093_HB3321enr

 
HB3321 Enrolled                      LRB093 08427 JLS 12035 b

 1        AN ACT concerning public utilities.

 2        Be it  enacted  by  the  People  of  the  State  of  Illinois,
 3    represented in the General Assembly:

 4        Section  5.  The  Public  Utilities  Act  is  amended  by
 5    changing  Sections 4-202, 4-203, 5-109, 5-202, and 10-105 and
 6    adding Section 5-202.1 as follows:

 7        (220 ILCS 5/4-202) (from Ch. 111 2/3, par. 4-202)
 8        Sec.  4-202.  Action   for   injunction.   Whenever   the
 9    Commission shall be of the opinion that any public utility is
10    failing  or omitting or about to fail or omit, to do anything
11    required of it by law,  or  by  any  order,  decision,  rule,
12    regulation,  direction,  or  requirement  of  the Commission,
13    issued or made under authority  of  this  Act,  or  is  doing
14    anything  or  about  to do anything or permitting anything or
15    about to permit anything  to  be  done,  contrary  to  or  in
16    violation  of  law  or any order, decision, rule, regulation,
17    direction, or requirement of the Commission, issued  or  made
18    under  authority  of  this  Act, the Commission shall file an
19    action or proceeding in the circuit  court  in  and  for  the
20    county  in  which  the case or some part thereof arose, or in
21    which the person or corporation complained of,  if  any,  has
22    its  principal  place  of  business,  or  in which the person
23    complained of, if any, resides, in the name of the People  of
24    the  State  of  Illinois,  for  the  purpose  of  having  the
25    violation  or  threatened  violation  stopped  and prevented,
26    either by mandamus or injunction.
27        The Commission may express its opinion  in  a  resolution
28    based  upon  whatever  facts  and  evidence  have come to its
29    attention and may issue the resolution ex parte  and  without
30    holding  any  administrative  hearing  before  bringing suit.
31    Except in cases involving an imminent threat  to  the  public
 
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 1    health  or public safety, no such resolution shall be adopted
 2    until 48 hours after the public utility has been given notice
 3    of (i) the substance of the alleged  violation,  including  a
 4    citation  to the law or order, decision, rule, regulation, or
 5    direction of the Commission alleged to have been violated and
 6    (ii)  the  time  and  date  of  the  meeting  at  which  such
 7    resolution  will  first  be   before   the   Commission   for
 8    consideration.
 9        The  Commission  shall  file  the action or proceeding by
10    complaint in the circuit court,  alleging  the  violation  or
11    threatened   violation   complained   of,   and  praying  for
12    appropriate relief by way  of  mandamus  or  injunction.   It
13    shall  thereupon  be the duty of the court to specify a time,
14    not exceeding 20 days after the service of the  copy  of  the
15    complaint, within which the public utility complained of must
16    answer the complaint, and in the meantime said public utility
17    may  be  restrained.  In  case of default in answer, or after
18    answer, the court shall immediately inquire  into  the  facts
19    and  circumstances  of the case.  Such corporation or persons
20    as the court may deem necessary or proper  to  be  joined  as
21    parties,  in  order to make its judgment, or order effective,
22    may be joined as parties.  The final judgment in  any  action
23    or  proceeding  shall either dismiss the action or proceeding
24    or  grant  relief  by  mandamus  or  injunction  or  be  made
25    permanent as prayed for in the complaint, or in such modified
26    or other form as will afford appropriate relief.   An  appeal
27    may  be  taken  from  such  final  judgment as in other civil
28    cases.
29    (Source: P.A. 84-617.)

30        (220 ILCS 5/4-203) (from Ch. 111 2/3, par. 4-203)
31        Sec. 4-203.  Action to recover penalties.
32        (a)  All civil penalties established under this Act shall
33    be assessed and collected by the Commission. Except  for  the
 
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 1    penalties  provided  under Section 2-202, civil penalties may
 2    be assessed only after notice and opportunity  to  be  heard.
 3    In  determining  the  amount  of  the penalty, the Commission
 4    shall consider the appropriateness of the penalty to the size
 5    of the business of the public utility, corporation other than
 6    a public utility,  or  person  acting  as  a  public  utility
 7    charged,  the gravity of the violation, such other mitigating
 8    or aggravating factors as the Commission may find  to  exist,
 9    and  the  good faith of the public utility, corporation other
10    than a public utility, or person acting as a  public  utility
11    charged   in   attempting   to   achieve   compliance   after
12    notification   of  a  violation.  Nothing  in  this  Section,
13    however,  increases  or  decreases  any  minimum  or  maximum
14    penalty prescribed elsewhere in this Act.
15        (b)  If timely judicial review of a Commission order that
16    imposes a civil penalty  is  taken  by  the  public  utility,
17    corporation  other than a public utility, or person acting as
18    a public utility on which the civil penalty has been imposed,
19    the reviewing court shall enter a  judgment  on  all  amounts
20    upon  affirmance  of the Commission order. If timely judicial
21    review is not taken and the civil penalty remains unpaid  for
22    60  days  after  service  of the order, the Commission in its
23    discretion may either begin revocation proceedings  or  bring
24    suit  to  recover the penalties. Unless stayed by a reviewing
25    court, interest  at  the  post-judgment  rate  set  forth  in
26    Section  2-1303  of  the Code of Civil Procedure shall accrue
27    from 60 days after the date  of  service  of  the  Commission
28    order.
29        (c)  Actions  to recover delinquent civil penalties under
30    this Act shall be brought in the name of the  People  of  the
31    State  of Illinois in the circuit court in and for the county
32    in which the cause, or some part thereof, arose, or in  which
33    the  corporation  complained  of,  if  any, has its principal
34    place of business, or in which the person, if any, complained
 
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 1    of, resides.  The action shall be commenced and prosecuted to
 2    final judgment by the Commission.  In any  such  action,  all
 3    interest  incurred up to the time of final court judgment may
 4    be sued for and  recovered  in  that  action.   In  all  such
 5    actions,  the  procedure  and  rules of evidence shall be the
 6    same as in ordinary civil actions, except as otherwise herein
 7    provided.  All fines and penalties recovered by the State  in
 8    any  such action shall be paid into the State treasury to the
 9    credit of the General Revenue Fund.  Any such action  may  be
10    compromised  or discontinued on application of the Commission
11    upon such terms as the court shall approve and order.
12        (d)  Civil  penalties  related  to  the  late  filing  of
13    reports, taxes, or other filings shall be paid into the State
14    treasury to the credit of the Public Utility Fund. Except  as
15    otherwise  provided  in  this  Act, all other fines and civil
16    penalties shall be paid into the State treasury to the credit
17    of the General Revenue Fund. Except as otherwise provided  in
18    this  Act,  actions to recover penalties under this Act shall
19    be brought in the name of the People of the State of Illinois
20    in the circuit court in and  for  the  county  in  which  the
21    cause,   or  some  part  thereof,  arose,  or  in  which  the
22    corporation complained of, if any, has its principal place of
23    business, or in which the  person,  if  any,  complained  of,
24    resides.  The  action  shall  be  commenced and prosecuted to
25    final judgment by the Commission. In  any  such  action,  all
26    penalties  incurred up to the time of commencing the same may
27    be sued for and recovered. In all such actions, the procedure
28    and rules of evidence shall be the same as in ordinary  civil
29    actions,  except  as otherwise herein provided. All fines and
30    penalties recovered by the State in any such action shall  be
31    paid  into  the  State  treasury to the credit of the general
32    fund. Any such action may be compromised or  discontinued  on
33    application  of  the  Commission upon such terms as the court
34    shall approve and order.
 
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 1    (Source: P.A. 84-617.)

 2        (220 ILCS 5/5-109) (from Ch. 111 2/3, par. 5-109)
 3        Sec.  5-109.  Reports;  false  reports;  penalty.    Each
 4    public  utility  in  the State shall each year furnish to the
 5    Commission, in such form as  the  Commission  shall  require,
 6    annual reports as to all the items mentioned in the preceding
 7    Sections  of  this Article, and in addition such other items,
 8    whether of a nature similar to those  therein  enumerated  or
 9    otherwise,  as  the  Commission  may  prescribe.  Such annual
10    reports shall contain all the required  information  for  the
11    period  to  12  twelve  months ending on the thirtieth day of
12    June 30 in each year, or ending on the  thirty-first  day  of
13    December  31  in  each  year,  as the Commission may by order
14    prescribe for each class of public utilities,  and  shall  be
15    filed with the Commission at its office in Springfield within
16    three months after the close of the year for which the report
17    is  made.  The Commission shall have authority to require any
18    public utility  to  file  monthly  reports  of  earnings  and
19    expenses  of  such  utility,  and to file other periodical or
20    special, or both periodical and  special  reports  concerning
21    any matter about which the Commission is authorized by law to
22    keep itself informed. All reports shall be under oath.
23        When  any  report is erroneous or defective or appears to
24    the Commission to be erroneous or defective,  the  Commission
25    may  notify the public utility to amend such report within 30
26    thirty days, and before or  after  the  termination  of  such
27    period  the  Commission  may examine the officers, agents, or
28    employees, and books,  records,  accounts,  vouchers,  plant,
29    equipment  and  property  of such public utility, and correct
30    such items  in  the  report  as  upon  such  examination  the
31    Commission may find defective or erroneous.
32        All  reports made to the Commission by any public utility
33    and the contents thereof shall be open to public  inspection,
 
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 1    unless  otherwise  ordered  by  the  Commission. Such reports
 2    shall be preserved in the office of the Commission.
 3        Any public utility which  fails  to  make  and  file  any
 4    report   called   for  by  the  Commission  within  the  time
 5    specified;  or  to  make  specific  answer  to  any  question
 6    propounded by the Commission within 30 thirty days  from  the
 7    time it is lawfully required to do so, or within such further
 8    time,  not to exceed 90 ninety days, as may in its discretion
 9    be allowed by the Commission, shall forfeit up  to  $100  for
10    each  and  every  day  it may so be in default if the utility
11    collects less than $100,000 annually in gross revenue; and if
12    the utility collects  $100,000  or  more  annually  in  gross
13    revenue,  it  shall  forfeit $1,000 $100 per day for each and
14    every day it is in default.
15        Any person who willfully wilfully makes any false  return
16    or  report  to  the Commission, or to any member, officer, or
17    employee thereof, any person who willfully, in  a  return  or
18    report, withholds or fails to provide material information to
19    which  the  Commission  is  entitled under this Act and which
20    information is either required to be filed by statute,  rule,
21    regulation,  order, or decision of the Commission or has been
22    requested by the Commission, and  any  person  who  willfully
23    aids  or  abets  such  person  shall  be  guilty of a Class A
24    misdemeanor.
25    (Source: P.A. 84-617.)

26        (220 ILCS 5/5-202) (from Ch. 111 2/3, par. 5-202)
27        Sec. 5-202.  Violations; penalty. Any public utility,  or
28    any  corporation  other  than a public utility, or any person
29    acting as a public utility, that which violates or  fails  to
30    comply  with  any provisions of this Act, or that which fails
31    to obey, observe, or comply with any order,  decision,  rule,
32    regulation,   direction,  or  requirement,  or  any  part  or
33    provision thereof, of the Commission, made  or  issued  under
 
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 1    authority  of  this  Act, in a case in which a penalty is not
 2    otherwise provided for in this Act, shall  be  subject  to  a
 3    civil  penalty  imposed  in  the  manner  provided in Section
 4    4-203.  A small public utility, as defined in subsection  (b)
 5    of  Section  4-502 of this Act, is subject to a civil penalty
 6    of not less than $500 nor more than $2,000 for each and every
 7    offense.  All other public utilities, corporations other than
 8    a public utility, and persons acting as a public utility  are
 9    subject  to  a  civil  penalty  of up to $30,000 for each and
10    every offense, except as provided  in  this  Section  and  in
11    Sections 13-101, 13-304, 13-305, and 5-202.1 of this Act.
12        Every  violation  of the provisions of this Act or of any
13    order, decision, rule, regulation, direction, or  requirement
14    of  the  Commission,  or  any part or portion thereof, by any
15    corporation or person, is a separate  and  distinct  offense,
16    provided,  however, that if the same act or omission violates
17    more than one  provision  of  this  Act,  or  of  any  order,
18    decision,  rule, regulation, direction, or requirement of the
19    Commission, only one penalty or  cumulative  penalty  may  be
20    imposed  for  such  act  or omission. In case of a continuing
21    violation, each day's continuance thereof shall be a separate
22    and distinct offense, provided, however, that the  cumulative
23    penalty   for  any  continuing  violation  shall  not  exceed
24    $500,000, except in the case of a small utility,  as  defined
25    in subsection (b) of Section 4-502 of this Act, in which case
26    the cumulative penalty for any continuing violation shall not
27    exceed  $35,000, and provided further that these limits shall
28    not apply where the violation was intentional and either  (i)
29    created  substantial  risk  to  the  safety  of the utility's
30    employees or customers or the public or (ii) was intended  to
31    cause economic benefits to accrue to the violator and in case
32    of  a  continuing  violation  each  day's continuance thereof
33    shall be a separate and distinct offense.
34        In construing and enforcing the provisions  of  this  Act
 
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 1    relating  to  penalties, the act, omission, or failure of any
 2    officer,  agent,  or  employee   of   any   public   utility,
 3    corporation  other than a public utility, or person acting as
 4    a public utility, that is acting  within  the  scope  of  his
 5    official  duties or employment, shall in every case be deemed
 6    to be the act, omission, or failure of such  public  utility,
 7    corporation  other than a public utility, or person acting as
 8    a public utility.
 9        If the party who has violated or failed  to  comply  with
10    this  Act or an order, decision, rule, regulation, direction,
11    or requirement of the Commission, or any  part  or  provision
12    thereof,  fails  to  seek  timely review pursuant to Sections
13    10-113 and 10-201 of this Act within 30 days  of  service  of
14    the  order, the party shall, upon expiration of the statutory
15    time limit 30 days, be subject to the civil penalty provision
16    of this Section.
17        No penalties shall accrue under this provision  until  15
18    days  after  the mailing of a notice to such party or parties
19    that they are in violation of or have failed to  comply  with
20    the  Act  or order, decision, rule, regulation, direction, or
21    requirement of  the  Commission  or  any  part  or  provision
22    thereof,  except  that  this notice provision shall not apply
23    when the violation was intentional.
24    (Source: P.A. 87-164.)

25        (220 ILCS 5/5-202.1 new)
26        Sec.   5-202.1.  Misrepresentation   before   Commission;
27    penalty.
28        (a)  Any person or corporation, as  defined  in  Sections
29    3-113  and  3-114  of  this  Act, who knowingly misrepresents
30    facts or knowingly aids another  in  doing  so  or  knowingly
31    permits  another  to  misrepresent facts through testimony or
32    the offering or withholding of material  information  in  any
33    proceeding shall be subject to a civil penalty.  Whenever the
 
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 1    Commission  is of the opinion that a person or corporation is
 2    misrepresenting or has misrepresented facts,  the  Commission
 3    may   initiate   a   proceeding   to   determine   whether  a
 4    misrepresentation has in fact  occurred.  If  the  Commission
 5    finds that a person or corporation has violated this Section,
 6    the Commission shall impose a penalty of not less than $1,000
 7    and  not  greater  than $500,000. Each misrepresentation of a
 8    fact found by the Commission shall constitute a separate  and
 9    distinct  violation. In determining the amount of the penalty
10    to be assessed, the Commission may consider  any  matters  of
11    record  in  aggravation  or mitigation of the penalty, as set
12    forth in Section 4-203, including  but  not  limited  to  the
13    following:
14             (1)  the presence or absence of due diligence on the
15        part  of  the  violator  in attempting to comply with the
16        Act;
17             (2)  any economic benefits accrued, or  expected  to
18        be    accrued,   by   the   violator   because   of   the
19        misrepresentation; and
20             (3)  the amount of monetary penalty that will  serve
21        to  deter  further  violations  by  the  violator  and to
22        otherwise aid in enhancing voluntary compliance with  the
23        Act.
24        (b)  Any  action to enforce civil penalties arising under
25    this Section shall be undertaken pursuant to Section 4-203.

26        (220 ILCS 5/10-105) (from Ch. 111 2/3, par. 10-105)
27        Sec. 10-105. No person shall be excused  from  testifying
28    or from producing any papers, books, accounts or documents in
29    any  investigation  or inquiry or upon any hearing ordered by
30    the Commission, when ordered to do so by  the  Commission  or
31    any  commissioner  or  hearing examiner, upon the ground that
32    the testimony or evidence, documentary or otherwise, may tend
33    to incriminate him or subject him to a penalty or forfeiture.
 
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 1    But no person shall be prosecuted or subjected to any penalty
 2    or forfeiture for or on account of any transaction, matter or
 3    thing concerning which he may testify  or  produce  evidence,
 4    documentary   or   otherwise,  before  the  Commission  or  a
 5    commissioner  or  hearing  examiner:  Provided,   that   such
 6    immunity  shall  extend  only  to  a  natural  person, who in
 7    obedience to  a  subpoena,  gives  testimony  under  oath  or
 8    produces  evidence,  documentary  or otherwise under oath. No
 9    person so testifying shall be  exempt  from  prosecution  and
10    punishment  for  perjury  committed  in  so  testifying.  The
11    Commission or a commissioner or hearing examiner may, on  the
12    motion  of  a party or on its own motion, strike, in whole or
13    in part, the testimony of a  person  who  is  not  reasonably
14    prepared  to  respond  to  questions  under cross-examination
15    intending to elicit information directly related  to  matters
16    raised by that person in his testimony.
17    (Source: P.A. 84-617.)

18        Section  99.  Effective date.  This Act takes effect upon
19    becoming law.