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. 8541, effective June 18, 1996, for a maximum of 150 days; emergency rule suspended at 20 Ill. Reg. 14289, effective November 1, 1996; suspension withdrawn at 21 Ill. Reg. 5660, effective May 2, 1997; adopted at 21 Ill. Reg. 6468, effective May 16, 1997; emergency amendment at 24 Ill. Reg. 7892, effective May 22, 2000, for a maximum of 150 days; amended at 24 Ill. Reg. 15958, effective October 15, 2000.

SUBPART A: GENERAL PROVISIONS

 

Section 761.10  Procedure Governed

 

This Part governs practice and procedure before the Illinois Commerce Commission (Commission) in the arbitration proceedings required by Section 252(b) of the Communications Act of 1934 (47 U.S.C. 252(b)).

 

Section 761.20  Deviation from this Part

 

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

 

Section 761.30  Definitions

 

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

 

            "Commissioner" means a member of the Commission.

 

            "Documents" means petitions, responses, amended and supplemental petitions, written discovery, responses to discovery, verified statements, verified exhibits, depositions, motions, responses, replies, notices, proposed arbitration decisions, exceptions to Hearing Examiners' proposed arbitration decisions, briefs, draft proposed arbitration decisions, and similar writings.

 

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

 

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

 

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

 

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

 

            "Electronic signature" means a signature in electronic form issued by the Commission pursuant to Section 761.1020 and consisting of a user I.D. and password attached to or logically associated with an electronic document.

 

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

 

            "Hearing Examiner" means a person employed by the Commission under Section 2-106 of the Public Utilities Act, who is assigned to conduct arbitration proceedings pursuant to Section 252 of the Communications Act of 1934 (47 USC 252).  A Commissioner may also serve as a Hearing Examiner for purposes of this Part.

 

            "Party" means any person who initiates a Commission proceeding by filing a petition for arbitration or a person entitled to file a response to a petition for arbitration pursuant to Section 252(b)(3) of the Communications Act of 1934.  Staff is not a party but shall have the specific rights and duties of parties as enumerated in this Part.  No other person shall be granted party status or be allowed to intervene.

 

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

 

            "Petitioner" means a party who, by petition, applies for or seeks relief through arbitration pursuant to Section 252(b) of the Communications Act of 1934.

 

            "Pleading" means any petition, motion, reply or response filed with the Commission in an arbitration proceeding.

 

            "Respondent" means a party against whom a petition is filed.

 

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

 

(Source:  Amended at 24 Ill. Reg. 15958, effective October 15, 2000)

 

Section 761.40  Authority of Hearing Examiner

 

a)         The Hearing Examiner shall have authority over the conduct of an arbitration and the responsibility for submission of the matter to the Commission for decision. The Hearing Examiner shall have those duties and powers necessary to these ends, including the following:

 

1)         To conduct arbitration hearings and pre-hearing conferences;

 

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

 

3)         To conduct discovery of the parties;

 

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

 

5)         To administer oaths and affirmations;

 

6)         To ensure that the arbitration is conducted in a full, fair and impartial manner, that order is maintained and that unnecessary delay is avoided in the disposition of the proceedings;

 

7)         To examine witnesses and allow parties to examine an adverse party or agent;

 

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

 

9)         To call upon any person at any stage of the arbitration proceeding to produce witnesses or information that is material and relevant to any issue;

 

10)        To issue proposed arbitration decisions pursuant to Section 761.420 of this Part; and

 

11)        To issue protective orders in accordance with 83 Ill. Adm. Code 761.240 of this Part.

 

b)         Any party who fails to comply with an order of the Hearing Examiner may be limited in its presentation of information during the arbitration proceeding.

 

Section 761.50  Federal Preemption of State Court Review

 

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

SUBPART B: FORM, FILING AND SERVICE OF DOCUMENTS

 

Section 761.100  Communications to the Commission

 

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

 

(Source:  Amended at 24 Ill. Reg. 15958, effective October 15, 2000)

 

Section 761.105  Form of Pleadings and Documents

 

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

 

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

 

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

 

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

 

(Source:  Added at 24 Ill. Reg. 15958, effective October 15, 2000)

 

Section 761.110  Filing of Petition for Arbitration

 

a)         All petitions for arbitration:

 

1)         Shall clearly set forth on their first page the date upon which the original request for negotiation under Section 252 of the Communications Act of 1934 (47 U.S.C. 252) was received by the incumbent local exchange carrier and the dates 135 days, 160 days, and 9 months thereafter;

 

2)         Shall be filed during the period from the 135th to the 160th day (inclusive) after the date on which the incumbent local exchange carrier received the request for negotiation under Section 252 of the Communications Act of 1934 (47 U.S.C. 252);

 

3)         Shall be verified; and

 

4)         Shall be accompanied by the Petitioner's discovery requests.

 

b)         The party petitioning the Commission shall, at the same time as it submits the petition, provide the Commission all relevant documentation concerning:

 

1)         The unresolved issues;

 

2)         The position of each of the parties with respect to those issues; and

 

3)         Any other issue discussed and resolved by the parties.

 

c)         A petition for arbitration shall not be accepted for filing unless it is verified.

 

d)         All responses to a petition for arbitration shall be verified, and shall be accompanied by the verified written statements and verified exhibits of all witnesses the party proposes to call at the arbitration hearing.

 

e)         Verified responses and verified written statements and exhibits constituting respondent's support for its response shall be filed no more than 25 days after the filing of the petition for arbitration.

 

Section 761.130  Contents of Documents

 

a)         All documents submitted in arbitration proceedings before the Commission shall display the docket number of the proceeding.  Documents initiating a new arbitration proceeding shall leave a space for the docket number. All documents shall also include the  full name, address, telephone number, and, unless the party has no facsimile number or e-mail address, either directly or through its attorney, facsimile number and e-mail address of the person or the representative of the person filing the document.  A party, in its first pleading in an arbitration proceeding, shall state whether it agrees to accept service by electronic means as provided for in Section 761.1050.  A party later may agree, or may revoke its agreement, to accept electronic service, provided that the party shall file and serve a notice of the later agreement or revocation.

 

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

 

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

 

(Source:  Amended at 24 Ill. Reg. 15958, effective October 15, 2000)

 

Section 761.140  Copies of Documents

 

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

 

b)         For proceedings initiated after January 1, 2000, the original of any document shall be filed with the Chief Clerk.

 

(Source:  Amended at 24 Ill. Reg. 15958, effective October 15, 2000)

 

Section 761.150  Service

 

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

 

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

SUBPART C: PRE-ARBITRATION PROCEDURE AND DISCOVERY

 

Section 761.200  Pre-arbitration Conferences

 

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

 

1)         Scheduling;

 

2)         Identification and simplification of issues;

 

3)         Amendments to documents;

 

4)         Limitations on the number of witnesses;

 

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

 

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

 

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

 

(Source:  Amended at 24 Ill. Reg. 15958, effective October 15, 2000)

 

Section 761.210  Schedule of Pre-arbitration Procedure and Discovery

 

In the absence of a schedule established at a pre-arbitration conference held under Section 761.200 of this Part, proceedings under this Part will be conducted under the following schedule:

 

a)         Respondent files and serves discovery responses and requests for discovery on Petitioner no later than 7 days after filing of the petition for arbitration;

 

b)         Petitioner files and serves verified written statements and exhibits of all witnesses it proposes to call at the arbitration hearing, along with responses to Respondent's discovery requests, no later than 14 days from the filing of the petition for arbitration;

 

c)         Respondent files and serves verified response to petition, and all documents required by Sections 761.110 and 761.120 of this Part no later than 25 days after the filing of the petition for arbitration;

 

d)         Staff files and serves requests for discovery of Petitioner and Respondent no later than 32 days after the filing of the petition;

 

e)         Petitioner and Respondent file and serve discovery responses no later than 7 days after the service of Staff's requests for discovery;

 

f)         Staff files and serves verified written statements and exhibits no later than 46 days from the filing of the petition for arbitration;

 

g)         Petitioner and Respondent file and serve requests for discovery of Staff no later than 53 days after the filing of the petition for arbitration;

 

h)         Staff files and serves discovery responses no later than 60 days after the filing of the petition for arbitration;

 

i)          Petitioner and Respondent file supplemental verified written statements and exhibits of the witnesses they propose to call at the arbitration hearing in order to respond to Staff's verified written statements and exhibits 64 days from the filing of the petition for arbitration.

 

Section 761.220  Failure to Comply with a Discovery Order or a Subpoena

 

If a person or party fails to comply with a discovery order or refuses to attend or be sworn at an arbitration hearing, the Hearing Examiner may: suspend proceedings until compliance is obtained; strike all or any part of the documents of such party; refuse to allow the party to support designated claims or defenses; or proceed on the basis of the best information available from whatever source derived.

 

Section 761.230  Motion to Quash Subpoena

 

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

 

Section 761.240  Protective Orders

 

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

 

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

 

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

 

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

 

(Source:  Amended at 24 Ill. Reg. 15958, effective October 15, 2000)

SUBPART D: ARBITRATION PROCEDURE

 

Section 761.300  Disqualification of Hearing Examiner

 

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

 

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

 

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

 

Section 761.310  Arbitration Hearing Procedure

 

a)         Arbitration hearings shall be commenced not later than 67 days from the filing of the petition for arbitration.

 

b)         The party filing the petition for arbitration shall begin the arbitration by presenting all of its witnesses to be cross-examined.  The party filing the response to the petition for arbitration shall then present all of its witnesses to be cross-examined.  Finally, Staff shall present all of its witnesses to be cross-examined.

 

c)         Where the parties jointly file the petition for arbitration, the Hearing Examiner shall decide the order in which the parties shall present their witnesses for cross-examination.

 

d)         The Hearing Examiner will specify whether certain witnesses may be presented as a panel for cross-examination.

 

Section 761.320  Transcripts

 

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

 

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

 

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

 

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

 

Section 761.330  Consolidation and Severance

 

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

 

b)         Where not inconsistent with the requirements of the Communications Act of 1934, the Commission or Hearing Examiner may, to the extent practical, order the severance of two or more proceedings previously consolidated under subsection (a) of this Section in order to reduce administrative burdens on telecommunications carriers and the Commission in carrying out its responsibilities under Section 252 of the Communications Act of 1934 or order the severance of issues from a proceeding in those instances where the issues need not be decided within the time limit set in the Communications Act of 1934 for the Commission's decision on the arbitration.

 

Section 761.340  Information to be Adduced at Arbitration

 

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

 

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

 

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

 

Section 761.350  Information to be Under Oath or Affirmation

 

All orally presented information to be considered by the Commission at the arbitration shall be sworn or affirmed.  All other information submitted at the arbitration shall be verified pursuant to Section 761.130(b) of this Part.

 

Section 761.360  Stipulation of Facts

 

The parties to any arbitration before the Commission may, by written stipulation filed with the Commission or by oral stipulation entered in the record, agree upon the facts or any part thereof related to the contested issues in the arbitration. Notwithstanding the stipulation of the parties, the Commission or the Hearing Examiner may require further information in support of the facts so stipulated.

 

Section 761.370  Exhibits

 

a)         All exhibits shall be marked numerically and/or alphabetically with a party designation and shall conform to the requirements of Section 761.130 of this Part.

 

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

 

Section 761.380  Ex Parte Communications

 

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

 

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

 

1)         All such written communications;

 

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

 

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

 

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

 

1)         Service on the parties at the arbitration; or

 

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

SUBPART E: POST-HEARING PROCEDURE

 

Section 761.400  Briefs

 

a)         At the close of the arbitration, the Hearing Examiner or the Commission may order the parties to file a brief. Parties must use transcript citations if they refer to testimony or evidence adduced at the arbitration hearings.  In the discretion of the Commission or the Hearing Examiner, failure to use transcript citations may result in rejection of all or part of the brief.

 

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

 

1)         A table of contents;

 

2)         A short statement of the case;

 

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

 

4)         Argument.

 

Section 761.410  Draft Proposed Arbitration Decisions

 

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

 

Section 761.420  Hearing Examiner's Proposed Arbitration Decision

 

The Hearing Examiner presiding shall, after the close of the arbitration, prepare a proposed arbitration decision, including a statement of findings and conclusions and the reasons or basis therefor, on all the material issues of fact, law or discretion presented on the record.  Such proposed arbitration decision, shall be served by the Chief Clerk of the Commission on all parties to the arbitration.

 

Section 761.430  Exceptions; Reply

 

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

 

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

 

Section 761.440  Filing of Briefs

 

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

 

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

 

(Source:  Amended at 24 Ill. Reg. 15958, effective October 15, 2000)

 

Section 761.450  Oral Argument

 

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

 

Section 761.460  Additional Hearings

 

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

 

Section 761.470  Reopening on Motion of the Commission

 

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

SUBPART F: ELECTRONIC FILING

 

Section 761.1000  Overview of Electronic Filing

 

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

 

(Source:  Added at 24 Ill. Reg. 15958, effective October 15, 2000)

 

Section 761.1010  Acceptable Formats

 

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

 

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

 

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

 

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

 

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

 

5)         ASCII Text; or

 

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

 

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

 

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

 

(Source:  Added at 24 Ill. Reg. 15958, effective October 15, 2000)

 

Section 761.1020  e-Docket Accounts

 

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

 

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

 

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

 

1)         First name and last name;

 

2)         Primary mailing address and phone number;

 

3)         Preferred user name;

 

4)         Password;

 

5)         Challenge question and answer; and

 

6)         Notarized signature.

 

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

 

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

 

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

 

(Source:  Added at 24 Ill. Reg. 15958, effective October 15, 2000)

 

Section 761.1030  Control Processes

 

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

 

b)         Only members of the service list for a particular arbitration proceeding are allowed to file electronic documents in that case.

 

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

 

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

 

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

 

(Source:  Added at 24 Ill. Reg. 15958, effective October 15, 2000)

 

Section 761.1040  Submission of Electronic Documents

 

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

 

b)         The filing of an electronic document is effective upon acceptance of the complete document and, if applicable, any required original paper verification or affidavit pages by the Chief Clerk of the Commission in one of the formats specified in Section 761.1010(a).  Any required verification or affidavit pages, whether they be in an electronic format or a paper version, must be received and accepted by the Chief Clerk for purposes of meeting filing deadlines, unless otherwise specified by the Commission or the Hearing Examiner.

 

(Source:  Added at 24 Ill. Reg. 15958, effective October 15, 2000)

 

Section 761.1045  Electronic Documents Accepted by the Commission

 

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

 

(Source:  Added at 24 Ill. Reg. 15958, effective October 15, 2000)

 

Section 761.1050  Service by Electronic Means

 

a)         Service by electronic means is allowed when agreed to by individual parties. Notwithstanding Section 761.150, any party required to serve a pleading or other document may serve copies of pleadings and other documents on other parties of record by electronic means in substitution of first class mail, provided that the service is on an e-mail address that the recipient has identified in its appearance or in a subsequent filing or agreement. Because of pagination and format concerns, the parties are encouraged to serve in PDF. When serving by electronic means, service is deemed complete on the day of electronic transmission if transmitted at or before the time due, except service by electronic means on weekends or holidays shall be deemed complete on the next business day unless otherwise specified by the Commission or the Hearing Examiner.

 

b)         If any party files a proprietary electronic document (see Section 761.240), that party must serve the proprietary electronic document on any other party of record that has the right to see the document on any legal or contractual basis, such as a confidentiality agreement, and a public redacted version pursuant to Section 761.240. The e-Docket system does not allow any person outside of the Commission to see or access proprietary electronic documents.

 

(Source:  Added at 24 Ill. Reg. 15958, effective October 15, 2000)

 

Section 761.1060  Electronic Documents and the Hearing Process

 

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

 

(Source:  Added at 24 Ill. Reg. 15958, effective October 15, 2000)