(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 |
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(a) a review of significant decisions and other
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| 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;
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(b) for each significant decision, regulatory
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| 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;
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(c) a description of the Commission's budget,
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| caseload, and staff levels, including specifically:
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(i) a breakdown by type of case of the cases
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| resolved and filed during the year and of pending cases;
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(ii) a description of the allocation of the
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| 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;
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(iii) a description of current employee
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| 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;
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(d) a description of any significant changes in
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| Commission policies, programs or practices with respect to agency organization and administration, hearings and procedures or substantive regulatory activity.
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(2) A discussion and analysis of the state of each
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| 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.
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(3) A specific discussion of the energy planning
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| responsibilities and activities of the Commission and energy utilities, including:
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(a) the extent to which conservation,
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| 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;
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(b) a description of each energy plan filed with
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| 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;
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(c) a discussion of the powers by which the
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| 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
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(d) a summary of the adoption of solar
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| 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).
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(4) A discussion of the extent to which utility
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| services are available to all Illinois citizens including:
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(a) the percentage and number of persons or
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| 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;
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(b) a critical analysis of existing programs
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| designed to promote and preserve the availability and affordability of utility services; and
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(c) an analysis of the financial impact on
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| 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.
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(5) A detailed description of the means by which the
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| Commission is implementing its new statutory responsibilities under this Act, and the status of such implementation, including specifically:
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(a) Commission reorganization resulting from the
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| addition of an Executive Director and administrative law judge qualifications and review;
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(b) Commission responsibilities for construction
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| 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;
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(c) promulgation and application of rules
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| concerning ex parte communications, circulation of recommended orders and transcription of closed meetings.
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(6) A description of all appeals taken from
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| Commission orders, findings or decisions and the status and outcome of such appeals.
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(7) A description of the status of all studies and
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| investigations required by this Act, including those ordered pursuant to Sections 9-244 and 13-301 and all such subsequently ordered studies or investigations.
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(8) A discussion of new or potential developments in
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| federal legislation, and federal agency and judicial decisions relevant to State regulation of utility services.
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(9) All recommendations for appropriate legislative
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| action by the General Assembly.
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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.)
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(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, |
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(2) no longer possesses sufficient technical,
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| financial, or managerial resources and abilities to provide safe, adequate, or reliable service;
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(3) has been actually or effectively abandoned by its
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(4) has defaulted on a bond, note, or loan issued or
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| guaranteed by a department, office, commission, board, authority, or other unit of State government;
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(5) has failed to comply, within a reasonable period
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| of time, with an order of the Commission concerning the safety, adequacy, efficiency, or reasonableness of service; or
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(6) has allowed property owned or controlled by it to
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| be used in violation of a final order of the Commission;
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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.)
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(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;
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(2) the small public utility or telecommunications
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| 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;
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(3) the small public utility or telecommunications
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| carrier has been actually or effectively abandoned by its owners or operators;
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(4) the small public utility or telecommunications
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| 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;
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(5) the small public utility or telecommunications
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| 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
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(6) the small public utility or telecommunications
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| 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.
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(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.
(c) In making a determination under subsection (a), the Commission
shall consider all of the following:
(1) The financial, managerial, and technical ability
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| of the small public utility or telecommunications carrier.
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(2) The financial, managerial, and technical ability
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| of all proximate public utilities or telecommunications carriers providing the same type of service.
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(3) The expenditures that may be necessary to make
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| 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.
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(4) The expansion of the service territory of the
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| acquiring capable public utility or telecommunications carrier to include the service area of the small public utility or telecommunications carrier to be acquired.
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(5) Whether the rates charged by the acquiring
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| capable public utility or telecommunications carrier to its acquisition customers will increase unreasonably because of the acquisition.
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(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
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| 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;
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(2) is not an affiliated interest of the small public
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| utility or telecommunications carrier;
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(3) agrees to acquire the small public utility or
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| telecommunications carrier that is the subject of the proceeding, under the terms and conditions contained in the Commission order approving the acquisition; and
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(4) is financially, managerially, and technically
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| capable of acquiring and operating the small public utility or telecommunications carrier in compliance with applicable statutory and regulatory standards.
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(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
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| 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.
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(2) The small public utility or telecommunications
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| carrier that is the subject of the acquisition proceedings may present evidence to demonstrate the practicality and feasibility of the following alternatives to acquisition:
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(A) the reorganization of the small public
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| utility or telecommunications carrier under new management;
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(B) the entering of a contract with another
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| public utility, telecommunications carrier, or a management or service company to operate the small public utility or telecommunications carrier;
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(C) the appointment of a receiver to operate the
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| small public utility or telecommunications carrier, in accordance with the provisions of Section 4-501 of this Act; or
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(D) the merger of the small public utility or
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| telecommunications carrier with one or more other public utilities or telecommunications carriers.
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(3) A public utility or telecommunications carrier
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| 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.
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(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.)
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(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.
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(2) Overseeing each public utility's Chief
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| 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.
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(3) Documenting violations of the standards in this
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| 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.
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(4) Reviewing and keeping informed regarding
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| 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.
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(5) Publishing an annual ethics audit for each
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| 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.
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(6) Monitoring, auditing, and subpoenaing all
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| 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.
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(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
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| 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;
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(B) oversee training for public utility directors,
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| 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;
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(C) oversee the ongoing monitoring of all
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| contractors, consultants, and vendors who are contracted for the purpose of carrying out lobbying activities to ensure their continued compliance with applicable ethical standards;
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(D) at least annually, oversee a review of the
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| 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
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(E) maintain records of all conduct determined to
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| 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.
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(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
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| 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.
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(2) No agreement between a public utility and a
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| 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.
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(3) Public utilities shall require contractors,
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| 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.
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For purposes of this Section, "anything of value"
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| 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.
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(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
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| 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;
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(2) a summary and description of the public
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| 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;
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(3) a summary of the public utility's
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| 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;
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(4) a summary of the public utility's efforts to
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| 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;
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(5) a summary of the public utility's
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| 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
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(6) a summary of the public utility's
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| 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.
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For purposes of this Section, "reporting period"
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| means the most recent 12-month calendar year period preceding the applicable May 1 annual report filing date.
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(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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(220 ILCS 5/4-610) Sec. 4-610. Thermal energy networks. (a) The General Assembly finds that: (1) the State has an interest in decarbonizing |
| buildings in a manner that is affordable and accessible, preserves and creates living-wage jobs, and retains the knowledge and experience of the existing utility workforce;
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(2) thermal energy networks have the potential to
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| affordably decarbonize buildings at the community-scale and utility-scale and help achieve the goals of the Climate and Equitable Jobs Act (Public Act 102-662);
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(3) the construction industry is highly skilled and
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| labor intensive, and the installation of modern thermal energy networks involves particularly complex work, therefore effective qualification standards for craft labor personnel employed on these projects are critically needed to promote successful project delivery; and
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(4) it is the intent of the General Assembly to
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| establish a stakeholder workshop within the Commission to promote the successful planning and delivery of thermal energy networks in an equitable manner that reduces emissions, offers affordable building decarbonization, and provides opportunities for employment with fair labor standards and preapprenticeship and apprenticeship programs.
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(b) As used in this Section:
"Thermal energy" means piped noncombustible fluids used for transferring heat into and out of buildings for the purpose of reducing any resultant onsite greenhouse gas emissions of all types of heating and cooling processes, including, but not limited to, comfort heating and cooling, domestic hot water, and refrigeration.
"Thermal energy network" means all real estate, fixtures, and personal property operated, owned, used, or to be used for, in connection with, or to facilitate a utility-scale distribution infrastructure project that supplies thermal energy.
(c) The Commission, in order to develop a regulatory structure for utility thermal energy networks that scale with affordable and accessible building electrification, protect utility customers, and promote the successful planning and delivery of thermal energy networks, shall convene a workshop process for the purpose of establishing an open, inclusive, and cooperative forum regarding such thermal energy networks. The workshops may be facilitated by an independent, third-party facilitator selected by the Commission. The series of workshops shall include no fewer than 3 workshops. After the conclusion of the workshops, the Commission shall open a comment period that allows interested and diverse stakeholders to submit comments and recommendations regarding the thermal energy networks. Based on the workshop process and stakeholder comments and recommendations offered verbally or in writing during the workshops and in writing during the comment period following the workshops, the Commission or, if applicable, the independent third-party facilitator, shall prepare a report, to be submitted to the Governor and the General Assembly no later than March 1, 2024, describing the stakeholders, discussions, proposals, and areas of consensus and disagreement from the workshop process, and making recommendations regarding thermal energy networks.
(d) The workshop shall be designed to achieve the following objectives:
(1) determine appropriate ownership, market, and rate
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| structures for thermal energy networks and whether the provision of thermal energy services by thermal network energy providers is in the public interest;
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(2) consider project designs that could maximize the
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| value of existing State energy efficiency and weatherization programs and maximize federal funding opportunities to the extent practicable;
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(3) determine whether thermal energy network projects
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| further climate justice and emissions reductions and benefits to utility customers and society at large, including but not limited to public health benefits in areas with disproportionate environmental burdens, job retention and creation, reliability, and increased affordability of renewable thermal energy options;
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(4) consider approaches to thermal energy network
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| projects that advance financial and technical approaches to equitable and affordable building electrification, including access to thermal energy network benefits by low and moderate income households; and
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(5) consider approaches to promote the training and
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| transition of utility workers to work on thermal energy networks.
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(Source: P.A. 103-580, eff. 12-8-23.)
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