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General Powers And Duties Of Commission - Intergovernmental Cooperation - Construction

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(220 ILCS 5/Art. IV heading)

ARTICLE IV. GENERAL POWERS AND DUTIES OF COMMISSION -INTERGOVERNMENTAL COOPERATION - CONSTRUCTION

(220 ILCS 5/4-101) (from Ch. 111 2/3, par. 4-101)

Sec. 4-101. The Commerce Commission shall have general supervision of all public utilities, except as otherwise provided in this Act, shall inquire into the management of the business thereof and shall keep itself informed as to the manner and method in which the business is conducted. It shall examine those public utilities and keep informed as to their general condition, their franchises, capitalization, rates and other charges, and the manner in which their plants, equipment and other property owned, leased, controlled or operated are managed, conducted and operated, not only with respect to the adequacy, security and accommodation afforded by their service but also with respect to their compliance with this Act and any other law, with the orders of the Commission and with the charter and franchise requirements.

Whenever the Commission is authorized or required by law to consider some aspect of criminal history record information for the purpose of carrying out its statutory powers and responsibilities, then, upon request and payment of fees in conformance with the requirements of Section 2605-400 of the Illinois State Police Law, the Illinois State Police is authorized to furnish, pursuant to positive identification, such information contained in State files as is necessary to fulfill the request.

The Commission shall require all public utilities to establish a security policy that includes on-site safeguards to restrict physical or electronic access to critical infrastructure and computerized control and data systems. The Commission shall maintain a record of and each regulated entity shall provide to the Commission an annual affidavit signed by a representative of the regulated entity that states:

(1) that the entity has a security policy in place;
(2) that the entity has conducted at least one practice exercise based on the security policy within the 12 months immediately preceding the date of the affidavit; and
(3) with respect to any entity that is an electric public utility, that the entity follows, at a minimum, the most current security standards set forth by the North American Electric Reliability Council.

(Source: P.A. 102-538, eff. 8-20-21.)

(220 ILCS 5/4-201) (from Ch. 111 2/3, par. 4-201)

Sec. 4-201. It is hereby made the duty of the Commission to see that the provisions of the Constitution and statutes of this State affecting public utilities, the enforcement of which is not specifically vested in some other officer or tribunal, are enforced and obeyed, and that violations thereof are promptly prosecuted and penalties due the State therefor recovered and collected, and to this end it may sue in the name of the People of the State.

It shall be the duty of the Commission, at the direction and discretion of the Chairman, to assemble and maintain an electronic trespass enforcement assistance staff consisting of experts in computer systems, electronics and other professional disciplines to aid public utilities, businesses, individuals and law enforcement agencies in detecting and preventing electronic trespass violations and enforcing the provisions of Sections 17-50, 17-51, and 17-52 of the Criminal Code of 2012 or any other relevant statute.

No cause of action shall exist and no liability may be imposed either civil or criminal, against the State, the Chairman of the Commission or any of its members, or any employee of the Commission, for any act or omission by them in the performance of any power or duty authorized by this Section, unless such act or omission was performed in bad faith and with intent to injure a particular person.

(Source: P.A. 97-1150, eff. 1-25-13.)

(220 ILCS 5/4-202) (from Ch. 111 2/3, par. 4-202)

Sec. 4-202. Action for injunction. Whenever the Commission shall be of the opinion that any public utility is failing or omitting or about to fail or omit to do anything required of it by law or by any order, decision, rule, regulation, direction, or requirement of the Commission, issued or made under authority of this Act, or is doing anything or about to do anything or permitting anything or about to permit anything to be done contrary to or in violation of law or any order, decision, rule, regulation, direction, or requirement of the Commission, issued or made under authority of this Act, the Commission shall file an action or proceeding in the circuit court in and for the county in which the case or some part thereof arose, or in which the person or corporation complained of, if any, has its principal place of business, or in which the person complained of, if any, resides, in the name of the People of the State of Illinois, for the purpose of having the violation or threatened violation stopped and prevented, either by mandamus or injunction.

The Commission may express its opinion in a resolution based upon whatever facts and evidence have come to its attention and may issue the resolution ex parte and without holding any administrative hearing before bringing suit. Except in cases involving an imminent threat to the public health or public safety, no such resolution shall be adopted until 48 hours after the public utility has been given notice of (i) the substance of the alleged violation, including a citation to the law or order, decision, rule, regulation, or direction of the Commission alleged to have been violated and (ii) the time and date of the meeting at which such resolution will first be before the Commission for consideration.

The Commission shall file the action or proceeding by complaint in the circuit court alleging the violation or threatened violation complained of and praying for appropriate relief by way of mandamus or injunction. It shall thereupon be the duty of the court to specify a time, not exceeding 20 days after the service of the copy of the complaint, within which the public utility complained of must answer the complaint, and in the meantime said public utility may be restrained. In case of default in answer, or after answer, the court shall immediately inquire into the facts and circumstances of the case. Such corporation or persons as the court may deem necessary or proper to be joined as parties, in order to make its judgment or order effective, may be joined as parties. The final judgment in any action or proceeding shall either dismiss the action or proceeding or grant relief by mandamus or injunction or be made permanent as prayed for in the complaint, or in such modified or other form as will afford appropriate relief. An appeal may be taken from such final judgment as in other civil cases.

(Source: P.A. 93-457, eff. 8-8-03.)

(220 ILCS 5/4-202.1)

Sec. 4-202.1. Enforcement of service area agreement between municipality and electric cooperative.

(a) The Commission shall approve, interpret, and enforce service area agreements between municipalities and electric cooperatives as provided in Section 11-117-1.1 of the Illinois Municipal Code.

(b) The provisions of this Section are severable under Section 1.31 of the Statute on Statutes.

(Source: P.A. 88-335.)

(220 ILCS 5/4-203) (from Ch. 111 2/3, par. 4-203)

Sec. 4-203. Action to recover penalties.

(a) All civil penalties established under this Act shall be assessed and collected by the Commission. Except for the penalties provided under Section 2-202, civil penalties may be assessed only after notice and opportunity to be heard. In determining the amount of the penalty, the Commission shall consider the appropriateness of the penalty to the size of the business of the public utility, corporation other than a public utility, or person acting as a public utility charged, the gravity of the violation, such other mitigating or aggravating factors as the Commission may find to exist, and the good faith of the public utility, corporation other than a public utility, or person acting as a public utility charged in attempting to achieve compliance after notification of a violation. Nothing in this Section, however, increases or decreases any minimum or maximum penalty prescribed elsewhere in this Act.

(b) If timely judicial review of a Commission order that imposes a civil penalty is taken by the public utility, corporation other than a public utility, or person acting as a public utility on which the civil penalty has been imposed, the reviewing court shall enter a judgment on all amounts upon affirmance of the Commission order. If timely judicial review is not taken and the civil penalty remains unpaid for 60 days after service of the order, the Commission in its discretion may either begin revocation proceedings or bring suit to recover the penalties. Unless stayed by a reviewing court, interest at the post-judgment rate set forth in Section 2-1303 of the Code of Civil Procedure shall accrue from 60 days after the date of service of the Commission order.

(c) Actions to recover delinquent civil penalties under this Act shall be brought in the name of the People of the State of Illinois in the circuit court in and for the county in which the cause, or some part thereof, arose, or in which the corporation complained of, if any, has its principal place of business, or in which the person, if any, complained of, resides. The action shall be commenced and prosecuted to final judgment by the Commission. In any such action, all interest incurred up to the time of final court judgment may be sued for and recovered in that action. In all such actions, the procedure and rules of evidence shall be the same as in ordinary civil actions, except as otherwise herein provided. All fines and penalties recovered by the State in any such action shall be paid into the State treasury to the credit of the General Revenue Fund. Any such action may be compromised or discontinued on application of the Commission upon such terms as the court shall approve and order.

(d) Civil penalties related to the late filing of reports, taxes, or other filings shall be paid into the State treasury to the credit of the Public Utility Fund. Except as otherwise provided in this Act, all other fines and civil penalties shall be paid into the State treasury to the credit of the General Revenue Fund.

(Source: P.A. 93-457, eff. 8-8-03.)

(220 ILCS 5/4-204) (from Ch. 111 2/3, par. 4-204)

Sec. 4-204. If the Secretary of State has dissolved or revoked the authority of any domestic or foreign company regulated under this Act to do business in Illinois because that company has not paid a franchise tax, license fee, filing fee, or penalty required under the Business Corporation Act of 1983 or under any other Illinois statute governing the formation or organization of domestic or foreign corporations, limited liability companies, partnerships, associations, or other organizations, then the franchise, license, permit, or right to engage in any business required under this Act shall be suspended by operation of law until such time within a one-year period after the date of suspension as the delinquent franchise tax, license fee, filing fee, or penalty is paid and revoked by operation of law for failure to pay the delinquent franchise tax, license fee, filing fee, or penalty within the one-year suspension period.

(Source: P.A. 100-840, eff. 8-13-18.)

(220 ILCS 5/4-205) (from Ch. 111 2/3, par. 4-205)

Sec. 4-205. This amendatory Act of 1985 shall not have the effect to release or waive any right of action by the State, the Commission, or by any body politic, municipal corporation, person or corporation for any right or penalty which may have arisen or accrued or may hereafter arise or accrue under this Act or any law of this State.

All penalties accruing under this Act shall be cumulative of each other, and suit for the recovery of one penalty shall not be a bar to or affect the recovery of any other penalty or be a bar to any criminal prosecution against any public utility, or any officer, director, agent or employee thereof, or any other corporation or person.

(Source: P.A. 84-617.)

(220 ILCS 5/4-301) (from Ch. 111 2/3, par. 4-301)

Sec. 4-301. The Commission may confer in person, or by correspondence, by attending conventions, or in any other way, with Commissions and any and all agencies dealing with public utilities of other states and of the United States on any matters relating to public utilities.

The Commission shall have full power and authority to make joint investigations, hold joint hearings within or without the State, and issue joint or concurrent orders in conjunction with any official, board, commission or agency of any state or of the United States. In the holding of such investigations or hearings, or in the making of such orders, the Commission shall function under agreements or compacts between states or under the concurrent power of states to regulate the interstate commerce, or as an agency of the United States, or otherwise.

The Commission shall make whenever requested by the Governor, the General Assembly, or either branch of the General Assembly a report within 90 days or any other time period specified within such request, which shall contain copies of all orders issued by the Commission which it deems of special importance or general significance, and any information in the possession of the Commission which it shall deem of value to the people of the State.

The Commission shall conduct a hearing and take testimony relative to any pending legislation with respect to any person, corporation or matter within its jurisdiction, if requested to do so by the Governor, the General Assembly, or either branch of the General Assembly, and shall report its conclusions to the Governor or the General Assembly, as the case may be. The Commission may also recommend the enactment of such legislation with respect to any matter within its jurisdiction as it deems wise or necessary in the public interest. The Commission shall, at such times as the Governor, the General Assembly, or either branch of the General Assembly shall direct, examine any particular subject connected with the condition and management of public utilities, and report to the Governor or the General Assembly, as the case may be, in writing its opinion thereon with its reasons therefor.

(Source: P.A. 98-15, eff. 5-22-13.)

(220 ILCS 5/4-302) (from Ch. 111 2/3, par. 4-302)

Sec. 4-302. The Commission shall cooperate with the Regional Transportation Authority created pursuant to the "Regional Transportation Authority Act", enacted by the 78th General Assembly, in the exercise of the powers of the Authority as provided in that Act.

Transportation Agencies which have any purchase of service agreement with a Service Board as provided in the "Regional Transportation Authority Act" shall not be subject to this Act as to any public transportation which is the subject of such agreement. Any service and business exempted from this Act pursuant to this Section shall not be considered "intrastate public utility business" as defined in Section 3-120 of this Act.

No contract between any Transportation Agency and the Authority or a Service Board or acquisition by the Authority or a Service Board of any property, including property of a Transportation Agency pursuant to and as defined in the Regional Transportation Authority Act, shall, except as provided in such Act, be subject to the supervision, regulation or approval of the Commission.

In the event a Service Board shall determine that any Public Transportation service provided by any Transportation Agency with which that Service Board has a Purchase of Service Agreement is not necessary for the public interest and shall for that reason decline to enter into any Purchase of Service Agreement for such particular service, all pursuant to and as defined in such Regional Transportation Authority Act, then the discontinuation of such service by such Transportation Agency shall not be subject to the supervision, regulation or approval of the Commission.

(Source: P.A. 84-617; 84-1025.)

(220 ILCS 5/4-303) (from Ch. 111 2/3, par. 4-303)

Sec. 4-303. Neither this Act nor any provision thereof shall apply or be construed to apply to commerce with foreign nations or commerce among the several states of this Union, except to the extent permitted under the provisions of the Constitution of the United States and Acts of Congress, and the applicable decisions of the courts of competent jurisdiction of this State or the United States.

(Source: P.A. 84-617; 84-1025.)

(220 ILCS 5/4-304) (from Ch. 111 2/3, par. 4-304)

Sec. 4-304. Beginning in 1986, the Commission shall prepare an annual report which shall be filed by January 31 of each year with the Joint Committee on Legislative Support Services of the General Assembly and the Governor and which shall be publicly available. Such report shall include:

(1) A general review of agency activities and changes, including:

(a) a review of significant decisions and other regulatory actions for the preceding year, and pending cases, and an analysis of the impact of such decisions and actions, and potential impact of any significant pending cases;
(b) for each significant decision, regulatory action and pending case, a description of the positions advocated by major parties, including Commission staff, and for each such decision rendered or action taken, the position adopted by the Commission and reason therefor;
(c) a description of the Commission's budget, caseload, and staff levels, including specifically:

(i) a breakdown by type of case of the cases resolved and filed during the year and of pending cases;
(ii) a description of the allocation of the Commission's budget, identifying amounts budgeted for each significant regulatory function or activity and for each department, bureau, section, division or office of the Commission and its employees;
(iii) a description of current employee levels, identifying any change occurring during the year in the number of employees, personnel policies and practices or compensation levels; and identifying the number and type of employees assigned to each Commission regulatory function and to each department, bureau, section, division or office of the Commission;

(d) a description of any significant changes in Commission policies, programs or practices with respect to agency organization and administration, hearings and procedures or substantive regulatory activity.

(2) A discussion and analysis of the state of each utility industry regulated by the Commission and significant changes, trends and developments therein, including the number and types of firms offering each utility service, existing, new and prospective technologies, variations in the quality, availability and price for utility services in different geographic areas of the State, and any other industry factors or circumstances which may affect the public interest or the regulation of such industries.
(3) A specific discussion of the energy planning responsibilities and activities of the Commission and energy utilities, including:

(a) the extent to which conservation, cogeneration, renewable energy technologies and improvements in energy efficiency are being utilized by energy consumers, the extent to which additional potential exists for the economical utilization of such supplies, and a description of existing and proposed programs and policies designed to promote and encourage such utilization;
(b) a description of each energy plan filed with the Commission pursuant to the provisions of this Act, and a copy, or detailed summary of the most recent energy plans adopted by the Commission;
(c) a discussion of the powers by which the Commission is implementing the planning responsibilities of Article VIII, including a description of the staff and budget assigned to such function, the procedures by which Commission staff reviews and analyzes energy plans submitted by the utilities, the Department of Natural Resources, and any other person or party; and
(d) a summary of the adoption of solar photovoltaic systems by residential and small business consumers in Illinois and a description of any and all barriers to residential and small business consumers' financing, installation, and valuation of energy produced by solar photovoltaic systems; electric utilities, alternative retail electric suppliers, and installers of distributed generation shall provide all information requested by the Commission or its staff necessary to complete the analysis required by this paragraph (d).

(4) A discussion of the extent to which utility services are available to all Illinois citizens including:

(a) the percentage and number of persons or households requiring each such service who are not receiving such service, and the reasons therefor, including specifically the number of such persons or households who are unable to afford such service;
(b) a critical analysis of existing programs designed to promote and preserve the availability and affordability of utility services; and
(c) an analysis of the financial impact on utilities and other ratepayers of the inability of some customers or potential customers to afford utility service, including the number of service disconnections and reconnections, and cost thereof and the dollar amount of uncollectible accounts recovered through rates.

(5) A detailed description of the means by which the Commission is implementing its new statutory responsibilities under this Act, and the status of such implementation, including specifically:

(a) Commission reorganization resulting from the addition of an Executive Director and administrative law judge qualifications and review;
(b) Commission responsibilities for construction and rate supervision, including construction cost audits, management audits, excess capacity adjustments, phase-ins of new plant and the means and capability for monitoring and reevaluating existing or future construction projects;
(c) promulgation and application of rules concerning ex parte communications, circulation of recommended orders and transcription of closed meetings.

(6) A description of all appeals taken from Commission orders, findings or decisions and the status and outcome of such appeals.
(7) A description of the status of all studies and investigations required by this Act, including those ordered pursuant to Sections 9-244 and 13-301 and all such subsequently ordered studies or investigations.
(8) A discussion of new or potential developments in federal legislation, and federal agency and judicial decisions relevant to State regulation of utility services.
(9) All recommendations for appropriate legislative action by the General Assembly.

The Commission may include such other information as it deems to be necessary or beneficial in describing or explaining its activities or regulatory responsibilities. The report required by this Section shall be adopted by a vote of the full Commission prior to filing.

(Source: P.A. 100-840, eff. 8-13-18; 101-81, eff. 7-12-19.)

(220 ILCS 5/4-305)

Sec. 4-305. (Repealed).

(Source: P.A. 88-226. Repealed by P.A. 100-840, eff. 8-13-18.)

(220 ILCS 5/4-401) (from Ch. 111 2/3, par. 4-401)

Sec. 4-401. If any Section, subdivision, sentence or clause of this Act is for any reason held invalid or to be unconstitutional, such decision shall not affect the validity of the remaining portions of this Act. A substantial compliance with the requirements of this Act shall be sufficient to give effect to all the Acts, orders, decisions, rules and regulations of the Commission and they shall not be declared inoperative, illegal or void for any omission of a technical nature in respect thereto.

(Source: P.A. 84-617.)

(220 ILCS 5/4-402) (from Ch. 111 2/3, par. 4-402)

Sec. 4-402. This amendatory Act of 1985 shall not affect pending actions or proceedings, civil or criminal, in any court or other tribunal brought by or against the People of the State of Illinois or the Illinois Commerce Commission or by any other person, firm or corporation under the provisions of this Act or any other Act establishing or conferring power on the Commission, nor abate any causes of action arising thereunder, but the same may be instituted, prosecuted and defended with the same effect as though this amendatory Act had not been passed. Any investigation, hearing or proceeding, instituted or conducted by the Commission prior to the taking effect of this amendatory Act shall be conducted and continued to a final determination by the Commission with the same effect as if this amendatory Act had not been passed.

All findings, orders, decisions, rules and regulations issued or promulgated by the Commission under this Act or any other Act establishing or conferring power on the Commission, shall continue in force; and the Commission hereby created shall have all powers with respect to said findings, orders, decisions, rules and regulations as though said findings, orders, decisions, rules and regulations had been made, issued or promulgated by the Commission under this amendatory Act. Notwithstanding the provisions of this Section, where applicable, the Commission shall amend its findings, orders, decisions, rules and regulations to conform to the provisions of this Act as soon as practicable after the effective date.

(Source: P.A. 84-617.)

(220 ILCS 5/4-404)

Sec. 4-404. Protection of confidential and proprietary information. The Commission shall provide adequate protection for confidential and proprietary information furnished, delivered or filed by any person, corporation or other entity, including proprietary information provided to the Commission by the Illinois Power Agency.

(Source: P.A. 95-481, eff. 8-28-07.)

(220 ILCS 5/4-501)

Sec. 4-501. Small public utilities and telecommunications carriers; circuit court appointment of receiver; bond.

(a) If a public utility or telecommunications carrier that has fewer than 7,500 customers:

(1) is unable or unwilling to provide safe, adequate, or reliable service;
(2) no longer possesses sufficient technical, financial, or managerial resources and abilities to provide safe, adequate, or reliable service;
(3) has been actually or effectively abandoned by its owners or operators;
(4) has defaulted on a bond, note, or loan issued or guaranteed by a department, office, commission, board, authority, or other unit of State government;
(5) has failed to comply, within a reasonable period of time, with an order of the Commission concerning the safety, adequacy, efficiency, or reasonableness of service; or
(6) has allowed property owned or controlled by it to be used in violation of a final order of the Commission; the Commission may file a petition for receivership and a verifying affidavit executed by the executive director of the Commission or a person designated by the executive director asking the circuit court for an order attaching the assets of the public utility or telecommunications carrier and placing the public utility or telecommunications carrier under the control and responsibility of a receiver.

(b) The court shall hold a hearing within 5 days of the filing of the petition. The petition and notice of the hearing shall be served upon the owner or designated agent of the public utility or telecommunications carrier as provided under the Civil Practice Law, or the petition and notice of hearing shall be posted in a conspicuous area at a location where the public utility or telecommunications carrier normally conducts its business affairs, not later than 3 days before the time specified for the hearing unless a different period is fixed by order of court.

If a petition for receivership and verifying affidavit executed by the executive director of the Commission or the person designated by the executive director allege an immediate and serious danger to residents constituting an emergency, the court shall set the matter for hearing within 3 days and may appoint a temporary receiver ex parte upon the strength of the petition and affidavit pending a full evidentiary hearing. The court shall hold a full evidentiary hearing on the petition within 5 days of the appointment of the temporary receiver. The public utility or telecommunications carrier shall be served with the petition, affidavit, and notice of hearing in the manner provided in this subsection not later than 3 days before the time specified for the full evidentiary hearing, unless a different period is fixed by order of court.

(c) After a hearing, the court shall determine whether to grant the petition. A receiver appointed under this Section shall be a responsible person, partnership, or corporation knowledgeable in the operation of the type of public utility or telecommunications carrier that is the subject of the petition for receivership.

(d) A receiver appointed by the court shall file a bond. The receiver shall operate the public utility or telecommunications carrier to preserve its assets and to serve the best interests of its customers. The receiver appointed shall directly or by its agents and attorneys enter upon and take possession of the public utility's or telecommunications carrier's facilities and operations and may exclude from the public utility's or telecommunications carrier's facilities any or all of the public utility's or telecommunications carrier's officers, agents, or employees and all persons claiming under them. The receiver shall have possession and control the facilities and shall exercise all rights and powers with respect to the facilities that could be exercised by the public utility or telecommunications carrier. The receiver shall maintain, restore, insure, and make all proper repairs to the public utility or telecommunications facilities. The receiver shall have the powers and duties necessary for the continued operation of the public utility or telecommunications carrier and the provision of continuous and adequate services to customers.

(e) The receiver shall, in the performance of the powers conferred, act under the supervision of the court making the appointment. The receiver is at all times subject to the orders of the court and may be removed by the court. The court may enter other orders that it considers appropriate for the exercise by the receiver of functions specifically set forth in this Section. The receiver shall be compensated from the assets of the public utility or telecommunications carrier in an amount to be determined by the court. In addition, in a suit, action, or proceeding by or against the receiver of a public utility or telecommunications carrier, the fees, counsel fees, and expenses of the receiver, if any, that are incurred to prosecute or defend the suit, action, or proceeding shall be paid out of the assets of the public utility or telecommunications carrier.

(f) If the receiver determines that the public utility's or telecommunications carrier's actions that caused it to be placed under the control and responsibility of the receiver were due to misappropriation or wrongful diversion of the assets or income of the company or to other misconduct by a director, officer, or manager of the company, the receiver shall file a petition with the circuit court that issued the order of receivership for an order that the director, officer, or manager be ordered to pay compensatory damages to the company because of the misappropriation, diversion, or misconduct.

(g) Control of and responsibility for the public utility or telecommunications carrier shall remain in the receiver until, upon a showing of good cause by the public utility or telecommunications carrier, the court determines that it is in the best interests of its customers that the public utility or telecommunications carrier be returned to the owners or the court determines that the receiver is no longer required. The court may also direct the receiver to liquidate the assets of the public utility or telecommunications carrier in the manner provided by law.

(h) The appointment of a receiver shall be in addition to any other remedies provided by law.

(Source: P.A. 91-357, eff. 7-29-99.)

(220 ILCS 5/4-502)

Sec. 4-502. Small public utility or telecommunications carrier; acquisition by capable utility; Commission determination; procedure.

(a) The Commission may provide for the acquisition of a small public utility or telecommunications carrier by a capable public utility or telecommunications carrier, if the Commission, after notice and an opportunity to be heard, determines one or more of the following:

(1) the small public utility or telecommunications carrier is failing to provide safe, adequate, or reliable service;
(2) the small public utility or telecommunications carrier no longer possesses sufficient technical, financial, or managerial resources and abilities to provide the service or services for which its certificate was originally granted;
(3) the small public utility or telecommunications carrier has been actually or effectively abandoned by its owners or operators;
(4) the small public utility or telecommunications carrier has defaulted on a bond, note, or loan issued or guaranteed by a department, office, commission, board, authority, or other unit of State government;
(5) the small public utility or telecommunications carrier has wilfully failed to comply with any provision of this Act, any other provision of State or federal law, or any rule, regulation, order, or decision of the Commission; or
(6) the small public utility or telecommunications carrier has wilfully allowed property owned or controlled by it to be used in violation of this Act, any other provision of State or federal law, or any rule, regulation, order, or decision of the Commission.

(b) As used in this Section, "small public utility or telecommunications carrier" means a public utility or telecommunications carrier that regularly provides service to fewer than 7,500 customers.

(1) The financial, managerial, and technical ability of the small public utility or telecommunications carrier.
(2) The financial, managerial, and technical ability of all proximate public utilities or telecommunications carriers providing the same type of service.
(3) The expenditures that may be necessary to make improvements to the small public utility or telecommunications carrier to assure compliance with applicable statutory and regulatory standards concerning the adequacy, efficiency, safety, or reasonableness of utility service.
(4) The expansion of the service territory of the acquiring capable public utility or telecommunications carrier to include the service area of the small public utility or telecommunications carrier to be acquired.
(5) Whether the rates charged by the acquiring capable public utility or telecommunications carrier to its acquisition customers will increase unreasonably because of the acquisition.
(6) Any other matter that may be relevant.

(d) For the purposes of this Section, a "capable public utility or telecommunications carrier" means a public utility, as defined under Section 3-105 of this Act, including those entities listed in items (1) through (5) of subsection (b) of Section 3-105, or a telecommunications carrier, as defined under Section 13-202 of this Act, including those entities listed in subsections (a) and (b) of Section 13-202, that:

(1) regularly provides the same type of service as the small public utility or telecommunications carrier, to 7,500 or more customers, and provides safe, adequate, and reliable service to those customers; however, public utility or telecommunications carrier that would otherwise be a capable public utility except for the fact that it has fewer than 7,500 customers may elect to be a capable public utility or telecommunications carrier for the purposes of this Section regardless of the number of its customers and regardless of whether or not it is proximate to the small public utility or telecommunications carrier to be acquired;
(2) is not an affiliated interest of the small public utility or telecommunications carrier;
(3) agrees to acquire the small public utility or telecommunications carrier that is the subject of the proceeding, under the terms and conditions contained in the Commission order approving the acquisition; and
(4) is financially, managerially, and technically capable of acquiring and operating the small public utility or telecommunications carrier in compliance with applicable statutory and regulatory standards.

(e) The Commission may, on its own motion or upon petition, initiate a proceeding in order to determine whether an order of acquisition should be entered. Upon the establishment of a prima facie case that the acquisition of the small public utility or telecommunications carrier would be in the public interest and in compliance with the provisions of this Section all of the following apply:

(1) The small public utility or telecommunications carrier that is the subject of the acquisition proceedings has the burden of proving its ability to render safe, adequate, and reliable service at just and reasonable rates.
(2) The small public utility or telecommunications carrier that is the subject of the acquisition proceedings may present evidence to demonstrate the practicality and feasibility of the following alternatives to acquisition:

(A) the reorganization of the small public utility or telecommunications carrier under new management;
(B) the entering of a contract with another public utility, telecommunications carrier, or a management or service company to operate the small public utility or telecommunications carrier;
(C) the appointment of a receiver to operate the small public utility or telecommunications carrier, in accordance with the provisions of Section 4-501 of this Act; or
(D) the merger of the small public utility or telecommunications carrier with one or more other public utilities or telecommunications carriers.

(3) A public utility or telecommunications carrier that desires to acquire the small public utility or telecommunications carrier has the burden of proving that it is a capable public utility or telecommunications carrier.

(f) Subject to the determinations and considerations required by subsections (a), (b), (c), (d) and (e) of this Section, the Commission shall issue an order concerning the acquisition of the small public utility or telecommunications carrier by a capable public utility or telecommunications carrier. If the Commission finds that the small public utility or telecommunications carrier should be acquired by the capable public utility or telecommunications carrier, the order shall also provide for the extension of the service area of the acquiring capable public utility or telecommunications carrier.

(g) The price for the acquisition of the small public utility or telecommunications carrier shall be determined by agreement between the small public utility or telecommunications carrier and the acquiring capable public utility or telecommunications carrier subject to a determination by the Commission that the price is reasonable. If the small public utility or telecommunications carrier and the acquiring capable public utility or telecommunications carrier are unable to agree on the acquisition price or the Commission disapproves the acquisition price upon which they have agreed, the Commission shall issue an order directing the acquiring capable public utility or telecommunications carrier to acquire the small public utility or telecommunications carrier by following the procedure prescribed for the exercise of the powers of eminent domain under Section 8-509 of this Act.

(h) The Commission may, in its discretion and for a reasonable period of time after the date of acquisition, allow the acquiring capable public utility or telecommunications carrier to charge and collect rates from the customers of the acquired small public utility or telecommunications carrier under a separate tariff.

(i) A capable public utility or telecommunications carrier ordered by the Commission to acquire a small public utility or telecommunications carrier shall submit to the Commission for approval before the acquisition a plan, including a timetable, for bringing the small public utility or telecommunications carrier into compliance with applicable statutory and regulatory standards.

(Source: P.A. 95-481, eff. 8-28-07.)

(220 ILCS 5/4-601)

Sec. 4-601. Consumer protection laws.

(a) The General Assembly finds that consumer protection is vital to the health, safety, and welfare of Illinois consumers.

(b) Notwithstanding any other provision of law, the Commission and its staff shall:

(1) work cooperatively with law enforcement authorities, including the Attorney General and State's Attorneys, in their enforcement of consumer protection laws, including the Consumer Fraud and Deceptive Business Practices Act;
(2) provide any materials or documents already in the Commission's possession requested by the Attorney General or a State's Attorney pertaining to the enforcement of consumer protection laws; any materials or documents that are proprietary shall not be made public unless the designation as proprietary has been removed by a court or legal body of competent jurisdiction, or the agreement of the parties; and
(3) upon written request, forward any complaints regarding alleged violations of any consumer protection law to the Attorney General and the State's Attorney of the appropriate county or counties.

(c) Subject to subdivision (1) of Section 10b of the Consumer Fraud and Deceptive Business Practices Act, the Attorney General and the State's Attorney of any county shall have available all remedies and authority granted to them by the Consumer Fraud and Deceptive Business Practices Act. The remedies for violations of this Act and its rules are not intended to replace other remedies that may be imposed for violations of the Consumer Fraud and Deceptive Business Practices Act and are in addition to, and not in substitution for, such other remedies, nor is this Act intended to remove any statutorily defined defenses.

(Source: P.A. 93-881, eff. 1-1-05.)

(220 ILCS 5/4-602)

Sec. 4-602. Electric utility workforce study.

(a) The Commission shall conduct a comprehensive workforce analysis study of each electric utility to determine the adequacy of the total in-house staffing in each job classification or job title critical to maintaining quality reliability and restoring service in each electric utility's service territory. Each report shall contain a yearly detailed comparison beginning with 1995 and ending in 2006 of each electric utility's ratio of:

(1) in-house workers, commonly referred to as "linemen", to customers;
(2) customer service call-center employees to customers; and
(3) meter service or repair employees to customers.

The ratios shall be reported from each utility's named service area, district, division, outlying area, village, municipality, reporting point, or region. The analysis shall determine the total number of contractor employees for the same time frame and shall be conducted in the same manner as the in-house analysis.

(b) The Commission may hold public hearings while conducting the analysis to assist in the adequacy of the study. The Commission must hold public hearings on the study and present the results to the General Assembly no later than January 1, 2009.

(c) An electric utility shall bear the costs of issuing any reports required by this Section and it shall not be entitled to recovery of any costs incurred in complying with this Section.

(Source: P.A. 95-81, eff. 8-13-07.)

(220 ILCS 5/4-603)

Sec. 4-603. Adequate employment for in-house utility employees. The staff of the Commission shall develop benchmarks for employee staffing levels for each classification and employee training for each classification, subject to the requirements of Section 4-602 of this Act, within one year after the effective date of this amendatory Act of the 96th General Assembly.

(Source: P.A. 95-81, eff. 8-13-07; 96-582, eff. 8-18-09.)

(220 ILCS 5/4-604)

Sec. 4-604. Electric and gas public utilities ethical conduct and transparency.

(a) It is the policy of this State that, as regulated, monopoly entities providing essential services, public utilities must adhere to the highest standards of ethical conduct. It is in the public interest to ensure ethical public utility conduct of the highest standards. It is therefore necessary for the public interest, safety, and welfare of the State and of public utility customers to develop rigorous ethical standards and scrutinize and limit public utility actions, expenditures, and contracting. It is also necessary to provide increased transparency to ensure ethical public utility conduct.

(b) The standards set forth in this Section and the Illinois Administrative Code rules implementing this Section shall apply, to the extent practicable, to electric and gas public utilities and their energy-related affiliates.

(c) Public Utility Ethics and Compliance Monitor. To ensure that public utilities meet the highest level of ethical standards, including, but not limited to, those standards established in this Section, the Commission shall, within 60 days after the effective date of this amendatory Act of the 102nd General Assembly, establish an Ethics and Accountability Division at the Commission and shall create a new position of Public Utility Ethics and Compliance Monitor who reports to the Executive Director of the Commission. The role of the Public Utility Ethics and Compliance Monitor shall be to oversee electric and gas public utilities' compliance with the standards established in this Section, the Illinois Administrative Code, and any other regulatory or statutory obligation regarding standards of ethical conduct. The responsibilities of the Public Utility Ethics and Compliance Monitor shall include:

(1) Hiring additional staff for the Ethics and Accountability Division, as deemed necessary to fulfill the duties imposed under this Section.
(2) Overseeing each public utility's Chief Compliance and Ethics Officer's monitoring, auditing, investigation, enforcement, reporting, disciplinary activities, and any other actions required of the Chief Compliance and Ethics Officer pursuant to subsection (d) of this Section. If the Public Utility Ethics and Compliance Monitor finds a public utility has not complied with the standards set forth in this Section, or with administrative rules implementing this Section, the Public Utility Ethics and Compliance Monitor shall detail such deficiencies in a report to the Commission and shall include a recommendation for Commission action.
(3) Documenting violations of the standards in this Section or in related Sections of the Illinois Administrative Code and, in coordination with the utility's Chief Compliance and Ethics Officer, ensuring each public utility administers appropriate internal disciplinary actions and provides transparent reporting to the Commission. If there are violations of the standards in this Section or in related Sections of the Illinois Administrative Code where the public utility does not take disciplinary action or where that action is not aligned with the recommendation of the Public Utility Ethics and Compliance Monitor, the Public Utility Ethics and Compliance Monitor shall, within 30 days, report the violation, the recommended disciplinary action, and the public utility's actual disciplinary action, to the Executive Director of the Commission. Such reports shall be included in the annual ethics report required by paragraph (5) of this subsection (c) and must describe the violation and related recommendations.
(4) Reviewing and keeping informed regarding internal controls, code of ethical conduct, practices, procedures, and conduct of each public utility. The Public Utilities Ethics and Compliance Monitor may recommend any new internal controls, policies, practices or procedures the public utility should undertake in order to ensure compliance with this Section and with relevant Sections of the Illinois Administrative Code.
(5) Publishing an annual ethics audit for each electric and gas public utility describing the public utility's internal controls, policies, practices, and procedures to comply with statutes, rules, court orders, or other applicable authority. The report shall include a record of any disciplinary actions taken related to unethical conduct as well as any recommendations made by the Public Utility Ethics and Compliance Monitor and the public utility's response to each recommendation. This report must be made public and the Commission may make necessary redactions.
(6) Monitoring, auditing, and subpoenaing all records necessary for the Public Utility Ethics and Compliance Monitor to meet the responsibilities imposed under this Section and related rules, including, but not limited to, contracts with third party entities, accounting records, communication with public officials or their staff, lobbying activities, expenses on lobbyists and consultants, legal expenses, and internal compliance policies.

(d)(1) No later than 60 days after the effective date of this amendatory Act of the 102nd General Assembly, each public utility shall establish a position of Chief Ethics and Compliance Officer if such position does not already exist within the utility or at an affiliated company, provided that if the position exists at an affiliated company such individual may be designated to serve in this role for the utility. The Chief Ethics and Compliance Officer shall be responsible for ensuring that the public utility complies with the highest standards of ethical conduct, including, but not limited to, complying with the standards imposed under this Section, those adopted pursuant to a rulemaking authorized by this Section, and other applicable requirements of Illinois law and rules.

(2) Each public utility's Chief Ethics and Compliance Officer shall:

(A) oversee creation and implementation of a code of ethical conduct for the public utility, applicable to all directors, officers, employees, and lobbyists of the public utility, as well as to all contractors, consultants, agents, vendors, and business partners of the public utility in connection with their activities with or on behalf of the public utility;
(B) oversee training for public utility directors, officers, and employees, as well as contractors, consultants, lobbyists and political consultants, on the public utility's code of ethical conduct, practices, and procedures to advise agents, vendors, and business partners of the public utility of the applicability of the code of ethical conduct to their activities with or on behalf of the public utility;
(C) oversee the ongoing monitoring of all contractors, consultants, and vendors who are contracted for the purpose of carrying out lobbying activities to ensure their continued compliance with applicable ethical standards;
(D) at least annually, oversee a review of the public utility's internal controls, code of ethical conduct, practices, and procedures to assess their continued effectiveness to ensure the highest standards of ethical conduct among the public utility's directors, officers, employees, contractors, consultants, lobbyists, vendors, agents and business partners; and
(E) maintain records of all conduct determined to be in violation of Illinois law, rules, and regulations, and the utility's response to that conduct, and make such records available for inspection by the Public Utility Ethics and Compliance Monitor.

(e) In addition to those standards established under this Section, those adopted pursuant to a rulemaking authorized by this Section, and other applicable requirements of Illinois law and rules, each public utility Chief Ethics and Compliance Officer shall oversee and ensure the development and implementation of internal controls, policies, and procedures to achieve the objectives set forth in paragraphs (1) through (3) of this subsection. Such implementation shall begin no later than 90 days after the effective date of this amendatory Act of the 102nd General Assembly.

(1) The hiring of contractors, consultants and vendors for the purpose of carrying out lobbying pursuant to the Lobbyist Registration Act shall be reviewed and approved by the Chief Ethics and Compliance Officer.
(2) No agreement between a public utility and a contractor, consultant, or vendor engaged for the purpose of carrying out lobbying pursuant to the Lobbyist Registration Act shall permit that contractor, consultant, or vendor to subcontract any portion of that work.
(3) Public utilities shall require contractors, consultants, and vendors who are contracted for the purpose of carrying out lobbying pursuant to the Lobbyist Registration Act to provide detailed invoices and reports describing activities taken and amounts billed for such activities, including all persons involved and anything of value requested or solicited or provided to public officials or their staff, including hiring requests. No such contractor, consultant, or vendor shall be paid without having first submitted a detailed invoice or report.
For purposes of this Section, "anything of value" includes, but is not limited to, money, gifts, entertainment, hiring referrals and recommendations to the public utility, campaign contributions, vendor referrals, and contributions to charitable organizations solicited by or on behalf of the public official.

(f) Each public utility shall be required to submit an annual ethics and compliance report to the Commission no later than May 1 of each year, beginning May 1, 2022. The utility's Chief Ethics and Compliance Officer shall oversee the preparation and submission of the report and shall certify it. Each report shall describe in detail the public utility's internal controls, codes of ethical conduct, practices, and procedures. The reporting implemented during the reporting period to comply with the standards set forth in this Section, rules adopted by the Commission, and other applicable requirements of Illinois law and rules. Each report shall also identify any material changes implemented to such internal controls, code of ethical conduct, practices, and procedures during the reporting period, as well as any material changes implemented, or anticipated to be implemented, in the calendar year in which the report is filed. Each report shall, for the applicable reporting period include at least the following information:

(1) a summary and description of the public utility's system of financial and accounting procedures, internal controls, and practices, including an explanation of how this system is reasonably designed to ensure the maintenance of fair and accurate books, records, and accounts and to provide reasonable assurances that transactions are recorded as necessary to permit preparation of financial statements in conformity with generally accepted accounting principles and Commission requirements and to maintain accountability for assets;
(2) a summary and description of the public utility's process for conducting an assessment of ethics and compliance risks and a representation that an assessment was conducted in accordance with those risks and shared with the public utility's senior management and board of directors;
(3) a summary of the public utility's implementation of mechanisms, including, but not limited to, training programs designed to ensure that its internal controls, code of ethical conduct, practices, and procedures are effectively communicated to all directors, officers, employees, contractors, consultants, lobbyists, vendors, agents, and business partners;
(4) a summary of the public utility's efforts to ensure that its directors and senior management provide strong, explicit, and visible support and commitment to its corporate policy against violations of federal and State law;
(5) a summary of the public utility's implementation of mechanisms designed to effectively enforce its internal controls, code of ethical conduct, practices, and procedures, including appropriately providing incentives for compliance, disciplining violators, and applying such code, controls, policies, practices, and procedures consistently and fairly regardless of the position held by, or the importance of, the director, officer, or employee; and
(6) a summary of the public utility's implementation of procedures to ensure that, where misconduct is discovered, reasonable steps are taken to remedy the harm resulting from such misconduct, including disciplinary action, logging the conduct and the utility's response as required by item (E) of paragraph (2) of subsection (d) of this Section and assessing and modifying as appropriate the internal controls, code, policies, practices and procedures necessary to ensure that the compliance program is effective.
For purposes of this Section, "reporting period" means the most recent 12-month calendar year period preceding the applicable May 1 annual report filing date.

(g) Notwithstanding the provisions of this Section, the Commission shall initiate a management audit pursuant to Section 8-102 of this Act by the later of 18 months after the effective date of this amendatory Act of the 102nd General Assembly or 18 months after a conviction or a plea or agreement of each public utility that, on or after January 1, 2020, has been found guilty or entered a guilty plea regarding any felony offense or has entered into a Deferred Prosecution Agreement for a felony offense. Such audit shall address, at a minimum, the topics identified in paragraphs (1) through (6) of subsection (f).

(h) Each public utility that files a report pursuant to subsection (f) must submit the specified filing fee at the time the Chief Clerk of the Commission accepts the filing. The filing fees applicable to each annual report are as follows: $15,000 for public utilities that serve fewer than 100,000 customers in the State; $75,000 for public utilities that serve at least 100,000 customers but not more than 500,000 customers in the State; $200,000 for public utilities that serve at least 500,000 customers in the State but not more than 3,000,000; and $500,000 for public utilities that serve at least 3,000,000 customers in the State.

(i) In the event the Public Utility Ethics and Compliance Monitor finds a public utility does not comply with any portion of this Section, or with the rules adopted under this Section, the Public Utility Ethics and Compliance Monitor shall issue a Report to the Commission detailing the public utility's deficiencies. The Commission shall have authority to open an investigation and shall order remediation and penalties, including fines, as appropriate.

(j) Each year, each public utility in the State shall remit amounts necessary for the Commission to pay the wages, overhead, travel expenses, and other costs of the Public Utility Ethics and Compliance Monitor. The public utility shall remit payment to the Commission in an amount determined by the Commission based on that public utility's proportional share, by number of customers.

(k) The costs of a public utility that arise from a criminal investigation or result from an investigation initiated by the Commission as the result of an ethics violation are not costs of service and shall not be recoverable in rates.

(l) The Commission shall have the authority to adopt rules and emergency rules where applicable to implement this Section.

(Source: P.A. 102-662, eff. 9-15-21.)

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