers of pay telephones who locate pay telephones in locations accessible to or used by a large number of the public are telecommunications carriers within the meaning of Section 13-202 of the Act. Pay telephones in the following locations are deemed to be "public" or "for public use": transportation centers and terminals, stadiums, exposition centers, toll service areas, public streets and roads, parks, public areas of shopping malls and shopping centers, hotel lobbies, all telephones located outdoors (except those located on the property of a private club), roadside oases and rest areas, amusement parks, municipal, State and federal government buildings, grounds and associated areas, and military establishments.

83 Ill. Adm. Code 771.110 Definitions

"9-1-1 system" means the geographic area that has been granted an order of authority by the Commission to use "9-1-1" as the primary emergency telephone number.

"9-1-1 System Management" – The Emergency Telephone System Board (ETSB) that provides for the management and operation of a 9-1-1 system within the scope of such duties and powers as are prescribed by the Emergency Telephone System Act [50 ILCS 750]. If no ETSB is established, then those persons given the authority to operate the 9-1-1 system by the local public agencies.

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

"Basic pay telephone service access line" means an exchange access line used for the provision of pay telephone service.

"Billed number screening" means an entry into a line information database that indicates that certain incoming calls are not accepted by the pay telephone line.

"Certificated access line provider" means a local exchange carrier or a telecommunications carrier certified to provide switched local exchange telecommunications service pursuant to Sections 13-404 or 13-405 of the Act [220 ILCS 5/13-404 or 13-405] and providing an access line to a pay telephone provider for connection to the public switched telephone network.

"Coin access line" means an exchange access line equipped for touch-tone signaling, incoming and outgoing screening, and network coin rating and related coin signaling functions.

"Commission" means the Illinois Commerce Commission.

"LEC" means local exchange carrier, a telecommunications carrier providing local exchange telecommunications as defined in Section 13-204 of the Act [220 ILCS 5/13-204].

"Operator-assisted service" means any service using live operator or automated operator functions for the handling of telephone service, such as collect calls, third number billing, calling card and prepaid card services.

"Operator service provider" or "OSP" means every telecommunications carrier that provides operator-assisted services that assist callers in the placement or charging of a call, either through live intervention or automated intervention.

"Pay telephone" means any coin, coinless, credit card reader telephone, provided that the end user pays or arranges to pay for exchange and interexchange intraMSA and interMSA calls from such instrument on an individual call basis.

"TT" means text telephone, a device that employs graphic or Braille communication in the transmission of coded signal through a wire or radio communication system.

83 Ill. Adm. Code 771.200 Certification Requirements

Providers of pay telephone service that are providing the resale of either local exchange or interexchange telecommunications service for public use must first obtain a Certificate of Service Authority pursuant to Section 13-403, 13-404, or 13-405 of the Act, as appropriate.

83 Ill. Adm. Code 771.210 Filing Requirements

a) An applicant must file a verified original and three copies of the application for a Certificate of Service Authority with the Chief Clerk of the Commission in accordance with 83 Ill. Adm. Code 200.

b) The application for certification must include the following:

1. Applicant's business name, address and telephone number;

2. Designated agent's name and address, if different from applicant's;

3. Financial statement and balance sheet that list assets and liabilities;

4. The type of business knowledge and experience possessed by the applicant;

5. Affirmation that the applicant has reviewed the rules in this Part that pertain to the provision of pay telephone services; and

6. Method of compliance with Section 771.300, Standardized Notice to the Public.

83 Ill. Adm. Code 771.220 Certified Access Line Provider's Maintenance of Records

Each certificated access line provider shall maintain a database that includes, at a minimum, the following information regarding services provided to certificated and non-certificated pay telephone providers:

a) The telephone number and demarcation point or location of each pay telephone line; and

b) The billed party's name, address and telephone number.

83 Ill. Adm. Code 771.230 Responsibilities of the Certificated Pay Telephone Provider

a) The certificated pay telephone provider shall be responsible for compliance with this Part.

b) The certificated pay telephone provider shall be the billed party.

c) The certificated pay telephone provider shall provide one copy of its certificate to each certificated access line provider with which it intends to transact business.

83 Ill. Adm. Code 771.300 Standardized Notice to the Public

All public use pay telephones shall have the following features:

a) An informational message by voice recording at no charge or by visual display in, on, or adjacent to each pay telephone explaining:

1. The general operation of the pay telephone;

2. Dialing instructions for obtaining emergency assistance;

3. Identification of 9-1-1 as the primary emergency telephone number to be used when dialing from pay telephones in an authorized 9-1-1 system;

4. Dialing instructions for operator services and directory assistance;

5. Instructions on how to use any TT equipment supplied by the pay telephone provider;

6. The blocking of incoming calls if the telephone will not accept incoming calls; and

7. Any maximum duration of incoming calls.

b) Visually displayed informational messages providing the following notices must be in 9 point type or 7 point type, if bilingual:

1. The pay telephone provider's name, a mailing address and the telephone number that will enable the caller to contact the pay telephone provider 24 hours a day with, at a minimum, the provision of a voice response unit;

2. The procedure used to report service problems or to request a credit or refund, if the pay telephone provider contact is different from that provided pursuant to subsection (b)(1); and

3. The identity of any OSPs to which the pay telephone is presubscribed.

c) Pay telephones located in areas served by a basic 9-1-1 system shall include the pay telephone location, either by a specific street address or descriptive location. The presence and accuracy of the information shall be confirmed by the pay telephone provider once per year and that confirmation shall be deemed to be in compliance with this Section.

d) If separate TT numbers apply to the requirements listed in subsections (a) and (b) of this Section, then those numbers shall also be posted on the pay telephone.

e) All certificated pay telephone providers shall comply with the notice requirements of this Subpart C by July 1, 2000.

83 Ill. Adm. Code 771.400 9-1-1 Emergency Pay Telephone Requirements

a) Certificated access line providers shall:

1. At the time of access line subscription, advise the pay telephone provider whether the access lines provided are located in an area with 9-1-1 service and, if so, advise the pay telephone provider that it must comply with all relevant 9-1-1 requirements and, upon request, provide the pay telephone provider with a 9-1-1 System Management contact;

2. At least 30 days prior to the conversion to a 9-1-1 system of any area not previously offering 9-1-1 service, notify each pay telephone provider then purchasing access lines from a certificated access line provider within the area of the pending conversion; and

3. In case of pay telephone equipment malfunction, provide the billed party's telephone number associated with the malfunctioning pay telephone to the Commission or 9-1-1 System Management, upon their request.

b) The pay telephone provider must provide the 9-1-1 System Management with the pay telephone number, a point of contact for the pay telephone provider and a specific street address or descriptive location for each pay telephone in that designated area on a proprietary basis.

c) All 9-1-1 telephone calls shall be directed to the network as dialed.

d) All pay telephone providers shall provide current emergency number information for police, fire, and emergency medical services to their presubscribed operator service providers who, in turn, shall have that information readily accessible.

e) Pay telephones connected through line concentrators shall be compliant with the requirements of the Emergency Telephone System Act [50 ILCS 750/15.6] applicable to private business switch service.

f) The placard or informational message on the pay telephone must comply with the requirements in Section 771.300.

83 Ill. Adm. Code 771.500 Pay Telephone Access Line Service

All pay telephone equipment shall be connected to the public network by way of a basic pay telephone service access line or by a coin access line provided by a certificated access line provider. Such basic telephone service access line or coin access line shall be capable of accommodating outgoing calls of unlimited duration.

83 Ill. Adm. Code 771.505 Compliance with Federal Rules

All certificated pay telephone providers shall ensure that pay telephone equipment connected to a basic pay telephone service access line complies with all applicable rules of the Federal Communications Commission (FCC).

83 Ill. Adm. Code 771.510 Touch-Tone Capability

In areas where Touch-Tone capability is available from the serving central office, Touch Tone signaling shall be provided to pay telephones.

83 Ill. Adm. Code 771.515 Other Features

All pay telephones for public use shall have the following minimum features:

a) They shall have the ability to access "O" Operator (O-minus) without prior insertion of coins or credit card;

b) They shall comply with all applicable federal statutes or State rules concerning the use of pay telephones by disabled persons, such as those who utilize wheel chairs or those who are hearing or sight disabled; and

c) They shall have the ability to complete both basic exchange and interexchange intraMSA and interMSA calls (upon payment of applicable charges).

83 Ill. Adm. Code 771.520 Miscellaneous Provisions

a) Operator assisted services offered from pay telephones shall be provided by operator service providers or pay telephone providers that have obtained a Certificate of Service Authority from the Commission.

b) Pay telephones for public use shall provide access to the customer's interexchange carrier of choice as set forth by the Commission in 83 Ill. Adm. Code 770.

c) Billed number screening service shall be made available by certificated access line providers on all basic pay telephone access lines.

d) No telecommunications carrier shall charge a pay telephone provider for a call originating from a pay telephone for which the caller pays a per-call or per-time-interval charge that is greater than, or in addition to, the charge for transmission of the call unless the pay telephone provider has subscribed to the provision of those calls from the pay telephone provider's pay telephones. If calls are billed in error, the telecommunications carrier shall provide appropriate adjustments or refunds. A pay telephone provider's access line provider shall be permitted to block calls, without charge, from pay telephones for which the pay telephone provider has not subscribed to those calls.

e) Pay telephone providers shall have the option of not presubscribing to a primary interexchange carrier.

f) Pay telephones for public use may be connected through line concentrators.

83 Ill. Adm. Code 771.600 Lec Tariffs for Pay Telephone Providers

LECs must file tariffs for basic pay telephone services and any unbundled features the LEC provides to their own pay telephone service. Rates for these services shall be set according to the Federal Communications Commission's new services test pursuant to the Computer Inquiry III (CC Docket 90-263) guidelines in effect on October 1, 1999 (47 CFR 61.49(g)(2)). The tariffed rates for these services must be:

a) cost based;

b) consistent with the requirements of Section 276 of the Communications Act of 1934 as amended by the Telecommunications Act of 1996, 47 USC 276; and

c) without preference or discrimination in favor of the LEC's pay telephone service.

83 Ill. Adm. Code 771.700 Refunds to Users of Pay Telephones for Public Use

a) No pay telephone provider shall knowingly charge for uncompleted calls or charge a rate other than as provided in the tariffs as may be applicable.

b) If the customer has paid for an uncompleted call or has been overcharged, a refund shall be made with interest from the date of overpayment by the customer. The rate of interest shall be the rate as established by the Commission to be paid on deposits in 83 Ill. Adm. Code 735.120(h)(1).

83 Ill. Adm. Code 771.800 Notice Procedures

a) Upon receipt of a complaint of a violation of this Part, the Commission may initiate a proceeding to revoke the Certificate of Service Authority of a pay telephone provider alleged to be in violation of this Part or may initiate a proceeding to terminate service to a pay telephone alleged to be in violation of this Part.

b) A copy of the Commission's initiating order in either proceeding shall be served on the designated agent of the pay telephone provider. The Commission shall set the matter for hearing within 30 days after its order. The procedures for a hearing to review alleged violations shall follow 83 Ill. Adm. Code 200, "Rules of Practice".

c) The Commission shall issue its final order within 90 days after the order initiating the proceeding. Certified copies of the order shall be served on the designated agent for the pay telephone provider.

d) A certificated access line provider shall terminate service to the pay telephone that is found to be in violation of this Part within 14 days after the entry of the Commission's final order.

Part 772 Pay-Per-Call Services

83 Ill. Adm. Code 772.10 Applicability

a) This Part shall apply to any telecommunications carrier, as defined in Section 13-202 of the Public Utilities Act [220 ILCS 5/13-202] transporting or providing pay-per-call service within the State of Illinois.

b) This Part shall not apply to any telecommunications carrier that is subject to 83 Ill. Adm. Code 760, "Cellular Radio Exclusion."

83 Ill. Adm. Code 772.20 Definitions

"Abbreviated dialing code" means an alternative dialing arrangement consisting of #NXX, where the # represents the # symbol key on the telephone key pad, N represents any digit 2 through 9, and X represents any digit 0 through 9.

"Basic telecommunications service" means both local exchange and interexchange service.

"Blocking" means the inability to access intrastate pay-per-call services.

"Information provider" means the sponsor that supplies the information, product, or entertainment source.

"Pay-per-call service" means any service:

In which any person provides or purports to provide:

Audio information or audio entertainment produced or packaged by such person;

Access to simultaneous voice conversation services; or

Any service, including the provision of a product, the charges for which are assessed on the basis of the completion of the call;

For which the caller pays a per-call or per-time-interval charge that is greater than, or in addition to, the charge for transmission of the call; and

Which is accessed through the use of an abbreviated dialing code, a 900 service access code or a 976 exchange code.

Such term does not include directory services provided by a common carrier or its affiliate or by a local exchange carrier or its affiliate.

"Presubscription or comparable arrangement" means a contractual agreement in which the information provider discloses to the subscriber all terms and conditions associated with the use of the service, including the information provider's name and address, a local or toll-free telephone number which the consumer may use to obtain additional information or to register a complaint, and the rates for the service; the information provider agrees to notify the subscriber of any future rate changes; the subscriber agrees to utilize the service on the terms and conditions disclosed by the information provider; and the information provider requires the use of an identification number or other means to prevent unauthorized access to the service by nonsubscribers.

"Subscriber" means a customer as defined in 83 Ill. Adm. Code 735.10.

History

• Source: Amended at 22 Ill. Reg. 1192, effective January 1, 1998

83 Ill. Adm. Code 772.30 Preamble

The preamble requirements are found in Section 10 of the Pay-Per-Call Services Consumer Protection Act [815 ILCS 520/10].

83 Ill. Adm. Code 772.35 Presubscription Arrangements by Credit Card or Charge Card

Disclosure of a credit card or charge card number, along with authorization to bill that number, made during the course of a call to a pay-per-call service, shall constitute a presubscription or comparable arrangement if the credit or charge card is subject to the dispute resolution procedures of the Truth in Lending Act and the Fair Credit Billing Act, as amended (15 U.S.C. 1601 et seq.). No other action taken by the consumer during the course of a call to a pay-per-call service can be construed as creating a presubscription or comparable arrangement.

83 Ill. Adm. Code 772.40 Identification of Information Providers

The telecommunications carrier of any pay-per-call telephone information service must provide to the customer at no charge, upon verbal or written request, the name, address and customer service telephone number of the actual provider of information service [815 ILCS 520/10]. This information shall be provided within 10 days after the initial request.

83 Ill. Adm. Code 772.45 Limitations on the Provision of Pay-Per-Call Services

Any telecommunications carrier assigning a telephone number or abbreviated dialing code to a provider of intrastate pay-per-call service shall require, by contract or tariff, that such provider comply with the provisions of the Pay-Per-Call Services Consumer Protection Act and this Part. Such contract or tariff shall provide that violation of the contract or tariff shall result in termination of service to the provider of intrastate pay-per-call services.

History

• Source: Amended at 22 Ill. Reg. 1192, effective January 1, 1998

83 Ill. Adm. Code 772.50 Number Designation and Restrictions on the Use of 800 Numbers

a) Any intrastate pay-per-call service shall be offered only through telephone numbers beginning with a 900 service access code, 976 exchange code, or abbreviated dialing code.

b) Telecommunications carriers shall prohibit, by contract or tariff, the use of any telephone number beginning with an 800 service access code, or any other telephone number advertised or widely understood to be toll free, in a manner that would result in:

1. The calling party or the subscriber to the originating line being assessed, by virtue of completing the call, a charge for the call;

2. The calling party being connected to a pay-per-call service;

3. The calling party being charged for information conveyed during the call unless the calling party has a presubscription or comparable arrangement; or

4. The calling party being called back collect for the provision of audio or data information service, simultaneous voice conversation service, or products.

History

• Source: Amended at 22 Ill. Reg. 1192, effective January 1, 1998

83 Ill. Adm. Code 772.55 Billing

a) The bill for pay-per-call service shall:

1. Appear under a separate heading that identifies the applicable pay-per-call telephone service charges. Telecommunications carriers shall comply with the requirements of this subsection by May 1, 1995;

2. Identify on the bill the type of service and the number or the abbreviated dialing code that was called, the amount of the charge, the date, time, and for calls billed on a time-sensitive basis, the duration of the call;

3. Display the local or toll-free telephone number where subscribers can obtain answers to their questions and information on their rights and obligations with regard to their use of pay-per-call services, and can obtain the name and mailing address of the provider of pay-per-call services; and

4. Include a statement indicating that:

A) Such charges are for non-telecommunications services;

B) Neither local nor long distance service can be disconnected for non-payment although an information provider may employ private entities to seek to collect such charges;

C) Blocking is available upon request for services accessed through a 900 access code, 976 exchange code or abbreviated dialing code; and

D) Access to pay-per-call services may be involuntarily blocked for failure to pay legitimate charges.

b) The local exchange carrier or intrastate telecommunications carrier of any pay-per-call telephone information services which bills for pay-per-call services shall agree to issue to a subscriber a one-time waiver of disputed charges for each type of dialing arrangement permitted by Section 772.50(a). Subscribers are required to dispute pay-per-call charges within 60 days after the issue date of such charges to qualify for the one-time waiver. Credits resulting from disputed pay-per-call charges that are determined by the local exchange carrier after investigation to have been billed to the wrong telephone number or billed at the incorrect rate shall be considered in error and shall not be considered a waiver.

c) Any telecommunications carrier offering billing and collection services to an entity providing intrastate information service pursuant to a presubscription or comparable arrangement, or for intrastate tariffed collect information services, shall, to the extent possible, display the billing information in the manner described in subsection (a)(2) above.

d) Any telecommunications carrier assigning a telephone number or abbreviated dialing code to a provider of intrastate pay-per-call services and offering billing and collection services to such provider shall not bill a subscriber for intrastate pay-per-call services that such carrier knows or reasonably should know were provided in violation of the Pay-Per-Call Services Consumer Protection Act or this Part.

History

• Source: Amended at 22 Ill. Reg. 1192, effective January 1, 1998

83 Ill. Adm. Code 772.60 Partial Payments

Partial payments shall be applied first to charges of the local exchange carrier and the interexchange carrier for which tariffs have been filed with the Illinois Commerce Commission and then to charges for pay-per-call services.

83 Ill. Adm. Code 772.70 Deposits

Deposit requests by the local exchange carrier, as set forth in 83 Ill. Adm. Code 735, shall not include pay-per-call charges. Non-payment of pay-per-call charges shall not be a cause to request a deposit.

83 Ill. Adm. Code 772.80 Disconnection

a) No local exchange carrier shall disconnect, or order the disconnection of, a telephone subscriber's basic telecommunications service as a result of that subscriber's failure to pay:

1. Pay-per-call service charges;

2. Charges for intrastate information services provided pursuant to a presubscription or comparable arrangement; or

3. Charges for intrastate tariffed collect information services that have been disputed by the subscriber.

b) Charges for pay-per-call services shall not be included in the amount that must be paid to avoid disconnection of basic telecommunications service.

83 Ill. Adm. Code 772.90 Blocking

a) A local exchange carrier shall provide blocking, where technically feasible, at no charge for each type of dialing arrangement permitted by Section 772.50(a) on a one-time basis to all telephone subscribers.

b) The local exchange carrier may charge a non-recurring fee for each subsequent request for blocking or unblocking pay-per-call service. These charges shall be filed with the Illinois Commerce Commission pursuant to Section 9-201 of the Public Utilities Act [220 ILCS 5/9-201].

c) A subscriber who transfers service to a new location and is served by the same local exchange carrier shall be able to maintain blocking of pay-per-call service without any additional charge to establish blocking at the new location.

d) Requests by subscribers to remove pay-per-call blocking must be in writing to the local exchange carrier.

History

• Source: Amended at 22 Ill. Reg. 1192, effective January 1, 1998

83 Ill. Adm. Code 772.100 Involuntary Blocking

a) The telecommunications carrier may block a subscriber's access of pay-per-call telephone service, but not basic telecommunications service, if the subscriber refuses to pay to the local exchange carrier any subsequent charges after the waiver provided by Section 772.55(b).

b) The subscriber shall be notified either by mail or by verbal notice that blocking will occur and that settlement of the amounts will result in the removal of involuntary blocking upon written authorization from the subscriber. The written notice shall be mailed at least 5 working days before the effective date of the blocking, or verbal notification shall be given at least 1 day prior to the blocking.

c) Upon settlement of outstanding pay-per-call charges, except the charges waived by Section 772.55(b), involuntary blocking shall be removed upon written authorization from the subscriber.

d) A subscriber who has filed a complaint regarding a particular pay-per-call program pursuant to procedures established by this Part shall not be involuntarily blocked from access to that program while such a complaint is pending. This restriction is not intended to preclude involuntary blocking when a carrier or information provider has decided in one instance to sustain charges against a subscriber but that subscriber files additional separate complaints.

83 Ill. Adm. Code 772.110 Notices

a) The local exchange carrier shall provide disclosure statements setting forth all rights and obligations of the subscriber and the carrier with respect to the use and payment of pay-per-call services to:

1. All telephone subscribers no later than January 1, 1995;

2. All new telephone subscribers no later than 60 days after service is established;

3. All telephone subscribers requesting service at a new location no later than 60 days after service is established; and

4. All subscribers at least twice per year thereafter.

b) Subscribers must be informed of the following provisions either on the subscriber's monthly bill or as a disclosure statement as specified in 772.110(a):

1. Whether free blocking is available to subscribers;

2. If applicable, how a non-recurring charge to block or unblock may apply to subscribers after the one-time free blocking;

3. That, if applicable, non-payment of pay-per-call charges may result in involuntary blocking to the pay-per-call programs;

4. That non-payment of pay-per-call charges may result in collection activity by the information provider or the telecommunications carrier, their agents or assigns;

5. That partial payments will be applied first to basic telecommunication charges, then to pay-per-call charges;

6. That requests to unblock pay-per-call services must be in writing;

7. That subscribers are required to dispute pay-per-call charges within 60 days after the issue date of such charges to qualify for the one-time waiver. Credits resulting from disputed pay-per-call charges that are determined by the local exchange carrier after investigation to have been billed to the wrong telephone number or billed at the incorrect rate shall be considered in error and shall not be considered a waiver; and

8. That subscribers should not be billed for pay-per-call services not offered in compliance with all applicable State laws and regulations.

c) If the local exchange carrier includes pay-per-call charges on a final notice sent pursuant to 83 Ill. Adm. Code 735, such charges shall be segregated from the amounts the subscriber must pay to avoid disconnection. The final notice shall state that only the amounts excluding pay-per-call charges must be paid to avoid disconnection.

d) All local exchange carriers shall comply with the notice requirements of subsection (c) by November 1, 1995. Any local exchange carrier may request a waiver of this compliance date by filing a petition for a waiver pursuant to 83 Ill. Adm. Code 200. In determining whether to grant such a waiver, the Commission shall consider the costs to the local exchange carrier of compliance with the requirement, the local exchange carrier's projected date for compliance with the notice requirements, and whether the local exchange carrier has procedures in effect currently that will ensure that subscribers are not disconnected for failure to pay the outstanding pay-per-call charges.

83 Ill. Adm. Code 772.120 Restrictions on Collect Telephone Calls

a) No telecommunications carrier shall provide intrastate transmission or billing and collection services to an entity offering any pay-per-call service that is billed to a subscriber on a collect basis at a per-call or per-time-interval charge that is greater than, or in addition to, the charge for transmission of the call.

b) No telecommunications carrier shall provide intrastate transmission services for any collect information services billed to a subscriber at a tariffed rate unless the called party has taken affirmative action indicating that it accepts the charges for the collect service.

83 Ill. Adm. Code 772.130 Generation of Signalling Tones

No telecommunications carrier shall assign a telephone number or abbreviated dialing code for any pay-per-call service which employs broadcast advertising which generates the audible tones necessary to complete a call to a pay-per-call service.

History

• Source: Amended at 22 Ill. Reg. 1192, effective January 1, 1998

83 Ill. Adm. Code 772.135 Verification of Charitable Status

Any telecommunications carrier assigning a telephone number or abbreviated dialing code to a provider of intrastate pay-per-call services that the carrier knows or reasonably should know is engaged in soliciting charitable contributions shall obtain verification that the entity or individual for whom contributions are solicited has registered with the Attorney General of the State of Illinois pursuant to Section 2 of the Solicitation for Charity Act [225 ILCS 460/2].

History

• Source: Amended at 22 Ill. Reg. 1192, effective January 1, 1998

83 Ill. Adm. Code 772.140 Dispute Procedures

Disputes arising under this Part shall be governed by 83 Ill. Adm. Code 735.190 and 735.200.

83 Ill. Adm. Code 772.150 Recovery of Cost

No telecommunications carrier shall recover its cost of complying with the provisions of this Part from local or long distance ratepayers.

Part 780 Right-of-Way Precondemnation Negotiations by Telephone Companies

83 Ill. Adm. Code 780.5 Applicability

a) This Part shall apply whenever any telephone company seeks to negotiate the acquisition of a land right-of-way easement pursuant to Section 4 of the Telephone Company Act [220 ILCS 65/4] (Act).

b) As used in this Part, "telephone company" shall mean any entity to which the Act is applicable pursuant to Section 1 of the Act [220 ILCS 65/1], including telecommunications carriers as defined in Section 13-202 of the Public Utilities Act [220 ILCS 5/13-202].

c) This Part shall be prospectively applied. This Part shall not affect the following:

1. The validity of any existing certificate issued by the Illinois Commerce Commission (Commission).

2. The validity of any existing easement.

d) This Part shall not cause the revocation of any existing Commission certificate.

History

• Source: Amended at 27 Ill. Reg. 10216, effective August 1, 2003

83 Ill. Adm. Code 780.10 Right-of-Way Precondemnation Requirements

a) When a telephone company, or its agent, initially contacts any landowner to negotiate the acquisition of a land right-of-way easement, either in person or in writing, the landowner shall be advised in writing that if the landowner has any questions about his rights or the rules of the Commission pertaining to the authority of a telephone company to acquire right-of-way easements, inquiry can be directed to the Illinois Commerce Commission, 527 East Capitol Avenue, Springfield, Illinois 62701. The telephone company shall provide the landowner with a copy of Appendix A.

b) Upon request of the landowner the telephone company shall provide the landowner with the information in Section 780.20(f)(1) and (2) and shall provide the landowner with a copy of Appendix B.

History

• Source: Amended at 27 Ill. Reg. 10216, effective August 1, 2003

83 Ill. Adm. Code 780.20 Precondemnation of Land Right-of-Way Easements

a) This Section shall govern the actions of every person acting in behalf of a telephone company when it has been unsuccessful in negotiating a land right-of-way easement, and intends to initiate formal action before the Commission or courts.

b) At least 14 days prior to a telephone company filing a Petition for an Order under Section 8-503 of the Public Utilities Act [220 ILCS 5/8-503] or initiating formal action before a court, as may be applicable, the telephone company representative shall send to the landowner a letter by certified mail, return receipt requested, containing the information detailed in subsection (d) together with a copy of Appendix B.

c) The representative shall keep and maintain a record, for one year, of letters sent in compliance with this Section.

d) The letter sent by the representative shall be on that representative's letterhead or on the letterhead of the telephone company and shall set forth:

1. The identity, address and telephone number of the telephone company representative;

2. The identity of the telephone company attempting to acquire the land or land rights;

3. The general purpose of the proposed project;

4. The type of facility to be constructed;

5. The general description of the land or land rights the telephone company seeks to acquire and the type of structures, if any, which the company seeks to build;

6. A statement that the company or its representative continues to seek to negotiate with the landowner to arrive at an agreement for such land or land rights; and

7. An invitation to the landowner to contact the telephone company representative to arrange a mutually agreeable time for an appointment to further discuss the matter.

e) Each telephone company representative shall carry with him/her and show to every landowner contacted an identification card showing the name and address of the contacting person and his/her employer. The contacting person shall leave his/her telephone number with the landowner.

f) At the time of the contact, the telephone company representative shall:

1. Orally state the reason for the contact, i.e., general purpose of the proposed project, type of facilities to be constructed; and

2. Provide written information and data surrounding the proposed project. This shall include, to the extent then known to the telephone company, a statement outlining briefly the purpose of the project, a map or sketches indicating types of facility, approximate location of facilities, compensation and basis for compensation and, if applicable, type of structures, and amount (length and width) of the land right-of-way deemed necessary. This information shall be left with the landowner for review, along with any agreement or contract proposed by the telephone company.

g) If the company and the landowner do not reach agreement within two weeks after the mailing of the original letter, the company may then file a Petition for an Order under Section 8-503 of the Public Utilities Act, or may initiate formal action before a court.

History

• Source: Amended at 27 Ill. Reg. 10216, effective August 1, 2003

83 Ill. Adm. Code 780.30 Compliance with Statute

a) Pursuant to Section 4 of the Act a telephone company shall be considered to be in substantial compliance with this Part if the telephone company has supplied the landowner with copies of Appendix A and Appendix B and has supplied, in writing, the information specified in Section 780.20(f)(2) at least 14 days prior to initiating formal action before the Commission or a court.

b) Section 4 of the Act states that failure to provide such notice or information shall not constitute a waiver of the rights granted in this Section. For purposes of this Part, "such notice" will be construed as the notice required by Section 780.20(b).

83 Ill. Adm. Code 780.APPENDIX A Company Statement

Company Name

Company Address

Company Contact Name

Company Telephone Number

As a telephone company responsible for providing telephone service to this area, at times it becomes necessary to place new telephone facilities to serve new customers and improve service to existing customers.

We recognize your rights as a landowner and desire to negotiate with you for an easement to construct these necessary facilities.

Questions pertaining to your rights, as well as our rights to acquire right-of-way easements, may be directed to the Chief Telephone Engineer of the Illinois Commerce Commission, 527 East Capitol Avenue, Springfield IL 62701.

Please do not hesitate to contact our representative for answers to questions pertaining to this project.

History

• Source: Amended at 27 Ill. Reg. 10216, effective August 1, 2003

83 Ill. Adm. Code 780.APPENDIX B Statement of information from the Illinois Commerce Commission concerning acquisition of right-of-way by Illinois telephone companies

The purpose of this Statement is to provide you with the general information concerning the procedures involved. This Statement covers several questions commonly asked of the Illinois Commerce Commission staff by landowners.

This Statement is not a legal opinion concerning your rights under the law or the rules of the Commission, nor is it a detailed analysis of the procedures involved. If you have any questions concerning your legal rights, you may wish to consult an attorney.

Telephone companies and telecommunications carriers are granted the right of eminent domain or condemnation by Illinois law.1 Eminent domain is simply the power of the State, or those delegated by the State, to take private property for public use upon payment of just compensation as determined by the courts.

Prior to attempting to acquire a right-of-way easement by applying to the courts to exercise the right of eminent domain or condemnation, a telephone company or telecommunications carrier shall attempt to secure the right-of-way easement through negotiations with the landowner.2

Negotiation means discussion and bargaining between the landowner and the telephone company or telecommunications carrier in an effort to arrive at an equitable agreement concerning the land or land rights and the price to be paid for such land or land rights. It does not mean that an agreement must be reached or that either the landowner or the telephone company or telecommunications carrier must agree with the other.

The price to be paid to the landowner by the telephone company or telecommunications carrier for the land or land rights is a matter of negotiation between the landowner and the telephone company or telecommunications carrier. The Commission does not participate in the negotiations, nor does it establish or approve the price. Specific information on the price to be offered for the land or land rights will be provided by the telephone company or telecommunications carrier representative.

The telephone company or telecommunications carrier representative may be negotiating with you for the acquisition of an easement for the use of the land or for the purchase of the land. In either case, the telephone company or telecommunications carrier will have its own form of easement or deed, as the Commission has no standard forms which the utility is required to use.

There is no certainty that the telephone company or telecommunications carrier will be allowed to acquire land or land rights through the use of eminent domain. However, you should not delay in contacting the telephone company or telecommunications carrier's representative to attempt to negotiate fair compensation for the land or land rights which the utility seeks.

If you have any questions about this Statement or the rules and procedures of the Illinois Commerce Commission, please contact the Chief Telephone Engineer, Illinois Commerce Commission, 527 East Capitol Avenue, Springfield IL 62701 . Any specific questions concerning your individual property should be addressed to the telephone company or telecommunications carrier representative.

1 220 ILCS 65

2 735 ILCS 5/Art. VII

History

• Source: Amended at 27 Ill. Reg. 10216, effective August 1, 2003

Chapter I Illinois Commerce Commission

Subchapter f Telephone Utilities

Part 785 Joint Rules of the Illinois Commerce Commission, the Office of the State Fire Marshal, and the Illinois Emergency Management Agency: Fire Protection and Emergency Services for Telecommunications Facilities

83 Ill. Adm. Code 785.1 Policy

The purpose of this Part is the practical, affordable safeguarding of the facilities of telephone companies and telecommunications carriers from major interruptions in service principally due to fire and to assure proper emergency response and recovery mechanisms are available should protective measures fail.

83 Ill. Adm. Code 785.5 Definitions

As used in this Part, the following terms shall have these meanings.

"Act" shall mean the Telecommunications Facility Fire and Emergency Act (Ill. Rev. Stat. 1991, ch. 111⅔, par. 1550 et seq.).

"Agencies" shall mean the Illinois Commerce Commission, the Office of the State Fire Marshal, and the Illinois Emergency Management Agency.

"ASTM" shall mean the American Society For Testing and Materials, 1916 Race Street, Philadelphia, Pennsylvania, 19103-1187, publisher of the "Annual Book of ASTM standards."

"Carriers" shall mean "telecommunications carriers" as defined in Section 13-202 of the Public Utilities Act (Ill. Rev. Stat. 1991, ch. 111⅔, par. 13-202) and such other entities as described in Section 1 of the Telephone Company Act (Ill. Rev. Stat. 1991, ch. 134, par. 17) authorized to provide switched local exchange service.

"Critical functions" shall mean those functions, the failure of which would lead to a major service outage.

"Facilities" shall mean those buildings of the carriers that house local or network switching equipment, but does not include ground or pole mounted cabinets.

"Lock box" shall mean a secured box mounted on the outside of a building for which the only available key is held by the fire department and which contains a key for access into the building by the fire department personnel.

"Major service outage" shall mean a complete central office exchange failure, or the isolation of an exchange due to toll circuit(s) failure.

"NESC" shall mean the National Electric Safety Code as published by the Institute of Electric and Electronic Engineers, 445 Hols Lane, P.O. Box 1331, Piscataway, New Jersey, 08855-1331.

"NFPA" shall mean the National Fire Protection Association, One Batterymarch Park, Publications Department, P.O. Box 9101, Quincy, Massachusetts, 02269-9101.

"Signage" shall mean the placement of functional signs bearing information of value to emergency personnel in times of fire or other emergency condition.

83 Ill. Adm. Code 785.10 Intent

Statements in this Part that are to be regarded as mandatory are characterized by the use of the word "shall." Statements in this Part which are advisory in nature are indicated by the word "should." Statements in the NESC or NFPA that are advisory in nature are indicated as "RECOMMENDATIONS."

83 Ill. Adm. Code 785.15 Application of Part

This Part shall apply to the switching facilities of all carriers, as defined in Section 785.5 of this Part, in the State of Illinois that are subject to the jurisdiction of the Commission.

83 Ill. Adm. Code 785.20 Incorporation of National Codes and Standards

a) The Agencies adopt as their rules the following portions of the NESC (1990 edition, approved June 26, 1989):

1. Section 2 (Definitions of Special Terms).

2. Section 9 (Grounding Methods of Electric Supply and Communications Facilities).

b) The Agencies adopt as their rules the following portions of the NFPA Fire Codes (1991) edition:

1. Code 70, National Electric Code (effective Feb. 21, 1991).

2. Code 72, Standard for the Installation, Maintenance, and Use of Protective Signaling Systems (effective 8-17-90).

3. Code 72E, Standard on Automatic Fire Detectors (effective 8-17-90).

4. Code 10, Portable Fire Extinguishers (effective 8-17-90).

5. Code 12A, Halon 1301 Systems (effective 3-8-89).

6. Code 12B, Halon 1211 Systems (effective 8-17-90).

7. Code 13, Standard on Sprinkler System Installation (effective 2-6-91).

8. Code 13A, Standard on Sprinkler System Maintenance (effective 12-30-86).

c) The Agencies adopt as their rules the following ASTM standards (1991 edition): D2863-87, Standard Test Method for Measuring the Minimum Oxygen Concentration to Support Candle-like Combustion of Plastics (Oxygen Index) (effective 3-27-87).

d) Footnotes and notes which reference provisions of the NESC, NFPA or ASTM which have not been expressly adopted by the Agencies shall not be construed to incorporate such provisions into this Part.

e) This incorporation does not include any later amendments or editions.

83 Ill. Adm. Code 785.25 Interchange Data

To assist in promoting conformity with these rules, a procedure or plan should be instituted between all carriers whose facilities may occupy the same territory so that it will provide for the exchange of pertinent data and information, including data relative to proposed and existing construction, and changes in operating conditions which affect or are likely to affect adequacy of the telecommunications infrastructure in times of emergency.

83 Ill. Adm. Code 785.30 Safety Program

a) Each carrier shall adopt and execute a safety program, fitted to the size and type of its operations. As a minimum, the safety program shall:

1. Stress reasonable procedures designed to reduce the hazards to which its employees, its customers, and the general public may be subjected by its operations;

2. Require employees to use suitable tools and equipment in order that they may perform their work in a safe manner;

3. Instruct employees in safe methods of performing their work;

4. Instruct employees who, in the course of their work, are subject to the hazard of electrical shock, asphyxiation or drowning, in accepted methods of cardiopulmonary resuscitation.

b) Each carrier shall give assistance to the Agencies in the investigation of the cause of accidents or service interruptions and in the determination of suitable means of preventing such occurrences.

83 Ill. Adm. Code 785.35 Physical Security and Emergency Access

a) Each carrier's facility housing switching equipment shall have physical security, which may be, by way of example and not of limitation, in the form of door lock, card control entry or security guard, to guard against unauthorized entry or malicious disruption of service.

b) Each carrier's facility in Illinois shall utilize a lock box system to facilitate access to the telecommunications building during an emergency situation, unless prohibited by ordinance or local fire department policy. Details of the lock box system shall be made a part of the facility pre-emergency plan.

83 Ill. Adm. Code 785.40 Disaster Procedures

a) Each carrier shall develop procedures providing for the continued operation of its services in the event that critical services are partially or totally disabled due to natural or manmade disasters. Procedures shall include, but not be limited to, practices for the continuation or priority restoration of critical services such as police, fire department, hospital, 9-1-1, etc. and methods of alternate alerting of city, county and State disaster agencies, and appropriate fire districts. Such procedures need not be submitted to the Agencies for approval, but shall be available for Agency review upon request.

b) Each carrier shall notify the Illinois Emergency Management Agency of any major service outage expected to last 12 hours or more.

c) The Agencies shall work with carriers to assist in developing alternate methods of alerting fire departments in instances in which the primary methods have failed.

83 Ill. Adm. Code 785.45 Remote Alarm Monitoring

Each telecommunications facility shall provide for a direct alarm monitoring communication channel to a fire department or fire protection district unless a local ordinance is adopted to the contrary, or there is an agreement from the local fire department that such alarming is not necessary or desirable. This alarm system monitoring by the fire department or fire district may be in addition to other remote monitoring systems of the carrier.

83 Ill. Adm. Code 785.50 Pre-Emergency Planning

a) Carriers shall, for each telecommunications facility in Illinois, work with the local fire department or fire protection district to develop a pre-emergency plan. This plan shall include, but not be limited to: signage, location of the de-energizing switches, emergency procedures, copies of maps or floor diagrams, information about the location of the manual power cut-off switch(s) within the building, primary and alternative reporting, direct alarm monitoring, type of lock box and other issues as locally required. A copy of the plan shall be maintained at each facility location. A copy shall also be included in the lock box or in a suitable box located immediately inside of the facility for use during an emergency. The plan shall be signed by the facility manager and the fire chief of that area.

b) Carriers shall, for each telecommunications facility, provide prior notice, in writing, to the fire department or fire protection district when construction or modifications are to be performed on an existing building that would impact the plan. The fire department and the facility shall review, update and approve the pre-emergency plan as required.

c) The pre-emergency plan shall be reviewed, dated and signed on an annual basis.

83 Ill. Adm. Code 785.55 Technical Requirements

a) Power and Communications Systems

1. All direct current (DC) power supply service feeds shall be fused at a level not to exceed the rated capacity of the smallest conductor used in the feed, or 200% of the maximal operational consumption of the feed, whichever is smaller.

2. The use of equalizing center design, the practice of tapping smaller power cables to larger power cables, is only permitted when fused at the tap, or fused in accordance with subsection 785.55(a)(1) above.

3. Main power supply systems, both AC and DC, shall be designed to enable a practical, safe disconnection of all interior feed circuits using a master or zoned master switches or fuses. Multiple locations for zoned master switches or fuses may be utilized, but no more than three locations per floor shall be permitted except that existing telecommunications switch facilities with multiple power supply systems exceeding three locations per floor shall develop and utilize a coded layout plan for effective zoned disconnections subject to individual approval by the Office of the State Fire Marshal. Details of such disconnect plan shall be made a part of the pre-emergency plan.

4. Carriers should consider the incorporation of surge protective devices for use on AC service to mitigate the potential impact of equipment damage due to transient or overvoltage surges.

5. Armored cable, rigid or flexible metal conduit, or any other cable with an exterior metallic or conductive external surface shall not be placed in cable trays containing AC, DC or communications cables.

6. Wherever possible, existing AC and DC power cables should be physically separated from communications cables. New construction shall have AC and DC power cables physically separated from communications cables.

7. Use of cables employing polyvinyl chloride (PVC) insulation for any new or expansion of facilities shall be allowed only if the cable has an oxygen index rating of 28 or higher, unless monitored by a system designed to sense chloride emissions.

8. Removal of old cable shall be monitored by each telephone company or telecommunications carrier to guard against damage to remaining cable.

b) Detection Systems

1. Design and installation shall comply with fire protection standards as published in the NFPA's Code 72 and 72E.

2. Types of fire detectors include heat, smoke, flame, laser, photo-electric, aspiration, ionization and fire-gas types. Detection systems shall utilize a minimum of two (2) types of devices monitoring each alarm zone within a facility for buildings exceeding 1,600 square feet. Buildings of less than 1,600 square feet will require one (1) single detector-type capability. Single detector-type systems shall not utilize heat only sensors.

3. Each facility with multiple alarm zones within a building exceeding 1,600 square feet shall have a local interior zone annunciator panel immediately inside of an entrance door as designated in the pre-plan. The facility may also have remote monitoring by a company operated central station. Upon receipt of fire signal at such remote station, the station operator shall immediately notify the appropriate Fire Department.

4. Each carrier should develop a facility inspection program utilizing thermographic infrared scanning technology or equivalent as an aid to identify abnormal heat buildup.

c) Ventilation

1. All facilities shall provide ventilation access for removal of smoke and toxic gases from the facility as follows:

A) Single level telephone facilities consisting of no more than 1,600 square feet shall provide no less than two separate physical openings of sixteen (16) square feet each or greater on separate sides of the facility unless the local fire agency agrees to accept a single opening.

B) All facilities exceeding 1,600 square feet (including multi-story buildings) shall provide at least two (2) vent access openings per floor. The minimum size of each opening shall be sixteen (16) square feet for each 10,000 square feet of floor area, except that multiple vent openings per floor shall not be required where mechanical smoke evacuation systems are present and are acceptable to the local fire agency.

d) Suppression

1. Automatic discharge systems containing water, dry chemical, foam or other suppression agents shall not be required in rooms housing switching, toll, main distribution frame, power, auxiliary power and AC switchboard equipment.

2. Suppression systems utilizing sprinklers or Halon shall be provided in cable vault areas and other areas not excluded by subsection 785.55(d)(1) above, except that no suppression systems are required for telecommunications buildings less than 1,600 square feet.

e) Inspections

1. The Agencies shall be permitted to inspect all facility locations for compliance.

2. Each carrier shall permit the fire department or fire protection district to conduct an annual inspection of each telecommunications facility. The local fire department shall have the option of inspecting more than once a year if it so requests. Fire departments with full-time staff shall be allowed to conduct an inspection for each of the three shifts, if requested.

83 Ill. Adm. Code 785.60 Training

The carriers shall work with the Office of the State Fire Marshal to develop a training program to be made available to local fire departments statewide. The training program shall include, but not be limited to, development of printed materials, signage, zoned power shut-off guidelines, model emergency plans, and videotapes that describe the risks posed at telecommunications facilities. The ramifications of loss of service, the special features and unique hazards posed by facilities, and recommended emergency actions to be taken shall be addressed.

83 Ill. Adm. Code 785.65 Compliance

a) Existing carriers shall have one (1) year after the effective date of this Part to comply with all Sections excluding 785.55. Carriers having more than 40 switching sites shall be allowed two (2) years to complete all work other than that which is specified in Section 785.55, except that in no event shall a carrier bring into compliance each year fewer than forty (40) facilities or 50% of its total facilities, whichever is greater.

b) Existing carriers have four (4) years after the effective date of this Part to achieve 100% compliance with Section 785.55. By the end of two (2) years after the effective date of this Part, the companies and carriers shall have no less than forty (40) facilities or 50% of their total facilities, whichever is greater, in compliance.

c) Within ninety (90) days after the effective date of this Part, all carriers shall submit an implementation schedule indicating the name, address, and date of scheduled compliance as required in subsections 785.65(a) and (b). Thereafter, until facilities of a carrier are in compliance, each carrier shall submit, at six (6) month intervals, an updated implementation schedule showing location-name, address, completions and projected completions. Schedules and interval updates shall be filed with the Chief Clerk of the Illinois Commerce Commission.

d) If waiver from any of the requirements herein is desired in any particular case, the Agencies will consider the application for such waiver when accompanied by a full statement setting forth the conditions existing and the reasons why such waiver is desired. In considering such requests for waivers, factors that the Agencies shall consider include economic impacts of compliance, costs and rate consequences, and service interruption potential. It is understood that any waiver so granted shall apply only to the particular case covered by the application, and waiver shall not be extended to other cases unless specifically granted by the Agencies.

e) Application for waiver shall be made to the Illinois Commerce Commission pursuant to 83 Ill. Adm. Code Part 200. The Illinois Commerce Commission shall coordinate the waiver review process with the Agencies.

Part 790 Interconnection

83 Ill. Adm. Code 790.100 Definitions

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

"Adjacent space collocation" is a type of physical collocation that, in the event space is legitimately exhausted in a particular incumbent local exchange carrier (ILEC) premises, an ILEC must make available in adjacent controlled environmental vaults or similar structures, to the extent technically feasible.

"Advanced services" is defined as high speed, switched, broadband, wire line telecommunications capability that enables users to originate and receive high-quality voice, data, graphics or video telecommunications using any technology.

"Bona fide request" means a written request by a telecommunications carrier for interconnection for the purpose of exchange of local traffic, access or connection to an unbundled network element (including combinations and collocation arrangements) that is customized or different in quality from those recognized under the Illinois Commerce Commission's (Commission) requirements, included in existing interconnection agreements, or currently deployed in any other ILEC's network.

"Caged collocation" is a type of physical collocation whereby the collocation space is dedicated to the telecommunications carrier by placing a chain link fence or other structure around the telecommunications carrier's collocation space (not including a top). This space shall be made available by an ILEC to a telecommunications carrier in 50 square feet increments and access to the space shall be limited to the telecommunications carrier and any of its authorized representatives.

"Cageless collocation" is a type of physical collocation that allows a telecommunications carrier to collocate in increments as small as a single bay or a single rack in any unused space in an ILEC's premises, without the ILEC requiring the construction of a cage or similar structure and without the ILEC requiring intermediate interconnection when direct connection to the ILEC's network is technically feasible.

"Central office" or "CO" means a location within a local exchange area where subscriber lines or interoffice trunks are connected to a local exchange carrier's switch.

"End user" means any person, corporation, partnership, firm, municipality, cooperative, organization, governmental agency, building owner, or other entity provided with a telecommunications service for its own consumption and not for resale. [220 ILCS 5/13-217]

"Federal Act" means the Telecommunications Act of 1996 (47 USC 151).

"FCC" means Federal Communications Commission.

"High frequency portion of the loop" or "HFPL" means the frequency range above the voice band on a copper loop facility that is being used to carry analog circuit-switched voice band transmissions. Use of the word "copper" is not intended to limit an ILEC's obligation to provide competitive local exchange carriers (CLECs) with access to the fiber portion of a digital loop carrier loop for the provision of line-shared digital subscriber line services.

"Incumbent local exchange carrier" or "ILEC" means, with respect to an area, the telecommunications carrier that provided noncompetitive local exchange telecommunications service in that area on February 8, 1996, and on that date was deemed a member of the exchange carrier association pursuant to 47 CFR 69.601(b), and includes its successors, assigns, and affiliates. [220 ILCS 5/13-202.5]

"Interconnection" means the point in a network where one telecommunications carrier or end user interfaces with the ILEC's network or the network provided by another telecommunications carrier under the provisions of this Part.

"Interexchange carrier" means any telecommunications carrier that is certificated to provide interexchange services (see Section 13-403 of the Act [220 ILCS 5/13-403]) within Illinois as defined in Section 13-205 of the Act [220 ILCS 5/13-205].

"Legitimately exhausted" means that all space in a central office that can be used or is useful to locate telecommunications equipment in any of the methods of collocation available is exhausted or completely occupied.

"Local exchange carrier" or "LEC" means a telecommunications carrier under the Act that is a provider of local exchange telecommunications services as defined in Section 13-204 of the Act [220 ILCS 5/13-204].

"Loop" means a transmission path capable of transporting analog or digital signals from the network interface at a customer's premises to a distribution frame, digital signal cross-connect panel, or similar demarcation, that is accessible to the telecommunications carrier or end user. Loop types are distinguished primarily by their electrical interface, not by the type of transmission facility used.

"Meet point" means a point of interconnection between two networks, designated by two telecommunications carriers, at which point one carrier's responsibility for service begins and the other carrier's responsibility ends.

"Physical collocation" means the type of interconnection provided by an ILEC to a telecommunications carrier or end user where the telecommunications carrier or end user locates its equipment within space assigned by the LEC for the telecommunications carrier's or end user's exclusive use and where the telecommunications carrier or end user has physical access and control over its equipment subject to the provisions of this Part, FCC rules, any applicable tariff, and any agreement.

"Premises" refers to an ILEC's central offices, remote terminals, tandem offices, and serving wire centers, as well as all buildings and structures owned or leased by an ILEC to house its network facilities, and all structures that house ILEC facilities on public rights-of-way, including, but not limited to, vaults containing loop concentrators or similar structures.

"Rating point" means a point used in calculating the length of interoffice special access links.

"Rural telephone company" means a rural telephone company as defined by the Federal Act (47 USC 153(37)).

"Serving wire center" means the location in the LEC network that serves a telecommunications carrier's (such as an interexchange carrier) point of presence.

"Shared collocation" means a type of physical collocation in which two or more telecommunications carriers share a collocation space pursuant to the terms and conditions agreed to by the telecommunications carriers.

"Special access or private line" means a transmission path that connects customer-designated premises directly through a local exchange carrier's hub or hubs where bridging or multiplexing functions are performed, or to connect a customer-designated premises and a serving office, and includes all exchange access not utilizing the local exchange carrier's end office switches.

"Subloops", as defined in 47 CFR 51.319(a)(2) as of September 12, 2001, mean any portion of the loop that it is technically feasible to access at terminals in the ILEC's outside plant. No later amendments or editions are included in this incorporation.

"Technically feasible" means that interconnection, access to unbundled network elements, collocation, and other methods of achieving interconnection or access to unbundled network elements at a point in the network shall be deemed technically feasible absent technical or operational concerns that prevent the fulfillment of a request by a telecommunications carrier for such interconnection, access, or methods. A determination of technical feasibility does not include consideration of economic, accounting, billing, space, or site concerns, except that space and site concerns may be considered in circumstances where there is no possibility of expanding the space available. The fact that an ILEC must modify its facilities or equipment to respond to such request does not determine whether satisfying such request is technically feasible. An ILEC that claims that it cannot satisfy such request because of adverse network reliability impacts must prove to the Commission by clear and convincing evidence that such interconnection, access, or methods would result in specific and significant adverse network reliability impacts. A requesting telecommunications carrier seeking a particular collocation arrangement, either physical or virtual, is entitled to a presumption that such arrangement is technically feasible if any LEC has deployed such collocation arrangement in any ILEC premises.

"Telecommunications carrier" means any telecommunications carrier, as defined in Section 13-202 of the Act [220 ILCS 5/13-202] providing local exchange telecommunications services as defined in Section 13-204 of the Act. In addition, a telecommunications carrier is any entity certificated by the Commission under Section 13-401, 13-403, 13-404, or 13-405 of the Act [220 ILCS 5/13-401, 13-403, 13-404, and 13-405].

"Tier 1 LEC" means a local exchange carrier having annual gross revenues from regulated telecommunications operations of $100 million or more.

"Virtual collocation" means an offering by an ILEC that enables a telecommunications carrier or end user to specify equipment to be used for interconnection for the purpose of accessing LEC, switched and special access services or access to unbundled network elements in an ILEC's premises and electronically monitor and control the telecommunications carrier or end user's communications channels terminating in such equipment.

83 Ill. Adm. Code 790.200 Applicability of Subpart B

This Subpart shall apply to any telecommunications carrier, as defined in Section 13-202 of the Act, providing local exchange telecommunications services as defined in Section 13-204 of the Act. In addition, this Subpart shall apply to any entity certificated by the Commission under Section 13-401, 13-403, 13-404, or 13-405 of the Act.

83 Ill. Adm. Code 790.210 Interconnection

Each telecommunications carrier has the duty:

a) To interconnect directly or indirectly with the facilities and equipment of other telecommunications carriers; and

b) Not to install network features, functions, or capabilities that do not comply with the guidelines and standards established pursuant to section 255 or 256 of the Federal Act (47 USC 255 and 256) and the safety and equipment standards of Section 790.220.

83 Ill. Adm. Code 790.220 Safety and Equipment Standards

a) All telecommunications carriers and end users are required to provide the necessary protection, bonding, and grounding to for all facilities that connect to the facilities of telecommunications carriers, end users, and other portions of the Public Switched Network, to comply with Section 9, "Grounding Methods of Electric Supply and Communications Facilities," of the National Electrical Safety Code C2-2002 (2002 edition, approved June 4, 2001, published by the Institute of Electrical and Electronics Engineers, Inc., 3 Park Avenue, New York NY 10016-5997); no later amendments or editions are included.

b) ILECs may not impose safety and engineering standards on a telecommunications carrier's or end user's equipment that are more stringent than the safety and engineering standards that the ILEC applies to its own equipment.

c) In the event that an ILEC determines that a telecommunications carrier's or end user's equipment is not necessary for interconnection or access to unbundled network elements or does not meet the safety standards in subsection (a), the telecommunications carrier or end user shall be given ten calendar days to comply with the requirements or remove the equipment. If, after ten calendar days, the parties do not resolve the dispute, a decision by the ILEC to disconnect the equipment will be deemed proper, if challenged, if it can demonstrate to the Commission that the continued operation of such equipment will result in an immediate danger to surrounding equipment or the ILEC's premises or personnel. If the ILEC cannot make such demonstration, the telecommunications carrier or end user shall be allowed to continue to operate the equipment at issue during the pendency of the dispute.

d) After the ten calendar days provided for in subsection (c), the telecommunications carrier or end user may file a complaint with the Commission pursuant to 83 Ill. Adm. Code 200 or 83 Ill. Adm. Code 766, whichever is applicable, seeking a formal resolution of the dispute. If, after notice and an opportunity for hearing, the Commission finds that the equipment in question does not meet equipment and/or safety standards, the telecommunications carrier or end user shall remove the equipment within ten calendar days after receipt of the Commission's order. In the event that the ILEC disconnected the telecommunications carrier's or end user's equipment and the Commission finds that the disconnection was improper, the ILEC shall reimburse the telecommunications carrier or end user for costs associated with the improper disconnection within ten calendar days after receipt of the Commission's order.

83 Ill. Adm. Code 790.300 Applicability of Subpart C

Except as provided in Section 790.360, this Subpart shall apply to all ILECs.

83 Ill. Adm. Code 790.310 Interconnection for the Purpose of Transmitting and Routing of Either Exchange or Exchange Access Service

Interconnection for the purpose of transmitting and routing of either exchange or exchange access service shall be in accordance with the provisions of the Federal Act.

a) Each ILEC has the duty to provide, for the facilities and equipment of any telecommunications carrier, interconnection with the ILEC's network:

1. For the transmission and routing of telephone exchange service and exchange access;

2. At any technically feasible points within the ILEC's network chosen by the requesting carrier; however, the ILEC may not require the requesting carrier to interconnect at more than one technically feasible point within a local access and transport area (LATA);

3. That is at least equal in quality to that provided by the ILEC to itself or to any subsidiary, affiliate, or any other party to which the ILEC provides interconnection; and

4. On rates, terms, and conditions that are just, reasonable, and nondiscriminatory, in accordance with the terms and conditions of an interconnection agreement, the requirements of sections 251 and 252 of the Federal Act, and this Subpart.

b) Methods of obtaining interconnection and access to unbundled network elements. An ILEC may not deny a telecommunications carrier's preferred method of interconnection for any reason other than technical feasibility as defined in this Part and by the FCC in 47 CFR 51.5. Technically feasible methods of obtaining interconnection or access to unbundled network elements include, at a minimum:

1. Physical and virtual collocation at the premises of an ILEC;

2. Adjacent collocation where space is legitimately exhausted in a particular ILEC premises; and

3. Meet-point interconnection arrangements.

c) Points of interconnection. Technically feasible points within the ILEC's network include, at a minimum:

1. The line-side of a local switch or remote terminal device;

2. The trunk-side of a local switch or remote terminal device;

3. The trunk interconnection points for a tandem switch;

4. Central office cross-connect point; out-of-band signaling transfer points necessary to exchange traffic at these points and access call-related databases; and

5. The points of access to unbundled network elements.

d) Interconnection of microwave technologies. ILECs shall accommodate interconnection of microwave technology, on the exterior and interior of ILEC premises, used for interconnection to, or for access to network elements of, the ILEC or a collocated carrier, unless the ILEC demonstrates to the Commission that it is not practical due to technical reasons or space limitations.

e) Locations of interconnection. Technically feasible locations of interconnection include, at a minimum:

1. Serving wire centers;

2. Host and remote end offices;

3. Tandem offices;

4. Controlled environmental vaults (includes cabinets and buildings); and

5. Any point within the ILEC loop plant (e.g., distributor-feeder interface, remote terminal).

f) Rejection of an interconnection request. An ILEC may not deny a telecommunications carrier's request to deploy a technology that is presumed acceptable for deployment unless the ILEC demonstrates to the Commission, through a petition filed on its own accord pursuant to 83 Ill. Adm. Code 200 or in a complaint proceeding initiated by the telecommunications carrier, that deployment of the particular technology is technically infeasible or will significantly degrade the performance of advanced services or traditional voice band services.

1. Upon the ILEC's rejection of a request for interconnection at a particular point, a particular method of interconnection, or particular collocation arrangement (collectively "interconnection request"), the telecommunications carrier may file a complaint with the Commission pursuant to 83 Ill. Adm. Code 200 or 83 Ill. Adm. Code 766, whichever is applicable. If the telecommunications carrier claims that such interconnection request has been previously successful on another ILEC network, the telecommunications carrier shall include in its complaint the name of the ILEC that was able to implement the interconnection request and a description of that interconnection request. An ILEC denying an interconnection request is not relieved by this Section of its responsibility to notify the Commission of the dispute and file for a waiver under Section 790.330(h).

2. If such interconnection request is contested, an ILEC that denies an interconnection request must prove to the Commission that the interconnection request is not technically feasible and/or will significantly degrade the performance of advanced services or traditional voice band services. Within seven business days after the telecommunications carrier's filing of a complaint, the ILEC shall file documentation fully supporting its contention that the interconnection request is not technically feasible and/or will significantly degrade the performance of advanced services or traditional voice band services. Other interested parties shall be allowed to intervene in the dispute in accordance with 83 Ill. Adm. Code 200 or 83 Ill. Adm. Code 766, whichever is applicable. For complaints filed under 83 Ill. Adm. Code 200, the Commission shall take all necessary actions to resolve any dispute under this subsection (f)(2) within 90 days after the filing of the complaint, unless such time period is waived by the telecommunications carrier. The schedule for the resolution of complaints filed under 83 Ill. Adm. Code 766 shall be as provided for in that Part.

3. In the course of resolving an interconnection dispute, the ILEC shall not refuse, on the basis of the pending proceeding, to enter into an interconnection agreement and/or true-up arrangement with the requesting telecommunications carrier. If requested by the telecommunications carrier, it and the ILEC shall enter into an interconnection agreement containing mutually agreeable language to be implemented during the resolution of the dispute. Upon resolution of the dispute, the interconnection agreement shall be amended, if necessary, consistent with the outcome of the dispute.

4. A previously successful interconnection request on any ILEC's network is substantial evidence that such interconnection request is technically feasible in the case of substantially similar network points or locations. A requesting telecommunications carrier seeking a particular collocation arrangement is entitled to a presumption that such arrangement is technically feasible if any LEC has deployed such collocation arrangement in any ILEC premises.

g) Methods of transport and termination. An interconnecting telecommunications carrier may require the use of one-way trunks to interconnect and transport unidirectional traffic. Traffic transported in both directions may be transported over one-way trunks or two-way trunks as agreed to by the interconnecting carriers in their interconnection agreement.

83 Ill. Adm. Code 790.320 Access to Unbundled Network Elements

a) Each ILEC has the duty to provide, to any requesting carrier for the provision of a telecommunications service, nondiscriminatory access to network elements on an unbundled basis at any technically feasible point on terms and conditions that are just, reasonable, and nondiscriminatory in accordance with an interconnection agreement, the requirements of sections 251 and 252 of the Federal Act, and this Subpart.

b) Network elements to be made available. Network elements to be provided by an ILEC, include at a minimum:

1. Any network element that the FCC determines must be unbundled through rules enacted by the FCC pursuant to sections 251 and 252 of the Federal Act, and

2. Any other network element that the Commission determines can be, and that the public interest requires to be, unbundled, consistent with the Federal Act, the Act and decisions of the federal courts and the FCC.

c) Quality of unbundled network elements. To the extent technically feasible, the quality of an unbundled network element, as well as the quality of the access to such unbundled network element, that an ILEC provides to a requesting telecommunications carrier shall be at least equal in quality to that which an ILEC provides to itself. An ILEC that denies a request to provide a requested unbundled network element or access to such unbundled network element that is at least equal in quality to that which an ILEC provides to itself, if contested, must prove to the Commission that such request cannot be granted.

d) An ILEC may not refuse to provide a telecommunications carrier with loop and subloop profile information, to the extent that such information must be provided, while the telecommunications carrier's State certification is pending, nor while the telecommunications carrier is awaiting a final approved interconnection agreement. The telecommunications carrier requesting unbundled network elements and/or physical collocation is responsible for obtaining any necessary certifications or approvals from the Commission prior to the offering of telecommunications service by using unbundled network elements.

83 Ill. Adm. Code 790.330 Collocation

a) Each ILEC has the duty to provide, on rates, terms, and conditions that are just, reasonable, and nondiscriminatory, for physical collocation of equipment necessary for interconnection or access to unbundled network elements at any technically feasible point at the premises of the ILEC, except that the ILEC may provide for virtual collocation if the ILEC demonstrates to the Commission that physical collocation is not practical for technical reasons or because of space limitations.

b) Parties entitled to collocate. Parties entitled to collocate at ILEC locations shall include any entity to which the Commission has issued a certificate under Section 13-401, 13-403, 13-404, or 13-405 of the Act.

c) The telecommunications carrier requesting physical collocation is responsible for obtaining any necessary certifications or approvals from the Commission prior to providing telecommunications service by using the physical collocation space. An ILEC may not refuse to process an application for collocation space submitted by a competitor while that competitor's State certification is pending. Additionally, an ILEC may not refuse to process an application for collocation space and shall not refuse to provision the collocation space submitted by a competitor prior to a final approved interconnection agreement.

d) Equipment that can be collocated. An ILEC shall permit the collocation of any type of equipment for interconnection or access to unbundled network elements in a manner consistent with the Act and Federal Act. Equipment necessary for interconnection and access to unbundled network elements includes, but is not limited to:

1. Transmission equipment, including, but not limited to, optical terminating equipment and multiplexers;

2. Equipment being collocated to terminate basic transmission facilities pursuant to 47 CFR 64.1401 and 64.1402 as of August 1, 1996. No later amendments or editions are included in this incorporation; and

3. Digital subscriber line access multiplexers, routers, asynchronous transfer mode multiplexers, and remote switching modules (also known as remote switching centers).

e) Physical collocation offerings. An ILEC's physical collocation offerings must include, at least, the following:

1. Caged collocation;

2. Shared collocation. Shared collocation arrangements must be consistent with the following:

A) Telecommunications carriers sharing physical collocation space may, at their option:

i) enter into a sublease type arrangement where the first telecommunications carrier acts as an interface between the ILEC and other telecommunications carriers sharing the first telecommunications carrier's collocation space; or

ii) each have a direct business or contractual relationship with the ILEC for ordering unbundled network elements, provisioning service, and collocating for the purpose of interconnection to the ILEC's network.

B) The ILEC may not restrict or otherwise influence with whom a telecommunications carrier may share its physical collocation space so long as the entity sharing the telecommunications carrier's collocation space is another telecommunications carrier and the sharing of the collocation space is technically feasible and complies with Section 790.220 of this Part.

C) Telecommunications carriers sharing physical collocation space shall decide among themselves what portion of the space available for sharing will be used by each telecommunications carrier and whether and how the telecommunications carriers will reimburse each other for any previously paid collocation space preparation costs.

D) Telecommunications carriers shall notify the ILEC as to the portion of the shared collocation space being occupied by each telecommunications carrier for the ILEC's billing purposes.

E) The ILEC may not interfere with any agreement, including an agreement to cross-connect, among telecommunications carriers sharing physical collocation space so long as the agreement does not conflict with any federal or State requirements.

F) If each telecommunications carrier has a direct business relationship with the ILEC, the ILEC shall submit separate bills to each telecommunications carrier sharing the physical collocation space.

G) The ILEC may not increase the cost of site preparation or nonrecurring charges above the cost of providing such a space of similar dimensions and material to a single collocating telecommunications carrier. The ILEC must prorate the charge for site conditioning and preparation undertaken by the ILEC to construct the shared collocation space or condition the space for collocation use, regardless of how many telecommunications carriers actually collocate in that space, by determining the total charge for site preparation and allocating that charge to a collocating telecommunications carrier based on the percentage of the total space utilized by that telecommunications carrier;

3. Cageless collocation. With regard to cageless collocation, an ILEC must not require competitors to use an intermediate interconnection arrangement in lieu of direct connection to the ILEC's network, if technically feasible;

4. Adjacent space collocation. With regard to adjacent space collocation, an ILEC must:

A) Permit the requesting carrier to construct or otherwise procure structures for adjacent space collocation, subject only to reasonable safety and maintenance requirements.

B) Provide power and physical collocation services and facilities, subject to the same nondiscrimination requirements as applicable to any other physical collocation arrangement.

C) Permit the requesting carrier to place its own equipment, including, but not limited to copper cables, coaxial cables, fiber cables, and telecommunications equipment in adjacent facilities constructed by either the ILEC or by the requesting carrier itself.

D) Give an interconnecting carrier that has initiated collocation in an adjacent space or facility the option of remaining in the adjacent space collocation arrangement or moving into the relevant central office or other premises upon space becoming available inside the relevant central office or other premises; interconnecting carriers opting to move shall pay costs associated with the move.

i) If the area occupied by the interconnecting carrier's adjacent space collocation arrangement is necessary to the ILEC's plans to expand its premises, the interconnecting carrier should be required to move to another collocation location.

ii) In such instances, the ILEC shall pay costs associated with the move.

f) Security. Telecommunications carriers with collocation at an eligible structure shall have access to their physically collocated equipment 24 hours a day, seven days a week, without an escort. An ILEC shall not delay a telecommunications carrier's entry into the eligible structure or access to its physically collocated equipment. ILECs will provide telecommunications carriers with collocation at an eligible structure with reasonable access to restroom facilities and parking. An ILEC may establish certain reasonable security arrangements to protect its equipment from harm and ensure network security and reliability. Reasonable security measures employed by an ILEC include, but are not limited to, enclosing its equipment in its own cage, installing security cameras or other monitoring systems, requiring a telecommunications carrier's personnel to use badges with computerized tracking systems, or other reasonable security measures. An ILEC choosing to implement reasonable security arrangements may require a telecommunications carrier to pay only for the least expensive, effective security option that is viable for the physical collocation space assigned. An ILEC may also require telecommunications carriers' employees to undergo the same level of security training, or its equivalent, that the ILEC's own employees, or third party contractors providing similar functions, must undergo.

g) Space allocation and exhaustion. ILECs shall apply the same space reservation policies to telecommunications carriers as it applies to itself. ILECs shall:

1. Offer space on a first-come, first-served basis to all telecommunications carriers;

2. Unless otherwise agreed upon by the ILEC and telecommunications carrier, notify the carrier, within ten calendar days after the request for physical collocation, if the request for collocation space has been granted or denied;

3. If the request for collocation is granted, provide the quotation of the applicable nonrecurring and recurring rates, and the estimated construction interval, with the notification that the request is granted. If the requesting carrier accepts the quotation, it must inform the ILEC of that acceptance within seven calendar days after receiving the ILEC's price quotation. If the requesting carrier meets this deadline, the provisioning interval will begin on the date the ILEC received an acceptable collocation application. Access to the physical collocation space by the requesting carrier shall be allowed within 30 calendar days after submission of an acceptable collocation application. If the requesting carrier fails to meet this deadline, the provisioning interval will begin on the date the requesting carrier informs the ILEC that physical collocation should proceed; in which case, access to the physical collocation space by the requesting carrier shall be allowed within 30 calendar days after the requesting carrier informs the ILEC that physical collocation should proceed;

4. If the request is denied for reasons other than technical feasibility or space exhaustion, the ILEC must specify in detail any deficiencies leading to the request denial. The requesting carrier must cure any deficiencies in its application within ten calendar days after receiving the collocation denial, if it wants to retain its place in the ILEC's collocation queue;

5. Respond to a telecommunications carrier's first ten collocation applications within ten calendar days. If the telecommunications carrier submits 11 to 15 applications requesting collocation, the ILEC must respond within 15 calendar days. For every five requests above 15, the quotation interval will increase five calendar days;

6. Allow telecommunications carriers to place facilities in collocation space and connect equipment to facilities of other telecommunications carriers in the collocation space, as described by the FCC, within the time intervals specified or agreed to in the applicable tariff, interconnection agreement, or Commission order;

7. Offer a physical collocation arrangement until unused space is filled to capacity, such that no ILEC premises can accommodate any technically feasible physical collocation alternative. ILECs shall not wait until a physical collocation application is submitted to request a waiver under subsection (h) for a particular facility. Physical collocation applications submitted pending the resolution of a waiver request under subsection (h) may be held until the waiver request is resolved. In the event that space becomes available during the waiver request proceeding, held applications shall be processed on a first-come, first-served basis;

8. Not reject subsequent collocation requests due to lack of space, but shall offer a virtual collocation arrangement in lieu of the physical collocation arrangement unless the ILEC has obtained a waiver under subsection (h). The provisioning of virtual collocation may be postponed until a pending waiver request under subsection (h) is resolved. When providing virtual collocation, an ILEC shall, at a minimum, install, maintain, and repair collocated equipment identified in subsection (d) within the same time periods and with failure rates that are no greater than those that apply to the performance of similar functions for comparable equipment of the ILEC itself.

9. Remove all unused obsolete equipment from the ILEC premises and make such space available for collocation before making a determination that space in the premises is legitimately exhausted. The ILEC may not make only minimal or token use of otherwise obsolete equipment to avoid having to remove the particular equipment and make space available for collocation. The removal of unused obsolete equipment shall not cause a delay in the ILEC's response to a telecommunications carrier's application or in provisioning collocation arrangements.

A) In making the determination of whether space is legitimately exhausted, the ILEC may retain a limited amount of floor space for its own uses. Specifically, the ILEC may reserve space for transport equipment for one year of anticipated growth, space for digital cross-connect system equipment for three years of anticipated growth, and space for switching, power, and main distribution frame equipment for five years of anticipated growth. In those premises where collocators existed on May 1, 2003, the space reservation time limits shall be calculated beginning on May 1, 2003. In those premises where collocators did not exist on May 1, 2003, the space reservation time limits shall be calculated beginning on the date upon which the first telecommunications carrier applied for collocation in the particular premises.

i) An ILEC may petition the Commission for and receive a variance from the space reservation limits contained in this subsection (g)(9)(A) for a particular ILEC facility upon a showing by the ILEC and a finding by the Commission that the limits would unreasonably impair the operation and functioning of that facility.

ii) If granted, a variance will be effective for a period of up to two years from the date of the order granting the variance. An ILEC may file for and be granted more than one variance and more than one extension of the variance period. Any extension(s) of the variance period shall be for no longer than two years.

B) The ILEC may not reserve space for equipment for itself, or for advanced or interLATA services affiliates or other ILEC affiliates or for future use by the ILEC or its affiliates, under conditions that are more favorable than those that apply to other telecommunications carriers seeking to reserve collocation space for their own use. Before denying a request for physical collocation on the grounds of space limitation, the ILEC shall relinquish space used or reserved for future use in the central office that is not directly related or integral to the day-to-day operation and functioning of the central office. An ILEC shall also relinquish any space held for future use before denying a virtual collocation request on the grounds of space limitation, unless the ILEC proves to the Commission that virtual collocation at that point is not technically feasible.

C) When planning renovations of existing facilities or constructing or leasing new facilities, an ILEC shall consider projected demand for collocation of equipment, including any forecasts submitted by collocating telecommunications carriers.

D) Upon request by a telecommunications carrier, an ILEC shall provide, within ten calendar days after the submission of the request, a statement indicating the ILEC's available collocation space in a particular ILEC premises. The statement shall specify the amount of collocation space available at each requested premises, the number of current collocators, and any modifications in the use of the space since the last requested statement. The statement shall identify the amount of space being reserved by the ILEC for specific future use and a description of that specific future use. The statement shall also identify any measures that the ILEC is taking to make additional space available for collocation at that particular premises;

10. Denial of an application for collocation. There shall be a rebuttable presumption that space is available for physical collocation in an ILEC's premises.

A) An ILEC may not object to the collocation of equipment on the grounds that the equipment does not comply with safety or engineering standards that are more stringent than the safety or engineering standards that the ILEC applies to its own equipment. The ILEC must post on its publicly available website a list of all compliant equipment located at its premises. The ILEC shall update the list either on a monthly basis or each time new compliant equipment is added, but in no case less often than on a monthly basis.

B) If an ILEC denies a collocation request, any charges collected with the application will be returned to the telecommunications carrier, except for any amount recovering the ILEC's cost to review the application. The ILEC shall provide, subject to any appropriate proprietary protections, the following information with the notification of the denial:

i) a possible future space relief date, if applicable;

ii) Central Office Common Language Identifier, where applicable;

iii) total amount of space at the premises;

iv) detailed floor plans, accompanied with proper legend and scale to assist in the interpretation of the floor plan and sufficient measurements to interpret size and spacing, including measurements of the ILEC's premises, showing space housing ILEC network equipment, non-regulated services space, and administrative offices; space housing obsolete unused equipment; space occupied by ILEC affiliates; space that does not currently house ILEC equipment or administrative offices but is reserved by the ILEC for future use by the ILEC or its affiliates; space occupied by and/or reserved for collocating telecommunications carriers for the purpose of network interconnection or access to unbundled network elements (including identification of each collocating telecommunications carrier); space, if any, occupied by third parties for other purposes, including identification of the uses of such space; identification of turnaround space for switch or other equipment removal plans and timelines, if any; any planned central office rearrangement/expansion plans, if applicable; and remaining space, if any; and

v) description of other plans, if any, that may relieve space exhaustion, including plans showing any adjacent space not technically considered as part of premises.

C) If an ILEC denies a collocation request, it must allow a tour of the premises in question upon request of the telecommunications carrier seeking to collocate. The telecommunications carrier may request a tour of the premises to verify space availability or lack of space. The request shall be submitted to the ILEC's representative in writing within five calendar days after receipt of the denial of the collocation request. Unless otherwise agreed to by the telecommunications carrier, the inspection tour shall be conducted within ten calendar days after the receipt of the denial of the collocation request.

D) The ILEC representative will accompany and supervise the telecommunications carrier agent on the inspection tour. If the telecommunications carrier agent believes, based on the inspection tour of the premises, that the denial of collocation space is unsupportable, the telecommunications carrier agent shall promptly so advise the ILEC. The telecommunications carrier and the ILEC shall then each concurrently prepare a report detailing its own findings of the inspection tour. The telecommunications carrier and the ILEC reports shall be concurrently served on each other.

E) Each ILEC shall maintain for two years all applications for physical collocation that were denied. When new space becomes available on or within a particular ILEC premises, the ILEC shall immediately provide written notification to the applicants who applied for, but were denied, physical collocation for those premises (consecutively, in the order in which they originally applied) and make space available to them in the order in which they originally applied. If the space is made available because another telecommunications carrier has terminated its collocation arrangement or the ILEC is executing a plan to remove equipment or convert space, the ILEC shall not wait for the space to be cleared of the equipment before providing notification to outstanding applicants. Applicants receiving notification of newly available space must affirmatively respond to the ILEC in writing within five business days after notification or be deemed to have forfeited the space. No ILEC may assign newly available space to its own subsidiary ahead of telecommunications carriers unless the affiliate had provided a written collocation request to the ILEC before the ILEC received collocation requests from other telecommunications carriers;

11. Permit a requesting telecommunications carrier to subcontract all work associated with collocation cage or rack construction and equipment placement with contractors approved by the ILEC; provided, however, that the ILEC shall not unreasonably withhold approval of contractors and work to be performed. Approval by an ILEC shall occur within 30 calendar days after application to the ILEC and shall be based on the same criteria it uses in approving contractors or work performance for its own purposes. If the telecommunications carrier elects a contractor approved by the ILEC to perform similar work for the ILEC in its central office or other premises, the ILEC will allow the contractor to use any badges or credentials previously granted by the ILEC and will not require the CLEC to apply for or obtain additional approval, badges, or credentials for the contractor.

h) Waiver procedures.

1. ILECs must petition for a waiver of the requirements to provide physical or virtual collocation if the remaining space in a central office that can be used for physical collocation is less than 50 square feet. The Commission shall grant a waiver of the requirements to provide physical or virtual collocation if the FCC has granted a waiver due to lack of space or, after hearings, the Commission finds that the LEC has demonstrated that:

A) a particular location lacks the unused space to provide physical or virtual collocation;

B) all reasonable steps have been taken by the ILEC to reclaim administrative, equipment, maintenance, recreational, and storage space to maximize collocation space availability, including the removal of obsolete unused equipment; and

C) all technically feasible alternatives for a telecommunications carrier to gain access to the ILEC's network, such as location in adjacent structures, have been found to be infeasible.

2. Any ILEC intending to file a petition for waiver of the requirement to provide physical or virtual collocation for a given location shall file a petition with the Commission pursuant to 83 Ill. Adm. Code 200. This petition shall include all relevant information, including, but not limited to: detailed floor plans of the premises, including identification and location of all ILEC and telecommunications carrier equipment; blueprints; and future facility expansion and enhancement information.

3. Within ten calendar days after the date the petition is filed with the Commission, a Commission Staff member shall be allowed to tour the entire premises in question.

4. The ILEC has the burden of proof in showing that these requirements have been met. The ILEC shall submit floor plans, sworn affidavits, written testimony and any other evidence necessary to meet its burden of proof. The ILEC's sworn testimony shall describe and identify:

A) all the ILEC equipment located in the premises in question;

B) the equipment being retired within two years after the date the petition is filed;

C) the expected retirement dates of this equipment;

D) any space reserved for use by the ILEC or any other telecommunications carrier and expected use of reserved space by the ILEC; and

E) the steps taken to provide any alternative physical collocation solution, such as adjacent space collocation, to any requesting telecommunications carriers.

5. Upon completing its review of this information Staff shall provide a report to the Commission recommending either that the Commission accept the ILEC's space exhaust claim or that the Commission undertake an investigation to determine the propriety of its claim.

83 Ill. Adm. Code 790.340 Pricing

An ILEC's rates for interconnection, unbundled network elements, and collocation (collectively "components"), for purposes of pricing components under Sections 790.310, 790.320, and 790.330, shall equal the forward-looking economic cost of the component, where the forward-looking economic cost equals the sum of the total element long-run incremental cost of the component and a reasonable allocation of forward-looking joint and common costs, as defined by the FCC and determined by the Commission.

83 Ill. Adm. Code 790.350 Reporting Requirements Under Subpart C

a) Each ILEC shall, upon request of the Commission, file a report with the Commission providing the following information as known on December 31 of the previous year:

1. The telecommunications carriers that are collocated and interconnected at ILEC premises, and the collocators that have purchased unbundled network elements;

2. The general location in the ILEC's network (as identified as a central office, adjacent space, or a remote location) at which point each interconnection occurs;

3. The specific unbundled network elements purchased by each particular telecommunications carrier and the total quantity of each unbundled network element that has been purchased by the telecommunications carrier;

4. With respect to telecommunications carriers that have been refused interconnection and collocation, and the telecommunications carriers that have been refused unbundled network elements, the reason for refusal and the premises relating to the refusal.

b) For purposes of collocation, each ILEC that has received a request for collocation must maintain a publicly available document, posted on the ILEC's publicly available website, that indicates all premises that are filled to capacity. If the Commission determines that a premises no longer has available collocation space, the ILEC must update such document within ten days after the date of the Commission's determination. Correspondingly, if a previously-filled premises were to subsequently have space available, the ILEC must update the document within ten days after the date that a premises has open collocation space.

c) Information included in each report filed by each ILEC pursuant to subsection (a) shall be marked confidential by the ILEC and shall be treated as proprietary and exempt from public disclosure and will be accessible only by the Commission and Commission Staff for a period of five years following the date the report is filed.

History

• Source: Amended at 41 Ill. Reg. 3961, effective March 26, 2017

83 Ill. Adm. Code 790.360 Rural Exemption

a) This Subpart shall not apply to a rural telephone company until such company has received a bona fide request for interconnection, services, network elements, or collocation and the Commission determines, pursuant to section 251(f)(1) of the Federal Act, that such request is not unduly economically burdensome and technically feasible.

b) An ILEC with fewer than two percent of the nation's subscriber lines installed in the aggregate nationwide may petition the Commission for suspension or modification of the requirements of this Subpart. The Commission shall grant the suspension or modification if it determines, pursuant to section 251(f)(2) of the Federal Act, that suspension or modification is necessary to avoid imposing a requirement that is unduly economically burdensome or technically infeasible.

83 Ill. Adm. Code 790.400 Applicability of Subpart D

This Subpart shall apply to any telecommunications carrier.

83 Ill. Adm. Code 790.405 Exclusion

Subpart D shall not be applicable to any telecommunications carrier that is not a Tier-1 LEC.

83 Ill. Adm. Code 790.410 Special Access and Private Line Interconnection – Availability of Expanded Interconnection

a) Tier 1 LECs shall file intrastate tariffs providing for interconnection under a physical collocation arrangement for all locations for which the LEC has an interstate tariff in effect for expanded interconnection in compliance with the FCC Expanded Interconnection Rule (CC Docket No. 91-141, FCC 92-440 (rel. October 19, 1992)).

b) Tier 1 LECs may petition for, and the Commission shall grant, a waiver of the requirement to provide physical collocation if the FCC has granted a waiver due to the lack of space or, after hearings, the Commission finds that the LEC has demonstrated that a particular location lacks the space necessary to provide physical collocation.

c) Tier 1 LECs may petition for, and the Commission shall grant, a waiver of the requirement to provide virtual collocation if the FCC has granted a waiver due to the lack of space or, after hearings, the Commission finds that the LEC has demonstrated that a particular location lacks the space necessary to provide virtual collocation.

d) Parties entitled to request interconnection at LEC locations in order to terminate their own special access or private line transmission facilities shall include:

1. Any entity to which the Commission has issued a certificate under Section 13-401, 13-403, 13-404, or 13-405 of the Act for the telecommunications services in the geographical area of the interconnection request; and

2. End users. An end user may seek an interconnection arrangement without certification requirements.

83 Ill. Adm. Code 790.415 Special Access and Private Line Interconnection – Standards for Interconnection Arrangements

a) Space allocation and exhaustion. In LEC locations that are tariffed to provide physical collocation, LECs shall:

1. Offer space on a first-come, first-served basis to all telecommunications carriers and end users;

2. Offer a physical collocation arrangement until such space available for interconnection is filled to capacity;

3. Not reject subsequent interconnection requests due to lack of space, but shall provide a virtual collocation arrangement in lieu of the physical collocation arrangement unless the LEC has obtained a waiver under Section 790.410(c); and

4. Include the demand for interconnection when planning to remodel an existing location or building a new location in the same manner as any other demand for other services is taken into consideration.

b) Points of interconnection. When virtual collocation is provided, LECs shall specify an interconnection point or points as close as possible to the location in which telecommunications carriers and end users are requesting interconnection. These interconnection points must be physically accessible by the telecommunications carriers and end users on a non-discriminatory basis. Under virtual collocation, the interconnection point shall constitute the demarcation between the telecommunications carrier or end user and the LEC ownership of facilities.

c) Points of entry. LECs shall provide at least two separate points of entry to a location for the telecommunications carrier's or end user's cable facilities whenever there are at least two entry points for LEC cable facilities.

d) Equipment placed by or for telecommunications carriers and end users. Expanded interconnection requirements shall apply only to CO equipment needed to terminate or aggregate basic transmission facilities. The LECs are not required to place or allow the placement of other types of equipment by telecommunications carriers and end users (such as switching equipment, enhanced services, or customer premises equipment) in the location under either a physical collocation arrangement or a virtual collocation arrangement.

e) Interconnection of microwave technologies. Tier 1 LECs shall provide interconnection for microwave technology. Tier 1 LECs may petition for, and the Commission shall grant, a waiver of this subsection if the FCC has granted a waiver of the requirement to interconnect microwave technology or, after hearings, the Commission finds that the LEC has demonstrated that the CO cannot physically accommodate the equipment or it is not technologically feasible to provide the expanded interconnection.

f) Locations at which interconnection is available. LECs shall provide expanded interconnection at serving wire centers and end offices (central offices).

g) Shared use of switched and special access services. Telecommunications carriers and end users shall not be allowed to use intrastate special access expanded interconnection offerings to connect their transmission facilities with the local exchange carrier's intrastate switched services until the LEC has an effective tariff on file with the Commission implementing an interim local transport rate structure at the intrastate level in response to the order adopted by the FCC on September 17, 1992 in CC Docket 91-213, "In the Matter of Transport Rate Structure and Pricing."

83 Ill. Adm. Code 790.420 Special Access and Private Line Interconnection – Pricing and Rate Structure Issues

a) Cross-connect charge. Prices for the connection charge shall equal or exceed the long-run service incremental costs (LRSIC) of providing the service.

b) Contribution charge. The LECs are prohibited from recovering a contribution charge from telecommunications carriers and end users unless approved by the Commission as provided in this subsection. The LEC may petition for, and the Commission shall approve, a contribution charge if, after hearings, the Commission finds that the LEC has demonstrated a need for a contribution charge. Any contribution charge permitted under this Section shall only recover specifically identified subsidies or non-cost based allocations embedded in rates for special access or private line.

c) There is no requirement through this Part to provide price parity between physical and virtual collocation arrangements.

d) LEC special access or private line offerings.

1. Pricing and rate structure flexibility for LEC special access or private line offerings. LECs with operational expanded interconnection offerings may petition the Commission to receive approval to implement a system of traffic density-related and cost-based zones for special access or private line services classified as noncompetitive services as defined in the Act. Rates within each zone must be averaged within each zone, but rates may differ for special access services between zones. Rates shall be based on average LRSIC within each zone.

2. Volume and term discounts.

A) LEC customers with long-term access arrangements of three years or more, as provided in the FCC Expanded Interconnection Rule (CC Docket No. 91-141, FCC 92-440 (rel. October 19, 1992)), may review these arrangements. These long-term arrangements must have been entered into on or before September 17, 1992.

B) The right to end a long-term arrangement at a specific location will exist for a period of 180 days from the date the first cross-connect is operational in that location. Within five business days from the date on which the first expanded interconnection arrangement becomes operational in that location, the LEC shall file with the Commission a tariff transmittal stating that the fresh look period will begin to run as of the date the notice is filed with the Commission. If a party chooses to terminate a long-term arrangement within this period, the termination charge will be limited. The LEC may not charge more than the difference between the amount the customer has already paid and any additional charges that the customer would have paid for service if the customer had taken a shorter term offering corresponding to the term actually used, plus interest at the prime rate. Interest rates are to be adjusted to reflect changes in the prime rate and will apply to the balances due under the recalculation as they would have accrued over time.

C) Reconfiguration charges must be applied in a neutral manner that does not discriminate based on whether the customer chooses to use an alternate provider's facility or LEC facility for special access or private line service, unless there are specific, identifiable cost differences. All nonrecurring charges applicable to a customer's shifting to an alternate provider's services are to be set no higher than cost-based levels. In addition, the difference between the charges applicable when a customer shifts to an alternate provider's services and those applicable when a customer reconfigures its service with the LEC must be cost-based. The customer is entitled to the limitation on the termination charges even if it does not terminate service under the long-term arrangement with the LEC until after the 180-day period has expired.

D) Rates contained in tariffs that include volume and term discounts shall be cost-based.

3. Distance sensitivity. Rate elements contained in the tariffs that are based on distance sensitivity must be cost-based.

83 Ill. Adm. Code 790.430 Switched Transport Interconnection – Availability of Expanded Interconnection

Availability of switched transport interconnection shall be provided under the same terms and conditions as special access interconnection (see Section 790.410), except a LEC shall not be required to provide switched transport interconnection at any location where it is technologically unfeasible (see Section 790.415(f)). LECs may petition for, and the Commission shall grant, a waiver of the requirement to provide physical collocation if the FCC has granted a waiver due to the lack of space, or if, after hearings, the Commission finds that the LEC has demonstrated that it is not technically feasible to provide physical collocation at a particular location.

83 Ill. Adm. Code 790.435 Switched Transport Interconnection – Standards for Expanded Interconnection Arrangements

Standards for switched transport interconnection shall be provided under the same terms and conditions as special access interconnection (see Section 790.415) with the addition of tandem offices as locations from which switched transport interconnection will be made available. LECs are not required to place or allow the placement of other types of equipment (such as enhanced services, customer premises, or switching equipment) in the location under either a physical collocation arrangement or virtual collocation arrangement.

83 Ill. Adm. Code 790.440 Switched Transport Interconnection – Pricing and Rate Structure Issues

Pricing and rate structure issues related to the provision of switched transport interconnection shall be under the same terms and conditions as special access interconnection (see Section 790.420, except for Section 790.420(d)). Any contribution charge permitted under this Section shall only recover specifically identified subsidies or non-cost based allocations embedded in rates for switched transport interconnection.

83 Ill. Adm. Code 790.445 Implementation of Switched Transport Interconnection

This Subpart shall apply to an individual LEC on the date the LEC has an effective tariff on file with the Commission implementing an interim local transport structure at the intrastate level in response to an order adopted by the FCC on September 17, 1992, in CC Docket 91-213, "In the Matter of Transport Rate Structure and Pricing."

83 Ill. Adm. Code 790.450 Reporting Requirements Under Subpart D

Each LEC shall file reports with the Commission on March 1 of every year providing the following information as known on December 31 of the previous year:

a) Entities using expanded interconnection in the service areas of the LEC; and

b) The location at which each interconnection occurs.

Part 791 Cost of Service

83 Ill. Adm. Code 791.10 Carriers Subject to Cost Rules

This Part applies to telecommunications carriers providing both competitive and noncompetitive services, except those carriers that are specifically exempted from the requirements of Section 13-507 of the Public Utilities Act (Act) [220 ILCS 5/13-507] by Sections 13-504(b) and 13-506.2(k) of the Act. See Sections 13-202, 13-209 and 13-210 of the Act.

History

• Source: Amended at 36 Ill. Reg. 15094, effective October 1, 2012

83 Ill. Adm. Code 791.20 Terminology

a) The long-run service incremental cost of a service ("LRSIC") is the forward-looking additional costs incurred by the telecommunications carrier ("carrier") to provide the entire output of a service, including additional resources such as labor, plant, and equipment. Long-run service incremental cost excludes any costs, including common costs, that would be incurred if the service is not produced.

b) Long-run costs are the economic costs over a planning horizon long enough so that there are no sunk inputs or costs.

c) Forward-looking costs are the costs to be incurred by a carrier in the provision of a service. These costs shall be calculated as if the service were being provided for the first time and shall reflect planned adjustments in the firm's plant and equipment. Forward-looking costs ignore embedded or historical costs; rather, they are based on the least cost technology currently available whose cost can be reasonably estimated based on available data, as such forward-looking cost estimates must reflect assumptions and technologies that are currently operational, that is, able to be used and available in the marketplace.

d) Volume-insensitive costs are costs that do not vary with changes in output.

e) Volume-sensitive costs are costs that vary with changes in output of a particular service.

f) A group of services that is referenced in this Part consists of those services that share a common network technology, element, or business function that is necessary and unique to the provision of all services in the group, and where that common network technology, element, or business function cannot be attributed to any one service or subgroup of services in the group.

g) LRSIC of a group of services: Where additional resources are used in common and are necessary to provide a group of services, the long-run service incremental cost of that group of services includes the cost caused by the portion of such additional resources used solely by that group of services, including the LRSIC's of the individual services. Resources include labor, plant, and equipment.

h) Common costs are those costs that a carrier must incur in order to operate that are not directly attributable to any particular service or to any group of services smaller than the group of services consisting of all the services of the carrier. Common costs shall not be included in the LRSIC for a service.

i) Ad valorem taxes are those which are levied on the value of plant as determined by a governmental taxing authority (e.g., local property taxes levied against telephone plant).

j) Capital costs are the recurring costs that result from expenditures that are capitalized. These annual capital costs include depreciation, cost of capital (return), and income taxes.

k) Expenses are the cost or resources consumed in the production of revenue that are expensed rather than capitalized in accordance with the Uniform System of Accounts applicable to the carrier (83 Ill. Adm. Code 710).

l) Investment is a long-term capital asset (normally with a life exceeding one year) which is depreciated rather than expensed in accordance with the Uniform System of Accounts applicable to the carrier (83 Ill. Adm. Code 710).

m) Recurring costs are costs which will continue throughout the revenue producing life of the service. They include capital costs and expenses.

n) Usable capacity is the maximum physical capacity of the equipment or resource less any capacity required for maintenance, testing or administrative purposes.

History

• Source: Amended at 27 Ill. Reg. 4535, effective April 1, 2003

83 Ill. Adm. Code 791.30 Cost Causation Principle

Costs shall be attributed to individual services or groups of services based on the following cost causation principle. Costs are recognized as being caused by a service or group of services if:

a) The costs are brought into existence as a direct result of providing the service or group of services; or

b) The costs are avoided if the service or group of services is not provided.

83 Ill. Adm. Code 791.40 Methods and Assumptions

a) The methodology and assumptions in this Part apply to cost studies required by this Part and the Act.

b) Nothing in this Part shall require a carrier in any LRSIC study to account for, allocate, apportion, assign or reflect costs in any manner inconsistent with the Uniform System of Accounts (83 Ill. Adm. Code 710) or the Federal Communications Commission's Uniform System of Accounts (47 CFR 32).

c) Since LRSIC represents a measurement of the costs to a carrier of providing a service or group of services on a prospective basis over a planning horizon long enough to have no sunk inputs or costs, when determining the LRSIC of a service or a group of services, use of the following assumptions and methods shall be presumed reasonable:

1. The LRSIC study shall be based upon the locations of, and planned locational changes to, the existing central office and facilities configuration. As used in this Section, "facilities" shall be interpreted to include feeder routes, central offices, drop wire, network interface devices, and other specific items that make up the facilities of a telecommunications company;

2. To the fullest extent possible, volume-insensitive costs shall be directly attributed to particular services or, where shared by a group of services, to that group of services, consistent with the cost causation principle;

3. Volume-sensitive costs shall be directly attributed to the service that causes the costs, consistent with the cost causation principle;

4. The LRSIC study shall reflect the demand for the entire service that is affected by the business or regulatory decision at hand. If the LRSIC study is for a new service, the study shall include all demand forecasts used in the computations.

History

• Source: Amended at 27 Ill. Reg. 4535, effective April 1, 2003

83 Ill. Adm. Code 791.50 Cost Study Component Presentation

All cost studies provided by a carrier shall specifically identify the components outlined in Section 791.60 when such components are incurred and directly attributable to the service being studied. Further detail on each component shall be provided where identified.

83 Ill. Adm. Code 791.60 General Cost Study Components

a) Service description. Each cost study shall include a definition of the service being studied. This definition shall be in terms of technical characteristics, functionality, application, targeted market, and availability. The elements of the service shall also be defined.

b) Demand Information. The carrier shall provide the demand figures and/or forecasts used in the LRSIC computations and an explanation detailing the explicit and implicit assumptions and methods used to derive the figures and/or forecasts. Demand forecasts for new services shall reflect total demand for the service, averaged over the projected revenue producing life of the service.

c) Revenue life. Each cost study shall identify and provide a basis for the projected revenue producing life of the service or group of services.

d) Economic life. Each cost study shall identify and provide a basis for the projected economic life of the equipment involved in providing the service or group of services.

e) Input prices. Each cost study shall reflect input prices (e.g., the prices for materials, labor, and capital) that the carrier is actually expected to face. The carrier shall provide the underlying bases for projected changes in input price levels, using, wherever possible, projections based on market expectations and rates set in labor contracts. Where appropriate, costs shall be based on prevailing vendor prices or vendor prices under consideration that reflect volume discounts or term discounts off listed input prices. These discounts shall be reflected in the cost study.

f) Factors. Whenever any factors are used to estimate costs, such as maintenance or labor costs, the basis for those factors shall be described in an annual filing with the Manager of the Telecommunications Division of the Illinois Commerce Commission. Factors shall be based upon historical costs only to the extent that it can be demonstrated that those historical costs are relevant to the study of forward-looking costs. Any deviations in individual cost studies from factors filed on an annual basis shall be identified and explained in each cost study.

g) Volume-insensitive costs. To the fullest extent possible, volume-insensitive costs shall be directly attributed to particular services or, where shared by a group of services, to that group of services.

h) Volume-sensitive costs. Volume-sensitive costs shall be directly attributed to the service that causes the costs.

i) The cost study shall include all relevant service-specific start-up costs, including installation costs.

History

• Source: Amended at 27 Ill. Reg. 4535, effective April 1, 2003

83 Ill. Adm. Code 791.70 Investment-Related Cost Study Components

a) Material. The material component of investment shall be based on the most recent vendor prices, reflecting applicable discounts and all applicable taxes, for the hardware and software resources required to provide the service. The carrier shall provide a breakdown of the material involved in providing the service.

b) Inventory and supply. The inventory and supply components shall reflect the costs to the company of inventory, administration, storage and delivery.

c) Labor investment. The labor investment component shall consist of the labor required to install and put into service capital assets. The labor investment component shall be divided into two components, vendor-related and carrier-related labor investment. Vendor-related labor investment shall include billed installation and engineering. Carrier-related investment may be calculated based on either account averages or product specific plant engineering and installation hours. Total labor costs shall be computed by multiplying the account average or product specific work time by the appropriate labor hours. Hourly labor rates shall include the operational wages, benefits, paid absence, tools, and miscellaneous expenses.

d) Utilization factors. The utilization factor measures the usable capacity of a capital resource pursuant to the definition of usable capacity in Section 791.20(n). Investment shall be adjusted to reflect the usable capacity by dividing the dollar amount of investment by the utilization factor estimated pursuant to this Section.

History

• Source: Amended at 27 Ill. Reg. 4535, effective April 1, 2003

83 Ill. Adm. Code 791.80 Annual Cost Study Components

a) Depreciation.

1. Depreciation shall represent the periodic recognition of investment cost as dictated by accounting rules (83 Ill. Adm. Code 710). Depreciation costs for a service shall be computed based upon the projected life of plant at age zero underlying the depreciation rates most recently approved by the Commission. (For purposes of a cost study submitted in a rate proceeding which includes a depreciation represcription proposal, a telecommunications carrier may, as an alternative, use the projected life of plant at age zero filed for approval in that proceeding, subject to final Commission action on represcription proposal.)

2. For a carrier seeking approval of an alternative regulatory plan under Section 13-506.1 of the Act, the Commission shall make a finding of, or adopt a methodology for determining the projected life of plant at year zero underlying the carrier's rates of depreciation for purposes of this Part in any order approving an alternative regulatory plan.

b) Cost of capital.

1. The cost of capital associated with an investment shall be the weighted average of the carrier's costs of debt and equity applied to the net investment. The development of this component shall be based upon the current amount and weighted cost of debt. Carriers shall use the cost of equity approved by the Commission in the carrier's latest proceeding in which cost of money was litigated. (For purposes of a cost study submitted in a rate proceeding in which the telecommunications carrier is presenting evidence on its cost of capital, the telecommunications carrier may, as an alternative, base the return components upon the costs submitted in the proceeding, subject to the final Commission action on such issue.)

2. For a carrier seeking approval of an alternative regulatory plan under Section 13-506.1 of the Act, the Commission shall make a finding of, or adopt a methodology for determining the carrier's cost of equity, for purposes of this Part in any order approving an alternative regulatory plan.

c) Federal, State, and local income taxes. The Federal, State, and local income tax expenses shall be determined based on rates which are expected to be in effect at the time of the cost study development for the service. Since Federal, State, and local taxes are applicable, recognition shall be given to the "tax-on-tax" situation that results from the deductibility of State and local tax when Federal taxes are paid.

d) Maintenance. Maintenance costs are those costs incurred to keep equipment resources in usable condition and the cost incurred to rearrange cable or other facilities, if applicable. In calculating the cost of a service, the carrier may use an investment-related annual maintenance factor to arrive at an annual maintenance cost estimate or service-specific maintenance cost for the service. If a maintenance factor is used, the factor shall be specific to Investment and Expense accounts associated with the service. Maintenance costs may be based upon historical costs if it can be demonstrated that those historical costs are relevant to the study of forward-looking costs.

e) Ad valorem taxes. For telecommunications services, an ad valorem tax factor shall be applied against investment. This factor shall be based on the quotient of the most current ad valorem taxes paid by the carrier divided by the carrier's total current investment.

f) Other costs. Other service-specific costs shall be identified and attributed to particular services or groups of services and included in the cost study of those services or groups of services. These costs may be based upon historical costs if it can be demonstrated that those historical costs, in particular the estimated labor hours, are relevant to the study of forward-looking costs. In the case of labor costs, the carrier shall provide a breakdown of these costs to reflect loaded labor rates and estimated labor hours.

History

• Source: Amended at 27 Ill. Reg. 4535, effective April 1, 2003

83 Ill. Adm. Code 791.90 Subsidy Tests

a) A service is not being subsidized if the total revenue resulting from the service equals or exceeds the long-run service incremental cost of providing that service.

b) A group of services is not being subsidized if the total revenue resulting from the group of services equals or exceeds the long-run service incremental cost of providing that group of services.

83 Ill. Adm. Code 791.100 Required Lrsic Filings

An LRSIC study shall be filed with the Commission under the following circumstances:

a) For the service when a carrier offering or providing noncompetitive services files a tariff to reclassify a previously noncompetitive service as competitive;

b) For the service when a carrier offering or providing noncompetitive services files a tariff classifying a new service as competitive;

c) For all noncompetitive services in any proceeding under Section 13-506.1 of the Act to implement an alternative form of regulation; or

d) For a service when the Commission requests an LRSIC study in order to establish just and reasonable rates for that service.

History

• Source: Amended at 36 Ill. Reg. 15094, effective October 1, 2012

83 Ill. Adm. Code 791.200 Aggregate Revenue Test for Competitive Services

a) The competitive services of a carrier that provides both competitive and noncompetitive services shall provide revenues which equal or exceed the sum of the following:

1. The sum of the LRSICs of all competitive services, less the LRSICs of noncompetitive tariffed elements that are imputed into the costs of those services;

2. The sum of the imputed costs of the noncompetitive tariffed elements that are inputs to competitive services; and

3. The common costs that are to be allocated to competitive services pursuant to the relative LRSIC method. The portion of common costs that shall be recovered by competitive services in the aggregate shall be equal to the ratio of the amount in subsection (a)(3)(A) to the amount in subsection (a)(3)(B):

A) The sum of the LRSICs of all competitive services, less the LRSICs of noncompetitive tariffed elements that are imputed into the costs of these services; and

B) The sum of the LRSICs of all noncompetitive and competitive services of the carrier.

b) The aggregate revenue test shall be provided in the following proceedings:

1. In any proceeding approving, implementing, or evaluating an alternative form of regulation under Section 13-506.1 of the Act;

2. In a general rate case;

3. In a proceeding involving the introduction of a new competitive telecommunications service;

4. In a proceeding to reclassify a non-competitive telecommunications service to competitive;

5. Notwithstanding the provisions of subsections (b)(1), (2), (3), and (4) of this Section, and upon good cause shown, the aggregate revenue test shall be provided, upon motion of a party and order of the Hearing Examiner, in any other proceeding approving, investigating or establishing rates, charges, classifications or tariffs for telecommunications services offered by a telecommunications service provider that provides both competitive and non-competitive services. Any motion requesting an aggregate revenue test shall be filed within 30 days after the docketing of the underlying proceeding. Responses to such motions shall be filed within 14 days after the filing of the motion. Failure to file the motion within 30 days after the docketing of the proceeding shall be an independent ground for denying the motion. Failure to file responses within 14 days after the filing of the motion shall be an independent ground for granting the motion. Factors to be considered in determining the propriety of granting such a motion shall include but not be limited to:

A) The length of time elapsed since the LEC last filed an aggregate revenue test;

B) The revenues projected to be generated by the service or services under consideration compared with total company service revenues;

C) The number of competitive and non-competitive services currently being offered by the LEC; and

D) The cost associated with performing the aggregate revenue test.

c) The carrier may file a petition pursuant to 83 Ill. Adm. Code 200 for a waiver of the requirement to use the methodology required by subsection (a)(3) to apportion costs common to the provision of both competitive and noncompetitive services. The waiver shall be granted within 90 days after the filing of a petition for waiver if the carrier can demonstrate that using the methodology required by subsection (a)(3) would be cost prohibitive or, in accordance with subsection (b)(3), would prevent a carrier from offering the new competitive service. To comply with Section 13-507 requiring a telecommunications carrier providing both competitive and noncompetitive services to recover the aggregate LRSICs of its competitive services plus a proper and reasonable apportionment of common costs, a substitute allocator is required. The burden of proving the reasonableness of a substitute common cost allocation methodology shall be upon its proponent. The Commission reserves the right to authorize the use of superior methodologies apportioning common costs should they arise.

d) For a carrier seeking approval of an alternative regulatory plan under Section 13-506.1 of the Act, the Commission shall make a finding of, or adopt a methodology for determining, the amount to be allocated for purposes of subsection (a)(3) in any order approving an alternative regulatory plan.

e) In lieu of preparing an LRSIC study, the carrier may provide alternative cost data. Nothing in this subsection shall relieve carriers from the requirements of Section 13-507 of the Act.

History

• Source: Amended at 36 Ill. Reg. 15094, effective October 1, 2012

83 Ill. Adm. Code 1200.100 Scope

This Part covers fee assessment by the Agency for development of Procurement Plans, conducting regular procurement events, conducting special procurement events, program administration, contract review, evaluation, mediation, and other tasks required or authorized under the Illinois Power Agency Act or the Public Utilities Act.

History

• Source: Amended at 50 Ill. Reg. 2515, effective February 4, 2026

83 Ill. Adm. Code 1200.110 Definitions

The following terms are defined for this Part:

"Act" shall mean the Illinois Power Agency Act [20 ILCS 3855].

"Agency" shall mean the Illinois Power Agency.

"ARES" shall mean an Alternative Retail Electric Supplier, as defined in Section 16-102 of the Public Utilities Act.

"Bidder" shall mean any person or entity that bids to provide electric supply or related energy products (e.g., renewable energy credits, energy efficiency credits, or demand response) or feedstock for any facility using clean coal technology in any amount in any procurement.

"Commission" shall mean the Illinois Commerce Commission.

"Mediation" shall have the meaning provided in the specific Section of the Act or the Public Utilities Act authorizing or requiring the Agency to offer mediation in a particular instance. (See 220 ILCS 5/9-220(h))

"Overhead" shall mean an amount determined on an annual basis by taking the Agency's appropriated operations budget, and reducing that amount by budgeted amounts for procurements conducted under Subparts B, C, or D, program administration, procurement administrators, as defined in Section 16-111.5(c) of the Public Utilities Act, any expert or expert consulting firm as defined in Sections 1-75(a)(1) and 1-77(a)(1) of the Act or any other individual or firm the Agency is required to retain pursuant to the Act or the Public Utilities Act.

"Participating Utility" shall mean any utility for which the Agency conducts energy or capacity procurement planning, a regular procurement, or a special procurement; or any utility which enters into contractual obligations through a program or procurement administered by the Agency.

"Procurement" shall mean any competitive bidding process overseen by the Agency or its agents, representatives, or consultants. Procurement events are limited to bidding for electric supply or related energy products (such as renewable energy credits, energy efficiency credits, or demand response) and feedstock for any facility using clean coal technology.

"Procurement Administrator" shall have the meaning provided in Section 1-75 of the Act.

"Procurement Event" shall mean the actual procurement of a product or products for one or more participating utilities and, as applicable, an ARES, or a State fund, regardless of whether the event results in any product being procured.

"Procurement Plan" shall have the meaning provided in Section 1-75(a) of the Act. This includes the annual electricity procurement plan, the biannual long-term renewable resources procurement plan, the zero emissions standard procurement plan, the carbon mitigation credit procurement plan, and any other plan authorized by the General Assembly.

"Product" shall mean:

energy, capacity, ancillary services, other measures of electricity supplied, energy efficiency, demand response, or reductions in demand for electricity (through commercially verifiable methods such as verified voluntary load reduction) that can be measured in a single unit specified by the Agency in the procurement document, renewable energy credits, zero emission credits, carbon mitigation credits, and other products specified in procurement plans authorized by the General Assembly.

"Program" shall mean any program administered by the Agency under the provisions of the Act, including, but not limited to, the Illinois Solar for All Program established in Section 1-56(b)(2) of the Act and the Adjustable Block Program established in Section 1-75(c)(1)(K) of the Act.

"Program Administration" shall mean the activities of consultants retained by the Agency to administer any aspect of a program authorized under Sections 1-56 or 1-75 of the Act, including program administrators, the procurement administrator, the procurement planning consultant, the Illinois Solar for All evaluator, and other consultants authorized by the General Assembly.

"Public Utilities Act" shall mean 220 ILCS 5.

"Regular Procurement" shall mean any procurement authorized by a procurement plan duly approved by the Commission.

"Sourcing Agreement" shall mean a contract between a clean coal SNG facility, a clean coal SNG brownfield facility, an initial clean coal facility, a clean coal facility, or any other similar bilateral contract between a facility and a public utility or ARES described in the Public Utilities Act or the Act.

"Special Procurement" shall mean any procurement that is not a regular procurement contained in a procurement plan approved by the Commission.

"Supplier" shall mean any bidder who successfully secures the right to provide one or more units of one or more products in a procurement event.

History

• Source: Amended at 50 Ill. Reg. 2515, effective February 4, 2026

Chapter III Illinois Power Agency

Subchapter A Contracts and Fees

Part 1200 Fee Assessment and Collection for Regular Procurement Events, Special Procurement Events and Other Services

83 Ill. Adm. Code 1200.120 Publication of Overhead

No later than July 1 annually, or such later date that the General Assembly approves the Agency's appropriation, the Agency shall publish on its website its budgeted overhead, which shall be based on the appropriation approved by the General Assembly for the fiscal year starting on July 1.

83 Ill. Adm. Code 1200.130 Publication of Mediation Rates

When the Act or the Public Utilities Act requires or allows the Agency to offer mediation services, the Agency shall, within 20 days after retaining a mediator, publish on its website the hourly rates for its retained mediator and/or Agency employees if the Agency intends to or is required to charge for mediation.

83 Ill. Adm. Code 1200.140 Statement of Policy

a) It shall be the policy of the Agency to recover its authorized overhead for each fiscal year, avoid double billing any entities for the same cost, and minimize over- or under-collection while balancing considerations of cash flow.

b) The Agency further shall allocate costs consistent with the principles of cost causation, which includes directly billing any entity that directly causes a cost, to the extent practicable.

c) To the extent a particular cost or fee that the Agency is entitled to recover is not covered in this Part, the Agency may collect fees allowable under Act or the Public Utilities Act consistent with this Section. Any funds collected other than a pass through of contract costs shall offset overhead that the Agency may collect pursuant to other Sections of this Part.

83 Ill. Adm. Code 1200.200 Scope

Each Section of this Subpart B shall be applicable only to costs incurred pursuant to Sections 1-56, 1-75, and 1-77 of the Act and Section 16-111.5 of the Public Utilities Act.

History

• Source: Amended at 50 Ill. Reg. 2515, effective February 4, 2026

83 Ill. Adm. Code 1200.210 Fees Assessed to Participating Utilities

a) The Agency shall assess fees to each affected utility to recover the costs incurred in preparation of procurement plans for the utility, for program administration, and for other initiatives conducted by the Agency as required or authorized by the Illinois Power Agency Act or the Public Utilities Act. (See 20 ILCS 3855/1-20(b)24); 20 ILCS 3855/1-75(g); 20 ILCS 3855/1-75(g); 20 ILCS 3855/1-77(d)) These fees shall cover costs for the Agency and its agents, representatives and consultants.

b) The costs incurred by the Agency and its agents, representatives and consultants shall consist of the following:

1. Actual contract costs invoiced by the procurement planning consultant in furtherance of work required under or related to requirements of Section 1-75 of the Act (See 20 ILCS 3855/1-75(g)).

2. Actual program administration costs invoiced by one or more consultants in furtherance of work required under or related to requirements of Section 1-56 or 1-75 of the Act (See 20 ILCS 3855/1-55; 20 ILCS 3855/1-77(d)).

3. Actual costs invoiced by one or more consultants in furtherance of work mandated by the General Assembly to be conducted by the Agency. (See 20 ILCS 3855/1-20(b)(24)).

4. The overhead budgeted by the Agency for the fiscal year, reduced by 90% of the investment income generated by the Agency's Trust Fund in the prior fiscal year to fund the Agency's Operating Fund.

c) Allocation

1. The Agency shall assign and allocate its costs incurred pursuant to subsections (b)(1) and (b)(2) to reflect costs incurred in support of each of the participating utilities. To the extent that the procurement planning consultant incurs costs in support of more than one participating utility, for the development of procurement plans that only procure resources for potentially eligible load (see 20 ILCS 3855/1-75(a)), the Agency shall allocate costs based on the total amount of energy associated with each participating utility's total potentially eligible load in the first delivery year of the procurement as forecast in the participating utility's load forecast submitted in accordance with Section 16-111.5(d) of the Public Utilities Act (see 220 ILCS 5/16-111.5(d)(1)). For the development procurement plans for all retail load (see 220 ILCS 5/16-102), the Agency shall allocate costs based on each participating utility's retail load in the first delivery year of the procurement as forecast in any applicable load forecast provided by the utilities. In the case where no load forecast is available, the Agency shall use the allocation used for the most recent electricity procurement plan.

2. The Agency shall allocate costs recoverable under subsections (b)(3) and (b)(4) between the participating utilities in the same manner as the costs allocated pursuant to subsection (c)(1).

d) Notwithstanding any other subsection of this Section, in a year in which the Agency's appropriation and transfer of funds from the Illinois Power Agency Trust Fund pursuant to Section 6z-75 of the State Finance Act (see 30 ILCS 105/6z-75) does not cover the Agency's overhead, then the Agency may recover its overhead pursuant to subsection (b)(2) of this Section (see 20 ILCS 3855/1-20(b)(24)).

History

• Source: Amended at 50 Ill. Reg. 2515, effective February 4, 2026

83 Ill. Adm. Code 1200.220 Bidder And Supplier Fees

a) The Agency shall recover the following costs from bidders and suppliers in all regular procurement events during a fiscal year (see 20 ILCS 3855/175(h)):

1. Actual costs incurred by the procurement administrator for the procurement event in which the bidder or supplier participates (see 20 ILCS 3855/1-75(h)).

2. The Agency's overhead to the extent not recovered pursuant to Section 1200.210 and Subpart D.

3. If a procurement event was authorized by a procurement plan in a previous fiscal year, the Agency may collect fees from suppliers authorized in subsection (c) for the fiscal year in which the procurement event occurs.

4. The balance of costs for prior procurement events for like products where a procurement event fails to procure the targeted quantities and thus the bidder and supplier fees do not cover the cost of that procurement event.

b) Each bidder shall be assessed a bid participation fee. This fee shall be $500, or as set by the Agency after consultation with the procurement administrator. If the fee is other than $500, the Agency shall provide notice of the fee as part of bid solicitation documents.

c) The Agency shall, in consultation with the procurement administrator, approve a supplier fee sufficient to recover the following costs:

1. For each procurement event, the allocated costs of the procurement administrators based on principles of cost causation less the value of bid participation fees collected pursuant to subsection (b).

2. The Agency, in consultation with the procurement administrator, shall allocate the procurement administrator's costs and overhead costs among products in a manner to ensure a likelihood of cost recovery and a reasonable fee in relation to the unit price of the product being procured.

3. For each procurement event, each supplier shall pay a fee equal to the value in costs allocated to a particular product pursuant to subsection (c)(2), multiplied by the units of product successfully bid by the bidder in a procurement event, divided by the total number of units successfully bid by all bidders in the same procurement event.

4. The value in subsection (c)(3) shall be expressed in terms of dollars per unit successfully bid.

d) Notwithstanding any other provision of this Part, all fees assessed under this Section shall be due no later than 30 days after the date of the invoice from the Agency, or as specified in the supplier fee agreement.

e) If the Agency conducts a procurement using the Renewable Energy Resources Fund as described in Section 1-56 of the Act, the Agency may recover the costs of the procurement from the Renewable Energy Resources Fund instead of from bidder and supplier fees, to the extent authorized by law (see 20 ILCS 3855/1-56(i)(9)).

History

• Source: Amended at 50 Ill. Reg. 2515, effective February 4, 2026

83 Ill. Adm. Code 1200.230 Timing for Invoices to and Payment by Utilities

a) No later than the last day of each month, the Agency shall issue an invoice to each participating utility summarizing the total expenses paid by the Agency pursuant to Section 1200.210 in that month, or previous months. Nothing in this subsection prevents the Agency from providing additional invoices during the fiscal year, or prevents a participating utility from inquiring as to actual or estimated fee assessments incurred pursuant to this Part at any time.

b) No later than September 30 of each year, the Agency shall issue an invoice to each participating utility for up to 50% of the budgeted overhead for the fiscal year. No later than the last day of the month after the Agency has determined the amount of funds that can be transferred from the Illinois Power Agency Trust Fund, the Agency shall issue an invoice to each participating utility for the balance of the overhead reduced by the amount that will be transferred from the Illinois Power Agency Trust Fund (see 20 ILCS 3855/1-55).

c) No later than the last day of each month, each participating utility shall pay the full undisputed amount of all invoices issued pursuant to subsections (a) and (b) in prior months.

d) To the extent that a participating utility disputes the amount of one or more invoices, the participating utility shall pay the undisputed amount, and all disputed amounts shall be subject to Section 1200.240.

History

• Source: Amended at 50 Ill. Reg. 2515, effective February 4, 2026

83 Ill. Adm. Code 1200.240 Communications Regarding Fees and Fee Dispute Resolution

a) The Agency may meet with representatives from participating utilities from time to time at the request of the participating utilities to discuss fees invoiced, incurred but not invoiced, or expected to be incurred and charged to the participating utility pursuant to Section 1200.200. Notwithstanding the participating utility's request, the Agency shall offer to hold at least one meeting in the first two quarters of the fiscal year and one meeting in the second two quarters of the fiscal year with the participating utilities separately or jointly. Nothing in this Section prevents the Agency from offering to meet with one or more participating utilities additional times or including the procurement planning consultants at one or more meetings. All conversations pursuant to this Section are subject to any applicable reporting requirements imposed by statute or rule.

b) Fee Disputes

1. If any party assessed a fee has a good-faith dispute regarding fees, the party shall pay the undisputed amount in a timely fashion.

2. If a party pays the disputed amount and provides written correspondence explaining the disputed amount and the grounds for dispute, full payment shall not be considered a waiver of the dispute.

3. The Agency and the party shall make reasonable efforts to resolve the dispute.

Chapter III Illinois Power Agency

Subchapter A Contracts and Fees

Part 1200 Fee Assessment and Collection for Regular Procurement Events, Special Procurement Events and Other Services

83 Ill. Adm. Code 1200.300 Scope

This Subpart C shall be applicable only to costs incurred in support of special procurements, to the extent that the Agency is permitted by statute to recover its costs.

83 Ill. Adm. Code 1200.310 Fees Assessment and Payment Schedules for Participating Utilities in Special Procurements

a) Each participating utility shall be responsible for the costs incurred by the Agency and its agents, representatives and consultants incurred for a special procurement to the extent allowable under the Act.

b) The costs incurred by the Agency and its agents, representatives and consultants shall consist of actual contract costs invoiced by the procurement planning consultant in furtherance of work required under or related to requirements of the Act or the Public Utilities Act that are not recoverable under Section 1200.320.

83 Ill. Adm. Code 1200.320 Bidder and Supplier Fees

a) The Agency shall recover the following costs from bidders and suppliers in a special procurement event to the extent the fees are recoverable from suppliers under the Act or the Public Utilities Act (see 20 ILCS 3855/1-75(g) through (h):

1. Actual costs of the procurement administrator.

2. All other costs incurred by the Agency in support of the Special procurement event.

b) Each bidder may be assessed a bid participation fee. The fee shall be $500, or as set by the Agency after consultation with the procurement administrator. If the fee is other than $500, the Agency shall provide notice of the fee as part of bid solicitation documents.

c) Each supplier, defined as a bidder that is awarded at least one unit in any procurement, shall be assessed fees calculated as follows: all costs identified in subsection (a), reduced by all fees collected from bidders pursuant to subsection (b), the product of which is to be multiplied by the number of units successfully bid by the supplier and divided by the total number of units successfully bid.

d) Notwithstanding any other provision of this Part, all fees assessed under this Section shall be due no later than 30 days after the date of the invoice from the Agency, or as specified in the supplier fee agreements.

e) In the event that bidder and supplier fees do not cover the cost of conducting a special procurement, the Agency may collect the remaining balance from the participating utilities.

History

• Source: Amended at 50 Ill. Reg. 2515, effective February 4, 2026

Chapter III Illinois Power Agency

Subchapter A Contracts and Fees

Part 1200 Fee Assessment and Collection for Regular Procurement Events, Special Procurement Events and Other Services

83 Ill. Adm. Code 1200.330 Timing for Invoices to and Payment by Utilities

To the extent that the Act or the Public Utilities Act does not have explicit timeframes for invoices to and payment by utilities, the Agency shall bill utilities not less often than quarterly. Invoices shall be due no later than 30 days after the date of the invoice from the Agency.

83 Ill. Adm. Code 1200.400 Scope

This Subpart D shall be applicable to costs incurred in support of clean coal-related procurements authorized by Sections 1-77 and 1-78 of the Act, assistance with evaluation of bids or development of facilities other than facilities authorized under Section 1-80 of the Act (including review of any contracts, facility cost reports, or equivalent documents), or such new mandates as may be placed on the Agency from time to time.

83 Ill. Adm. Code 1200.410 Facility Cost Report or Development Plan Evaluation

In all instances in which the Agency is required to undertake review of a facility cost report and evaluate development plans, the Agency shall charge fees authorized in the Act or the Public Utilities Act to the party or parties from whom recovery is authorized. These fees shall include, to the extent not otherwise recoverable, the fees of all outside consultants and attorneys. The Agency shall bill the appropriate party or parties from time to time for the authorized fees. Payment shall be received by the Agency within the time specified in the invoice, but no later than 60 days after the invoice date.

83 Ill. Adm. Code 1200.420 Mediation

When the Agency is required or permitted to offer mediation services:

a) The Agency may, to the extent permitted by the Act or the Public Utilities Act, hire outside mediators at the expense of the party or parties identified in either Act.

b) The Agency may recover fees for its own employees' participation in the mediation based on the following hourly rates:

1. Director: $125/hour;

2. Chief Legal Counsel: $100/hour;

3. Other agency personnel: $75/hour.

c) The Agency may recover its actual expenses on outside mediators to the extent permitted by the Act or the Public Utilities Act.

d) In deciding whether to charge fees pursuant to subsection (b) or (c), the Agency shall consider the recoverability of costs pursuant to subsection (a) and the amount of time and resources required to conduct the mediation.

Subchapter a Contracts and Fees

Part 1220 Uniform System of Accounts

83 Ill. Adm. Code 1220.100 Scope

This Part governs the Agency's development of systems of accounts to comply with the requirements of the Illinois Power Agency Act and requirements of other statutes or rules triggered by the Agency's actions.

83 Ill. Adm. Code 1220.110 Definitions

The following terms are defined for this Part:

"Act" shall mean the Illinois Power Agency Act [20 ILCS 3855].

"Agency" shall mean the Illinois Power Agency.

"Commission" shall mean the Illinois Commerce Commission.

"FOM" shall mean the Financial Operations Manual maintained by the Agency.

"GAAP" shall mean generally accepted accounting principles as defined by the Financial Standards Accounting Board (401 Merritt 7, P.O. Box 5116, Norwalk CT 06856-5116 (203/847-0700)).

"GRM" shall mean the GAAP Reporting Manual maintained by the Agency.

"SAMS" shall mean the Statewide Accounting Management System in the Office of the Illinois State Comptroller.

83 Ill. Adm. Code 1220.120 Sams Accounting

The Agency shall follow SAMS and the Agency's FOM. If the two reference materials conflict, the Agency shall follow SAMS and make appropriate changes to the Agency's FOM.

83 Ill. Adm. Code 1220.130 Gaap Accounting

The Agency shall maintain and update from time to time GRM, a GAAP reporting manual describing the policies and procedures for a GAAP-compliant accounting of the Agency's finances for each fiscal year and for a reconciliation between SAMS and GAAP accounting of the Agency's finances.

83 Ill. Adm. Code 1220.135 Fiscal Operations

The Agency shall maintain and update from time to time FOM, a manual describing internal fiscal operations and procedures.

83 Ill. Adm. Code 1220.140 Compliance with Illinois Finance Authority Requirements

If the Agency elects to seek financing from the Illinois Finance Authority for the purposes of constructing a facility pursuant to Section 1-57, 1-80 or 1-85 of the Act or any other lawful use, the Agency shall comply with all accounting requirements of the Illinois Finance Authority.

83 Ill. Adm. Code 1220.150 Compliance with Public Utilities Act Requirements

The Agency shall comply with the accounting requirements in the Public Utilities Act [220 ILCS 5] to the extent that the Agency is required by law or elects to submit financial information to the Commission subject to the Uniform System of Accounts in the Commission's Rules (83 Ill. Adm. Code 415) or any other Uniform System of Accounts required for the submittal of financial information.

83 Ill. Adm. Code 1220.160 Use of Outside Experts

To the extent authorized by the Act, the Agency may retain outside consultants to develop, update, review or verify documents or records developed pursuant to this Part.

Chapter IV Illinois State Police

Part 1324 Consolidation of 9-1-1 Emergency Systems

83 Ill. Adm. Code 1324.100 Scope

This Part shall apply to all 9-1-1 systems and 9-1-1 Authorities, except that it shall not apply to the City of Chicago.

83 Ill. Adm. Code 1324.110 Definitions

"9-1-1 Authority" means the ETSB, Joint ETSB, or qualified governmental entity that provides for the management and operation of a 9-1-1 system within the scope of those duties and powers prescribed by the Emergency Telephone System Act (ETSA) [50 ILCS 750].

"9-1-1 Network" means the network used for the delivery of 9-1-1 emergency calls over dedicated and redundant facilities, as required by 83 Ill. Adm. Code 725, to a PSAP or a backup PSAP that meets the applicable grade of service.

"9-1-1 System" means the geographic area that has been granted an order of authority by the Administrator to use "9-1-1" as the primary emergency telephone number.

"9-1-1 System Provider" means any person, corporation, limited liability company, partnership, sole proprietorship, or entity of any description that acts as a 9-1-1 system provider within the meaning of ETSA Section 2 by contracting to provide 9-1-1 network and database services and that has been certified by the Commission pursuant to Section 13-900 of the Public Utilities Act [220 ILCS 5/13-900].

"Act" or "ETSA" means the Emergency Telephone System Act [50 ILCS 750].

"Administrator" means the Statewide 9-1-1 Administrator.

"Advisory Board" means the Statewide 9-1-1 Advisory Board.

"Aid Outside Normal Jurisdiction Boundaries Agreement" means a written cooperative agreement entered into by all participating and adjacent agencies and public safety agencies providing that, once an emergency unit is dispatched to a request through a system, that unit shall render its services to the requesting party without regard to whether the unit is operating outside its normal jurisdictional boundaries.

"Automatic Location Identification" or "ALI" means the automatic display at the PSAP of the caller's telephone number, the address/location of the telephone, and supplementary emergency services information.

"Backup PSAP" means a public safety answering point that serves as an alternate to the PSAP for enhanced systems and is at a different location and operates independently from the PSAP. A backup PSAP may accept overflow calls from the PSAP or be activated in the event that the PSAP is disabled.

"Busy Day" means a consecutive 24-hour period during which the greatest volume of traffic is handled in the central office.

"Busy Hour" means the two consecutive half-hours each day during which the greatest volume of traffic is handled in the central office.

"Call Referral" means a 9-1-1 service in which the PSAP telecommunicator provides the calling party with the telephone number of the appropriate public safety agency or other provider of emergency services.

"Call Relay" means a 9-1-1 service in which the PSAP telecommunicator takes the pertinent information from a caller and relays that information to the appropriate public safety agency or other provider of emergency services.

"Call Transfer" means a 9-1-1 service in which the PSAP telecommunicator receiving a call transfers that call to the appropriate public safety agency or other provider of emergency services.

"Carrier" means a telecommunications carrier and a wireless carrier.

"Chairperson" means the Chairperson of the Statewide 9-1-1 Advisory Board.

"Commission" means the Illinois Commerce Commission.

"Consolidation" means a reduction of Emergency Telephone System Boards, Joint Emergency Telephone System Boards, qualified governmental entities, and PSAPs pursuant to ETSA Section 15.4a.

"Department" means the Department of State Police.

"Dispatch Center" means a location other than a PSAP, SAP or VAP that receives an emergency call transferred or relayed from a PSAP, SAP or VAP for purposes of completing the call taking process by dispatching police, medical, fire or other emergency responders.

"Economically Unreasonable" means that the cost of consolidation materially outweighs the benefit to the community served and makes it illogical or impractical to consolidate.

"Emergency Call" means any type of request for emergency assistance through the 9‑1‑1 network, not limited to voice. This may include a session established by signaling with two-way, real-time media and involves a human making a request for help.

"Emergency Telephone System Board" or "ETSB" means a board appointed by the corporate authorities of any county or municipality that provides for the management and operation of a 9-1-1 system within the scope of the duties and powers prescribed by ETSA. The corporate authorities shall provide for the manner of appointment, provided that members of the board meet the requirements of the statute.

"Enhanced 9-1-1" or "E9-1-1" means an emergency telephone system that includes dedicated network, selective routing, database, ALI, ANI, selective transfer, fixed transfer, and a call back number.

"Grade of Service" means P.01 for Basic 9-1-1 or Enhanced 9-1-1 services or NENA i3 Solution standard for NG9-1-1 services.

"Interconnected Voice over Internet Protocol Provider" or "Interconnected VoIP Provider" means every corporation, company, association, joint stock company or association, firm, partnership, or individual, their lessees, trustees or receivers appointed by any court whatsoever that owns, controls, operates, manages, or provides within this State, directly or indirectly, Interconnected VoIP service or the meaning prescribed in 47 CFR 9.3 [220 ILCS 5/13-234 and 13-235]. VoIP service is a service that:

enables real-time, two-way voice communications;

requires a broadband connection from the user's location;

requires Internet protocol-compatible customer premises equipment; and

permits users generally to receive calls that originate on the public switched telephone network and to terminate calls to the public switched network.

"IP 9-1-1" means the internet protocol based 9-1-1 network that is part of NG 9-1-1.

"Joint ETSB" means a Joint Emergency Telephone System Board established by intergovernmental agreement of two or more municipalities or counties, or a combination thereof, to provide for the management and operation of a 9-1-1 system.

"NENA i3 Solution standard" means the NENA 08-003 Detailed Functional and Interface Standard for NG9-1-1 (i3), published by the National Emergency Number Association, 1700 Diagonal Rd., Suite 500, Alexandria VA 22314 (www.NENA.org) (June 14, 2011). These standards are hereby incorporated by reference and do not include any later amendments or additions.

"Network Costs" means those recurring costs that directly relate to the operation of the 9-1-1 network, including costs for interoffice trunks, selective routing charges, transfer lines and toll charges for 9-1-1 services, Automatic Location Information (ALI) database charges, call box trunk circuit (including central office only and not including extensions to fire stations), independent local exchange carrier charges and nonsystem provider charges, carrier charges for third party database for on-site customer premises equipment, backup PSAP trunks for nonsystem providers, periodic database updates as provided by carrier (also known as "ALI data dump"), regional ALI storage charges, circuits for call delivery (fiber or circuit connection), NG9-1-1 costs, and all associated fees, taxes and surcharges on each invoice. "Network Costs" shall not include radio circuits or toll charges that are for other than 9-1-1 services.

"NG9-1-1" or "Next Generation 9-1-1 Service" means a system comprised of managed IP-based networks, gateways, functional elements and databases that augment or replicate present day E9-1-1 features and functions and provide new capabilities. NG9‑1‑1 is designed to provide access to emergency services from all sources, and to provide multimedia data capabilities for PSAPs and other emergency service organizations.

"P.01" means the probability (P) expressed as a decimal fraction of an emergency call being blocked. P.01 is the grade of service reflecting the probability that one call out of 100 during the average busy hour of the average busy day will be blocked, or the number of 9-1-1 circuits or facilities from the 9-1-1 system provider's routing equipment to the primary PSAP or PSAPs that is sufficient to complete 99% of all requests for emergency service during the average busy hour of the average busy day.

"Public Safety Answering Point" or "PSAP" means the initial answering location of an emergency call.

"Secondary Answering Point" or "SAP" means a location, other than a PSAP, that is able to receive the voice, data and call back number of an E9-1-1 or NG9-1-1 emergency call transferred from a PSAP and completes the call taking process by dispatching police, medical, fire or other emergency responders.

"Service Population" means the total population of the community served as determined by the latest complete vintage population estimates available from the U.S. Census Bureau.

"Technically Infeasible" means that consolidation is unworkable or unviable consistent with the technical standards established in 83 Ill. Adm. Code 1328.

"Threat to Public Safety" means that consolidation would place the public in greater danger of injury than if the consolidation did not occur.

"Vendor" means an entity that provides some or all elements of 9-1-1, E9‑1‑1 and/or other services for which it incurs network costs for one or more 9‑1‑1 Authorities.

"Virtual Answering Point" or "VAP" means a temporary or nonpermanent location that:

is capable of receiving an emergency call;

contains a fully functional worksite that is not bound to a specific location, but rather is portable and scalable, connecting emergency call takers or dispatchers to the work process; and

is capable of completing the call dispatching process.

"Waiver" means approval for exemption from consolidation, which shall be subject to review and renewal as determined by the Administrator, with recommendation from the Advisory Board.

83 Ill. Adm. Code 1324.120 Duties

a) The Department:

1. Has the following responsibilities under the Act:

A) Review consolidation plans to ensure technical compliance with 83 Ill. Adm. Code 725 or 1325.400, whichever is applicable; and

B) Review requests for waiver to ensure technical compliance with ETSA Section 15.4a(c).

2. Pursuant to ETSA Section 10, is authorized to set technical standards for the provisioning of 9-1-1 authorities throughout the State of Illinois.

b) Pursuant to Section 13-900 of the Public Utilities Act [220 ILCS 5/13-900], the Commission is authorized to set technical standards for the provision of 9-1-1 service by telecommunication carriers and 9-1-1 system providers.

c) The Advisory Board has the responsibility under the Act to hold a public hearing on consolidation plans submitted pursuant to ETSA Section 15.4a and make a recommendation to the Administrator regarding the plan.

d) The Administrator has the responsibility under the Act to approve consolidation plans, as submitted or as modified, and grant waivers to the consolidation process pursuant to ETSA Section 15.4a(c).

83 Ill. Adm. Code 1324.200 Consolidation Plans and Requests for Waiver

a) By January 1, 2016, the Department shall post a link on its website for the electronic submission of consolidation plans and requests for waiver.

b) Counties and 9-1-1 Authorities:

1. Shall use their service population to determine whether they are required to consolidate pursuant to ETSA Section 15.4a;

2. Are responsible for submitting consolidation plans and requests for waiver. PSAPs within 9-1-1 Authorities do not have standing to submit consolidation plans or requests for waiver; and

3. May not convert PSAPs to SAPs, VAPs, or Dispatch Centers to avoid the requirements for consolidation in ETSA Section 15.4(a). The authorized PSAPs remaining after consolidation shall directly dispatch all emergency calls and shall not transfer or relay those calls to an unauthorized entity. Nothing in this subsection (b)(3) shall be construed to mean a PSAP, SAP or VAP cannot serve as a Dispatch Center.

c) By July 1, 2016, each county and each 9-1-1 Authority required to consolidate pursuant to ETSA Section 15.4a(a) shall electronically file a plan for consolidation and/or a request for a waiver pursuant to ETSA Section 15.4a(c) at the link posted on the Department's website.

1. Consolidation plans must include a completed application consisting of the following documents:

A) Contact and 9-1-1 system information;

B) Notarized statement of truth regarding information provided in the plan;

C) A letter that is sent to the 9-1-1 system provider with a copy of the plan;

D) A detailed summary of the proposed system's operation, including, but not limited to, a five-year strategic plan for implementation of the consolidation with financial projections and information as to how the plan will assist with achieving the statutory goals enumerated in ETSA Section 15.4b(a);

E) A summary of the anticipated implementation costs and annual operating costs of the consolidated system that are directly associated with 9-1-1, as well as the anticipated revenues, that:

i) Identify the ETSBs or qualified governmental entities that will be dissolved and consolidated, with the amount of reserves estimated to be transferred to the Joint ETSB. Any reserves are required to be transferred to the resulting Joint ETSB pursuant to ETSA Section 30(d);

ii) Identify the number of answering positions, full-time and part-time dispatchers prior to consolidation, and the proposed number after consolidation;

iii) Identify total network cost prior to consolidation and the proposed cost after consolidation;

iv) Identify network cost that the State will be responsible for paying;

v) Identify recurring and nonrecurring consolidation cost; and

vi) Identify all revenue sources for the consolidated system;

F) A list of all communities that are served by the 9-1-1 system;

G) A list of public safety agencies (police, fire, EMS, etc.) that are dispatched by the 9-1-1 system, including their addresses, telephone numbers and form of dispatch;

H) A list of the public safety agencies (police, fire, EMS, etc.) that are adjacent to the 9-1-1 system's geographic boundaries;

I) A list of the carriers and Interconnected VoIP providers who are known by the applicant to provide service within the jurisdiction of the 9-1-1 system;

J) Attachments (as applicable):

i) Any local ordinances that dissolve an existing ETSB or creates a new ETSB;

ii) Any intergovernmental agreements or memorandums of understanding creating a Joint ETSB or any other agreements pertinent to the 9-1-1 system consolidation;

iii) Any contracts with a new 9-1-1 system provider;

iv) The backup PSAP Agreement that establishes backup and overflow services between 9-1-1 authorities or PSAPs within those authorities;

v) The network diagram that is provided by the 9-1-1 system provider, showing the applicable grade of service, trunking, routing and backup configuration for the 9-1-1 system; and

vi) The Call Handling and Aid Outside Jurisdictional Boundaries Agreements

• Call Handling Agreements shall be made between the 9-11 Authority and public agencies and/or public safety agencies in a single system, and also between the 9-1-1 Authority and/or public agencies or public safety agencies whose jurisdictional boundaries are contiguous. Call Handling Agreements shall describe the primary and secondary dispatch methods to be used by the requesting parties within their respective jurisdictions.

• Aid Outside Jurisdictional Boundaries Agreements shall be made between the 9-1-1 Authority and the public agencies and/or public safety agencies in a single system, and between the 9-1-1 Authority and the public agencies and public safety agencies in adjacent systems, whose jurisdictional boundaries are contiguous. Aid Outside Jurisdictional Boundaries Agreements shall provide that, once an emergency unit is dispatched in response to a request through the system, the unit shall render its services to the requesting party without regard to whether the unit is operating outside its normal jurisdictional boundaries.

• When possible, these agreements may be consolidated into a single agreement;

K) The Test Plan, which is the 9-1-1 system's overall plan detailing how and to what extent the network and database will be tested.

2. If incorporating an NG9-1-1 solution, the application must, in the narrative portion of the consolidation plan:

A) Include a contract with a 9-1-1 system provider to provide 9-1-1 services;

B) Explain what national standards, protocols and/or operating measures will be followed;

C) Explain what measures have been taken to create a robust, reliable and diverse/redundant network and whether other 9-1-1 authorities will be sharing the equipment;

D) Explain how the existing 9-1-1 traditional legacy wireline, wireless and VoIP network, along with the databases, will interface with and/or be transitioned into the NG9-1-1 system;

E) Explain how split exchanges will be handled;

F) Explain:

i) How the databases will be maintained and how address errors will be corrected and updated on a continuing basis;

ii) Who will be responsible for updating and maintaining the data, at a minimum, on a daily basis Monday through Friday; and

G) Explain what security measures will be placed on the IP 9-1-1 network and equipment to safeguard it from malicious attacks or threats to the system operation and what level of confidentiality will be placed on the system in order to keep unauthorized individuals from accessing it.

3. Notwithstanding this subsection (c), any 9-1-1 Authority required to consolidate pursuant to ETSA Section 15.4a(a) that is only reducing the number of PSAPs in order to comply with the Act need not formally submit a consolidation plan to the Administrator for approval. While Administrator approval is not necessary for these consolidations, the 9-1-1 Authority must provide written notification documenting the change 10 business days prior to making the change.

d) Consolidation plans must meet the applicable grade of service.

e) Pursuant to ETSA Section 15.4a, a request for waiver must include sufficient information to establish that consolidation will result in a substantial threat to public safety, is economically unreasonable, or is technically infeasible. A request for waiver shall include, at a minimum, the following:

1. The grounds on which the waiver is sought (e.g., substantial threat to public safety, economically unreasonable, and/or technically infeasible);

2. A detailed explanation of the efforts taken, if any, to comply with the statutory requirement for consolidation prior to requesting a waiver;

3. The duration of time for which a waiver is sought;

4. A five-year strategic plan, including, but not limited to, financial projections, for implementation of a consolidation plan; and

5. Any additional information regarding planned equipment purchases or replacements, as well as efforts to establish interoperability or shared resources.

f) Upon receipt of a consolidation plan, it will be posted on the Department's website and be made available to the Commission for a technical review to ensure compliance with 83 Ill. Adm. Code 725, and the Department will notify all vendors registered with it pursuant to 83 Ill. Adm. Code 1325.300 that a plan has been received, posted and submitted for technical review. After 20 days, or until notified otherwise by the Commission, the Department will proceed as though no separate Commission proceeding will be undertaken. Within 20 days after receiving a consolidation plan and/or request for waiver, the Department will:

1. Review the:

A) consolidation plan to ensure it complies with the provisions of this Section; or

B) request for waiver to ensure it complies with ETSA Section 15.4a(c); and

2. Submit its findings to the Advisory Board.

g) Upon receipt of the technical review findings from the Commission and no later than 40 days after receiving a consolidation plan and/or request for waiver, the Department will appoint an Administrative Law Judge (ALJ) to hold a hearing. The procedures for the hearing shall be as described in Article 10 of the Illinois Administrative Procedure Act [5 ILCS 100/Art. 10], unless otherwise specified in this subsection (g) and as ordered by the ALJ.

1. At least 10 days prior to the scheduled hearing, the Department will post a copy of requests for waivers, the consolidation plans, and the Department's review of those plans on its website. The Department will include the date on which the associated hearing will be held, as well as provide the email and mailing address for comments. This information shall remain posted until the hearing is held.

2. Comment by Interested Parties

A) From the time the information is posted by the Department on its website until 5 days prior to the scheduled hearing, any interested party may:

i) Submit written comments in response to the plans, request for waivers, and technical review finding to the Department by email or mail;

ii) Request an opportunity to speak at the public hearing regarding a plan, request for waiver, or technical review finding by completing the form available online and submitting it to the Department by email or mail.

B) Written comments and requests to speak received less than 5 days prior to the scheduled hearing shall not be considered.

3. No less than 4 days prior to the scheduled hearing, the Department will notify the applicant if:

A) The technical review indicates that the consolidation plan is not compliant with any element of Section 1324.200(c)(1);

B) The request for waiver is not compliant with ETSA Section 15.4a(c); and/or

C) The Department receives objections to the consolidation plan or request for waiver.

4. No less than 2 days prior to the scheduled hearing, the applicant, under ETSA Section 15.4a(b), may electronically request an extension of the deadlines in ETSA Section 15.4a(b) and submit a modified plan and/or request for waiver for review under this Part.

A) If the applicant requests an extension, the ALJ shall postpone the scheduled hearing until the applicant submits a modified plan or request for waiver.

B) If the applicant does not request an extension, the ALJ shall proceed with the scheduled hearing.

5. Upon conclusion of the hearing, the ALJ shall make a recommendation to the Advisory Board regarding whether a proposed order for consolidation or waiver should be granted.

h) Upon receipt of a recommendation from the ALJ and no later than 60 days after receiving a consolidation plan and/or request for waiver, the Advisory Board shall hold a public hearing pursuant to ETSA Section 15.4a(b) and Section 1324.210.

i) Any county or 9-1-1 Authority filing a consolidation plan may file a proprietary copy that plainly identifies confidential or proprietary information or information that is a trade secret and request that it be redacted and not subject to disclosure or made part of the public record. The county or 9-1-1 Authority shall also submit a redacted copy deleting any confidential or proprietary information or information that is a trade secret by plainly indicating on the redacted copy the information that has been deleted.

83 Ill. Adm. Code 1324.210 Hearings of the Statewide 9-1-1 Advisory Board

a) Hearings of the Advisory Board may be conducted at the posted date and time when a quorum of the members is present in person, by video, telephonically or by other electronic means. The hearing shall be recorded.

b) The Advisory Board shall determine the date, time and location of the public hearing. The Advisory Board shall make reasonable efforts to hold the public hearing at a date, time and location convenient to all parties.

c) The Chairperson shall preside over the public hearing, including closed sessions, if needed, as provided by Section 2(c) of the Open Meetings Act [5 ILCS 120/2(c)].

d) The Advisory Board shall make a public recommendation to approve the plan, approve the plan as modified, reject the plan, and/or grant a waiver to the Administrator upon conclusion of the closed session, if any.

e) A transcript of the recorded hearing shall be provided to the applicant upon written request.

1. The cost of transcription shall be the responsibility of the applicant.

2. Fees shall not exceed the actual cost for the preparation of the transcript.

3. The record need not be transcribed unless the Advisory Board receives a written request and fee from the applicant in accordance with this Section or a request from the Administrator.

Chapter IV Illinois State Police

Part 1324 Consolidation of 9-1-1 Emergency Systems

83 Ill. Adm. Code 1324.220 Decisions of the Administrator

a) The Administrator shall consider the recommendation received from the Advisory Board regarding any consolidation plan and/or request for waiver it receives.

b) The Administrator shall provide a written decision to the applicant no later than 90 calendar days after the Advisory Board receives the plan and/or request for waiver.

1. Any order of authority issued by the Commission to a 9-1-1 Authority prior to January 1, 2016 shall remain in effect as if issued by the Administrator until the 9-1-1 Authority files a plan for consolidation under Section 1324.200 or for modification under 83 Ill. Adm. Code 1328, and a new order of Authority is issued by the Administrator. When appropriate, the Administrator shall issue an order of authority to operate a 9-1-1 system as detailed and described in the approved plan.

2. If the decision is inconsistent with the recommendation of the Advisory Board, the Administrator shall provide a written explanation to the Advisory Board and the applicant regarding the deviation in his or her decision.

3. If the Administrator does not approve the plan, approve the plan as modified, or grant a waiver, prior to issuing the written decision, the Administrator shall read the record of all hearings conducted to ensure his/her decision is consistent with the record.

c) Any deadlines within this Part may be extended upon mutual agreement of the Administrator and the entity that submitted the plan or request for waiver.

d) The decision of the Administrator shall be final and subject to judicial review under the Administrative Review Law [735 ILCS 5/Art. III].

Part 1325 Standards of Service Applicable to 9-1-1 Emergency Systems

83 Ill. Adm. Code 1325.100 Application of Part

This Part shall apply to all public agencies, public safety agencies, public safety answering points and 9-1-1 Authorities. This Part also pertains to 9-1-1 service regardless of the technology provisioned by the 9-1-1 system provider and 9-1-1 Authority for the delivery of 9-1-1 service.

83 Ill. Adm. Code 1325.101 Definitions

"9-1-1 Authority" means the ETSB or qualified governmental entity that provides for the management and operation of a 9-1-1 system within the scope of those duties and powers as prescribed by the Emergency Telephone System Act (ETSA) [50 ILCS 750].

"9-1-1 Network" means the network used for the delivery of 9-1-1 emergency calls over dedicated and redundant facilities, as required by 83 Ill. Adm. Code 725 to a PSAP or backup PSAP that meets the applicable grade of service.

"9-1-1 System" means the geographic area that has been granted an order of Authority by the Administrator to use "9-1-1" as the primary emergency telephone number.

"9-1-1 System Provider" means any person, corporation, limited liability company, partnership, sole proprietorship, or entity of any description that acts as a 9-1-1 system provider within the meaning of ETSA Section 2 by contracting to provide 9-1-1 network and database services and that has been certified by the Commission pursuant to the Public Utilities Act [220 ILCS 5/13-900].

"9-1-1 Traditional Legacy Service" means that an arrangement of channels, such as loops, trunks and associated switching facilities to exchange voice and data.

"Access Line" means the connecting facility between a customer's premises network interface device and the local exchange carrier's facility that provides access to the switching network for local exchange and interexchange telecommunications service.

"Act" or "ETSA" means the Emergency Telephone System Act [50 ILCS 750].

"Adjacent Agencies" means any public or private safety agencies (police, firefighting, emergency medical and ambulance services or other emergency services) whose jurisdiction is outside the 9-1-1 system jurisdiction, but that is adjacent to or touches that 9-1-1 system's boundary.

"Administrator" means the Statewide 9-1-1 Administrator.

"Aid Outside Normal Jurisdiction Boundaries Agreement" means a written cooperative agreement entered into by all participating and adjacent agencies and public safety agencies providing that, once an emergency unit is dispatched to a request through a system, that unit shall render its services to the requesting party without regard to whether the unit is operating outside its normal jurisdictional boundaries.

"Audible Signal" means a buzzer, bell or tone device used to alert an individual that appropriate action is required.

"Automatic Alarm" or "Automatic Alerting Device" means any device that will access the 9-1-1 system for emergency services upon activation. [50 ILCS 750/2]

"Automatic Location Identification" or "ALI" means the automatic display at the PSAP of the caller's telephone number, the address/location of the telephone, and supplementary emergency services information.

"Automatic Number Identification" or "ANI" means the automatic display of the telephone number associated with the access line from which a call originates on the PSAP monitor.

"Backup PSAP" means a public safety answering point that serves as an alternate to the PSAP for enhanced systems and is at a different location and operates independently from the PSAP. A backup PSAP may accept overflow calls from the PSAP or be activated in the event that the PSAP is disabled.

"Busy Day" means a consecutive 24-hour period during which the greatest volume of traffic is handled in the central office.

"Busy Hour" means the two consecutive half-hours each day during which the greatest volume of traffic is handled in the central office.

"Busy Tone" means an audible signal indicating a call cannot be completed because the called access line is busy. The tone is applied 60 times per minute.

"Call Referral" means a 9-1-1 service in which the PSAP telecommunicator provides the calling party with the telephone number of the appropriate public safety agency or other provider of emergency services.

"Call Relay" means a 9-1-1 service in which the PSAP telecommunicator takes the pertinent information from a caller and relays that information to the appropriate public safety agency or other provider of emergency services.

"Call Transfer" means a 9-1-1 service in which the PSAP telecommunicator receiving a call transfers the incoming call to the appropriate public safety agency or other provider of emergency services.

"Carrier" means a telecommunications carrier and a wireless carrier.

"Central Office" means the site where switching equipment is located. A local central office, also called an end office, is the switching office where individual subscriber's access lines appear. It houses the equipment that receives calls transmitted on the local loop and routes the call over the switched network either directly to the person called, if the call is placed to a location served by the same local central office, or to another central office, if the call is placed to a customer served by a different central office.

"Circuit" means the physical connection (or path) of channels, conductors and equipment between two given points through which an electronic or optical signal may be established.

"Commission" means the Illinois Commerce Commission.

"Customer Premises Equipment" or "CPE" means communications or terminal equipment located in the customer's facilities/terminal equipment at a PSAP.

"Default Routing" means a feature that allows emergency calls to be routed to a designated default PSAP if the incoming emergency call cannot be selectively routed due to ANI failure, garbled digits, or other causes that prevent selective routing.

"Department" means the Department of State Police.

"Direct Dispatch" means a 9-1-1 service that provides for the direct dispatch, by a PSAP telecommunicator, of the appropriate unit upon receipt of an emergency call and the decision as to the proper action to be taken.

"Diverse Routing" means the practice of routing circuits along different physical or electrical paths in order to prevent total loss of 9-1-1 service in the event of a facility or hardware failure.

"E9-1-1 Selective Router" means a telecommunications carrier switching office, or stand alone selective routing switch, equipped with enhanced 9-1-1 service capabilities. This switch serves as an E9-1-1 selective router for emergency calls from other local offices in the 9-1-1 service area.

"Emergency Call" means any type of request for emergency assistance through the 9‑1‑1 network, not limited to voice. This may include a session established by signaling with two-way, real-time media and involves a human making a request for help.

"Emergency Service Number" or "ESN" is sometimes known as emergency service zone (ESZ). An ESN is a three- to five-digit number representing a unique combination of public safety agencies (police, fire and emergency medical service) designated to serve a specific range of addresses within a particular geographic area or ESZ. The term ESZ refers to the geographic area itself and is generally used only during the ESN definition process to label specific areas. The ESN facilitates the selective routing of calls to appropriate PSAPs in a traditional legacy 9-1-1 system.

"Emergency Telephone System Board" or "ETSB" means a board appointed by the corporate authorities of any county or municipality that provides for the management and operation of a 9-1-1 system within the scope of the duties and powers prescribed by ETSA. The corporate authorities shall provide for the manner of appointment, provided that members of the board meet the requirements of the statute.

"English Language Translation" or "ELT" means an alphanumeric description of the primary law enforcement, fire and emergency medical service agencies associated with a given emergency services zone number. The ELT (also known as an "agency file" or "tell tale" in some systems) includes the name of the first-responder agency and may include its station number (for dispatch purposes) and telephone number.

"Enhanced 9-1-1" or "E9-1-1" means an emergency telephone system that includes dedicated network, selective routing, database, ALI, ANI, selective transfer, fixed transfer, and a call back number.

"Error ratio" means the percentage of database records that are not Master Street Address Guide valid for a specific 9-1-1 traditional legacy service system.

"Exchange" means a defined area, served by one or more telephone central offices, and approved by the Commission, within which a local exchange carrier furnishes service. Exchanges are identified on exchange boundary maps on file with the Commission.

"Geospatial Mapping Data" means accurate references to a precise location on the earth's surface using latitude, longitude, elevation and datum that identifies the coordinate system used.

"Geographic Information System" or "GIS" means a system for capturing, storing, displaying, analyzing and managing data and associated attributes that are spatially referenced.

"Grade of Service" means P.01 for Basic 9-1-1 or Enhanced 9-1-1 services or NENA i3 Solution standard for NG9-1-1 services.

"Interconnected Voice Over Internet Protocol Provider" or "Interconnected VoIP Provider" means every corporation, company, association, joint stock company or association, firm, partnership, or individual, their lessees, trustees or receivers appointed by any court whatsoever that owns, controls, operates, manages, or provides within this State, directly or indirectly, Interconnected VoIP, service, or the meaning prescribed in 47 CFR 9.3 [220 ILCS 5/13-234 and 13-235]. VoIP service is a service that:

enables real-time, two-way voice communications;

requires a broadband connection from the user's location;

requires Internet protocol-compatible customer premises equipment; and

permits users generally to receive calls that originate on the public switched telephone network and to terminate calls to the public switched network.

"IP" means Internet Protocol.

"IP Gateway" means the point at which a circuit-switched call is encoded and repackaged into IP packets. Equipment that provides interconnection between two networks with different communications protocols.

"Joint ETSB" means a Joint Emergency Telephone System Board established by intergovernmental agreement of two or more municipalities or counties, or a combination thereof, to provide for the management and operation of a 9-1-1 system.

"Local Loop" means a channel between a customer's network interface and its serving central office. The most common form of loop, a pair of wires, is also called a line.

"Logging Recorder" means a device that records, stores and is capable of playing back all communication media with the domain to which it is assigned. Media can include, but is not limited to, voice, radio, text and network elements involved with routing a 9-1-1 call. Logging recorders should have the capability to simultaneously record from several sources.

"Master Street Address Guide" or "MSAG" means the computerized geographic file that either consists of all street and address data or its functional equivalent (i.e., Geospatial Mapping Data) within the 9-1-1 system area. This database is the key to the selective routing capability of E9-1-1 systems. It matches an originating caller to a specific answering point based on the address data. The MSAG will require updating after the initial file is created.

"Mechanical Dialer" means a device that either manually or remotely triggers a dialing device to access the 9-1-1 system. [50 ILCS 750/2]

"National Emergency Number Association" or "NENA" means the international not-for-profit organization whose purpose is to lead, assist and provide for the development, availability, implementation and enhancement of a universal emergency telephone number or system common to all jurisdictions through research, planning, publications, training and education.

"NENA i3 Solution standard" means the NENA 08-003 Detailed Functional and Interface Standard for NG9-1-1 (i3), published by the National Emergency Number Association, 1700 Diagonal Rd., Suite 500, Alexandria VA 22314 (www.NENA.org) (June 14, 2011). These standards are hereby incorporated by reference and do not include any later amendments or additions.

"Network Connection" means a voice grade communication channel directly between a subscriber and a telecommunications carrier's public switched network, without the intervention of any other telecommunications carrier's switched network, that would be required to carry the subscriber's interpremises traffic. The connection either is capable of providing access through the public switched network to a 9-1-1 system, if one exists; or, if no system exists at the time a surcharge is imposed under ETSA Section 15.3, would be capable of providing access through the public switched network to the local 9‑1-1 system if one existed. [50 ILCS 750/2]

"Network costs" means those recurring costs that directly relate to the operation of the 9-1-1 network, including costs for interoffice trunks, selective routing charges, transfer lines and toll charges for 9-1-1 services, Automatic Location Information (ALI) database charges, call box trunk circuit (including central office only and not including extensions to fire stations), independent local exchange carrier charges and nonsystem provider charges, carrier charges for third-party database for on-site customer premises equipment, backup PSAP trunks for nonsystem providers, periodic database updates as provided by carrier (also known as "ALI data dump"), regional ALI storage charges, circuits for call delivery (fiber or circuit connection), NG9-1-1 costs, and all associated fees, taxes and surcharges on each invoice. "Network Costs" shall not include radio circuits or toll charges that are for other than 9-1-1 services.

"Network Diagram" means a schematic flow chart that shows the actual network pieces and flow of activities in a picture.

"NG9-1-1" or "Next Generation 9-1-1 Service" means a system comprised of managed IP-based networks, gateways, functional elements and databases that augment or replicate present day E9-1-1 features and functions and provide new capabilities. NG9-1-1 is designed to provide access to emergency services from all sources, and to provide multimedia data capabilities for PSAPs and other emergency service organizations.

"On-site Database" means a copy of the database that resides with the local 9-1-1 Authority.

"Order of Authority" means an order from the Administrator that authorizes public agencies or public safety agencies to provide 9-1-1 service in a geographical area.

"Originating Service Provider" or "OSP" means a communications provider that allows its users or subscribers to originate 9-1-1 voice or nonvoice messages from the public to the 9-1-1 Authority.

"Outbound Notification Systems" means a community outreach tool that automatically disperses information to the public and is not considered a function or part of a 9-1-1 system (see "System").

"Overflow" means a call or position used when a call is blocked or rerouted due to excessive traffic.

"P.01" means the probability (P), expressed as a decimal fraction of an emergency call being blocked. P.01 is the grade of service reflecting the probability that one call out of 100 during the average busy hour of the average busy day will be blocked, or the number of 9-1-1 circuits or facilities from the 9‑1-1 system provider's routing equipment to the primary PSAP or PSAPs that is sufficient to complete 99% of all requests for emergency service during the average busy hour of the average busy day.

"Participating Agencies" means any public or private safety agency (police, firefighting, emergency medical and ambulance services or other emergency services, pursuant to ETSA Section 4) whose jurisdiction is located within the 9‑1‑1 system boundaries.

"Primary Point of Contact" or "9-1-1 Contact Person" means the individual designated by the 9-1-1 Authority as the contact point for the participating telecommunications carriers.

"Private Branch Exchange" or "PBX" means a private telephone system and associated equipment located on the user's property that provides communications between internal stations and external networks.

"Public Agency" means the State or any unit of local government or special purpose district located in whole or in part within this State that provides police, firefighting, medical or other emergency services or has authority to do so. [50 ILCS 750/2].

"Public Safety Agency" means a functional division of a public agency that provides police, firefighting, medical or other emergency services.

"Public Safety Answering Point" or "PSAP" means the initial answering location of an emergency call.

"Secondary Answering Point" or "SAP" means a location, other than a PSAP, that is able to receive the voice, data and call back number of E9-1-1 or NG9-1-1 emergency call transferred from a PSAP and completes the call taking process by dispatching police, medical, fire or other emergency responders.

"Selective Routing" means a switching system that automatically routes calls to predetermined PSAPs based on the location of the calling telephone number.

"Service Address" means the location of the primary use of the network connection or connections.

"Sexual Assault" or "Sexual Abuse" means an act of nonconsensual sexual conduct or sexual penetration, as defined in Section 12-12 of the Criminal Code of 1961 or Section 11-0.1 of the Criminal Code of 2012 [720 ILCS 5], including, without limitation, acts prohibited under Sections 12-13 through 12-16 of the Criminal Code of 1961 or Sections 11-1.20 through 11-1.60 of the Criminal Code of 2012.

"Split Exchange" means an exchange shared with more than one 9-1-1 system.

"Surcharge" means a monthly amount imposed, pursuant to ETSA Section 20, on all customers of telecommunications carriers, wireless carriers and interconnected VoIP providers for the purpose of installing and maintaining an E 9-1-1 or NG9‑1-1 system, with the exception of a municipality with a population of 500,000 or greater.

"System" means the communications equipment and related software applications required to produce a response by the appropriate emergency public safety agency or other provider of emergency services as a result of an emergency call.

"TDD" means a telecommunications device for the deaf. See "TTY".

"Telecommunications Carrier" or "Carrier" shall have the same meaning ascribed in Section 13-202 of the Public Utilities Act [220 ILCS 5/13-202], including those carriers acting as resellers of telecommunications services. It includes telephone systems operating as mutual concerns, but does not include a wireless carrier.

"Telecommunications Service" shall have the meaning ascribed in the Public Utilities Act [220 ILCS 5/13-203].

"Telecommunicator" means a person who is trained and employed in public safety telecommunications and is qualified to answer incoming emergency calls and/or provides for the appropriate emergency response, either directly or through communication with the appropriate PSAP, SAP or VAP.

"Terminal Equipment" means telephone station apparatus.

"Transfer" means a feature that allows the PSAP telecommunicator to transfer emergency calls to a specific location or secondary PSAP.

"Trunk" means a transmission path between switching units, switching centers and/or toll centers.

"TTY" or "Teletypewriter" means a telegraph device capable of transmitting and receiving alphanumeric information over communications channels and capable of servicing the needs of those persons with a hearing or speech disability.

"Uninterruptible Power Supply" means an emergency power source that can detect any change in power line frequency or voltage and automatically compensates for these changes by supplying additional power or converting to an auxiliary power source, without any loss of voltage or frequency.

"Vendor" means an entity that provides some or all elements of E9-1-1, 9-1-1, and/or other services for which it incurs network costs for one or more 9‑1‑1 Authorities.

"Virtual Answering Point" or "VAP" means a temporary or nonpermanent location that:

is capable of receiving an emergency call;

contains a fully functional worksite that is not bound to a specific location, but rather is portable and scalable, connecting emergency call takers or dispatchers to the work process; and

is capable of completing the call dispatching process.

History

• Source: Amended at 42 Ill. Reg. 775, effective December 27, 2017

83 Ill. Adm. Code 1325.200 General Requirements

a) The digits "9-1-1" shall be the primary emergency telephone number within the system, but a public agency or public safety agency shall maintain a separate secondary 10‑digit emergency backup number for at least six months after the 9‑1‑1 system is in operation and shall at all times maintain a separate number for nonemergency telephone calls.

b) 9-1-1 service is a terminating‑only service that connects a person who has dialed the universal emergency service code 9-1-1 to the appropriate PSAP.

c) Outbound notification systems used to notify the general public of a particular incident are not considered part of a 9-1-1 "system" as defined in this Part.

d) 9-1-1 plans for 9-1-1 systems shall be filed in compliance with this Part and the Act.

e) 9-1-1 plans shall be filed electronically at the link posted on the Department's website as detailed in Section 1325.205.

f) A 9-1-1 system shall not become operational without an order from the Commission, prior to January 1, 2016, or the Administrator. Pursuant to ETSA Section 10, all orders of authority issued by the Commission shall continue in force unless rescinded by the Administrator.

g) The following modifications to a 9-1-1 Authority's existing 9-1-1 plan shall be filed for approval electronically at the link posted on the Department's website. The submission shall include a modified plan, consisting of the revised application prescribed in Section 1325.205. Modifications requiring Administrator approval shall include:

1. Changing boundaries that require an intergovernmental agreement between local governmental entities to exclude or include residents within the 9-1-1 jurisdiction;

2. Changing or adding a 9-1-1 system provider;

3. Changes in network configuration, except as provided for in subsection (h); and

4. Change of backup arrangement.

h) The following modifications to a 9-1-1 Authority's existing 9-1-1 plan need not be formally submitted to the Administrator for approval. While Administrator approval is not necessary for these modifications, the 9-1-1 Authority must provide written notification 10 business days prior to making the following changes:

1. Permanent relocation of a PSAP or backup PSAP facility;

2. Any reduction in 9-1-1 trunks from the selective router to the PSAP; or

3. Further reduction within a 9-1-1 Authority of PSAPs beyond consolidation as required by the Act.

83 Ill. Adm. Code 1325.205 Initial or Modified Plan Filings (not Including Consolidation Plan)

a) Initial or modified plans, excluding consolidation plan filings, shall be filed in accordance with ETSA Section 11 and must conform to minimum standards as established pursuant to ETSA Section 10.

b) Initial or modified plans must include a completed application to the Administrator for the initial provision of, or modification to, 9-1-1 service. The application, which can be found on the Department's website, shall include the following documents:

1. Contact and 9-1-1 system information;

2. Notarized statement of truth regarding information provided in the plan;

3. A letter that is sent to the 9-1-1 system provider, with a copy of the plan;

4. A detailed summary of the proposed system's operation, including but not limited to, a five-year strategic plan for implementation with financial projections;

5. A summary of the anticipated implementation costs and annual operating costs of the proposed system that are directly associated with 9-1-1, as well as anticipated revenues;

6. A list of all communities that are served by the 9-1-1 system;

7. A list of public safety agencies (police, fire, EMS, etc.) that are dispatched by the 9-1-1 system, including their addresses, telephone numbers and form of dispatch;

8. A list of the public safety agencies (police, fire, EMS, etc.) that are adjacent to the 9-1-1 system's jurisdictional boundaries;

9. A list of the carriers and Interconnected VoIP providers that are known by the applicant to provide service within the jurisdiction of the 9-1-1 system;

10. Attachments (as applicable):

A) Any local ordinances that create an ETSB;

B) Any intergovernmental agreements or memorandums of understanding or any other agreements pertinent to the 9-1-1 system;

C) Any contracts with a new 9-1-1 system provider;

D) The backup PSAP Agreement that establishes backup and overflow services between 9-1-1 Authorities or PSAPs within those Authorities;

E) The network diagram that is provided by the 9-1-1 system provider showing the P.01 and trunking, routing and backup configuration for the 9-1-1 system;

F) The Call Handling and Aid Outside Jurisdictional Boundaries Agreements

i) Call Handling Agreements shall be made between the 9-1‑1 Authority and public agencies and/or public safety agencies in a single system and also between the 9-1-1 Authority and/or public agencies or public safety agencies whose jurisdictional boundaries are contiguous. Call Handling Agreements shall describe the primary and secondary dispatch methods to be used by the requesting parties within their respective jurisdictions.

ii) Aid Outside Jurisdictional Boundaries Agreements shall be made between the 9-1-1 Authority and the public agencies and/or public safety agencies in a single system and between the 9-1-1 Authority and the public agencies and public safety agencies in adjacent systems, whose jurisdictional boundaries are contiguous. Aid Outside Jurisdictional Boundaries Agreements shall provide that, once an emergency unit is dispatched in response to a request through the system, that unit shall render its services to the requesting party without regard to whether the unit is operating outside its normal jurisdictional boundaries.

iii) When possible, Call Handling and Aid Outside Jurisdictional Boundaries Agreements may be consolidated into a single agreement;

11. The Test Plan, which is the 9-1-1 system's overall plan detailing how and to what extent the network and database will be tested;

12. If incorporating an NG9-1-1 solution, the application must, in the narrative portion of the modification plan:

A) Indicate the name of the certified 9-1-1 system provider being utilized;

B) Explain what national standards, protocols and/or operating measures will be followed;

C) Explain what measures have been taken to create a robust, reliable and diverse/redundant network and whether other 9-1-1 Authorities will be sharing the equipment;

D) Explain how the existing 9-1-1 traditional legacy wireline, wireless and VoIP network, along with the databases, will interface and/or be transitioned into the NG9-1-1 system;

E) Explain how split exchanges will be handled;

F) Explain:

i) how the databases will be maintained and how address errors will be corrected and updated on a continuing basis; and

ii) who will be responsible for updating and maintaining the data, at a minimum, on a daily basis Monday through Friday; and

G) Explain what security measures will be placed on the IP 9-1-1 network and equipment to safeguard it from malicious attacks or threats to the system operation and what level of confidentiality will be placed on the system in order to keep unauthorized individuals from accessing it.

83 Ill. Adm. Code 1325.210 Order of Authority

a) Any order of authority issued by the Commission to a 9-1-1 Authority prior to January 1, 2016 shall remain in effect as if issued by the Administrator until the 9-1-1 Authority files a plan for consolidation under 83 Ill. Adm. Code 1324.200 or for modification under Section 1325.205 of this Part and a new order of authority is issued by the Administrator. The 9-1-1 Authority of a proposed or modified 9-1-1 system shall file a plan with the Administrator for an order of authority to operate a 9-1-1 system as detailed and described in the Authority's 9-1-1 plan. The Administrator will issue an order of authority authorizing the 9-1-1 Authority to operate under the terms of its initial or modified plan.

b) Pursuant to ETSA Section 10, the Department is authorized to set technical standards for the provision of 9-1-1 Authorities throughout the State of Illinois. Pursuant to the Public Utilities Act [220 ILCS 5/13-900], the Commission is authorized to set technical standards for the provision of 9-1-1 service to be provided by telecommunication carriers and 9-1-1 system providers.

c) All 9-1-1 plans must be filed electronically with the Department. Upon receipt of the plan, it will be posted on the Department's website. The Department will notify all vendors registered with it pursuant to Section 1325.305, perform a technical review to ensure compliance with this Part, and simultaneously submit the plan for a technical review by the Commission to ensure compliance with 83 Ill. Adm. Code 725.

d) The public and industry will have 20 days to file written comments with the Administrator. After 20 days, or until notified otherwise by the Commission, the Department will proceed as though no separate Commission proceeding will be undertaken.

e) If there are no contested issues in the filing, no public hearing will be warranted.

f) If there are contested issues, the Administrator will schedule a public hearing to allow the parties who have issued written comments to appear in front of the Administrator and the applicant.

g) Once the hearing is concluded the Administrator will decide whether to issue an order of authority or to deny the plan.

83 Ill. Adm. Code 1325.215 Records and Reports

a) The 9-1-1 Authority shall maintain those records it considers necessary to document its operations. As a minimum, those records shall include:

1. a log of major system operations;

2. critical CPE or network outages; and

3. records of telecommunications carrier database queries by the 9-1-1 Authority.

b) The records specified in subsection (a) shall be preserved for a minimum of one year and then disposed of in compliance with the Local Records Act [50 ILCS 205].

c) Pursuant to ETSA Section 15, and by January 31 of every year, each 9-1-1 Authority shall be required to file with the Administrator and the Illinois Attorney General the following items:

1. the current 9-1-1 contact person for the 9-1-1 system and that person's contact information;

2. the current error ratio for the E9-1-1 traditional legacy service database, as provided by the 9-1-1 system providers pursuant to Section 1325.405(i)(6);

3. the current makeup of the ETSB and each board member's capacity (i.e., current public safety representative, public member, county board member, or elected official), as provided in ETSA Section 15.4;

4. a current network diagram for the 9-1-1 system, as provided by the 9-1-1 system providers pursuant to Section 1325.405(i)(7);

5. copies of the annual certified notification of continuing agreement for all participating agencies and adjacent agencies;

6. current list of all participating agencies and adjacent agencies; and

7. names and locations of all PSAPs, SAPs, VAPs and backup PSAPs.

83 Ill. Adm. Code 1325.220 Compliance with Technical and Operational Standards

The Department and Administrator shall have the authority to complete a site visit with 9-1-1 systems to verify compliance with technical and operational standards set forth in the Act and in this Part.

83 Ill. Adm. Code 1325.300 Department Liaison

Each 9-1-1 Authority, and each vendor eligible to receive network cost reimbursements pursuant to 83 Ill. Adm. Code 1329.210 or providing 9-1-1 service shall designate an individual as the Department liaison for the system. The 9-1-1 Authority and vendors shall provide the Department with their liaison's name, phone number, mailing address and e-mail address. The Department shall be notified of any change in this information within 10 days after this change. These liaisons shall be responsible for receiving and responding to all legal notices provided pursuant to 83 Ill. Adm. Code 1324, 1327 and 1329 and this Part.

83 Ill. Adm. Code 1325.400 9-1-1 Authority

The 9-1-1 Authority:

a) Shall obtain Administrator authorization pursuant to Section 1325.210 prior to operating or making a modification to a 9-1-1 system;

b) Shall provide continual review using recognized administrative, engineering, database and security procedures to assure adequate service to the general public in accordance with ETSA and this Part;

c) Shall comply with the provisions of all applicable federal or State laws regarding the provisioning of 9-1-1 services regarding wireline, wireless and VoIP or any other medium;

d) Shall provide the overall management for the 9-1-1 system and all of its PSAPs and work in conjunction with the 9-1-1 system providers on initial installation, continued maintenance, and any future modifications to the system;

e) Shall enter into a service contract with one or more 9-1-1 system providers that have been authorized to operate in the State of Illinois pursuant to the Public Utilities Act [220 ILCS 5/13-900] to provide 9-1-1 database, call routing, and other 9-1-1 duties and services associated with the 9-1-1 system that clearly delineates the responsibilities of the 9-1-1 system provider and 9-1-1 Authority. A copy of this contract shall be filed with the initial or modified plan to be approved by the Administrator pursuant to Section 1325.205. Parties to the contract may deem all or a portion of the contract as proprietary and confidential;

f) Shall ensure that contracts with multiple 9-1-1 system providers clearly define the role of each 9-1-1 system provider as it relates to its responsibility for providing database, routing of emergency calls, and the building of the 9-1-1 network. The 9-1-1 Authority shall coordinate the tasks between 9-1-1 system providers;

g) Must maintain data in the MSAG or its functional equivalent for those 9-1-1 systems employing new and emerging technology;

h) Shall develop and utilize written 9-1-1 Standard Operating Procedures (SOPs) for use by its telecommunicators and supervisory personnel (i.e., call trace for basic systems, service restoration/equipment failure, and disaster procedures in the event that critical functions of the PSAP are partially or totally disabled). Each PSAP shall be given a copy of the 9-1-1 SOPs that shall be kept on file at each PSAP;

i) Shall ensure that civic 9-1-1 locatable addresses, with U.S. Postal Service approval, are assigned to all subscribers with a static address and provided to the 9-1-1 system provider;

j) Shall coordinate with the appropriate authorities to ensure that the initial installation of road or street signs that are essential to the implementation of an E9-1-1 system will be installed prior to activating the system;

k) Shall accept all OSP end user emergency calls from its 9-1-1 system provider as long as it is technically feasible, regardless of the technology employed in generating the emergency call. The 9-1-1 Authorities may only accept emergency calls routed into their system from a certified 9-1-1 system provider; and

l) Shall ensure that emergency calls are not routed or transferred to an automated attendant or automated voice response system.

83 Ill. Adm. Code 1325.415 Answering Points – Psap, Backup Psap, Sap and Vap

a) All 9-1-1 CPE used by a PSAP, SAP or VAP must be compatible with the 9-1-1 system provider's equipment and transport arrangements.

b) Each PSAP, after consultation with the 9-1-1 system provider, shall designate an area of adequate size to be used by the 9-1-1 system provider for termination of the company's lines and equipment.

c) The CPE shall indicate incoming calls by both audible and visible signals for each 9-1-1 circuit. Each outgoing circuit shall have a visual display of its status.

d) Each 9-1-1 answering position shall have access to all incoming 9-1-1 circuits and outgoing circuits.

e) The CPE shall be designed to achieve transfers with at least 99.9% completion. This may require the use of dedicated facilities between the PSAPs. When the telecommunicator verifies that the transfer has been completed and the telecommunicator's services are no longer required, the telecommunicator may manually release himself/herself from the emergency call, provided that the CPE is so designed. A 9-1-1 system should be designed so that an emergency call will never be transferred more than once; however, there could be circumstances beyond the PSAP's control that might warrant more than one transfer.

f) Each answering position shall have direct access to an operational teletypewriter or its equivalent, and all PSAP, SAP and VAP telecommunicators shall be trained in its use at least every six months. The 9-1-1 Authority will ensure that TTY equipment or its equivalent is available to continue service in the event of emergency, malfunction or power failure.

g) At a minimum, each PSAP shall have at least two fully equipped answering positions. The staffing levels and the number of positions beyond this requirement shall be determined by the 9-1-1 Authority based on call volume and average length of calls (i.e., if PSAP is responsible for EMD, call processing could take longer and require additional telecommunicators). Overflow emergency calls shall be routed to a backup PSAP as provided for in subsection (i).

h) The 9-1-1 Authority is responsible for ensuring that its PSAPs, backup PSAPs and SAPs provide continuous and uninterrupted operation 24 hours per day, 7 days a week.

i) Backup PSAP

1. Each 9-1-1 system shall have a backup PSAP that must operate independently from the primary PSAP. The backup PSAP must have the capability to dispatch (by either direct, transfer or call relay methods) the appropriate public safety agencies for that 9-1-1 system. A backup PSAP shall meet the same standards as the primary PSAP, except as provided for in subsection (i)(2).

2. In a 9-1-1 system with a population of fewer than 10,000, when the system has demonstrated that the requirements of subsections (g), (h) and (i) would place an undue financial burden on the system, the 9-1-1 Authority can ask the Administrator for an exemption from having a full feature, manned backup PSAP. A 9-1-1 system operating under this exemption should, as funds become available, upgrade its backup PSAP capability to meet those standards specified in subsections (g), (h) and (i)(1). If the system ever exceeds 5,000 billable access lines for a period of one year, it shall upgrade to meet the standards specified in subsections (g), (h) and (i)(1). For those systems operating under this exemption, some alternative form of backup shall be required. The backup PSAP requirement may be met by one of the following:

A) An unattended PSAP shall have:

i) the capability to provide 9-1-1 service;

ii) the communication equipment necessary to dispatch emergency services;

iii) a backup power supply;

iv) the ability to communicate via TTY; and

v) the capability to be immediately activated with authorized and trained personnel; or

B) Some other method that the 9-1-1 Authority must be able to demonstrate, in its request for an exemption, would meet the public safety needs of its community by being able to take 9-1-1 calls and dispatch them successfully on a temporary basis in an emergency situation.

j) The use of VAPs may be acceptable; however, this must be included as a part of the 9-1-1 system final or modified plan authorized by the Administrator.

k) All telecommunicators shall be trained in emergency dispatch procedures and 9‑1‑1 SOPs as specified by the 9-1-1 Authority to fulfill the responsibilities of their position, with the following requirements:

1. Newly hired telecommunicators must receive, at a minimum, an 80-hour training curriculum approved by the 9-1-1 Authority prior to handling emergency calls. This training shall include two hours of training regarding the handling of sexual assault and sexual abuse calls, for all telecommunicators hired on or after January 1, 2018, consistent with the standards set forth in Section 1325.600.

2. If emergency medical dispatch is being provided that involves the dispatch of any fire department or emergency medical service agency, additional training must be completed in accordance to the Emergency Medical Services (EMS) Systems Act [210 ILCS 50] and 77 Ill. Adm. Code 515 in addition to the 80‑hour minimum.

3. Continuing education for existing telecommunicators is required in all aspects of emergency call handling and will be specified by the 9-1-1 Authority. This continuing education shall include three hours of training regarding the handling of sexual assault and sexual abuse calls every three years consistent with the standards set forth in Section 1325.600, and must initially be completed no later than January 1, 2019, for any telecommunicators hired prior to January 1, 2018.

l) The 9-1-1 Authority shall provide for the installation of a master logging recorder of adequate capacity to record both sides of a conversation of each incoming emergency call and any radio transmissions relating to the emergency call and its disposition for each answering point. These recordings shall have the time of each event noted. The 9-1-1 Authority may elect to record, on a circuit-by-circuit basis, or by way of the telecommunicator's position.

m) The 9-1-1 Authority shall ensure that each answering point maintains an archive of the storage media for a minimum of 90 days without recirculation of any media.

n) When CPE is implemented and is not tolerant of power fluctuations or interruptions, and is vital to the PSAP's, backup PSAP's, SAP's and VAP's operation, an uninterruptible power supply shall be installed at all locations for continuous operation.

o) All answering point locations must be equipped with an emergency backup power source capable of supplying electrical power to serve the basic power requirements of the answering point, without interruption, for longer outage time frames. It shall provide a minimum of four hours of power. The backup power source shall be tested for reliability on a monthly basis.

p) Each answering point shall have at least one 24-hour staffed telephone number to be provided to telecommunications carrier operators, adjacent PSAPs, and public safety agencies in order to communicate with that answering point.

q) Answering point employees shall be instructed to be efficient and courteous in the handling of all emergency calls and to comply with the provisions of all applicable federal and State laws in maintaining secrecy of communications.

r) Each answering point shall ensure that all emergency calls are answered and handled without preference to the location of the caller.

s) Each answering point should answer 90% of all emergency calls within 10 seconds.

t) All calls of an administrative or nonemergency nature shall be referred to the appropriate agency's published telephone number.

u) A current copy of the 9-1-1 Authority's SOPs shall be on file in every answering point.

History

• Source: Amended at 42 Ill. Reg. 775, effective December 27, 2017

83 Ill. Adm. Code 1325.500 Testing Procedures

a) The 9-1-1 Authority shall prepare a written test plan to be submitted as an exhibit to the final plan filled with the Administrator, pursuant to Section 1325.205. The test plan will explain how the 9-1-1 Authority plans to perform its testing in conjunction with the 9-1-1 system providers and carriers.

b) The 9-1-1 Authority shall ensure that proper field testing and data verification has been performed on access lines in the 9-1-1 service area as prescribed in this subsection (b). The testing shall include each NXX for every telecommunications carrier and for every ESN within each service area prior to the 9-1-1 system being able to announce its availability to the public.

1. New 9-1-1 system, or a new 9-1-1 system consolidating with an existing 9-1-1 system: 10% of the new portion only shall be tested;

2. Change of 9-1-1 system provider, conversion to NG9-1-1, consolidation of an ETSB with a rerouting of calls to a different PSAP, and consolidation with a reduction of PSAPs with the same ETSB: a sample of each exchange, 2 test calls per type of service; i.e., each land-line carrier (2 calls each), each wireless carrier (2 calls each), each Interconnected VoIP provider (2 calls each, if known); and

3. Other changes to a 9-1-1 system, not outlined in subsection (b)(1) or (2): testing as directed by the Department's Office of the Statewide 9-1-1 Administrator.

c) The 9-1-1 system provider may not cut the 9-1-1 system live until the 9-1-1 traditional legacy service database is at a 1% or less error ratio, pursuant to ETSA Section 750/15.4(d). Errors found during testing shall be corrected prior to cutting the system live.

d) The 9-1-1 Authority is responsible for ongoing testing once the 9-1-1 system is on-line and shall, at a minimum, include the following:

1. The 9-1-1 Authority shall conduct testing, including, but not limited to, the 9-1-1 database, networking, system overflow, system backup, default routing, and call transfer on a continuing basis to ensure system integrity. The testing shall be coordinated in advance and in conjunction with the 9‑1‑1 system provider and carriers.

2. The 9-1-1 Authority and 9-1-1 system providers shall participate in coordinated testing with the carriers when any of the following occurs:

A) New central office switching installations;

B) E9-1-1 selective router or functional equivalent installations, upgrades or rehomes (i.e., resetting of the network system);

C) NPA (Numbering Plan Area) additions;

D) Migration from one 9-1-1 system provider to another; and

E) Any other event that affects 9-1-1.

3. Upon request, after notification of implementation, the 9-1-1 Authority shall perform coordinated testing with the private residential or business switch operators.

83 Ill. Adm. Code 1325.505 Call Handling Procedures

a) The 9-1-1 Authority shall ensure that the disposition of each emergency call is handled according to the agreements it has negotiated with its participating public agencies and public safety agencies and adjacent 9-1-1 Authorities and/or public agencies or public safety agencies listed in the plan (see Section 1325.205).

b) Certified notification of the continuing agreements shall be made among the involved parties on an annual basis pursuant to ETSA Section 14.

c) In instances in which a selected agency refuses a 9-1-1 request on the basis that a request is outside its jurisdictional boundaries, the telecommunicator shall make every effort to determine the appropriate responding agency and complete the disposition of the call.

d) The agreements shall provide that, once an emergency unit is dispatched in response to a request through the system, that unit shall render its services to the requesting party without regard to whether the unit is operating outside its normal jurisdictional boundaries. [50 ILCS 750/14]

e) Call Handling Guidelines for Sexual Assault and Sexual Abuse Calls

1. No later than January 1, 2018, the Administrator shall establish comprehensive guidelines for the handling of sexual assault and sexual abuse calls by telecommunicators. These guidelines must meet the following minimum standards:

A) Evidence Based – describe techniques and procedures that have been demonstrated to minimize retraumatization associated with the criminal justice process by recognizing the presence of trauma symptoms and acknowledging the role that trauma has played in a sexual assault or sexual abuse victim's life;

B) Trauma Informed – describe how specific experiences impact victim trauma, memory, reactions and behavior; how interpretation of victim behavior can impact their cooperation with investigations; and how victim trauma impacts others involved in the investigation; and

C) Victim Centered – focus on the needs and concerns of the victim to ensure compassionate and sensitive delivery of services in a nonjudgmental manner.

2. The 9-1-1 Authority shall ensure that telecommunicators respond to sexual assault and sexual abuse calls consistent with these the guidelines.

3. The Department will post a link to the guidelines on its website as soon as they are available for publication, but no later than January 1, 2018.

History

• Source: Amended at 42 Ill. Reg. 775, effective December 27, 2017

83 Ill. Adm. Code 1325.510 Electronic Communication Devices

Except for the purpose specifically indicated and authorized by law, the installation of or connection to the 9-1-1 system network of an automatic alarm, automatic alerting device, or mechanical dialer that causes the number 9-1-1 to be dialed is prohibited in a 9-1-1 system (e.g., elevator one-button phones, security pole one-button phones, or burglar alarms).

83 Ill. Adm. Code 1325.515 Physical Security

a) The 9-1-1 Authority must ensure that critical areas of an answering point shall have adequate physical security to prevent malicious disruption of service and shall be protected against damage due to vandalism, terrorism and civil disturbances. These critical areas shall, at a minimum, include all communications equipment, personnel, electronic equipment rooms, and mechanical equipment rooms that are vital to the operation of the answering point.

b) The answering point and its personnel shall be isolated from direct public contact.

c) Entry to the answering point shall be restricted to authorized persons only. Additionally, doors that lead directly from the exterior into the answering point, or from within a building into the answering point, shall be secured at all times.

d) Access to the communications and electronic equipment rooms shall be restricted within the building by means of secured doors.

e) Wherever practical, service entrances for electric and telephone service shall be underground, at least to the respective utilities' nearest serving distribution point. Protective measures shall be taken against vandalism and natural or manmade hazards at each answering point.

f) The answering point shall be equipped with a fire extinguisher. Personnel shall be instructed in proper use of these extinguishers.

83 Ill. Adm. Code 1325.520 9-1-1 Traditional Legacy Service Database

a) 9-1-1 database queries will only be allowed by PSAPs, backup PSAPS, SAPs and VAPs for purposes of dispatching or responding to an emergency call or for database integrity verification as set forth in subsection (c).

b) Prior to an initial database integrity verification, the 9-1-1 Authority shall obtain a court order detailing the information that is to be disclosed and the reason for disclosure.

c) The 9-1-1 database shall have the capability of allowing database verification queries, provided that the following procedures are adhered to:

1. The 9-1-1 Authority shall be responsible for providing a level of security and confidentiality to the database that will prohibit random inquiries.

2. Direct access to 9-1-1 database information will be under strict control and, when technically feasible, a password will be assigned for access by authorized persons only.

3. Database verification queries shall be by subscriber number only and as necessary for purposes of database integrity. Queries in excess of 10 per 24-hour period will only be done with 2 or more days advance notice to the respective 9-1-1 system provider for scheduling purposes. Queries may be for the specific purpose of cross-checking information in the 9-1-1 database with other sources of information, including telephone and other directories, maps, municipal database listings, etc., and for verifying that database update information provided to the 9-1-1 system provider has indeed been posted and is correct. On-site 9-1-1 databases are exempt from 9-1-1 system provider advance notification requirements of this Section.

4. Information retrieved will be used exclusively for the maintenance, update and verification of the 9-1-1 database, except as otherwise specified in subsection (a). Any other use is expressly prohibited. The information is subject to strict nondisclosure agreements between the various OSPs and 9‑1‑1 system providers and the 9-1-1 Authority. All personnel associated in any way with the 9-1-1 Authority and the 9-1-1 systems are bound by these agreements.

5. Trunks/facilities that are not used to transport 9-1-1 emergency calls into the PSAP are prohibited from being connected to the 9-1-1 CPE in any way to allow for queries of the 9-1-1 database.

6. Database queries for the purpose of database verification shall be limited to off-peak times.

7. Database queries shall not be made if there is any known outage or impairment in the database system, including a database data link outage. In the event of an outage, the 9-1-1 system provider shall treat outage notification of the 9-1-1 Authority regarding database query suspension as a priority. When practicable, this notification shall be made no later than 15 minutes after a confirmed incident that will cause database queries to be suspended.

d) Each telecommunications carrier shall provide updates to the appropriate 9-1-1 system provider for the 9-1-1 database on a daily basis, or more frequently when technology supports it, Monday through Friday during business hours.

e) A 9-1-1 Authority using an on-site database is restricted from making any changes to the 9-1-1 data that has been downloaded for its use. Only the 9-1-1 system provider has the authority to correct errors or provide updates to the database. The 9-1-1 Authority must adhere to the proper error resolution procedures specified in subsection (g).

f) 9-1-1 Authorities, 9-1-1 system providers, and carriers shall utilize mutually acceptable and agreed upon standards as prescribed, at a minimum, by the NENA Standards for 9-1-1 databases.

1. Data Formats for ALI, MSAG and GIS (02-010, v9);

2. 9-1-1 Data Management (02-011, v7); and

3. Provisioning and Maintenance of MSAG Files to VDBs and EKDB (02‑013, v3).

g) Error Resolution

1. It shall be the joint responsibility of the 9-1-1 Authority, the 9-1-1 system provider, and telecommunications carriers to ensure that the error ratio of each 9‑1-1 system's database shall not, at any time, exceed 1%.

2. The 9-1-1 Authority or 9-1-1 system provider shall forward all error reports within two business days after finding the error to the 9-1-1 Authority, 9-1-1 system provider, or carrier to take appropriate action to resolve the error.

3. If the error is a record of the 9-1-1 system provider, it must be corrected and updated within 2 business days after receipt of the error. If the error is for a participating carrier, the 9-1-1 system provider shall forward the error to the appropriate carrier or 9-1-1 Authority for resolution.

4. Any telecommunications carrier receiving an error record from the 9-1-1 system provider has two business days upon receipt of the error to work with the 9-1-1 Authority and process the corrections and forward the appropriate updates to the 9-1-1 system provider. If the error is for an OSP, the 9-1-1 Authority will forward those on to the appropriate company for review.

5. The 9-1-1 Authority shall retest and/or validate that all errors have been corrected (e.g., no record found, misroutes).

h) The 9-1-1 Authority shall, on a continuing basis, maintain the MSAG (or GIS database or functional equivalent), the ELT for each ESN, and the associated telephone numbers for the ELTs.

i) Upon a written request of the 9-1-1 Authority, the 9-1-1 system provider shall submit, within 14 working days, a report to assist in the validation of the accuracy of the 9-1-1 database. Before this report is delivered to the 9-1-1 Authority, the 9‑1-1 Authority shall enter into nondisclosure agreements with telecommunications carriers and Interconnected VoIP providers to protect proprietary network and customer-related information from public disclosure, consistent with the Illinois Freedom of Information Act (FOIA) [5 ILCS 140/7(1)] and other applicable federal or State law.

1. This report shall include the following information when available in the 9-1-1 database:

A) telephone number − area code, prefix and number in separate fields;

B) pilot number − single telephone number used to tie together multiple numbers within a system;

C) service (civic) address − including street name, house number or equivalent, suffix, directional, community name, state, zip code and location and/or descriptive information, including intersection if MSAG indicates an intersection, in separate fields;

D) billing address − if different than the service address, in separate fields, to be provided on a telephone number only basis, pursuant to procedures defined by the telecommunications carrier and the 9-1-1 Authority. Billing address information shall be subject to nondisclosure agreements;

E) name − first, last and middle names or initials in separate fields;

F) date service was initiated − the month, day and year that service was initiated, in separate fields. If this information is not available, the date reflecting the most current service order activity may be provided instead;

G) type of service − residential, business, coin, etc.;

H) PBX/Centrex Extensions/Station Numbers − identify those numbers that are part of a PBX/Centrex system, when this information is available;

I) surcharge status − when this information is available, the report shall identify those lines on which a surcharge is being collected and the date on which the collection was initiated. Identify those lines on which no surcharge is being collected and the reason for each exemption, including telecommunications carrier lines, in separate fields;

J) Emergency Service Number − appropriate ESN, if assigned, is to be made available only from the primary 9-1-1 system service provider providing database development and routing services.

2. This report may be requested by the 9-1-1 Authority, in writing, at a maximum, on a monthly basis. The information in this report is considered proprietary and shall be used exclusively for validating the accuracy of the 9-1-1 database. This report will be delivered in an electronic format. It will not be delivered in paper format. There will be a charge for this report that will be a tariffed item by each 9-1-1 system provider.

j) A 9-1-1 Authority that has or is in the process of transitioning to an NG9-1-1 system when the 9-1-1 traditional legacy service database will be used in conjunction with, or eventually be replaced with, dynamic data must provide a detailed explanation of the initial development and ongoing maintenance of necessary databases in the NG9-1-1 final plan or modification, pursuant to Section 1325.205(f).

83 Ill. Adm. Code 1325.525 Outage Notification

Once the 9-1-1 Authority has been notified of an outage occurring in the 9-1-1 system, it must make notification to any other PSAPs in the 9-1-1 system that are affected by the outage.

83 Ill. Adm. Code 1325.600 Minimum Training Standards for Sexual Assault and Sexual Abuse Call Handling

a) Every 9-1-1 Authority shall develop training for its telecommunicators regarding the handling of sexual assault and sexual abuse calls. This training must meet the following minimum standards:

1. Evidence Based – describe techniques and procedures that have been demonstrated to minimize retraumatization associated with the criminal justice process by recognizing the presence of trauma symptoms and acknowledging the role that trauma has played in a sexual assault or sexual abuse victim's life;

2. Trauma Informed – describe how specific experiences impact victim trauma, memory, reactions and behavior; how interpretation of victim behavior can impact their cooperation with investigations; and how victim trauma impacts others involved in the investigation; and

3. Victim Centered – focus on the needs and concerns of the victim to ensure compassionate and sensitive delivery of services in a nonjudgmental manner.

b) Instructor Qualifications − Instructors must have a minimum of three years of public safety call taking and dispatch experience.

c) Training Topics

1. Review of Sexual Abuse and Sexual Assault Laws

2. Societal Perceptions of Sexual Assault/Abuse

3. Neurobiology of Trauma and Understanding Victim Response to Trauma

4. Role of the Telecommunicator

5. Call Taking Techniques

6. Trauma-Informed Response to Sexual Assault Victims

A) Calming Hysterical Callers

B) Other Possible Behaviors

7. Best Practices for Dispatching Responders and Call Taking

8. Evidence and 9-1-1 Recordings

d) The Administrator shall establish comprehensive standards for developing curriculum consistent with this Section no later than January 1, 2018.

e) The Department will post a link to the standards on its website as soon as they are available for publication, but no later than January 1, 2018.

History

• Source: Added at 42 Ill. Reg. 775, effective December 27, 2017

Chapter IV Illinois State Police

Part 1326 Requirements for Private Business Switch Service to Comply with the Emergency Telephone System Act

83 Ill. Adm. Code 1326.100 Application of Part

This Part shall apply to any private business switch operator in the State of Illinois, except to the extent of any exemptions conferred by Section 15.6(a) and (b) of the Emergency Telephone System Act [50 ILCS 750/15.6(a) and (b)].

83 Ill. Adm. Code 1326.105 Definitions

"9-1-1 Authority" means the ETSB or qualified governmental entity that provides for the management and operation of a 9-1-1 system within the scope of those duties and powers prescribed by the Emergency Telephone System Act (ETSA) [50 ILCS 750].

"Act" or "ETSA" means the Emergency Telephone System Act [50 ILCS 750].

"Automatic Location Identification" or "ALI" means the automatic display at the PSAP of the caller's telephone number, the address/location of the telephone, and supplemental emergency services information.

"Automatic Number Identification" or "ANI" means the automatic display on the PSAP monitor of the telephone number associated with the access line from which a call originates.

"Call Referral" means a 9-1-1 service in which the Private Emergency Answering Point (PEAP) operator provides the calling party with the telephone number of the appropriate public safety agency or other providers of emergency services.

"Call Relay" means a 9-1-1 service in which the PEAP operator takes the pertinent information from the caller and relays that information to the appropriate public safety agency or other emergency responders.

"Call Transfer" means a 9-1-1 service in which the PEAP operator receiving a call transfers the incoming call to the appropriate public safety agency or other emergency responders.

"Centrex Type Service" means a telecommunications system that is central office based and has feature characteristics similar to a private branch exchange (PBX). The switching of calls, both intercom and local/long distance, is performed at the local exchange carriers' facilities.

"Commission" means the Illinois Commerce Commission.

"Department" means the Department of State Police.

"Direct Dispatch" means a 9-1-1 service that provides for the direct dispatch, by a PEAP operator, of the appropriate public safety agency or other emergency responders upon receipt of a telephone request for those services and the decision as to the proper action to be taken.

"Distinct Location Identification" or "DLI" means an additional location identification that provides specific identification of a building, complex or campus. A DLI could include a floor number, wing name/number, and building name/number for every 40,000 square feet of workspace.

"Emergency Call" means any type of request for emergency assistance, not limited to voice. This may include a session established by signaling with two‑way real-time media and involves a human making a request for help.

"Emergency Responders" means other providers of emergency services in addition to public safety agencies and private companies. These responders typically provide security protection, fire protection and medical assistance within a particular entity that handles its internal emergency calls.

"Emergency Telephone System Board" or "ETSB" means a board appointed by the corporate authorities of any county or municipality that provides for the management and operation of a 9-1-1 system within the scope of the duties and powers as prescribed by ETSA. The corporate authorities shall provide for the manner of appointment, provided that members of the board meet the requirements of the statute.

"Enhanced 9-1-1" or "E9-1-1" means an emergency telephone system that includes dedicated network, selective routing, database, ALI, ANI, selective transfer, fixed transfer, and a call back number.

"Location Identification" means the street address of the workspace.

"Private Branch Exchange" or "PBX" means a private telephone system and associated equipment located on the user's property that provides communications between internal stations and external networks.

"Private Business Switch Service" means a telecommunications service, such as Centrex type service, or telecommunications equipment, such as a private branch exchange service (PBX) system. "Private business switch service" does not include key telephone systems or equivalent telephone systems registered with the Federal Communications Commission under 47 CFR 68 when not used in conjunction with Centrex type and PBX systems. In instances in which Centrex type service is used in conjunction with key telephone systems not emulating PBX functionality, the responsibility for passing ANI and ALI rests with the carrier providing the Centrex. Private business switch services are typically used by, but are not limited to, private businesses, corporations, not for profit organizations, schools, governmental units, and industries for which the telecommunications service is primarily for conducting business.

"Private Emergency Answering Point" or "PEAP" means a place within an entity where the entity operators answer and dispatch emergency calls. An entity must obtain certification to handle internal emergency calls from its internal switch.

"Public Agency" means the State or any unit of local government or special purpose district located in whole or in part within this State that provides police, firefighting, medical or other emergency services, or has authority to do so [50 ILCS 750/2].

"Public Safety Agency" means a functional division of a public agency that provides firefighting, police, medical or other emergency services.

"Public Safety Answering Point" or "PSAP" means the initial answering location of an emergency call.

"Text Telephone" or "TT" means a teletypewriter, a device that employs graphic or Braille communication in the transmission of coded signals through a wire or radio communication system.

"TTY" or "Teletypewriter" means a telegraph device capable of transmitting and receiving alphanumeric information over communications channels and capable of servicing the needs of those persons with a hearing or speech disability.

"Workspace" means the physical building area where work is normally performed. A workspace is an area, defined by net square footage, that includes hallways, conference rooms, restrooms, break rooms, and/or storage rooms, but does not include wall thickness, shafts, heating/ventilating/air conditioning equipment spaces, mechanical/electrical spaces, or other similar areas where employees do not normally have access.

83 Ill. Adm. Code 1326.200 General Standards and Requirements

The digits "9-1-1" shall be the primary emergency telephone number within a county or municipality that has received Commission or Department authority to operate as a 9-1-1 system. In areas where Enhanced 9-1-1 is available, a private business switch operator must ensure that its system is capable of meeting the requirements set forth in Section 1326.205. Nothing in this Section shall require changes in customary dialing patterns (i.e., using the prefix or access code 9 to obtain an outside line before dialing 9-1-1) for those PEAPs that are exempt pursuant to ETSA Section 15.8.

83 Ill. Adm. Code 1326.205 Compliance

a) After June 30, 2000, or within 18 months after Enhanced 9-1-1 is made available, any entity that installs or operates a private business switch service and provides telecommunications facilities or services to businesses shall assure that such a system is connected to the public switched network in a manner so that calls to 9‑1-1 result in automatic number identification (ANI) and automatic location identification (ALI).

1. ANI shall be provided based on the following minimum standards:

A) For buildings having their own street address and containing workspace of 40,000 square feet or less, one ANI shall be transmitted to the 9-1-1 system.

B) For buildings having their own street address and containing workspace of more than 40,000 square feet, one ANI per 40,000 square feet of workspace shall be transmitted to the 9-1-1 system.

C) For private business switch operators/owners providing service in multi-floor buildings and sharing space with other nonrelated entities, a distinct ANI for each entity shall be transmitted to the appropriate 9-1-1 system per 40,000 square feet of workspace.

D) For private business switch operators/owners providing service in multi-building locations and sharing space with other nonrelated entities, a distinct ANI for each entity shall be transmitted to the appropriate 9-1-1 system.

2. The ALI information shall follow the database format defined by the National Emergency Number Association Recommended Formats for Data Exchange Version 1 or 2.1, "NENA Recommended Formats & Protocols for Data Exchange" (May 1999, published by the National Emergency Number Association, 4789 Papermill Road, Coshocton OH 43812). This incorporation does not include any later amendments or editions. ALI requirements are based on the following criteria when a 9‑1-1 call is placed:

A) For buildings having their own street address and containing workspace of 40,000 square feet or less, one ALI shall be transmitted to the 9-1-1 system and shall include the building's street address.

B) For buildings having their own street address and containing workspace of more than 40,000 square feet, location identification shall include the building's street address (ALI) and one Distinct Location Identification (DLI) per 40,000 square feet of workspace. ALI and DLI information shall be transmitted to the 9-1-1 system. The DLI shall, as accurately as possible, specify the location from which the 9-1-1 call is being placed. For example, if the area contains multiple floors, the DLI shall specify all floor numbers included in the 40,000 square feet of workspace. The DLI must be able to identify the entire 40,000 square feet of workspace.

C) For private business switch operators/providers providing service in multi-floor buildings and sharing space with other nonrelated entities, a DLI for each entity shall be transmitted to the appropriate 9-1-1 system.

D) For private business switch operators/providers providing service in multi-building locations and sharing space with other nonrelated entities, a DLI for each entity shall be transmitted to the appropriate 9-1-1 system.

E) Separate buildings containing workspace of 40,000 square feet or less having a common public street address shall have a DLI for each building, in addition to the street address.

3. In cases in which clarification is needed, the business switch owner/operator shall work with 9-1-1 system management and the database provider to implement a usable DLI.

b) Exemptions to Subsection (a)

1. Buildings containing workspace of more than 40,000 square feet are exempt from the multiple location identification requirements in subsections (a)(2)(B) and (a)(2)(E) if the building maintains, at all times, alternative and adequate means of signaling and responding to emergencies. Those means shall include, but are not limited to, a telephone system that provides the physical location of 9-1-1 calls coming from within the building.

A) Entities that qualify for this exemption must have staff available to meet the public safety agency responding to the 9-1-1 call at the designated address. This staff must be able to direct the public safety agency to the site of the emergency.

B) Entities that qualify for this exemption must not intercept the 9-1-1 call. All 9-1-1 calls under this exemption will be directly and selectively routed to the appropriate 9-1-1 system.

C) However, buildings under this exemption must ensure that the appropriate building street address where the call originated is being provided to the 9-1-1 system.

D) An entity seeking exemption under this subsection (b)(1) shall provide notice that it seeks an exemption to the Department and to the public safety agency with jurisdiction over the physical location of the building for which the exemption is sought. Nothing in this subsection (b)(1)(D) shall be construed to limit the Administrator's authority to investigate and revoke or impose conditions upon the exemptions if it determines, after notice and hearing, that the revocation or imposition of conditions is reasonably necessary to ensure public safety.

2. Health care facilities are presumed to meet the requirements of subsection (b)(1) if the facilities are staffed with medical or nursing personnel 24 hours per day and if an alternative means of providing information about the source of an emergency call exists. Buildings under this exemption must provide 9-1-1 service that provides the building address.

3. Buildings containing workspace of more than 40,000 square feet or sites that contain multiple buildings sharing the same address or businesses that occupy multiple buildings in close proximity with different addresses that maintain, at all times, alternative and adequate means of signaling and responding to emergencies, including a telephone system that provides the location of a 9-1-1 call coming from within the building, and that are serviced by their own medical, fire and security personnel, may qualify for an exemption pending Administrator approval of the entity's emergency phone system. Certification by the Administrator is necessary prior to an entity answering and dispatching its own internal emergency calls. Entities that qualify for this exemption must comply with Subparts C, D and E.

A) An entity seeking to obtain an exemption under this subsection (b)(3) must file a petition with the Administrator requesting the exemption. The petition shall contain a showing that the business seeking exemption is in compliance with Subparts C, D and E and shall further make a showing that the business seeking exemption provides emergency medical response equal in quality to that provided by the public safety agency with jurisdiction over the physical location of the building for which the exemption is sought.

B) Department staff shall review all petitions for exemption and shall make a recommendation to the Administrator that the Administrator grant the exemption, with conditions that are reasonably necessary to ensure public safety, or deny the exemption. The Administrator, after notice and hearing required by Article 10 of the Illinois Administrative Procedure Act [5 ILCS 100/10], shall grant the exemption, with conditions that are reasonably necessary to ensure the public safety, or deny the exemption.

4. Buildings in communities that are not serviced by Enhanced 9-1-1 service are exempt.

83 Ill. Adm. Code 1326.300 Order of Authority

a) Any entity that qualifies for exemption under Section 1326.205(b)(3) to operate an emergency answering point within its own facility must comply with Subparts C, D and E. In addition, the entity shall file a petition for an order of authority to operate a Private Emergency Answering Point (PEAP), as described in the final plan required by Section 1326.305. The final plan shall be attached to the petition and filed with the Administrator.

b) The petitioner must also notify the appropriate 9-1-1 Authority of its plans to answer its internal emergency calls and provide a copy of the petition and plan to the appropriate 9-1-1 Authority.

c) The Administrator shall have the authority to audit the PEAP to verify compliance with the Act and this Part.

d) Notice of modification to an approved plan shall be submitted to the Administrator in writing no later than 10 days prior to the proposed change.

83 Ill. Adm. Code 1326.305 Plans

a) Each entity shall submit a draft plan for Department review prior to filing its final plan with the Administrator. The Department has 90 days to review and provide written comments to the petitioner.

b) Draft and final plans shall consist of a narrative that provides an explanation of the proposed system's operation and a completed petition to the Administrator for the provision of 9-1-1 service, consisting of the following:

1. A thorough explanation regarding the makeup of the facility's security, fire and medical departments. The explanation shall include the emergency responders' responsibilities and how they are better able to respond to an incident internally than an outside agency. In addition, this exhibit shall indicate how each emergency responder will be dispatched within the facility.

2. Call handling agreements with the internal emergency responders, including, but not limited to, the internal security services, internal fire services, and internal medical services. These agreements shall include a commitment from the parties that appropriate action shall be taken in response to emergency calls and subsequent dispatches, and that top priority will be given to emergency calls by the parties.

3. Call handling agreements with the existing Enhanced 9-1-1 system for additional back-up police, fire and medical assistance pursuant to Section 1326.510(c).

4. Backup PEAP agreement pursuant to Section 1326.400(d).

5. Standard Operating Procedures and Disaster Procedures specified in Section 1326.505.

6. Network Diagram – a chart showing the trunking configuration from the applicant's switch to the backup PEAP, as required by Section 1326.400.

83 Ill. Adm. Code 1326.400 Private Emergency Answering Point (peap) Standards

An entity that has been certified by the Administrator to operate a PEAP and to handle its internal emergency calls must meet the following minimum standards:

a) The entity applying to be a PEAP may have a dialing code other than 9-1-1 as its primary emergency telephone number. When an entity's current telephone switching system is replaced, the entity shall program its system to respond to 9‑1-1 in addition to its current dialing code.

b) The PEAP shall be operational 24 hours a day, 7 days a week, except when the entity is closed or shut down and no employees are or could be present in any part of the facility.

c) Each PEAP shall have an operational TT if the entity employs hearing or speech impaired persons or if there is an area in the building where the public has access to a telephone to dial 9-1-1 or other emergency code, such as a reception area, corridor, lobby or waiting room.

d) There must be at least one backup location remote from the primary answering point that will be promptly staffed by trained personnel should the primary location experience equipment failure or become unstaffed due to fire or other emergency. Instead of an on-site remote backup location, a written agreement may be established with the existing 9-1-1 Authority to be the remote backup/overflow answering point. The phone switch must be configured to automatically transfer calls to the remote answering point if a call to the primary answering point goes unanswered or if the primary answering point has to be evacuated.

e) Personnel answering the emergency phone must be trained on how to respond to emergency calls and how to summon appropriate inside and outside assistance for an emergency situation. Eight hours minimum training is required based on competency and experience.

f) The PEAP shall be equipped with an emergency backup power source capable of supplying electrical power to serve the basic power requirements of the PEAP for a minimum of 4 hours.

g) Critical areas of the PEAP must have adequate physical security to prevent the intentional disruption of service. In the absence of a high level of security, either of the following options may be substituted to ensure the answering and dispatch of the emergency call:

1. A secondary backup location remotely located from the primary answering point that is staffed 24 hours a day with trained personnel; or

2. An alternative method of available communication that will transmit an emergency request and result in the dispatch of emergency services.

h) Access to phone switch equipment will be restricted to those who need to service the equipment.

i) No emergency calls shall be placed on hold.

j) Ninety percent of all emergency calls must be answered within 10 seconds.

k) Emergency calls shall be identified by the telecommunications equipment in such a manner that indicates that the call is an emergency so the operator can give priority to the call. When possible, the telephone switching systems shall provide top priority to all emergency calls if a blocking condition occurs in the phone system.

83 Ill. Adm. Code 1326.500 System Review and Reporting

Each entity certified by the Administrator to handle its internal emergency calls shall provide an annual update to the Department's Office of the Statewide 9-1-1 Administrator by January 1 of each year. The entity shall provide the following information:

a) The entity's name and street address;

b) The name and telephone number of a contact person; and

c) The recertification of all agreements.

83 Ill. Adm. Code 1326.505 Written Operating Procedures

Each certified entity shall develop and utilize written "Standard Operating Procedures" and "Disaster Procedures" for its emergency operations and for use by its personnel who will be handling the emergency calls. Copies of the procedures must also be included in the plan when petitioning the Administrator for approval.

83 Ill. Adm. Code 1326.510 Call Handling Procedures

a) Each entity shall enter into call handling agreements with its internal emergency responders for police, fire and medical assistance. The agreements must specify the method of dispatch that will be used in contacting the responders.

b) Each entity shall enter into call handling agreements with the 9-1-1 Authority for fire, police and medical assistance in case additional assistance is needed beyond what the facility itself can provide. There must also be a method available for the entity to request additional assistance from the existing 9-1-1 Authority to provide backup services in the event that an incident occurs that would require additional emergency resources.

c) Each entity shall specify to the Administrator, in the plan required by Section 1326.305, how calls will be dispatched to emergency responders within its facility. In addition, the entity shall provide details concerning how additional public safety agencies or other providers of emergency services outside of the entity will be dispatched in the event that additional assistance is needed. Copies of the agreements must be included in the plan.

d) Each entity may choose from the following methods of dispatch:

1. Direct dispatch;

2. Call relay;

3. Call referral; or

4. Call transfer.

e) Each entity shall ensure that the disposition of each emergency call is handled according to the agreements it has entered into with its emergency responding agencies within its facility.

f) Each entity shall ensure that the disposition of each emergency call is handled according to the agreements it has entered into with the 9-1-1 Authority or other public safety agencies.

Part 1327 9-1-1 Emergency Systems Consolidation Grants

83 Ill. Adm. Code 1327.100 Purpose and Authorization

The Department establishes this Part to exercise its responsibility to adopt rules defining the grant process and criteria for issuing grants to defray or offset nonrecurring costs associated with 9-1-1 system consolidation of systems outside of a municipality with a population in excess of 500,000 [50 ILCS 750/15.4b].

83 Ill. Adm. Code 1327.110 Definitions

"9-1-1 Authority" means the ETSB, Joint ETSB, or qualified governmental entity that provides for the management and operation of a 9-1-1 system within the scope of those duties and powers prescribed by the Emergency Telephone System Act (ETSA) [50 ILCS 750].

"9-1-1 Network" means the network used for the delivery of 9-1-1 emergency calls over dedicated and redundant facilities, as required by 83 Ill. Adm. Code 725, to a PSAP or backup PSAP that meets the applicable grade of service.

"9-1-1 System" means the geographic area that has been granted an order of authority by the Administrator to use "9-1-1" as the primary emergency telephone number.

"9-1-1 System Provider" means any person, corporation, limited liability company, partnership, sole proprietorship, or entity of any description that acts as a 9-1-1 system provider within the meaning of ETSA Section 2 by contracting to provide 9-1-1 network and database services and that has been certified by the Commission pursuant to Section 13-900 of the Public Utilities Act [220 ILCS 5/13-900].

"Act" or "ETSA" means the Emergency Telephone System Act [50 ILCS 750].

"Administrator" means the Department's Statewide 9-1-1 Administrator.

"Adverse Action" means any action taken to deny, reject, reduce, suspend or terminate a grant application, request to materially amend a grant, or grant payment.

"Advisory Board" means the Statewide 9-1-1 Advisory Board.

"Backup PSAP" means a public safety answering point that serves as an alternate to the PSAP for enhanced systems and is at a different location and operates independently from the PSAP. A backup PSAP may accept overflow calls from the PSAP or be activated in the event that the PSAP is disabled.

"Busy day" means a consecutive 24-hour period during which the greatest volume of traffic is handled in the central office.

"Busy hour" means the two consecutive half-hours each day during which the greatest volume of traffic is handled in the central office.

"Commission" means the Illinois Commerce Commission.

"Consolidation" means a reduction of Emergency Telephone System Boards, Joint Emergency Telephone System Boards, qualified governmental entities, and PSAPs pursuant to ETSA Section 15.4a.

"Department" means the Department of State Police.

"Emergency Call" means any type of request for emergency assistance through the 9‑1-1 network, not limited to voice. This may include a session established by signaling with two-way, real-time media and involves a human making a request for help.

"Emergency Telephone System Board" or "ETSB" means a board appointed by the corporate authorities of any county or municipality that provides for the management and operation of a 9-1-1 system within the scope of the duties and powers prescribed by ETSA. The corporate authorities shall provide for the manner of appointment, provided that members of the board meet the requirements of the statute.

"Grade of Service" means P.01 for Basic 9-1-1 or Enhanced 9-1-1 services or NENA i3 Solution standard for NG9-1-1 services.

"Grant" means a distribution from the fund to a 9-1-1 Authority pursuant to ETSA Section 30.

"Grant Program" means the 9-1-1 System Consolidation Grant Program.

"Joint ETSB" means a Joint Emergency Telephone System Board established by intergovernmental agreement of two or more municipalities or counties, or a combination thereof, to provide for the management and operation of a 9-1-1 system.

"NENA i3 Solution standard" means the NENA 08-003 Detailed Functional and Interface Standard for NG9-1-1 (i3), published by the National Emergency Number Association, 1700 Diagonal Rd., Suite 500, Alexandria VA 22314 (www.NENA.org) (June 14, 2011). These standards are hereby incorporated by reference and do not include any later amendments or additions.

"NG9-1-1" or "Next Generation 9-1-1 Service" means a system comprised of managed IP-based networks, gateways, functional elements and databases that augment or replicate present day E9-1-1 features and functions and provide new capabilities. NG9‑1‑1 is designed to provide access to emergency services from all sources, and to provide multimedia data capabilities for PSAPs and other emergency service organizations.

"P.01" means the probability (P) expressed as a decimal fraction of an emergency call being blocked. P.01 is the grade of service reflecting the probability that one call out of 100 during the average busy hour of the average busy day will be blocked, or the number of 9-1-1 circuits or facilities from the 9-1-1 system provider's routing equipment to the primary PSAP or PSAPs that is sufficient to complete 99% of all requests for emergency service during the average busy hour of the average busy day.

"Public Safety Answering Point" or "PSAP" means the initial answering location of an emergency call.

"Waiver" means approval for exemption from consolidation, which shall be subject to review and renewal as determined by the Administrator, with recommendation from the Advisory Board.

83 Ill. Adm. Code 1327.120 Duties

For purposes of this Part:

a) The Department has the responsibility under the Act to adopt rules defining the process and criteria for issuing consolidation grants under ETSA Section 15.4b.

b) The Advisory Board has the following responsibilities under the Act to:

1. provide advice and recommendations regarding the rules defining the grant process and criteria for issuing grants, as well as the administration of the Grant Program; and

2. determine the amount allotted for grants awarded during the fiscal year and for NG9-1-1 expenses during the year pursuant to ETSA Section 30(D).

c) The Administrator has the responsibility under the Act to administer the Grant Program pursuant to ETSA Section 15.4b.

83 Ill. Adm. Code 1327.200 Application and Receipt of Grant Program Funds

a) The law requires the consolidation of 9-1-1 Authorities and PSAPs outside of municipalities with a population in excess of 500,000. Subject to an appropriation of necessary funds, the Administrator, with the advice and recommendation of the Advisory Board, shall administer the Grant Program to defray or offset nonrecurring costs associated with 9-1-1 system consolidation.

b) The Administrator shall review the funding purposes of the Grant Program set forth in ETSA Section 15.4b and invite eligible 9-1-1 Authorities to submit proposals for grants to consolidate systems through a request for grant proposal (RFGP) process. Based on ETSA Section 15.4b and the proposals received in response to the RFGP, the Administrator shall select proposals for Grant Program funding.

c) The Administrator, with the advice and recommendation of the Advisory Board, shall develop an RFGP based on the following criteria:

1. the purposes, goals and objectives of ETSA Section 15.4b(a);

2. requirements imposed on the Administrator and potential recipient 9-1-1 Authorities by applicable law and regulations;

3. the nature and complexity of the consolidation plans;

4. the analysis of the needs of eligible 9-1-1 Authorities and available resources that already address those needs; and

5. current research findings and demographic, criminal justice and statistical data that is relevant to 9-1-1 consolidation.

d) RFGPs developed under subsection (c) shall include:

1. the purposes, goals and objectives of the Grant Program;

2. requirements that applicant 9-1-1 Authorities must meet, and adhere to, such as eligibility, reporting and fiscal requirements;

3. certifications required by State and federal law, including, but not limited to, the State of Illinois Drug-Free Workplace certification, State and federal debarment certifications, and State bribery and bid-rigging certifications;

4. weighted criteria by which the Administrator will select proposals for funding; these such criteria shall include, but are not be limited to:

A) reducing the number of transfers of a 9-1-1 call;

B) reducing the infrastructure required to adequately provide 9-1-1 network services;

C) promoting cost savings from resource sharing among 9-1-1 Authorities;

D) facilitating interoperability and resiliency for the receipt of 9-1-1 calls;

E) reducing the number of 9-1-1 Authorities or reducing the number of PSAPs within a 9-1-1 system;

F) cost saving resulting from 9-1-1 Authorities' consolidation;

G) expanding E9-1-1 service coverage as a result of 9-1-1 Authorities' consolidation affecting areas without E9-1-1 service; and

H) whether the 9-1-1 Authority is required to consolidate under ETSA Section 15.4a;

5. the deadline by which, and location where, proposals must be received by the Administrator;

6. the total amount of funding available for distribution through the RFGP process, and the maximum amount of funding that eligible 9-1-1 systems may apply for through the submission of a proposal;

7. the anticipated time period of the consolidation projects that may be funded; and

8. funding priorities as described in ETSA Section 15.4b.

e) The Department will post a link on its website for the electronic submission of proposals for Grant Program funds in response to an RFGP. Proposals shall include a copy of the consolidation plan, as required by ETSA Section 15.4b(b).

f) On January 2 each year, the Administrator shall post an RFGP for Grant Program funds available during the current granting period.

g) The Advisory Board shall recommend the award of grant funds, based on the criteria set forth in the RFGP, as described in subsection (d). Advisory Board recommendations shall be made and reported at public meetings conducted in conformance with the Open Meetings Act [5 ILCS 120].

h) By June 30 each year, the Administrator shall award funds under the Grant Program. The Department will enter into a Grant Agreement with each grant recipient specifying the terms and conditions under which the 9-1-1 consolidation projects are to be conducted and the funds are to be received. The terms and conditions shall include, but are not limited to, reporting requirements that reflect fiscal expenditures and progress toward program objectives, compliance with applicable laws and regulations, maintenance of financial and program records beyond the expiration of the Grant Agreement, and audit procedures as described in ETSA Section 40 and the Grant Accountability and Transparency Act (GATA) [30 ILCS 708].

83 Ill. Adm. Code 1327.210 Administration of Grant Program Funds

a) All Grant Program recipients shall operate in conformance with the following State statutes, when applicable: the Illinois Grant Funds Recovery Act [30 ILCS 705]; Grant Accountability and Transparency Act [30 ILCS 708]; the Illinois Procurement Code [30 ILCS 500]; and the State Comptroller Act [15 ILCS 405].

b) Grant funds shall:

1. not be awarded to cover or reimburse costs for exceeding the applicable grade of service;

2. not be released until a consolidation plan has been approved for the requestor;

3. only be spent or reimbursed in accordance with the approved request; and

4. if not spent, be repaid to the State in accordance with the Grant Funds Recovery Act [30 ILCS 705] and 89 Ill. Adm. Code 511.

c) Notwithstanding subsection (d), the Department will suspend performance of any Grant Agreement for a period not to exceed 28 days when there has been a determination of nonconformance with any federal or State law or rule, or the terms or conditions of the Grant Agreement. The Department will reinstate performance of a Grant Agreement that has been suspended if the nonconformance is corrected within 28 days after the date of suspension. However, notwithstanding subsection (d), a Grant Agreement for which performance has been suspended will be terminated by the Department if performance of the Grant Agreement is not reinstated within 28 days after its suspension. Written notice of all such actions by the Department will be submitted to the Grant Program recipient and the Administrator as soon as possible, but within 5 working days.

d) Upon the request of a Grant Program recipient, the Department will extend the length of time performance of a Grant Agreement may be suspended beyond 28 days for an additional period not to exceed 14 days, if the nonconformance for which the performance of the Grant Agreement was suspended can be corrected within the extended period and the correction would result in fulfillment of the terms of the Grant Agreement. An extension will be granted by the Department only with the consent of the Administrator. Since an extension granted by the Department pursuant to this subsection is initiated by the Grant Program recipient, it shall not be deemed an adverse action under this Part. However, a Grant Agreement for which the period of suspended performance has been extended pursuant to this subsection shall be terminated by the Department if performance of the Grant Agreement has not been reinstated by the Department before the extension period has expired. Written notice of all such action by the Department will be submitted to the Grant Program recipient and the Administrator as soon as possible, but within 5 working days.

e) The Department will immediately terminate any Grant Agreement for any reason of nonconformance specified in subsection (c), if performance of the Grant Agreement has been suspended on at least one prior occasion or if such nonconformance cannot be corrected by the Grant Program recipient in less than 28 days from the date of termination. Written notice of termination by the Department will be submitted to the Grant Program recipient and Administrator as soon as possible, but within 5 working days.

f) The Department will approve any revision to a Grant Agreement if action is necessary to fulfill the terms of the Grant Agreement. Material revisions shall be reported to the Advisory Board members at or before the next Advisory Board meeting. However, if a request by a Grant Program recipient for a material revision to a Grant Agreement is denied by the Department, written notice of denial shall be submitted to the Grant Program recipient and Administrator as soon as possible, but within 5 working days.

83 Ill. Adm. Code 1327.220 Appeals

a) The appeal procedures for this Part are subject to Article 10 of the Illinois Administrative Procedure Act [5 ILCS 100/Art. 10].

b) A Grant Program recipient may appeal any adverse action of the Department by writing to the Administrator within 14 days from the day the notice of adverse action is mailed to the recipient. The written appeal shall state specific reasons for which the adverse action taken by the Department should be modified and the action requested of the Administrator, and shall be signed by the recipient's authorized official.

c) If no timely appeal is taken from an adverse action, the action of the Department will be deemed the final action of the Department.

d) When an appeal is timely filed, the Department will arrange for the Administrator to hear and decide the appeal within 49 days after the receipt of the written appeal. The Grant Program recipient will be notified of the hearing date at least 7 days prior to the hearing and shall have the right to appear before the Administrator and to be represented by counsel at the hearing.

e) At the hearing, the Administrator shall consider the written appeal submitted pursuant to subsection (b), any written response to that appeal by Department staff, and any testimony by the Grant Program recipient or Department staff to questions posed by the Administrator.

f) The Administrator shall render a decision on the appeal before adjourning the hearing and issue a written order consistent with the decision.

Part 1328 Standards of Service Applicable to Wireless 9-1-1 Emergency Systems

83 Ill. Adm. Code 1328.100 Application of Part

a) This Part shall apply to Emergency Telephone System Boards (ETSB), qualified governmental entities, public safety agencies, and wireless carriers in the State of Illinois, except to the extent of any exemptions conferred by law.

b) Public safety agencies and wireless carriers are encouraged to cooperate to provide emergency access to wireless 9-1-1 and wireless E9-1-1 service. Public safety agencies and wireless carriers operating wireless 9-1-1 and wireless E9-1-1 systems require adequate funding to recover the costs of designing, purchasing, installing, testing and operating enhanced facilities, systems and services necessary to comply with the wireless E9-1-1 requirements mandated by the Federal Communications Commission (FCC) and to maximize the availability of wireless E9-1-1 services throughout the State of Illinois.

83 Ill. Adm. Code 1328.105 Definitions

"9-1-1 Authority" means the ETSB or qualified governmental entity that provides for the management and operation of a 9-1-1 system within the scope of those duties and powers prescribed by the Emergency Telephone System Act (ETSA) [50 ILSC 750].

"9-1-1 System" means the geographic area that has been granted an order of authority by the Administrator to use "9-1-1" as the primary emergency telephone number.

"9-1-1 System Provider" means any person, corporation, limited liability company, partnership, sole proprietorship, or entity of any description that acts as a 9-1-1 system provider within the meaning of ETSA Section 2 by contracting to provide 9-1-1 network and database services and that has been certified by the Commission pursuant to Section 13-900 of the Public Utilities Act [220 ILCS 5/13-900].

"Act" or "ETSA" means the Emergency Telephone System Act [50 ILCS 750].

"Administrator" means the Statewide 9-1-1 Administrator.

"Advisory Board" means the Statewide 9-1-1 Advisory Board.

"Authorized Wireless 9-1-1 Answering Point" means an ETSB or qualified governmental entity that has been authorized by the Commission or the Department to take wireless 9-1-1 calls.

"Automatic Location Identification" or "ALI" means the automatic display at the PSAP of the caller's telephone number, the address/location of the telephone, and supplementary emergency services information.

"Automatic Number Identification" or "ANI" means the automatic display of the telephone number associated with the access line from which a call originates on the PSAP monitor.

"Cell Sector" means one face of a cell antenna (typically three sided) that operates independently of the other sectors.

"Central Office" means the site where switching equipment is located. A local central office, also called an end office, is the switching office where individual subscriber's access lines appear. It houses the equipment that receives calls transmitted on the local loop and routes the call over the switched network either directly to the person called, if the call is placed to a location served by the same local central office, or to another central office, if the call is placed to a customer served by a different central office.

"Commission" means the Illinois Commerce Commission.

"Default Routing" means a feature that allows emergency calls to be routed to a designated default PSAP when the incoming 9-1-1 call cannot be selectively routed due to ANI failure, garbled digits, or other causes that prevent selective routing.

"Department" means the Department of State Police.

"Director" means the Director of the Department of State Police.

"Diverse Routing" means the practice of routing circuits along different physical paths in order to prevent total loss of 9-1-1 service in the event of a facility failure.

"Emergency Call" means any type of request for emergency assistance through a 9‑1‑1 network, not limited to voice. This may include a session established by signaling with two-way, real-time media and involves a human making a request for help.

"Emergency Telephone System Board" or "ETSB" means a board appointed by the corporate authorities of any county or municipality that provides for the management and operation of a 9-1-1 system within the scope of the duties and powers prescribed by ETSA. The corporate authorities shall provide for the manner of appointment, provided that members of the board meet the requirements of the statute.

"Enhanced 9-1-1" or "E9-1-1" means an emergency telephone system that includes dedicated network, selective routing, database, ALI, ANI, selective transfer, fixed transfer, and a call back number.

"Local Number Portability" means the ability for a customer to change its telephone company while still keeping the same telephone number.

"Mobile Switching Office" or "MSO" means the wireless equivalent of a central office that provides switching functions for wireless calls.

"NG9-1-1" or "Next Generation 9-1-1 Service" means a system comprised of managed IP-based networks, gateways, functional elements and databases that augment or replicate present day E9-1-1 features and functions and provide new capabilities. NG9‑1‑1 is designed to provide access to emergency services from all sources, and to provide multimedia data capabilities for PSAPs and other emergency service organizations.

"NPA" means numbering plan area or area code.

"NXX" means the first three digits of a local seven digit telephone number that identify the specific telephone company's central office serving that number.

"Number Pooling" means distributing numbers in one NXX code to more than one carrier and other strategies for optimizing the use of telephone numbers in the North American Numbering Plan (NANP) in the United States.

"Order of Authority" means a formal order of the Administrator that authorizes public agencies or public safety agencies to provide 9-1-1 service in a geographical area.

"Public Safety Answering Point" or "PSAP" means the initial answering location of an emergency call.

"Pseudo Automatic Number Identification" or "pANI" means a telephone number used to support routing of wireless 9-1-1 calls. It may identify a wireless cell, cell sector or PSAP to which the call should be routed, also known as routing number.

"Qualified Governmental Entity" means a unit of local government authorized to provide 9-1-1 services pursuant to ETSA when no ETSB exists.

"Secondary Answering Point" or "SAP" means a location, other than a PSAP, that is able to receive the voice, data and call back number of an E9-1-1 or NG9-1-1 emergency call transferred from a PSAP and completes the call taking process by dispatching police, medical, fire or other emergency responders.

"Selective Routing" means a switching system that automatically routes calls to predetermined PSAPs, based on the location of the calling telephone number.

"Trunk" means a transmission path between switching units, switching centers and/or toll centers.

"Wireless Carrier" means a provider of two-way cellular, broadband personal communications service (PCS), geographic area 800 MHz and 900 MHz Commercial Mobile Radio Service (CMRS), Wireless Communications Service (WCS), or other Commercial Mobile Radio Service (CMRS), as defined by the Federal Communications Commission, offering radio communications that may provide fixed, mobile, radio location, or satellite communication services to individuals or businesses within its assigned spectrum block and geographical area or that offers real-time, two-way voice service that is interconnected with the public switched network, including a reseller of the service.

83 Ill. Adm. Code 1328.200 General Requirements

a) All wireless 9-1-1 calls shall only be directed to an authorized wireless PSAP.

b) The Administrator shall notify the Advisory Board upon receipt of a request from a qualified governmental entity or an ETSB when the entity requests to provide wireless 9-1-1 service in areas for which the Department has accepted wireless 9-1-1 responsibility.

c) The Administrator shall further confer with the Advisory Board only in those instances when the requesting entity does not comply with Section 1328.300.

83 Ill. Adm. Code 1328.205 Implementation of Wireless 9-1-1 Service

ETSBs or qualified governmental entities applying to take wireless 9-1-1 calls shall begin providing the service within 6 months after receiving written notice from the Department's Office of the Statewide 9-1-1 Administrator to function as an authorized wireless 9-1-1 answering point.

83 Ill. Adm. Code 1328.210 Authorization to Operate

a) ETSBs and qualified governmental entities that possess an order of authority to operate a 9-1-1 system in the State of Illinois are the only entities that shall handle wireless 9-1-1 calls. These entities shall be known as authorized wireless 9-1-1 answering points.

b) The Department shall be the default 9-1-1 wireless answering point in areas where no authorized wireless 9-1-1 answering point exists.

c) To become an authorized wireless 9-1-1 answering point, an ETSB or qualified governmental entity shall provide the Department's Office of the Statewide 9-1-1 Administrator with a plan that sets forth, at a minimum, the items contained in this subsection (c). Nothing in this Section requires the Department to follow the filing requirements in this subsection (c).

1. A narrative statement setting forth:

A) The name of the ETSB or qualified governmental entity or combination of such, requesting to be a 9-1-1 wireless answering point, and the name, address and telephone number of a contact person for the ETSB or qualified governmental entity or combination;

B) A detailed explanation of the jurisdictional boundaries that will be covered, specifying whether those jurisdictional boundaries differ from the wireline 9-1-1 jurisdictional boundaries;

C) If the jurisdictional boundaries differ, an explanation of whether additional public safety agencies (fire, law enforcement, EMS) will be dispatched in response to wireless 9-1-1 calls, and how those additional public safety agencies will be dispatched, together with a list of the agencies;

D) The name of the 9-1-1 system provider and list of wireless carriers providing service in the specified jurisdiction;

E) The name, address and phone number of the project coordinator designated by 9-1-1 Authority; and

F) Phase of wireless 9-1-1 service being provided and wireless solutions (NCAS, CAS, etc.) with a timeline for implementation;

2. A list of PSAPs within the 9-1-1 system that will be answering 9-1-1 wireless calls and their addresses;

3. A list of additional public safety agencies that will need to be dispatched in response to wireless 9-1-1 calls and the associated call handling agreements prescribed in 83 Ill. Adm. Code 1325.205(b)(10)(F). These agreements are subject to the annual recertification requirements in 83 Ill. Adm. Code 1325.505;

4. A network diagram provided by the 9-1-1 system provider showing the overall system configuration. Changes made to a system that affect the ability of the system to route wireless 9-1-1 calls shall be reflected in annual filings required by 83 Ill. Adm. Code 1325.205(b)(10)(E);

5. Copies of any intergovernmental agreements entered into between ETSBs or qualified units of local governments for providing wireless 9-1-1 service; and

6. The Test Plan required by Section 1328.305(c).

d) The Department's Office of the Statewide 9-1-1 Administrator shall review the plan and notify the entity in writing, stating whether it has the authorization to operate as an authorized wireless 9-1-1 answering point for the jurisdiction indicated in the plan.

e) In the event that an authorized wireless 9-1-1 answering point seeks to modify its existing plan on file with the Administrator, it shall file a description of the modification a minimum of 10 days in advance of any changes being made.

83 Ill. Adm. Code 1328.300 Wireless Service Provisioning

a) Wireless 9-1-1 service connects a person who has dialed 9-1-1 to the appropriate 9-1-1 system provider. Wireless 9-1-1 service shall be provided by wireless carriers in a manner that allows the 9-1-1 system provider to comply with 83 Ill. Adm. Code 725.

b) Diverse routing shall be provided for all wireline trunking facilities used to transport and terminate the wireless 9-1-1 call where facilities are available.

c) Default routing shall be provided in the event that a wireless 9-1-1 call cannot be selectively routed. The level of default routing shall be negotiated among the 9‑1‑1 system provider, the wireless carrier, and the 9-1-1 authority.

d) Wireless carriers shall provide information to the appropriate 9-1-1 authority of changes that affect the identification and location information needed by an authorized wireless 9-1-1 answering point at least 10 business days prior to changes being made. The media used in providing this information shall be mutually agreed upon by the carrier and the 9-1-1 authority.

e) Prior to an authorized wireless 9-1-1 answering point going on-line, wireless carriers shall identify a primary point of contact and telephone number for each 9‑1‑1 authority. Wireless carriers shall adopt practices to notify this primary point of contact within 15 minutes:

1. after a confirmed outage with the system, as well as the magnitude of the outage; and

2. after the confirmed restoration of 9-1-1 services.

f) When all 9-1-1 circuits are busy in the originating mobile switching office, the switching facility, if equipped to provide the function, shall route the caller to an announcement, busy tone or reorder tone. When an all-trunks busy condition occurs in an intermediate switching facility, that machine shall, if equipped, route the caller to an appropriate backup answering location, announcement, busy tone or reorder tone.

g) Wireless carriers shall provide each 9-1-1 authority with an emergency phone number or numbers that are available 24 hours per day, 7 days per week for network and security support.

83 Ill. Adm. Code 1328.305 Wireless Carrier Testing

a) No circuits associated with an authorized wireless 9-1-1 answering point shall be opened, grounded, short circuited or tested in any manner until maintenance personnel have obtained release of the affected circuits from the appropriate 9-1-1 authority. Wireless carrier maintenance personnel shall advise the 9-1-1 authority regarding the length of time that will be required to perform any work involving circuits associated with an authorized wireless 9-1-1 answering point. Wireless carrier personnel shall notify the 9-1-1 authority and the 9-1-1 system provider a minimum of 48 hours prior to performing mobile office switching installations, NPA additions, NXX additions, or any other scheduled event that affects 9-1-1.

b) Each wireless carrier shall adopt mutually agreed upon testing practices, in conjunction with the 9-1-1 authority, to perform, at a minimum, mobile office to PSAP 9-1-1 test calls when any of the following changes occur:

1. New mobile switching office installations;

2. NPA and NXX pANI additions;

3. Local number portability implementations;

4. Number pooling implementations; and

5. Any other event that affects 9-1-1.

c) Each wireless carrier shall develop a testing plan in conjunction with the 9-1-1 system provider and the 9-1-1 authority for inclusion in the 9-1-1 systems' wireless plan that must be submitted to the Administrator.

83 Ill. Adm. Code 1328.310 Authorized Wireless 9-1-1 Answering Point Testing

Ongoing testing after the authorized wireless 9-1-1 answering point is on-line shall include the following:

a) Testing with all wireless carriers, including, but not limited to, the 9-1-1 database, network trunking, system overflow, system backup, default routing, and call transfers, on an annual basis. The mutually agreed upon testing shall be coordinated in advance by the 9-1-1 authority and the participating wireless carriers.

b) Coordinated testing with the participating wireless carriers when any of the following occurs:

1. New mobile switching office installations;

2. NPA and NXX pANI additions;

3. Local number portability implementations;

4. Number pooling implementations; and

5. Any other event that affects 9-1-1.

Part 1329 Administration of the Statewide 9-1-1 Fund

83 Ill. Adm. Code 1329.100 Scope

This Part shall apply to all carriers and 9-1-1 Authorities, except that it shall not apply to the City of Chicago.

83 Ill. Adm. Code 1329.110 Definitions

"9-1-1 Authority" means the ETSB, Joint ETSB, or qualified governmental entity that provides for the management and operation of a 9-1-1 system within the scope of those duties and powers prescribed by the Emergency Telephone System Act (ETSA) [50 ILCS 750].

"9-1-1 Network" means the network used for the delivery of 9-1-1 emergency calls over dedicated and redundant facilities, as required by 83 Ill. Adm. Code 725, to a PSAP or backup PSAP that meets the applicable grade of service.

"9-1-1 System" means the geographic area that has been granted an order of authority by the Administrator to use "9-1-1" as the primary emergency telephone number.

"9-1-1 System Provider" means any person, corporation, limited liability company, partnership, sole proprietorship, or entity of any description that acts as a 9-1-1 system provider within the meaning of ETSA Section 2 by contracting to provide 9-1-1 network and database services that has been certified by the Commission pursuant to Section 13-900 of the Public Utilities Act [220 ILCS 5/13-900].

"Act" or "ETSA" means the Emergency Telephone System Act [50 ILCS 750].

"Administrative Costs" means the ordinary and extraordinary fees, costs and expenses incurred by the Department in performing its duties and responsibilities under ETSA and this Part, including legal and other professional and consulting fees and expenses.

"Administrator" means the Statewide 9-1-1 Administrator.

"Advisory Board" means the Statewide 9-1-1 Advisory Board.

"Automatic Location Identification" or "ALI" means the automatic display at the PSAP of the caller's telephone number, the address/location of the telephone, and supplementary emergency services information.

"Backup PSAP" means a public safety answering point that serves as an alternate to the PSAP for enhanced systems and is at a different location and operates independently from the PSAP. A backup PSAP may accept overflow calls from the PSAP or be activated in the event that the PSAP is disabled.

"Busy Day" means a consecutive 24-hour period during which the greatest volume of traffic is handled in the central office.

"Busy Hour" means the two consecutive half-hours each day during which the greatest volume of traffic is handled in the central office.

"Carrier" means a telecommunications carrier and a wireless carrier.

"Central Office" means the site where switching equipment is located. A local central office, also called an end office, is the switching office where individual subscriber's access lines appear. It houses the equipment that receives calls transmitted on the local loop and routes the call over the switched network either directly to the person called, if the call is placed to a location served by the same local central office, or to another central office, if the call is placed to a customer served by a different central office.

"Collection" means the end of the month in which the surcharge money was received by the Carrier or Interconnected VoIP provider.

"Commission" means the Illinois Commerce Commission.

"Consolidation" means a reduction of Emergency Telephone System Boards, Joint Emergency Telephone System Boards, qualified governmental entities, and PSAPs pursuant to Section 15.4a of the Emergency Telephone System Act [50 ILCS 750/15.4a].

"Department" means the Department of State Police.

"Emergency Call" means any type of request for emergency assistance through a 9‑1-1 network, not limited to voice. This may include a session established by signaling with two-way real-time media and involves a human making a request for help.

"Emergency Telephone System Board" or "ETSB" means a board appointed by the corporate authorities of any county or municipality that provides for the management and operation of a 9-1-1 system within the scope of the duties and powers prescribed by ETSA. The corporate authorities shall provide for the manner of appointment, provided that members of the board meet the requirements of the statute.

"Fund" means the Statewide 9-1-1 Fund named as such under ETSA Section 30, and includes any monies remaining in, and authority for expenditures from, the Wireless Service Emergency Fund as of January 1, 2016.

"Geospatial Mapping Data" means accurate references to a precise location on the earth's surface using latitude, longitude, elevation and data that identifies the coordinate system used.

"Grade of Service" means P.01 for Basic 9-1-1 or E9-1-1 services or NENA i3 Solution standard for NG9-1-1 services.

"Grant" means a distribution from the Fund to a 9-1-1 Authority pursuant to ETSA Section 30.

"Interconnected Voice over Internet Protocol Provider" or "Interconnected VoIP Provider" means every corporation, company, association, joint stock company or association, firm, partnership, or individual, their lessees, trustees or receivers appointed by any court whatsoever that owns, controls, operates, manages, or provides within this State, directly or indirectly, Interconnected VoIP service or the meaning prescribed in 47 CFR 9.3 [220 ILCS 5/13-234 and 13-235]. VoIP service is a service that:

enables real-time, two-way voice communications;

requires a broadband connection from the user's location;

requires Internet protocol-compatible customer premises equipment; and

permits users generally to receive calls that originate on the public switched telephone network and to terminate calls to the public switched network.

"Joint ETSB" means a Joint Emergency Telephone System Board established by intergovernmental agreement of two or more municipalities or counties, or a combination thereof, to provide for the management and operation of a 9-1-1 system.

"Master Street Address Guide" or "MSAG" means the computerized geographic file that either consists of all street and address data or its functional equivalent (i.e., Geospatial Mapping Data) within the 9-1-1 system area. This database is the key to the selective routing capability of E9-1-1 systems. It matches an originating caller to a specific answering point based on the address data. The MSAG will require updating after the initial file is created.

"NENA i3 Solution standard" means the NENA 08-003 Detailed Functional and Interface Standard for NG9-1-1 (i3), published by the National Emergency Number Association, 1700 Diagonal Rd., Suite 500, Alexandria VA 22314 (www.NENA.org) (June 14, 2011). These standards are hereby incorporated by reference and do not include any later amendments or additions.

"Network Costs" means those recurring costs that directly relate to the operation of the 9-1-1 network, including costs for interoffice trunks, selective routing charges, transfer lines and toll charges for 9-1-1 services, Automatic Location Information (ALI) database charges, call box trunk circuit (including central office only and not including extensions to fire stations), independent local exchange carrier charges and nonsystem provider charges, carrier charges for third party database for on-site customer premises equipment, backup PSAP trunks for nonsystem providers, periodic database updates as provided by carrier (also known as "ALI data dump"), regional ALI storage charges, circuits for call delivery (fiber or circuit connection), NG9-1-1 costs, and all associated fees, taxes and surcharges on each invoice. "Network Costs" shall not include radio circuits or toll charges that are for other than for 9-1-1 services.

"NG9-1-1 Costs" means those recurring costs that directly relate to the Next Generation 9-1-1 service including costs for Emergency System Routing Proxy (ESRP), Emergency Call Routing Function/Location Validation Function (ECRF/LVF), Spatial Information Function (SIF), the Border Control Function (BCF), and the Emergency Services Internet Protocol networks (ESInets), legacy network gateways, and all associated fees, taxes, and surcharges on each invoice.

"P.01" means the probability (P) expressed as a decimal fraction of an emergency call being blocked. P.01 is the grade of service reflecting the probability that one call out of 100 during the average busy hour of the average busy day will be blocked, or the number of 9-1-1 circuits or facilities from the 9-1-1 system provider's routing equipment to the primary PSAP or PSAPs that is sufficient to complete 99% of all requests for emergency service during the average busy hour of the average busy day.

"Prepaid Act" means the Prepaid Wireless 9-1-1 Surcharge Act [50 ILCS 753].

"Public Safety Answering Point" or "PSAP" means the initial answering location of an emergency call.

"Subscriber" means a wireless subscriber.

"Surcharge" means a monthly amount imposed, pursuant to ETSA Section 20 on all customers of telecommunications carriers, wireless carriers and interconnected VoIP providers for the purpose of installing and maintaining an E9-1-1 or NG9-1-1 system with the exception of a municipality with a population of 500,000 or greater.

"Telecommunications Carrier" or "Carrier" shall have the same meaning ascribed in Section 13-202 of the Public Utilities Act [220 ILCS 5/13-202], including those carriers acting as resellers of telecommunications services. It includes telephone systems operating as mutual concerns, but does not include a wireless carrier.

"Vendor" means an entity that provides some or all elements of 9-1-1, E9-1-1, and/or other services for which it incurs network costs for one or more 9-1-1 Authorities.

"WCRF" means the Wireless Carrier Reimbursement Fund created by ETSA Section 45.

"Wireless Carrier" means a provider of two-way cellular, broadband personal communications service (PCS), geographic area 800 MHZ and 900 MHZ Commercial Mobile Radio Service (CMRS), Wireless Communications Service (WCS), or other Commercial Mobile Radio Service (CMRS), as defined by the Federal Communications Commission, offering radio communications that may provide fixed, mobile, radio location, or satellite communication services to individuals or businesses within its assigned spectrum block and geographic area or that offers real-time, two-way voice service that is interconnected with the public switched network, including a reseller of that service.

83 Ill. Adm. Code 1329.120 Duties

a) The Department has the following responsibilities under the Act:

1. To adopt rules governing carrier remittances under ETSA Section 20 and surcharge disbursements to 9-1-1 Authorities under ETSA Section 30;

2. To develop and maintain a database of 9-1-1 Authorities eligible to receive grants and carriers required to collect surcharges under the Act;

3. To collect and allocate surcharges remitted by carriers into the Fund and the WCRF;

4. To make monthly surcharge disbursements to eligible 9-1-1 Authorities;

5. To account for all surcharges collected and monies disbursed;

6. To pay all 9-1-1 network costs for systems outside of municipalities having a population of at least 500,000;

7. To maintain auditable records of receipts and disbursements;

8. To procure and enter into a contract with a vendor certified under Section 13-900 of the Public Utilities Act to establish a statewide Next Generation 9-1-1 network;

9. To prescribe a form and manner for the transmittal of financial reports due annually to the Department from the 9-1-1 Authorities; and

10. To resolve disputes as required by the Act.

b) The Advisory Board has the responsibility under the Act to determine which costs are directly related to the operation of the 9-1-1 network.

83 Ill. Adm. Code 1329.200 Eligibility of 9-1-1 Authorities for Surcharge Disbursements Under Etsa Section 30(b)(2)(e)

a) To be eligible to receive a surcharge disbursement under ETSA Section 30(b)(2)(E), any 9-1-1 Authority other than the Department must file a wireless plan with the Department's Office of 9-1-1 Administrator pursuant to 83 Ill. Adm. Code 1328.210 and provide wireless 9-1-1 service. The Department's Office of 9-1-1 Administrator will notify the entity in writing, stating that it has the authorization to operate as an authorized wireless 9-1-1 answering point. Once the 9-1-1 Authority has received its authorization letter, it must provide the following information to the Department:

1. A detailed explanation of the geographic area the Commission or the Department has granted it authority to cover, by five-digit zip code, including all zip codes in which the provider has sole authority from the Commission or the Department to handle wireless 9-1-1 calls;

2. A list of all zip codes, including provider names, in which the petitioning provider has shared authority from the Commission or Department to handle wireless 9-1-1 calls (in this instance the provider may also define its geographic coverage area by nine-digit zip code). If none are known, a statement to that effect; and

3. Copies of all agreements with other providers governing the manner in which surcharge disbursements relating to subscribers in overlapping geographic areas (defined by zip code).

b) A 9-1-1 Authority with an authorization letter from the Commission, that filed the information required under subsections (a)(1) through (3) before January 1, 2016 shall be eligible for surcharge disbursements under ETSA Section 30(b)(2)(E) without any further action under this Section, provided there is no change in the information required under subsections (a)(1) through (3).

c) Consistent with ETSA Section 15.6a(c), the Department shall be the primary wireless 9-1-1 PSAP for any jurisdiction that did not provide notice to the Commission or the Department and shall be eligible to receive surcharge disbursements without complying with this Section.

83 Ill. Adm. Code 1329.210 Eligibility for Network Cost Reimbursement

a) Pursuant to ETSA Section 30, the Department will pay the vendor on behalf of the 9-1-1 Authorities for network costs incurred on or after January 1, 2016 for systems outside of municipalities with a population of at least 500,000 for 9-1-1 networks maintained at the applicable grade of service.

b) Costs for 9-1-1 Authorities to exceed the applicable grade of service shall not be eligible for reimbursement unless the 9-1-1 Authority has obtained, at its own expense:

1. a traffic study demonstrating the public safety need to exceed the applicable grade of service; and

2. approval from the Administrator.

c) If the Department determines there is some question as to whether a cost is directly related to the operation of the 9-1-1 network (i.e., whether it is a network cost), the Department shall confer with the Advisory Board prior to rejecting the cost for payment.

d) 9-1-1 Authorities shall be responsible for paying the vendor any amounts billed to the Department for services provided to 9-1-1 Authorities that the Department does not pay the vendor based on a determination by the Administrator that the amounts do not represent network costs or are otherwise ineligible for reimbursement by the Department pursuant to ETSA Section 30 or this Part.

83 Ill. Adm. Code 1329.300 Transmittal of Subscriber Information

a) With the first transmittal of surcharges collected under ETSA Section 20, and at the end of each billing month after the first transmittal (no later than the last day of the next calendar month; for example a July subscriber submission is due no later than August 31), each wireless carrier shall submit to the Department its updated total number of subscribers per zip code (nine-digit zip code if available) for that billing month. Transmittals shall be made in an electronic format, in substantially the form set forth in Appendix A, as a file attached to an email or a CD-ROM. The file shall be in text format or EXCEL format and shall be accompanied by a transmittal document or a proper label listing the carrier name and the billing month included on the submission. Transmittals shall be mailed to:

Illinois State Police

9-1-1 Administrative Support Command

801 South 7th Street

Springfield IL 62703

Email: 911_Admin_Support@isp.state.il.us

b) Noncompliance with this Section shall subject the carrier to the penalty provisions of ETSA Section 20(g).

83 Ill. Adm. Code 1329.310 Transmittal of Surcharge Monies

a) Carriers, whether they are considered resellers or facility based carriers, are responsible for their own surcharge administration. Each is responsible for collecting 9-1-1 surcharges from its end-user customers and shall remit them in aggregate to:

1. the Department, in the case of the statewide surcharge imposed by ETSA Section 20; and

2. to a municipality with a population over 500,000, in the case of a surcharge imposed by that municipality pursuant to ETSA Section 15.3.

b) Each Interconnected VoIP provider shall charge and collect from its end-user customers 9-1-1 surcharges in the same manner as surcharges are charged and collected upon end-user customers of local exchange telecommunications service. Each Interconnected VoIP provider shall remit 9-1-1 surcharges collected from its end-user customers in aggregate to:

1. the Department, in the case of the statewide surcharge imposed by ETSA Section 20; and

2. to a municipality with a population over 500,000, in the case of a surcharge imposed by that municipality pursuant to ETSA Section 15.3.

c) Each telecommunications carrier and Interconnected VoIP provider collecting 9‑1-1 surcharges shall be entitled to deduct 3% of the gross amount of the surcharges collected for the expense of accounting and collecting the surcharges. On and after July 1, 2022, wireless carriers collecting 9-1-1 surcharges shall be entitled to deduct 3% of the gross amount of the surcharges collected for the expense of accounting and collecting the surcharges.

d) Surcharge monies collected under ETSA Section 20 shall be remitted by check or may be remitted by electronic funds transfer, once the Department implements and makes this payment remittance method available, on a monthly basis within 30 days after collection. Each remittance check shall display the remitting carrier or Interconnected VoIP provider's name and a single Federal Employer Identification Number and a unique check number on the face. The payee shall be designated as "State of Illinois, ETSA Funds".

e) Each remittance of fees under this Section shall be accompanied by a transmittal to the Department, in substantially the form set forth in Appendix B.

f) The checks and remittance transmittal shall be mailed to:

Illinois State Police

9-1-1 Administrative Support Command

9-1-1 Surcharge

801 South 7th Street

Springfield IL 62703

g) Funds are due to the Department within 30 days after collection from the customer, regardless of whether the carrier or Interconnected VoIP provider inadvertently paid those monies to the 9-1-1 Authority. If the carrier or Interconnected VoIP provider incorrectly pays monies due to the Department after January 1, 2016 to a 9-1-1 Authority, it shall be the carrier or Interconnected VoIP provider's responsibility to recover those monies and shall have no bearing on what is due to the Department.

h) Noncompliance with this Section shall subject the carrier or Interconnected VoIP provider to the penalty provisions of ETSA Section 20(f).

83 Ill. Adm. Code 1329.320 Allocation of Surcharges

a) Of each surcharge collected under this Part, the following amounts shall be transferred into the WCRF during the following periods:

1. from January 1, 2016 through June 30, 2017, $0.033;

2. from July 1, 2017 through June 30, 2018, $0.026;

3. from July 1, 2018 through June 30, 2019, $0.020;

4. from July 1, 2019 through June 30, 2020, $0.013; and

5. from July 1, 2020 through June 30, 2021, $0.007.

b) The remainder of the surcharges remitted under this Part, including all surcharges remitted after June 30, 2021, shall be deposited into the Fund.

83 Ill. Adm. Code 1329.330 Administrative Costs

Administrative costs shall be chargeable to the Fund, consistent with ETSA Section 30(b)(1)(C).

83 Ill. Adm. Code 1329.400 Distribution of Monies

a) Subject to appropriation, monies in the Fund may be used only for the purposes provided in ETSA Section 35, and shall be distributed in accordance with the priority order specified in ETSA Section 30(b), except as provided in ETSA Section 40(d) and Section 1329.610 of this Part.

1. Monies collected under the Prepaid Act shall be deposited into the Fund for distribution in accordance with ETSA Section 30(b).

2. Funds distributed under ETSA Section 30(b)(2)(E) and Section 1329.200 of this Part shall be distributed based upon the number of monthly subscribers in the geographic area (defined by zip code) in which the 9-1-1 Authority is certified as a wireless 9-1-1 service provider by the Administrator.

3. Funds otherwise payable under ETSA Section 30(b)(2)(E) and Section 1329.200 of this Part that are associated with geographic areas (defined by zip codes) that have not been properly claimed as the jurisdiction of a 9‑1‑1 Authority other than the Department and located within the Statewide Wireless Emergency 9-1-1 System shall be allocated to the Department.

4. Funds allocated to the Fund for billing addresses located outside the State of Illinois, or geographic areas (defined by zip code) that have not been claimed as the jurisdiction of a 9-1-1 Authority and are located outside the Statewide Wireless Emergency 9-1-1 System, shall be allocated proportionately to eligible 9-1-1 Authorities in the manner set forth in subsection (b).

5. Funds otherwise payable under ETSA Section 30(b)(2)(E) and Section 1329.200 of this Part that are associated with geographic areas that are contested between eligible providers shall be held in escrow until proper determination has been made as provided in Section 1329.600.

6. Of the amounts deposited into the Fund under Section 1329.320, $.007 of each surcharge shall be disbursed to the Department to cover its administrative costs [50 ILCS 750/30(b)(1)(C)].

b) Funds distributed under this Section may be used to ensure the initial installation of road or street signs that are essential to the implementation of an enhanced 9‑1‑1 system; however, consistent with ETSA Section 35(6), the funds may not be used for ongoing expenses associated with road or street sign maintenance and replacement.

83 Ill. Adm. Code 1329.405 Reimbursement for Network Costs

The Department shall pay network costs incurred by 9-1-1 Authorities.

a) Vendors shall submit monthly invoices for network costs that include the same level of detail as that included in invoices provided to 9-1-1 Authorities prior to January 1, 2016, and are in sufficient detail to permit the Department and the 9‑1‑1 Authority to determine that the costs billed are in fact "network costs" as defined in Section 1329.110. The Department or 9-1-1 Authority may request additional invoice information from vendors. Invoices shall be submitted to:

Illinois State Police

9-1-1 Administrative Support Command

9-1-1 Network Costs

801 South 7th Street

Springfield IL 62703

Email: 911_Admin_Support@isp.state.il.us

b) By submitting the monthly invoices, the vendor certifies that the amount billed and expenses incurred are allowed under the Act and this Section.

c) The Department shall provide a copy of each month's invoice to the 9-1-1 Authority.

d) Changes in the 9-1-1 Network that result in increased network costs must be approved consistent with 83 Ill. Adm. Code 1324 or 1325, whichever is applicable, to be eligible for reimbursement under this Section.

e) Monthly Invoice Reconciliation

1. Within 30 days after the date the vendor invoice is received by the Department, each 9-1-1 Authority shall:

A) review the monthly invoice and verify the monthly statements; and

B) notify the Administrator and vendor in writing of any disputes identified and the basis for the disputes. If the 9-1-1 Authority does not provide notification within the 30-day time frame, the vendor invoice shall be further processed for payment.

2. The 9-1-1 Authority and vendor shall have 30 days following the date of any notification of a dispute under subsection (e)(1) to reconcile the dispute. Within this 30-day period, the parties must notify the Administrator in writing of their proposed resolution of the dispute or, if the dispute is not resolved, an explanation of each party's position regarding the dispute.

3. If the Department disputes any portion of an invoice on the grounds that it includes amounts that do not qualify as network costs or are otherwise ineligible for reimbursement from the Fund under ETSA Section 30, the Department will provide a written notice to the Advisory Board vendor and 9-1-1 Authority of that dispute, which shall identify in detail the basis for the dispute, the account number under which the invoice has been rendered, the date of the bill, and the specific items on the invoice being disputed.

A) The 9-1-1 Authority and vendor shall have 30 days following the date of any notification under subsection (e)(3) to review the dispute. Within this 30-day period, the parties must notify the Advisory Board in writing of their response to the dispute.

B) The Advisory Board shall have an additional 30 days to meet and make a written recommendation to the Administrator, which shall include any information received from the Department, the 9-1-1 Authority, or the vendor.

4. To the extent the dispute pertains to amounts not yet reimbursed, the Department shall pay only amounts not in dispute until a reconciliation is reached.

5. The Administrator shall review the information provided by the 9-1-1 Authority and vendor and notify the parties of its decision reconciling the dispute within 30 days following the date of any notification under subsection (e)(2).

6. Costs that the Administrator determines are not network costs or are otherwise ineligible for reimbursement under ETSA Section 30:

A) shall be the responsibility of the 9-1-1 Authority that incurred the costs; and

B) must be paid upon the determination that the costs are ineligible for reimbursement.

f) The vendor shall continue to provide network service to the 9-1-1 Authority while any dispute concerning the payment of network costs is being resolved.

g) The Department will pay vendor amounts billed in accordance with the State Prompt Payment Act [30 ILCS 540].

83 Ill. Adm. Code 1329.410 Surcharge Disbursements for Subscribers in Overlapping Jurisdictions

9-1-1 Authorities sharing geographic areas (defined by zip code) are encouraged to enter into agreements governing the manner in which wireless surcharge disbursements in the shared areas shall be made under ETSA Section 30(b)(2)(E). Wireless providers in shared geographic areas that do not enter into agreements shall be prepared, upon 60 days notice, to submit documentation to the Department outlining the percentage of the shared geographic area claimed and the reasons justifying the percentage claimed for resolution in accordance with Section 1329.600.

83 Ill. Adm. Code 1329.420 Overpayments and Underpayments

In the event of an underpayment or overpayment of grant funds, the Department shall, at least annually, take one or more of the following corrective actions:

a) Instruct an overpaid 9-1-1 Authority, by email or mail, to redirect funds with a check to the proper (underpaid) 9-1-1 Authority in applicable instances (in which case, each affected provider shall furnish proof to the Department that the redirection of funds has been completed as instructed);

b) Offset one or more future grant payments to an overpaid 9-1-1 Authority;

c) Increase one or more future grant payments to an underpaid 9-1-1 Authority; or

d) Release a grant payment to an underpaid 9-1-1 Authority on an interim basis during the month under the following conditions:

1. The underpaid 9-1-1 Authority has requested this remedy, by mail or email, due to fiscal constraints; and

2. The Statewide 9-1-1 Fund contains sufficient funds to avoid underpaying another 9-1-1 Authority on the next monthly distribution due to this interim release of funds.

83 Ill. Adm. Code 1329.500 Resolution of Geographic Disputes

a) In the event that a 9-1-1 Authority files a formal petition with the Administrator alleging an area of overlapping 9-1-1 service jurisdiction in which the 9-1-1 Authorities in that geographic area have not agreed to the manner in which surcharge disbursements in that area will be apportioned, the surcharge disbursements for that area shall be made based on reference to an official Master Street Address Guide (MSAG) or Geospatial Mapping Data, to the ETSB or qualified governmental entity whose PSAP provides wireless 9-1-1 service in that area. The petitioning 9‑1‑1 Authority claiming the overlapping jurisdiction shall be responsible for providing a copy of the applicable MSAG or Geospatial Mapping Data (see 83 Ill. Adm. Code 1328.105). In the event no MSAG or Geospatial Mapping Data is available for the jurisdiction at issue or does not provide the information necessary to resolve the dispute, a hearing shall be held by the Administrator and the dispute shall be resolved based on the evidence available. Any monies allocated to the Fund for the geographic region in question shall be held in escrow until a final order is entered.

b) In the event that a subscriber billing address is matched to an incorrect jurisdiction, the recipient, upon notification from the Administrator, shall redistribute the funds in question in the manner directed by the Administrator, based on the procedures in Section 1329.420.

c) In the event of a dispute between 9-1-1 Authorities concerning a subscriber billing address, a provider may file a petition with the Administrator seeking a determination of the billing address.

d) If the Administrator determines a hearing is necessary to resolve a dispute raised by a petition filed with the Administrator, the following shall apply:

1. The Administrator shall determine the date, time and location of any hearing and shall make reasonable efforts to hold the hearing at a date, time and location convenient to all parties.

2. The Administrator shall appoint an administrative law judge (ALJ) to preside over the hearing.

A) Any testimony requested or permitted shall be under oath or affirmation, which will be administered by the ALJ.

B) Hearings shall be open to the public; however, only those members of the public who have filed a witness slip and have been acknowledged will be permitted to speak during the hearing.

3. The procedures for admissibility of evidence shall be as described in Section 10-40 of the Illinois Administrative Procedure Act [5 ILCS 100/10-40] and as ordered by the presiding ALJ.

4. A transcript of the recorded hearing shall be provided to the applicant upon written request.

A) The cost of transcription shall be the responsibility of the applicant.

B) Fees shall not exceed the actual cost for the preparation of the transcript.

C) The record need not be transcribed unless the Board receives a written request and fee from the applicant in accordance with this Section.

5. Regardless of whether a hearing is called, all disputes shall be resolved by a final order of the Administrator.

83 Ill. Adm. Code 1329.510 Noncompliance – Financial Reports

a) This Section applies to a 9-1-1 Authority that receives monies from the Fund and fails to file the 9-1-1 system financial reports required:

1. by Section 27 of the Wireless Emergency Telephone Safety Act [50 ILCS 751/27] through December 31, 2015, applicable to reports due October 1, 2015; or

2. beginning January 1, 2016, by ETSA Section 40.

b) A 9-1-1 Authority that fails to file the reports required by subsection (a) is referred to in the remainder of this Section as a "noncompliant provider".

c) Department Review of Financial Statements

1. The financial statements required under subsection (a) shall be reviewed to determine whether a 9-1-1 Authority that receives funds from the Wireless Service Emergency Fund has:

A) filed an amount equal to the average monthly wireline and VoIP surcharge revenue attributable to the most recent 12‑month period that is erroneous;

B) failed to file the 9-1-1 system financial reports as required by law; or

C) filed a report that is not in a form and manner prescribed by the Illinois Commerce Commission's Manager of Accounting [50 ILCS 751/27(b)], in the case of reports due October 1, 2015, or has filed a report that is not in a form and manner prescribed by the Department [50 ILCS 750/40(b)], in the case of reports due October 1, 2016 and after.

2. The Department shall contact each allegedly noncompliant provider in writing and request a response regarding its noncompliance with the Act.

d) The noncompliant provider shall have 30 days to respond in writing. Upon receipt of the response, the Department shall prepare and present the Administrator with a verified report concerning the allegedly noncompliant provider. When the noncompliant provider has failed to file the required form or has not filed it in the form and manner prescribed by law, the Department shall withhold monthly surcharge disbursements as follows:

1. If the verified report establishes that the noncompliant provider has not filed a report at all, the monthly surcharge disbursements otherwise payable to the allegedly noncompliant provider under ETSA Section 30 shall be suspended and withheld until the Department determines that the noncompliant provider is substantially in compliance with the statute and in the form and manner prescribed by applicable law, or until the surcharge disbursements have been withheld for 12 months or more and provided to compliant providers, as provided in subsection (e); or

2. If the verified report states that the noncompliant provider has made an effort to file a report, but the report is not substantially in the form and manner prescribed by law, the monthly surcharge disbursements otherwise payable to the allegedly noncompliant provider under ETSA Section 30 shall be suspended beginning 30 days after the date of the verified report and withheld until the Department determines that the noncompliant provider is substantially in compliance with the statute and has filed the report in the form and manner prescribed by applicable law, or until the surcharge disbursements have been withheld for 12 months or more and provided to compliant providers, as provided in subsection (e).

e) When the noncompliant provider has filed an amount equal to the average monthly wireline and VoIP surcharge revenue attributable to the most recent 12‑month period that the Department finds to be erroneous, the Department will first request that the noncompliant provider agree to amend the report. If the noncompliant provider will not amend the report within 30 days after notice from the Department, the Department will suspend further surcharge disbursements under ETSA Section 30(b)(2)(A)(i) of disputed amounts and file a petition with the Commission seeking to adjust the number by order under Article X of the Public Utilities Act, so that the monthly amount paid accurately reflects one-twelfth of the aggregate wireline and VoIP surcharge revenue properly attributable to the most recent 12-month period reported.

f) If a noncompliant provider disputes the validity of the suspension of surcharge disbursements, the noncompliant provider may petition the Administrator for a hearing to appeal the suspension.

g) When the Administrator receives a petition for appeal, or a verified staff report concerning a noncompliant provider whose surcharge disbursements have been suspended for 12 months or more, the Administrator shall determine whether a hearing is necessary. If the Administrator determines a hearing is necessary, the following shall apply:

1. The Administrator shall determine the date, time and location of any hearing and shall make reasonable efforts to hold the hearing at a date, time and location convenient to all parties.

2. The Administrator shall appoint an administrative law judge (ALJ) to preside over the hearing.

A) Any testimony requested or permitted shall be under oath or affirmation, which will be administered by the ALJ.

B) Hearings shall be open to the public; however, only those members of the public who have filed a witness slip and have been acknowledged will be permitted to speak during the hearing.

3. The procedures for admissibility of evidence shall be as described in Section 10-40 of the Illinois Administrative Procedure Act [5 ILCS 100/10-40] and as ordered by the presiding ALJ.

4. A transcript of the recorded hearing shall be provided to the applicant upon written request.

A) The cost of transcription shall be the responsibility of the applicant.

B) Fees shall not exceed the actual cost for the preparation of the transcript.

C) The record need not be transcribed unless the Board receives a written request and fee from the applicant in accordance with this Section.

5. Regardless of whether a hearing is called, all disputes shall be resolved by a final order of the Administrator.

h) The payment of any monthly proportional grant to a 9-1-1 Authority shall not constitute acknowledgment that ETSB or the qualified governmental entity has filed a 9‑1-1 system financial report as required under ETSA Section 40, or has filed a report that is in a form and manner prescribed by the Department.

i) Any proceeding initiated by the Commission before January 1, 2016, under 83 Ill. Adm. Code 729.610 and Section 27 of the Wireless Emergency Telephone Safety Act [50 ILCS 751/27], shall continue to completion under those provisions after January 1, 2016, as provided in ETSA Section 75(c).

83 Ill. Adm. Code 1329.600 Use of Grants and Surcharge Disbursements

Grants and surcharge disbursements may be used only for the purposes set forth in ETSA.

83 Ill. Adm. Code 1329.610 Distributions Subject to Appropriation

a) Notwithstanding any other provision of this Part, grants and surcharge disbursements shall be payable solely from funds appropriated by the General Assembly to the Fund for the purpose of making disbursements under this Part.

b) The Department shall notify eligible providers and vendors of any applicable lack of appropriations as soon as is practicable.

83 Ill. Adm. Code 1329.620 Records

a) Surcharge

Carriers and Interconnected VoIP providers shall maintain detailed books and records related to surcharges billed and collected by geographic area, where applicable.

b) Network Costs

Vendors shall maintain records necessary to support invoices submitted for network costs in accordance with applicable law and generally accepted accounting principles.

c) Grants and Surcharge Disbursements

9-1-1 Authorities shall maintain detailed books and records related to consolidation grants and surcharge disbursements received and use of those funds in accordance with applicable law and generally accepted accounting principles.

d) Effective January 1, 2016, all books and records shall be retained for a minimum of five years. All books and records shall be available for review or audit by the Department, its representatives, the Illinois Auditor General, and other governmental entities with monitoring authority, upon reasonable notice and during normal business hours. Carriers, vendors, Interconnected VoIP providers, and 9-1-1 Authorities shall cooperate fully with any such review or audit. If any audit indicates overpayment or underpayment to a carrier, vendor, Interconnected VoIP provider, or 9-1-1 Authority, the Department shall adjust payments otherwise due. If no payments are due and owed to a carrier, vendor, Interconnected VoIP provider, or 9-1-1 Authority, or if the overpayment exceeds the amount otherwise due, the carrier, vendor, Interconnected VoIP provider, or 9-1-1 Authority shall immediately refund all amounts that may be due to the Fund.

83 Ill. Adm. Code 1329.630 Indemnification

Except as explicitly set forth in ETSA, and except as explicitly prohibited by law, each 9-1-1 Authority requesting surcharge disbursements shall indemnify and hold the State of Illinois, including the Commission and the Department, and their officers, agents and employees, harmless from and against any and all liabilities, demands, claims, damages, suits, costs and fees, and related expenses that may arise by reason of the functions or services provided by the Commission and the Department under ETSA and this Part. In the event of any demand or claim against the Commission or the Department, the Commission or Department will notify the responsible 9-1-1 Authority in writing. The Commission and the Department may elect to defend any demand or claim and will be entitled to be paid by the 9-1-1 Authority for all damages, costs and attorneys' fees incurred.

83 Ill. Adm. Code 1329.640 Intergovernmental Agreement

Section 75 of the Act permits the Department to enter into an intergovernmental agreement with the Commission for assistance in carrying out its duties. The agreement may provide for funding for the Commission. Any assistance provided by the Commission under the agreement shall be compensated through the Department from the Fund, as agreed between the Department and the Commission. Consideration under the agreement may include services provided by employees of either agency to the other agency.

83 Ill. Adm. Code 1329.APPENDIX A Form of Electronic Carrier Subscriber Information Transmittal

MONTHLY SUBSCRIBER COUNT FILE

Storage Media: file attached to an Email or a CD-ROM

File Format: Text file or Microsoft EXCEL file

Carrier Subscriber Record File Layout

INSTRUCTIONS: This file must be 32 characters in length with a header and trailer record. The header record must have an H indicator in the first position and the carrier name in the remaining 31 positions. The trailer record must have a T in the first position and the total number of records on the file excluding the header and trailer records for 10 positions, followed by the FEIN. If using a Microsoft EXCEL file, the file records shall all be placed in one column of the file.

Each field length must be filled. Example: Subscriber count is a length of 10 and all spaces must be filled with leading zeros (e.g., 0000000999).

Field Name

Starting Position

Length

Data Type

FEIN

1

9

Numeric

Billing Month

10

4

Numeric (YYMM)

US Postal Zip Code

14

5

Numeric

US Postal +4 Code (if available)

19

4

Numeric

Subscriber Count

23

10

Numeric

SAMPLE: Below is an example of the header, trailer and field requirements.

Header:

Hcarriername

Trailer

T99999999990

This is a sample text file:

HCARRIERNAME

99999999904106270412340000000005

99999999904106270400000000000025

T0000000002999999999

Questions concerning the field requirements may be addressed to:

Illinois State Police

9-1-1 Administrative Support Command

801 South 7th Street

Springfield IL 62703

Email: 911_Admin_Support@isp.state.il.us

Phone: 217/785-2035

83 Ill. Adm. Code 1329.APPENDIX B Format of Carrier Remittance Transmittal

WIRELINE / VoIP CARRIER REMITTANCE FORM FOR ILLINOIS 9-1-1 SURCHARGE

CARRIER NAME

CARRIER FEIN

CARRIER ADDRESS

CITY/ST/ZIP

CONTACT NAME

CONTACT PHONE #

CHECK NUMBER

CHECK DATE

REMITTANCE BREAKDOWN:

REMIT MONTH / YEAR

Service Type Number Connections Amount Remitted

Wireline $ -

Interconnected VoIP $ -

Less 3% Admin if withheld

(Wireline and VoIP only) 3% $ -

• If remitting multiple months, please attach remittance detail by month on a separate page.

• The surcharge rate is $0.87 per connection, per month, for connections located outside of the City of Chicago; see section 20 of the Emergency Telephone System Act.

• Pre-paid wireless surcharge should be remitted to the Department of Revenue. Contact them, or visit http://www.tax.illinois.gov for further information.

Send Check and remittance form to:

Illinois State Police

911 Administrative Support Command

911 Surcharge

801 South 7th Street

Springfield IL 62703

POST-PAID WIRELESS CARRIER REMITTANCE FORM FOR ILLINOIS 9-1-1 SURCHARGE

CARRIER NAME

CARRIER FEIN

CARRIER ADDRESS

CITY/ST/ZIP

CONTACT NAME

CONTACT PHONE #

CHECK NUMBER

CHECK DATE

REMITTANCE BREAKDOWN:

• The surcharge rate is $0.87 per connection, per month, for connections located outside of the City of Chicago; see section 20 of the Emergency Telephone System Act.

• Post-paid wireless carriers must also email corresponding subscriber file to: 911_Admin_Support@isp.state.il.us.

Noncompliance will result in penalties.

• Per statute, wireless carriers cannot withhold 3% for admin until July 1, 2022.

• Pre-paid wireless surcharge should be remitted to the Department of Revenue. Contact them, or visit http://www.tax.illinois.gov for further information.

Send Check and remittance form to:

Illinois State Police

911 Administrative Support Command

911 Surcharge

801 South 7th Street

Springfield IL 62703