AUTHORITY: Implementing section 252 of the Communications Act of 1934 (47 USC 252) and Section 10-101 of the Public Utilities Act and authorized by Section 10-101 of the Public Utilities Act [220 ILCS 5/10-101] and Section 25-101 of the Electronic Commerce Security Act [5 ILCS 175/25-101].

SOURCE: Emergency rule adopted at 20 Ill. Reg. 8527, effective June 18, 1996, for a maximum of 150 days; emergency rule suspended at 20 Ill. Reg. 14285, effective November 1, 1996; suspension withdrawn at 21 Ill. Reg. 5660, effective May 2, 1997; adopted at 21 Ill. Reg. 6454, effective May 16, 1997; emergency amendment at 24 Ill. Reg. 7870, effective May 22, 2000, for a maximum of 150 days; amended at 24 Ill. Reg. 15945, effective October 15, 2000; amended at 39 Ill. Reg. 4038, effective April 1, 2015.

SUBPART A: GENERAL PROVISIONS

 

Section 763.10  Procedure Governed

 

This Part governs practice and procedure before the Illinois Commerce Commission (Commission) in the approval of Negotiated Agreements required by section 252(e)(1) and (e)(2)(A) of the Communications Act of 1934 (47 USC 252).

 

(Source:  Amended at 39 Ill. Reg. 4038, effective April 1, 2015)

 

Section 763.20  Deviation from this Part

 

To the extent permitted by law, including Article 10 of the Illinois Administrative Procedure Act [5 ILCS 100/Art. 10], any provision of this Part may be waived, suspended or modified by the Commission or an Administrative Law Judge, either upon their own motion or upon motion by any person.

 

(Source:  Amended at 39 Ill. Reg. 4038, effective April 1, 2015)

 

Section 763.30  Definitions

 

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

 

"Administrative Law Judge" means an employee of the Commission, or a Commissioner, designated by the Commission to conduct proceedings pursuant to section 252(e) of the Communications Act of 1934 (47 USC 252).

 

"Commissioner" means a member of the Commission.

 

"Documents" means petitions, amended and supplemental petitions, written discovery, answers to discovery, motions, responses, replies, notices, suggested findings of fact and conclusions of law, exceptions to Administrative Law Judges' proposed orders, briefs, drafts or suggested forms of order, and similar writings.

 

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

 

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

 

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

 

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

 

"Electronic signature" means a signature in electronic form issued by the Commission pursuant to Section 763.1020 and consisting of a user I.D. and password attached to or logically associated with an electronic document.

 

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

 

"Intervenor" means a person who, upon written petition, is permitted to intervene in any proceeding under this Part.

 

"Negotiated Agreement" is an agreement, including an amendment to an agreement, negotiated and entered into pursuant to section 252(a) of the Communications Act of 1934 that is subject to Commission approval under section 252(e) of the Communications Act of 1934.

 

"Negotiated Agreement Filing System" means a Web based electronic filing system that will be used as the initial filing mechanism for all Negotiated Agreements filed for approval of the Illinois Commerce Commission. This system will allow electronic filing, management, and access to the electronic records that make up case files for Negotiated Agreements.

 

"Party" means any person who enters into a negotiated agreement for which Commission approval is sought under 47 USC 252(e); or, any person allowed by the Commission or an Administrative Law Judge to intervene in a proceeding.  Staff is not a party but shall have the specific rights and duties of parties as enumerated in this Part.

 

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

 

"Staff" or "Commission Staff" means individuals employed by the Commission.  For purposes of this Part, an Administrative Law Judge is not considered a member of the Commission Staff.

 

(Source:  Amended at 39 Ill. Reg. 4038, effective April 1, 2015)

 

Section 763.40  Authority of the Administrative Law Judge in Contested Proceedings

 

a)         The Administrative Law Judge shall have authority over the conduct of a proceeding under this Part and the responsibility for submission of the matter to the Commission for decision.  The Administrative Law Judge shall have those duties and powers necessary to these ends, including the following:

 

1)         To conduct hearings and pre-hearing conferences;

 

2)         To direct parties to serve testimony and exhibits and establish a date certain for service;

 

3)         To grant or deny Petitions to Intervene;

 

4)         To conduct discovery of the parties;

 

5)         To supervise all or any part of any discovery procedure;

 

6)         To administer oaths and affirmations;

 

7)         To examine witnesses and to allow the examination of an adverse party or agent;

 

8)         To rule upon all matters that do not result in the final determination of the proceeding;

 

9)         To call upon any party at any stage of the proceeding to produce further information that is material and relevant to any issue;

 

10)         To issue proposed decisions pursuant to Section 763.420;

 

11)         To issue protective orders in accordance with Section 763.430; and

 

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

 

b)         Any party who fails to comply with an order of the Administrative Law Judge may be limited in its presentation of information during the proceeding.

 

(Source:  Amended at 39 Ill. Reg. 4038, effective April 1, 2015)

 

Section 763.50  Federal Preemption of State Court Review

 

No State court shall have jurisdiction to review the action of the Commission in approving or rejecting an agreement under Section 252 of the Communications Act of 1934.

 

Section 763.60  Failure to Act

 

Pursuant to section 252(e)(4) of the Communications Act of 1934, the Commission has 90 days after a Negotiated Agreement has obtained a "Filed Date" under Section 763.1130 on the Commission's Negotiated Agreement Filing System to act to approve or reject it. Notwithstanding the timelines associated with the automatic approval of uncontested Negotiated Agreements as shown in Subpart G, if the Commission does not act to approve or reject any agreement within 90 days after the Filed Date, the Negotiated Agreement shall be deemed approved.

 

(Source:  Amended at 39 Ill. Reg. 4038, effective April 1, 2015)

SUBPART B: FORM, FILING AND SERVICE OF DOCUMENTS

 

Section 763.100  Communications to the Commission

 

All paper documents to be filed with or submitted to the Commission shall be addressed to:  The Chief Clerk, Illinois Commerce Commission, 527 East Capitol Avenue, Springfield, Illinois 62701. All formal paper communications and documents are deemed to be officially filed or submitted only when delivered to the principal office of the Commission.  The Chief Clerk is the official custodian of all Commission records.

 

(Source:  Amended at 24 Ill. Reg. 15945, effective October 15, 2000)

 

Section 763.105  Form of Pleadings and Documents

 

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

 

b)         All pleadings or other documents shall be composed in either Arial or Times New Roman font, black type on white background.  The text of pleadings or documents shall be at least 12-point.  Footnotes shall be at least 10-point. Other material not in the body of the text, such as financial data schedules and exhibits, shall be at least 8-point.  All exhibits of a documentary character shall, whenever practical, conform to these requirements.

 

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

 

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

 

(Source:  Added at 24 Ill. Reg. 15945, effective October 15, 2000)

 

Section 763.110  Filing of Petition for Rejection of Negotiated Agreement

 

a)         Any petition seeking rejection of a Negotiated Agreement shall:

 

1)         Be verified;

 

2)         Identify the Negotiated Agreement for which rejection is sought;

 

3)         Identify all parties to the Negotiated Agreement for which rejection is sought;

 

4)         Be accompanied by verified written statements and exhibits to support the petitioner's position that:

 

A)        the agreement, or any portion of the agreement, discriminates against a carrier not a party to the Negotiated Agreement; and/or

 

B)        implementation of the Negotiated Agreement, or any portion of the agreement, would be inconsistent with the public interest; and

 

5)         Be served on each party to the Negotiated Agreement.

 

b)         Each party to the Negotiated Agreement shall be deemed a party in a proceeding seeking rejection of the Negotiated Agreement.

 

(Source:  Amended at 39 Ill. Reg. 4038, effective April 1, 2015)

 

Section 763.120  Required Disclosures (Repealed)

 

(Source:  Repealed at 39 Ill. Reg. 4038, effective April 1, 2015)

 

Section 763.130  Contents of Documents

 

a)         All documents submitted in approval proceedings before the Commission shall display the docket number of the proceeding.  Documents initiating a new proceeding shall leave a space for the docket number.  All documents shall also include the  full name, address, and telephone number, and, unless the party has no facsimile number or e-mail address either directly or through its attorney, facsimile number and e-mail address of the person or the representative of the person filing the document.  A party, in its first pleading in a proceeding, shall state whether it agrees to accept service by electronic means as provided for in Section 763.1050.  A party later may agree, or may revoke its agreement, to accept electronic service, provided that the party shall file and serve a notice of the later agreement or revocation.

 

b)         The original of every document filed with the Commission shall be signed by the party filing the same or by an officer or agent.  The factual assertions contained in all documents shall be verified by the filing party before a notary public.  The verification shall be in form and substance as follows:

 

I,				do on oath depose and state that the facts
contained in the foregoing document are true and correct to the best of my knowledge and belief.
SIGNATURE OF PERSON VERIFYING DOCUMENT
SIGNED AND SWORN TO BEFORE ME THIS									DAY OF
		,	(year)		.
NOTARY PUBLIC

 

(Source:  Amended at 24 Ill. Reg. 15945, effective October 15, 2000)

 

Section 763.140  Copies of Documents

 

a)         For any proceeding subject to this Part that was initiated prior to January 1, 2000, all documents shall be filed with the Chief Clerk in one original and two paper copies, unless otherwise specified in this Part.

 

b)         For any proceeding subject to this Part that was initiated after January 1, 2000, one original document shall be filed with the Chief Clerk.

 

(Source:  Amended at 24 Ill. Reg. 15945, effective October 15, 2000)

 

Section 763.150  Service

 

a)         All documents shall be deemed filed on the date received by the Chief Clerk of the Commission.  Service on the Chief Clerk of the Commission cannot be made by telephone facsimile.  All documents shall be served upon the parties to the proceeding on the day they are filed with the Chief Clerk of the Commission.

 

b)         Proof of service of any paper shall be by certificate of attorney, acknowledgement of receipt, or affidavit.

SUBPART C: SCHEDULING AND DISCOVERY PROCEDURES

 

Section 763.200  Scheduling Conferences

 

Upon direction of the Commission or on his or her own motion, the Administrative Law Judge may request all parties to attend a scheduling conference.  Notice of the conference shall be given in writing, telephone, e-mail, or telephone facsimile not later than 24 hours before the pre-hearing conference.  Such a conference may be held for any purpose, including, but not limited to:

 

a)         Scheduling;

 

b)         Identification and simplification of issues;

 

c)         Amendments to documents;

 

d)         Limitations on the number of witnesses;

 

e)         The issuance of rulings denying, limiting, conditioning or regulating discovery;

 

f)         The issuance of rulings supervising all or any part of any discovery procedure; and

 

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

 

(Source:  Amended at 39 Ill. Reg. 4038, effective April 1, 2015)

 

Section 763.210  Failure to Comply with a Discovery Order or a Subpoena

 

If a person or party fails to comply with a discovery order or refuses to attend or be sworn at a hearing, the Administrative Law Judge may suspend further proceedings until compliance is obtained, or the Administrative Law Judge may strike all or any part of the pleadings of that party, or refuse to allow the party to support designated claims or defenses.

 

(Source:  Amended at 39 Ill. Reg. 4038, effective April 1, 2015)

 

Section 763.230  Protective Orders

 

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

 

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

 

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

 

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

 

(Source:  Amended at 39 Ill. Reg. 4038, effective April 1, 2015)

SUBPART D: INFORMATION GATHERING PROCEDURE

 

Section 763.300  Disqualification of Administrative Law Judge

 

a)         An Administrative Law Judge assigned to a proceeding may, upon written request to and approval of the Chief Administrative Law Judge, recuse himself or herself from the proceeding.

 

b)         Whenever any party believes an Administrative Law Judge for any reason should be disqualified from conducting, or continuing to conduct, a proceeding assigned to him or her, that party may file a motion to disqualify the Administrative Law Judge, setting forth by affidavit the alleged grounds for disqualification.  The Administrative Law Judge shall have 5 days after filing of the motion within which to enter a written ruling thereon.  A copy of the ruling shall be served upon all parties.

 

c)         Any ruling by an Administrative Law Judge denying a request for recusal under this Section may be reviewed by the Commission.  Review shall be sought no more than 3 days from the denial of the motion to recuse or disqualify. The party seeking review of the ruling shall file with the Chief Clerk a verified petition, together with any offer of proof, and shall serve a copy of the petition upon the Administrative Law Judge and all parties to the proceeding.  Other parties and the staff representative may file responses within 3 days after the filing of the petition. The Administrative Law Judge shall have 3 days from the filing of the petition within which to file a report to the Commission with the Chief Clerk, who shall serve copies of the report on the parties and staff representatives.

 

(Source:  Amended at 39 Ill. Reg. 4038, effective April 1, 2015)

 

Section 763.320  Transcripts

 

a)         A complete record of all proceedings conducted under this Part, including oral arguments before the Commission or Administrative Law Judge, shall be transcribed by a reporter appointed by the Commission.  In the event that expedited transcripts are required, the cost of preparation shall be borne by Petitioner.

 

b)         Suggested corrections to the transcript of record must be filed within 7 days from the day on which the hearing is held or at such other time as prescribed by the Administrative Law Judge, and shall be in writing and served upon each party, the official reporter and the Administrative Law Judge.

 

c)         Objections to suggested corrections shall be filed within 5 days after the filing of the suggestions, unless otherwise prescribed by the Administrative Law Judge. The Administrative Law Judge shall determine what changes, if any, shall be made in the record.

 

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

 

(Source:  Amended at 39 Ill. Reg. 4038, effective April 1, 2015)

 

Section 763.330  Consolidation and Severance

 

a)         When not inconsistent with the requirements of the Communications Act of 1934, the Commission or Administrative Law Judge may, to the extent practical, order the consolidation of two or more proceedings under section 252(b) of the Communications Act of 1934 in order to reduce administrative burdens on telecommunications carriers and the Commission in carrying out its responsibilities under section 252 of the Communications Act of 1934.

 

b)         When not inconsistent with the requirements of the Communications Act of 1934, the Commission or Administrative Law Judge may, to the extent practical, order the severance of two or more proceedings previously consolidated under subsection (a) in order to reduce administrative burdens on telecommunications carriers and the Commission in carrying out its responsibilities under section 252 of the Communications Act of 1934 or order the severance of issues from a proceeding in those instances in which the issues need not be decided within the time limit set in the Communications Act of 1934 for the Commission's decision on an agreement adopted by negotiation.

 

(Source:  Amended at 39 Ill. Reg. 4038, effective April 1, 2015)

 

Section 763.340  Information to be Adduced

 

a)         In all proceedings subject to this Part, irrelevant, immaterial or unduly repetitious information shall be excluded.  Relevant information may be admitted at the hearing if it is of a type commonly relied on by reasonably prudent persons in the conduct of their affairs.

 

b)         Whenever a verified statement or exhibit contains language and/or figures that differ from the exhibit offered, the sponsoring party shall indicate all changes in writing either on a corrective sheet or the actual exhibit shall have the corrected language and/or figures so designated.

 

c)         Any information offered in whatever form shall be subject to appropriate and timely objection.  The Administrative Law Judge may, either with or without objection, exclude irrelevant, immaterial, unduly repetitious or otherwise inadmissible information.

 

(Source:  Amended at 39 Ill. Reg. 4038, effective April 1, 2015)

 

Section 763.350  Information to be Under Oath or Affirmation

 

All orally presented information to be considered by the Commission shall be sworn or affirmed testimony.

 

Section 763.360  Stipulation of Facts

 

The parties and Staff may, by written stipulation filed with the Commission or by oral stipulation entered in the record, agree upon the facts or any part thereof related to the contested issues in the proceeding.  Notwithstanding the stipulation of the parties, the Commission or the Administrative Law Judge may require further information in support of the facts so stipulated.

 

(Source:  Amended at 39 Ill. Reg. 4038, effective April 1, 2015)

 

Section 763.370  Exhibits

 

a)         All exhibits shall be marked numerically and/or alphabetically with a party designation and shall conform to the requirements of this Part.

 

b)         When exhibits are identified for the record, unless the Administrative Law Judge directs otherwise, an original and two copies shall be offered at the hearing and a copy provided to the Administrative Law Judge and to each party.

 

(Source:  Amended at 39 Ill. Reg. 4038, effective April 1, 2015)

 

Section 763.380  Ex Parte Communications

 

a)         The provisions of Section 10-60 of the Illinois Administrative Procedure Act [5 ILCS 100/10-60] shall apply in full to Commission proceedings that are subject to this Part. The provisions of Section 10-60 shall not apply, however, to communications between Commission employees who are engaged in investigatory or advocacy functions and other parties to the proceeding, provided that such Commission employees are still prohibited from communicating on an ex parte basis, as designated in Section 10-60, directly or indirectly, with members of the Commission, any Administrative Law Judge in the proceeding, or any Commission employee who is or may reasonably be expected to be involved in the decisional process of the proceeding.

 

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

 

1)         All such written communications;

 

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

 

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

 

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

 

1)         Service on the parties at the hearing; or

 

2)         If no hearing is scheduled within the next seven days, service by hand delivery, overnight mail or courier service or telephone facsimile on all parties to the proceeding.

 

(Source:  Amended at 39 Ill. Reg. 4038, effective April 1, 2015)

SUBPART E: PROCEDURE FOLLOWING INFORMATION GATHERING

 

Section 763.400  Briefs

 

a)         The Administrative Law Judge or the Commission may order the parties to file a brief.  If hearings are held, parties must use transcript citations if they refer to testimony or evidence adduced at a hearing.  In the discretion of the Commission or the Administrative Law Judge, failure to use transcript citations may result in rejection of all or part of the brief.

 

b)         Briefs shall be concise and, if in excess of 20 pages, excluding appendices, shall contain:

 

1)         A table of contents;

 

2)         A short statement of the case;

 

3)         A summary of the position of the party filing; and

 

4)         Argument.

 

(Source:  Amended at 39 Ill. Reg. 4038, effective April 1, 2015)

 

Section 763.410  Draft Proposed Decisions

 

The Administrative Law Judge may permit or require a party or parties to file draft proposed decisions.

 

(Source:  Amended at 39 Ill. Reg. 4038, effective April 1, 2015)

 

Section 763.420  Administrative Law Judge's Proposed Decision

 

In a contested case, the Administrative Law Judge presiding shall prepare a proposed decision, including a statement of findings and conclusions and the reasons or basis therefor, on all material issues.  The proposed decision shall be served by the Chief Clerk of the Commission on all parties to the proceeding.

 

(Source:  Amended at 39 Ill. Reg. 4038, effective April 1, 2015)

 

Section 763.430  Exceptions; Reply

 

a)         The parties may file exceptions to the Administrative Law Judge's proposed decision at such time as is fixed by the Administrative Law Judge or the Commission.  The Administrative Law Judge or the Commission may also require the parties to file as a reply "Brief in Reply to Exceptions."

 

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

 

(Source:  Amended at 39 Ill. Reg. 4038, effective April 1, 2015)

 

Section 763.440  Filing of Briefs (Repealed)

 

(Source:  Repealed at 39 Ill. Reg. 4038, effective April 1, 2015)

 

Section 763.450  Oral Argument

 

The Commission, upon its own motion, may hear oral argument from the parties to the proceeding.

 

Section 763.460  Additional Hearings

 

Before issuance of a final order by the Commission, the Administrative Law Judge may, on his or her own motion or when directed by the Commission, hold additional hearings.

 

(Source:  Amended at 39 Ill. Reg. 4038, effective April 1, 2015)

 

Section 763.470  Reopening on Motion of the Commission

 

After issuance of an order by the Commission, the Commission may, on its own motion, reopen any proceeding when it has reason to believe that conditions of fact or law have so changed as to require, or that the public interest requires, such reopening.

SUBPART F: ELECTRONIC FILING

 

Section 763.1000  Overview of Electronic Filing

 

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

 

(Source:  Added at 24 Ill. Reg. 15945, effective October 15, 2000)

 

Section 763.1010  Acceptable Formats

 

a)         All electronic documents submitted to the Commission via e-Docket shall be in one of the following formats:

 

1)         Microsoft Word for Windows, version 6.0 or greater;

 

2)         Corel WordPerfect for Windows, version 6.0 or greater;

 

3)         Microsoft Excel for Windows, version 4.0 or greater;

 

4)         Lotus 1-2-3 for Windows, version 4.0 or greater;

 

5)         ASCII Text; or

 

6)         Adobe Acrobat Portable Document Format (PDF) version 2.0 or greater.

 

b)         All e-Docket electronic records will be stored by the Commission in Adobe Acrobat PDF. Electronic documents not submitted in PDF will be converted to PDF by the Commission.

 

c)         The Commission encourages persons to submit electronic documents in PDF.

 

(Source:  Added at 24 Ill. Reg. 15945, effective October 15, 2000)

 

Section 763.1020  e-Docket Accounts

 

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

 

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

 

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

 

1)         First name and last name;

 

2)         Primary mailing address and phone number;

 

3)         Preferred user name;

 

4)         Password;

 

5)         Challenge question and answer; and

 

6)         Notarized signature.

 

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

 

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

 

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

 

(Source:  Added at 24 Ill. Reg. 15945, effective October 15, 2000)

 

Section 763.1030  Control Processes

 

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

 

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

 

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

 

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

 

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

 

(Source:  Added at 24 Ill. Reg. 15945, effective October 15, 2000)

 

Section 763.1040  Submission of Electronic Documents

 

a)         Persons filing electronic documents shall receive a receipt with an identification number that shall be sent electronically. Documents that are required to be verified or that have an affidavit must include the scanned verification or affidavit pages in the filed electronic document in Adobe Acrobat PDF; otherwise documents that are required to be verified or that have an affidavit shall be deemed to be officially filed or received only when the person submitting the electronic document submits to the Commission the original verification or affidavit pages accompanied by a printed copy of the electronic receipt for that document.

 

b)         The filing of an electronic document is effective upon acceptance of the complete document and, if applicable, any required original paper verification or affidavit pages by the Chief Clerk of the Commission in one of the formats specified in Section 763.1010(a).  Any required verification or affidavit pages, whether they be in an electronic format or a paper version, must be received and accepted by the Chief Clerk for purposes of meeting filing deadlines, unless otherwise specified by the Commission or the Administrative Law Judge.

 

(Source:  Amended at 39 Ill. Reg. 4038, effective April 1, 2015)

 

Section 763.1045  Electronic Documents Accepted by the Commission

 

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

 

(Source:  Added at 24 Ill. Reg. 15945, effective October 15, 2000)

 

Section 763.1050  Service by Electronic Means

 

a)         Service by electronic means is allowed when agreed to by individual parties. Not withstanding Section 763.150, any party required to serve a pleading or other document may serve copies of pleadings and other documents on other parties of record by electronic means in substitution of first class mail, provided that the service is on an e-mail address that the recipient has identified in its appearance or in a subsequent filing or agreement.  Because of pagination and format concerns, the parties are encouraged to serve in PDF format. When serving by electronic means, service is deemed complete on the day of electronic transmission if transmitted at or before the time due, except service by electronic means on weekends or holidays shall be deemed complete on the next business day unless otherwise specified by the Commission or the Administrative Law Judge.

 

b)         If any party files a proprietary electronic document (see Section 763.230), that party must serve the proprietary electronic document on any other party of record that has the right to see the document on any legal or contractual basis, such as a confidentiality agreement, and a public redacted version pursuant to Section 763.230.  The e-Docket system does not allow any person outside of the Commission to see or access proprietary electronic documents.

 

(Source:  Amended at 39 Ill. Reg. 4038, effective April 1, 2015)

 

Section 763.1060  Electronic Documents and the Hearing Process

 

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

 

(Source:  Amended at 39 Ill. Reg. 4038, effective April 1, 2015)

SUBPART G: EXPEDITED APPROVAL OF NEGOTIATED AGREEMENTS

 

Section 763.1100  Expedited Approval of Negotiated Agreements

 

Notwithstanding the requirements contained in Subparts B through F, all filings seeking Commission approval of a Negotiated Agreement shall be submitted electronically to the Commission's Negotiated Agreement Filing System pursuant to requirements set forth in this Subpart.

 

(Source:  Added at 39 Ill. Reg. 4038, effective April 1, 2015)

 

Section 763.1110  Negotiated Agreement Filing System Accounts

 

a)         Any party seeking to submit a Negotiated Agreement to the Commission's Negotiated Agreement Filing System must obtain an on-line account with the Commission.

 

b)         The Commission's Chief Clerk shall publish on its website information required by the Commission to register for and maintain an on‑line account to access the Commission's Negotiated Agreement Filing System. This information shall include the website address for the Commission's Negotiated Agreement Filing System.

 

(Source:  Added at 39 Ill. Reg. 4038, effective April 1, 2015)

 

Section 763.1120  Submission of the Negotiated Agreement for Approval

 

a)         One or more parties to the Negotiated Agreement, in seeking approval of a Negotiated Agreement, shall submit a complete and executed electronic copy of the Negotiated Agreement and an electronic transmittal letter that meets all filing requirements of the Commission's Negotiated Agreement Filing System.

 

b)         All documents submitted to the Commission's Negotiated Agreement Filing System shall be in PDF electronic format.

 

c)         Upon successful completion of a submission to the Commission's Negotiated Agreement Filing System, a tracking number will be provided electronically to the submitting party.

 

(Source:  Added at 39 Ill. Reg. 4038, effective April 1, 2015)

 

Section 763.1130  Negotiated Agreement Approval Process

 

a)         A Negotiated Agreement meeting the requirements of Section 763.1120 shall be deemed filed on the third business day after it is electronically entered in the Commission's Negotiated Agreement Filing System ("Filed Date"), and shall be displayed on a public page of the Commission website with the Filed Date.

 

b)         If no Verified Petition contesting approval is timely filed pursuant to subsection (c), or if the Commission does not on its own motion initiate a proceeding for the purposes of determining approval, a Negotiated Agreement filed with the Commission shall, with no further Commission action, be approved pursuant to this Part 30 days after the Filed Date. The Negotiated Agreement shall thereafter be displayed as approved on the Commission's website.

 

c)         An interested party may, within 14 business days after the Filed Date, initiate a docketed proceeding by filing a Verified Petition seeking rejection of the Negotiated Agreement pursuant to the requirements of Section 763.110. Upon the timely filing of a Verified Petition pursuant to Section 763.110, or upon initiation by the Commission on its own motion of a docketed proceeding for the purposes of determining approval, the Commission's website will note that the Negotiated Agreement is the subject of a contested proceeding and indicate the appropriate docket number. When a docketed proceeding is established, the procedures of this Subpart will be suspended and the procedures of Subparts B through F of this Part shall apply to the docketed proceeding. Any party to the Negotiated Agreement shall have the right to pursue approval of the Negotiated Agreement in any such docketed proceeding. In a docketed proceeding, the parties to the Negotiated Agreement retain the burden of proof.

 

d)         If the party or parties seeking approval of a Negotiated Agreement choose to withdraw the agreement, they shall, prior to 30 days after the Filed Date, submit an electronic transmittal letter that meets all filing requirements of the Commission's Negotiated Agreement Filing System stating that they are withdrawing the request for approval of the Negotiated Agreement. The Commission's website will note that the Negotiated Agreement has been withdrawn.

 

(Source:  Added at 39 Ill. Reg. 4038, effective April 1, 2015)