Illinois Compiled Statutes
220 ILCS 5/ - Public Utilities Act.
Article IV - General Powers And Duties Of Commission - Intergovernmental Cooperation - Construction

(220 ILCS 5/Art. IV heading)

 
(220 ILCS 5/4-101) (from Ch. 111 2/3, par. 4-101)
Sec. 4-101. The Commerce Commission shall have general supervision of all
public utilities, except as otherwise provided in this Act, shall inquire into
the management of the business thereof and shall keep itself informed as to the
manner and method in which the business is conducted. It shall examine those
public utilities and keep informed as to their general condition, their
franchises, capitalization, rates and other charges, and the manner in which
their plants, equipment and other property owned, leased, controlled or
operated are managed, conducted and operated, not only with respect to the
adequacy, security and accommodation afforded by their service but also with
respect to their compliance with this Act and any other law, with the orders
of the Commission and with the charter and franchise requirements.
Whenever the Commission is authorized or required
by law to consider some aspect of criminal history record information for
the purpose of carrying out its statutory powers and responsibilities,
then, upon request and payment of fees in conformance with the requirements
of Section 2605-400 of the Illinois State Police Law, the Illinois State Police is authorized to furnish,
pursuant to positive identification, such information contained in State
files as is necessary to fulfill the request.
The Commission shall require all public utilities to establish a security policy that includes on-site safeguards to restrict physical or electronic access to critical infrastructure and computerized control and data systems. The Commission shall maintain a record of and each regulated entity shall provide to the Commission an annual affidavit signed by a representative of the regulated entity that states:
(Source: P.A. 102-538, eff. 8-20-21.)
 
(220 ILCS 5/4-201) (from Ch. 111 2/3, par. 4-201)
Sec. 4-201.
It is hereby made the duty of the Commission to see that the
provisions of the Constitution and statutes of this State affecting public
utilities, the enforcement of which is not specifically vested in some
other officer or tribunal, are enforced and obeyed, and that violations
thereof are promptly prosecuted and penalties due the State therefor
recovered and collected, and to this end it may sue in the name of the
People of the State.
It shall be the duty of the Commission, at the direction and discretion
of the Chairman, to assemble and maintain an electronic trespass
enforcement assistance staff consisting of experts in computer systems,
electronics and other professional disciplines to aid public utilities,
businesses, individuals and law enforcement agencies in detecting and
preventing electronic trespass violations and enforcing the provisions of
Sections 17-50, 17-51, and 17-52 of the Criminal Code of 2012 or any other relevant statute.
No cause of action shall exist and no liability may be imposed either
civil or criminal, against the State, the Chairman of the Commission or any
of its members, or any employee of the Commission, for any act or omission
by them in the performance of any power or duty authorized by this Section,
unless such act or omission was performed in bad faith and with intent to
injure a particular person.

(Source: P.A. 97-1150, eff. 1-25-13.)
 
(220 ILCS 5/4-202) (from Ch. 111 2/3, par. 4-202)
Sec. 4-202.
Action for injunction.
Whenever the Commission shall be of the opinion that any
public
utility is failing or omitting or about to fail or omit to do anything
required of it by law or by any order, decision, rule, regulation,
direction, or requirement of the Commission, issued or made under authority
of this Act, or is doing anything or about to do anything or permitting
anything or about to permit anything to be done contrary to or in
violation of law or any order, decision, rule, regulation, direction, or
requirement of the Commission, issued or made under authority of this Act,
the Commission shall file an action or proceeding in the circuit court
in and for the county in which the case or some part thereof arose, or in
which the person or corporation complained of, if any, has its principal
place of business, or in which the person complained of, if any, resides,
in the name of the People of the State of Illinois, for the purpose of
having the violation or threatened violation stopped and prevented, either
by mandamus or injunction.
The Commission may express its opinion in a
resolution based upon whatever facts and evidence have come to its
attention and may issue the resolution ex parte and without holding any
administrative hearing before bringing suit. Except in cases involving an
imminent threat to the public health or public safety, no such resolution shall
be adopted until 48 hours after the public utility has been given notice of (i)
the substance of the alleged violation, including a citation to the law or
order,
decision, rule, regulation, or direction of the Commission alleged to have been
violated and (ii) the time and date of the meeting at which such resolution
will first be before the Commission for consideration.
The Commission shall file the action or
proceeding by complaint in the circuit court alleging the violation or
threatened violation complained of and praying for appropriate relief by
way of mandamus or injunction. It shall thereupon be the duty of the court
to specify a time, not exceeding 20 days after the service of the copy of
the complaint, within which the public utility complained of must answer
the complaint, and in the meantime said public utility may be restrained. In
case of default in answer, or after answer, the court shall immediately
inquire into the facts and circumstances of the case. Such corporation or
persons as the court may deem necessary or proper to be joined as parties,
in order to make its judgment or order effective, may be joined as
parties. The final judgment in any action or proceeding shall
either
dismiss the action or proceeding or grant relief by mandamus or
injunction or be made permanent as prayed for in the
complaint, or in
such modified or other form as will afford appropriate relief. An appeal
may be taken from such final judgment as in other civil cases.

(Source: P.A. 93-457, eff. 8-8-03.)
 
(220 ILCS 5/4-202.1)
Sec. 4-202.1.

Enforcement of service area agreement between municipality
and electric cooperative.
(a) The Commission shall approve, interpret, and enforce service area
agreements between municipalities and electric cooperatives as provided in
Section 11-117-1.1 of the Illinois Municipal Code.
(b) The provisions of this Section are severable under Section 1.31 of the
Statute on Statutes.

(Source: P.A. 88-335.)
 
(220 ILCS 5/4-203) (from Ch. 111 2/3, par. 4-203)
Sec. 4-203.
Action to recover penalties.
(a) All civil penalties established under this Act shall be assessed and
collected
by the Commission. Except for the penalties provided under Section 2-202, civil
penalties may be assessed only after notice and opportunity to be heard. In
determining the amount of the
penalty, the Commission shall consider
the appropriateness of the penalty to the size of the business of the public
utility, corporation other than a public utility, or person acting as a public
utility charged, the gravity of the violation, such other mitigating
or aggravating factors as the Commission may find to exist, and
the good faith of the public
utility, corporation other than a public utility, or person acting as a public
utility charged in attempting to achieve compliance after notification of a
violation. Nothing in this Section, however, increases or
decreases any minimum or maximum penalty prescribed elsewhere in this Act.
(b) If timely judicial review of a Commission order that imposes a civil
penalty is
taken by the public utility, corporation other than a public utility, or person
acting as a public utility on which the civil penalty has been imposed, the
reviewing court shall enter a judgment on all amounts upon affirmance of the
Commission order. If timely judicial review is not taken and the civil penalty
remains unpaid for 60 days after service of the
order, the Commission in its discretion may either begin revocation proceedings
or bring suit to recover the penalties. Unless stayed by a reviewing court,
interest at the post-judgment rate set forth in Section 2-1303 of the Code of
Civil Procedure
shall accrue from 60 days after the date of service of the Commission
order.
(c) Actions to recover delinquent civil penalties under this Act shall be
brought in the name of the People of the State of Illinois in the circuit court
in and for the county in which the cause, or some part thereof, arose, or in
which the corporation
complained
of, if any, has its principal place of business, or in which the person, if
any, complained of, resides. The action shall be commenced and prosecuted to
final judgment by the Commission. In any such action, all interest incurred up
to the time of final court judgment may be sued for and recovered in that
action. In all such actions, the procedure and rules of evidence shall be the
same as in ordinary civil actions, except
as otherwise herein provided. All fines and penalties recovered by the State
in any such action shall be paid into the State treasury to the credit of the
General Revenue Fund. Any such action may be compromised or discontinued on
application of the Commission
upon such terms as the court shall approve and order.
(d) Civil penalties related to the late filing of reports, taxes, or other
filings shall
be paid into the State treasury to the credit of the Public Utility Fund.
Except as otherwise provided in this Act, all other fines and civil penalties
shall be paid into the State treasury to the credit of the General Revenue
Fund.

(Source: P.A. 93-457, eff. 8-8-03.)
 
(220 ILCS 5/4-204) (from Ch. 111 2/3, par. 4-204)
Sec. 4-204.
If the Secretary
of State has dissolved or revoked the authority of any domestic or foreign company regulated under this Act to do business in Illinois because that company
has not paid a franchise tax, license fee, filing fee, or penalty required under the
Business Corporation Act of 1983 or under any other Illinois statute governing the formation or organization of domestic or foreign corporations, limited liability companies, partnerships, associations, or other organizations,
then the
franchise, license, permit, or right to engage in any business required
under this Act shall be suspended by operation of law until such time within a one-year period after the date of suspension as the delinquent
franchise tax, license fee, filing fee, or penalty is paid and revoked by operation of law for failure to pay the delinquent franchise tax, license fee, filing fee, or penalty within the one-year suspension period.

(Source: P.A. 100-840, eff. 8-13-18.)
 
(220 ILCS 5/4-205) (from Ch. 111 2/3, par. 4-205)
Sec. 4-205.

This amendatory Act of 1985 shall not have the effect to
release or waive any right of action by the State, the Commission, or by
any body politic, municipal corporation, person or corporation for any
right or penalty which may have arisen or accrued or may hereafter arise or
accrue under this Act or any law of this State.
All penalties accruing under this Act shall be cumulative of each other,
and suit for the recovery of one penalty shall not be a bar to or affect
the recovery of any other penalty or be a bar to any criminal prosecution
against any public utility, or any officer, director, agent or employee
thereof, or any other corporation or person.

(Source: P.A. 84-617.)
 
(220 ILCS 5/4-301) (from Ch. 111 2/3, par. 4-301)
Sec. 4-301.
The Commission may confer in person, or by correspondence, by
attending conventions, or in any other way, with Commissions and any and
all agencies dealing with public utilities of other states and of the
United States on any matters relating to public utilities.
The Commission shall have full power and authority to make joint
investigations, hold joint hearings within or without the State, and
issue joint or concurrent orders in conjunction with any official,
board, commission or agency of any state or of the United States. In the
holding of such investigations or hearings, or in the making of such
orders, the Commission shall function under agreements or compacts
between states or under the concurrent power of states to regulate the
interstate commerce, or as an agency of the United States, or otherwise.
The Commission shall make whenever requested by the Governor, the General Assembly, or either branch of the General Assembly a
report within 90 days or any other time period specified within such request, which shall contain copies of all
orders issued by the Commission which it deems of special importance or
general significance, and any information in the possession of the
Commission which it shall deem of value to the people of the State.
The Commission shall conduct a hearing and take testimony relative to
any pending legislation with respect to any person, corporation or
matter within its jurisdiction, if requested to do so by the Governor,
the General Assembly, or either branch of the General Assembly, and shall report its
conclusions to the Governor or the General Assembly, as the case may be.
The Commission may also recommend the enactment of such legislation with
respect to any matter within its jurisdiction as it deems wise or
necessary in the public interest. The Commission shall, at such times as
the Governor, the General Assembly, or either branch of the General Assembly shall direct, examine any particular subject connected with
the condition and management of public utilities, and report to the Governor or the General Assembly, as the case may be, in
writing its opinion thereon with its reasons therefor.

(Source: P.A. 98-15, eff. 5-22-13.)
 
(220 ILCS 5/4-302) (from Ch. 111 2/3, par. 4-302)
Sec. 4-302.

The Commission shall cooperate with the Regional Transportation
Authority created pursuant to the "Regional Transportation Authority Act",
enacted by the 78th General Assembly, in the exercise of the powers of the
Authority as provided in that Act.
Transportation Agencies which have any purchase of service agreement
with a Service Board as provided in the "Regional Transportation Authority
Act" shall not be subject to this Act as to any public transportation which
is the subject of such agreement. Any service and business exempted from
this Act pursuant to this Section shall not be considered "intrastate
public utility business" as defined in Section 3-120 of this Act.
No contract between any Transportation Agency and the Authority or a
Service Board or acquisition by the Authority or a Service Board of any
property, including property of a
Transportation Agency pursuant to and as defined in the Regional
Transportation Authority Act, shall, except as provided in such Act, be
subject to the supervision, regulation or approval of the Commission.
In the event a Service Board shall determine that any Public
Transportation service provided by any Transportation Agency with which
that Service Board has a Purchase of Service Agreement is not necessary for the
public interest and shall for that reason decline to enter into any
Purchase of Service Agreement for such particular service, all pursuant to
and as defined in such Regional Transportation Authority Act, then the
discontinuation of such service by such Transportation Agency shall not be
subject to the supervision, regulation or approval of the Commission.

(Source: P.A. 84-617; 84-1025.)
 
(220 ILCS 5/4-303) (from Ch. 111 2/3, par. 4-303)
Sec. 4-303.

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

(Source: P.A. 84-617; 84-1025.)
 
(220 ILCS 5/4-304) (from Ch. 111 2/3, par. 4-304)
Sec. 4-304.
Beginning in 1986, the Commission shall prepare an
annual report which shall be filed by January 31 of each year with the Joint
Committee on Legislative Support Services of the General Assembly and the Governor and which shall be publicly available. Such
report shall include:
The Commission may include such other information as it deems to be
necessary or beneficial in describing or explaining its activities or
regulatory responsibilities. The report required by this Section shall be
adopted by a vote of the full Commission prior to filing.

(Source: P.A. 100-840, eff. 8-13-18; 101-81, eff. 7-12-19.)
 
(220 ILCS 5/4-305)
Sec. 4-305. (Repealed).


(Source: P.A. 88-226. Repealed by P.A. 100-840, eff. 8-13-18.)
 
(220 ILCS 5/4-401) (from Ch. 111 2/3, par. 4-401)
Sec. 4-401.

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

(Source: P.A. 84-617.)
 
(220 ILCS 5/4-402) (from Ch. 111 2/3, par. 4-402)
Sec. 4-402.

This amendatory Act of 1985 shall not affect pending actions
or proceedings, civil or criminal, in any court or other tribunal brought
by or against the People of the State of Illinois or the Illinois Commerce
Commission or by any other person, firm or corporation under the provisions
of this Act or any other Act establishing or conferring power on the
Commission, nor abate any causes of action arising thereunder, but the same
may be instituted, prosecuted and defended with the same effect as though
this amendatory Act had not been passed. Any investigation, hearing or
proceeding, instituted or conducted by the Commission prior to the taking
effect of this amendatory Act shall be conducted and continued to a final
determination by the Commission with the same effect as if this amendatory
Act had not been passed.
All findings, orders, decisions, rules and regulations issued or
promulgated by the Commission under this Act or
any other Act establishing or conferring power on the Commission, shall
continue in force; and the Commission hereby created shall have all powers
with respect to said findings, orders, decisions, rules and regulations as
though said findings, orders, decisions, rules and regulations had been
made, issued or promulgated by the Commission under this amendatory Act.
Notwithstanding the provisions of this Section, where applicable, the
Commission shall amend its findings, orders, decisions, rules and
regulations to conform to the provisions of this Act as soon as practicable
after the effective date.

(Source: P.A. 84-617.)
 
(220 ILCS 5/4-404)
Sec. 4-404. Protection of confidential and proprietary
information. The Commission shall provide adequate protection
for confidential and proprietary information furnished,
delivered or filed by any person, corporation or other entity, including proprietary information provided to the Commission by the Illinois Power Agency.

(Source: P.A. 95-481, eff. 8-28-07.)
 
(220 ILCS 5/4-501)
Sec. 4-501.

Small public utilities and telecommunications carriers;
circuit
court appointment of receiver; bond.
(a) If a public utility or telecommunications carrier that has fewer than
7,500 customers:
(b) The court shall hold a hearing within 5 days of the filing of the
petition. The petition and notice of the hearing shall be served upon the
owner
or designated agent of the public utility or telecommunications carrier as
provided under the Civil Practice Law, or the petition and notice of hearing
shall be posted in a conspicuous area at a location where the public utility or
telecommunications carrier normally conducts its business affairs, not later
than 3 days before the time specified for the hearing unless a different
period is fixed by order of court.
If a petition for receivership and verifying affidavit executed by the
executive director of the Commission or the person designated by the executive
director allege an immediate and serious danger to residents constituting an
emergency, the court shall set the matter for hearing within 3 days and may
appoint a temporary receiver ex parte upon the strength of the petition and
affidavit
pending a full evidentiary hearing. The court shall hold a full evidentiary
hearing on the petition within 5 days of the appointment of the temporary
receiver. The public utility or telecommunications carrier shall be served
with the petition, affidavit, and notice of hearing in the manner provided in
this subsection not later than 3 days before the time specified for the
full evidentiary hearing, unless a different period is fixed by order of court.
(c) After a hearing, the court shall determine whether to grant the
petition.
A receiver appointed under this Section shall be a responsible person,
partnership, or corporation knowledgeable in the operation of the type of
public utility or telecommunications carrier that is the subject of the
petition for receivership.
(d) A receiver appointed by the court shall file a bond. The receiver
shall operate the public utility or telecommunications carrier to preserve its
assets and to serve the best interests of its customers. The receiver
appointed shall directly or by its agents and attorneys enter upon and take
possession of the public utility's or telecommunications carrier's facilities
and
operations
and may exclude from the public utility's or telecommunications carrier's
facilities any or all of the public utility's or telecommunications carrier's
officers, agents, or employees and all persons claiming under them. The
receiver
shall have possession and control the facilities and shall
exercise all rights and powers with respect to the facilities that could be
exercised by the
public utility or telecommunications carrier. The receiver shall
maintain, restore, insure, and make all proper repairs to the public utility or
telecommunications
facilities.
The receiver shall have the powers and duties necessary for the
continued operation of the public utility or telecommunications carrier and the
provision of continuous and adequate services to customers.
(e) The receiver shall, in the performance of the powers conferred, act
under
the supervision of the court making the appointment. The receiver is at all
times subject
to the orders of the court and may be removed by the court. The court may
enter other orders that it considers appropriate for the exercise by the
receiver of functions specifically set forth in this Section.
The receiver shall be compensated from the assets of the public utility or
telecommunications carrier in an amount to be determined by the court. In
addition, in a suit, action, or proceeding by or against the receiver of a
public utility or telecommunications carrier, the fees, counsel fees, and
expenses of the receiver, if any, that are incurred to prosecute or defend
the suit, action, or proceeding shall be paid out of the assets of the
public utility or telecommunications carrier.
(f) If the receiver determines that the public utility's or
telecommunications
carrier's actions that caused it to be placed under the control and
responsibility of the receiver were due to misappropriation or wrongful
diversion of the assets or income of the company or to other misconduct by a
director, officer, or manager of the company, the receiver shall file a
petition
with the circuit court that issued the order of receivership for an order that
the director, officer, or manager be ordered to pay compensatory damages to
the
company because of the misappropriation, diversion, or misconduct.
(g) Control of and responsibility for the public utility or
telecommunications carrier shall remain in the receiver until, upon a showing
of
good cause by the public utility or telecommunications carrier, the court
determines that it is in the best interests of its customers that the public
utility or telecommunications carrier be returned to the owners or the court
determines that the receiver is no longer required. The court may also direct
the receiver to liquidate the assets of the public utility or
telecommunications carrier in the manner provided by law.
(h) The appointment of a receiver shall be in addition to any other remedies
provided by law.

(Source: P.A. 91-357, eff. 7-29-99.)
 
(220 ILCS 5/4-502)
Sec. 4-502. Small public utility or telecommunications carrier;
acquisition
by capable utility; Commission determination; procedure.
(a) The Commission may provide for the acquisition of a small public utility
or
telecommunications carrier by a capable public utility or telecommunications
carrier, if the Commission, after notice and an opportunity to be heard,
determines one or more of the following:
(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:
(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:
(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:
(f) Subject to the determinations and considerations required by subsections
(a), (b), (c), (d) and (e) of this Section, the Commission shall issue an order
concerning the acquisition of the small public utility or telecommunications
carrier by a capable public utility or telecommunications carrier. If the
Commission finds that the small public utility or telecommunications carrier
should be acquired by the capable public utility or telecommunications
carrier, the order shall also provide for the extension of the service area of
the acquiring capable public utility or telecommunications carrier.
(g) The price for the acquisition of the small public utility or
telecommunications carrier shall be determined by agreement between the small
public utility or telecommunications carrier and the acquiring capable public
utility or telecommunications
carrier subject to a determination by the Commission that the price is
reasonable. If the small public utility or telecommunications carrier and the
acquiring capable public utility or telecommunications carrier are unable to
agree on the acquisition price or the Commission
disapproves the acquisition price upon which they
have agreed, the Commission shall issue an order
directing the acquiring capable public utility or telecommunications carrier to
acquire the small public utility or telecommunications carrier by following the
procedure prescribed for the exercise of the powers of eminent domain under
Section 8-509 of this Act.
(h) The Commission may, in its discretion and for a reasonable period of
time after the date of acquisition, allow the acquiring capable public utility
or telecommunications carrier to charge and collect rates from the customers of
the acquired small public utility or telecommunications carrier under a
separate tariff.
(i) A capable public utility or telecommunications carrier ordered by the
Commission to acquire a small
public utility or telecommunications carrier shall submit to
the Commission for approval before the acquisition a plan, including a
timetable, for bringing the
small public utility or telecommunications carrier into compliance with
applicable statutory and regulatory standards.

(Source: P.A. 95-481, eff. 8-28-07.)
 
(220 ILCS 5/4-601)
Sec. 4-601. Consumer protection laws.
(a) The General Assembly finds that consumer protection is vital to the health, safety, and welfare of Illinois consumers.
(b) Notwithstanding any other provision of law, the Commission and its staff shall:
(c) Subject to subdivision (1) of Section 10b of the Consumer Fraud and Deceptive Business Practices Act, the Attorney General and the State's Attorney of any county shall have available all remedies and authority granted to them by the Consumer Fraud and Deceptive Business Practices Act.
The remedies for violations of this
Act and its rules are not intended to replace other remedies
that may be imposed for violations of the Consumer Fraud and Deceptive Business Practices Act and are in addition to, and not in
substitution for, such other remedies, nor is this Act intended to remove any statutorily defined defenses.

(Source: P.A. 93-881, eff. 1-1-05.)
 
(220 ILCS 5/4-602)
Sec. 4-602. Electric utility workforce study.
(a) The Commission shall conduct a comprehensive workforce analysis study of each electric utility to determine the adequacy of the total in-house staffing in each job classification or job title critical to maintaining quality reliability and restoring service in each electric utility's service territory. Each report shall contain a yearly detailed comparison beginning with 1995 and ending in 2006 of each electric utility's ratio of:
The ratios shall be reported from each utility's named service area, district, division, outlying area, village, municipality, reporting point, or region. The analysis shall determine the total number of contractor employees for the same time frame and shall be conducted in the same manner as the in-house analysis.
(b) The Commission may hold public hearings while conducting the analysis to assist in the adequacy of the study. The Commission must hold public hearings on the study and present the results to the General Assembly no later than January 1, 2009.
(c) An electric utility shall bear the costs of issuing any reports required by this Section and it shall not be entitled to recovery of any costs incurred in complying with this Section.


(Source: P.A. 95-81, eff. 8-13-07.)
 
(220 ILCS 5/4-603)
Sec. 4-603. Adequate employment for in-house utility employees. The staff of the Commission shall develop benchmarks for employee staffing levels for each classification and employee training for each classification, subject to the requirements of Section 4-602 of this Act, within one year after the effective date of this amendatory Act of the 96th General Assembly.

(Source: P.A. 95-81, eff. 8-13-07; 96-582, eff. 8-18-09.)
 
(220 ILCS 5/4-604)
Sec. 4-604. Electric and gas public utilities ethical conduct and transparency.
(a) It is the policy of this State that, as regulated, monopoly entities providing essential services, public utilities must adhere to the highest standards of ethical conduct. It is in the public interest to ensure ethical public utility conduct of the highest standards. It is therefore necessary for the public interest, safety, and welfare of the State and of public utility customers to develop rigorous ethical standards and scrutinize and limit public utility actions, expenditures, and contracting. It is also necessary to provide increased transparency to ensure ethical public utility conduct.
(b) The standards set forth in this Section and the Illinois Administrative Code rules implementing this Section shall apply, to the extent practicable, to electric and gas public utilities and their energy-related affiliates.
(c) Public Utility Ethics and Compliance Monitor. To ensure that public utilities meet the highest level of ethical standards, including, but not limited to, those standards established in this Section, the Commission shall, within 60 days after the effective date of this amendatory Act of the 102nd General Assembly, establish an Ethics and Accountability Division at the Commission and shall create a new position of Public Utility Ethics and Compliance Monitor who reports to the Executive Director of the Commission. The role of the Public Utility Ethics and Compliance Monitor shall be to oversee electric and gas public utilities' compliance with the standards established in this Section, the Illinois Administrative Code, and any other regulatory or statutory obligation regarding standards of ethical conduct. The responsibilities of the Public Utility Ethics and Compliance Monitor shall include:
(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:
(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.
(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:
(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.)
 
(220 ILCS 5/4-604.5)
Sec. 4-604.5. Restitution for misconduct.
(a) It is the policy of this State that public utility ethical and criminal misconduct shall not be tolerated. The General Assembly finds it necessary to collect restitution, to be distributed as described in subsection (e), from a public utility that has been found guilty of violations of criminal law or that has entered into a Deferred Prosecution Agreement that details violations of criminal law that result in harm to ratepayers.
(b) In light of such violations, the Illinois Commerce Commission shall, within 150 days after the effective date of this amendatory Act of the 102nd General Assembly, initiate an investigation as to whether Commonwealth Edison collected, spent, allocated, transferred, remitted, or caused in any other way to be expended ratepayer funds in connection with the conduct detailed in the Deferred Prosecution Agreement of July 16, 2020 between the United States Attorney for the Northern District of Illinois and Commonwealth Edison. The investigation shall also determine whether any ratepayer funds were used to pay the criminal penalty agreed to in the Deferred Prosecution Agreement. The investigation shall determine whether the public utility collected, spent, allocated, transferred, remitted, or caused in any other way to be expended ratepayer funds that were not lawfully recoverable through rates, and which should accordingly be refunded to ratepayers and calculate such benefits to initiate a refund to ratepayers as a result of such conduct. The investigation shall conclude no later than 330 days following initiation and shall be conducted as a contested case, as defined in Section 1-30 of the Illinois Administrative Procedure Act.
(c) If regulated entities are found guilty of criminal conduct, the Commission may initiate an investigation, impose penalties, order restitution and such other remedies it deems necessary, and initiate refunds to ratepayers as described in subsection (b). Such investigation and proceeding may commence within 150 days of a finding of guilt. Any funds collected pursuant to this subsection shall be distributed as described in subsection (e). The Commission may order any other remedies it deems necessary.
(d) Pursuant to subsection (e), the investigation shall calculate a schedule for remittance to State funds and to ratepayers, over a period of no more than 4 years, to be paid by the public utility from profits, returns, or shareholder dollars. No costs related to the investigation or contested proceeding authorized by this Section, restitution, or refunds may be recoverable through rates.
(e) Funds collected pursuant to this Section, for the purposes of restitution, shall be repaid by the public utility as a per therm or per-kilowatt-hour credit to the public utility's ratepayers as a separate line item on the utility bill.
(f) No public utility may use ratepayer funds to pay a criminal penalty imposed by any local, State, or federal law enforcement entity or court.
(g) Any penalties, restitution, refunds, or remedies provided for in this Section are in addition to and not a substitution for other remedies that may be provided for by law.

(Source: P.A. 102-662, eff. 9-15-21.)
 
(220 ILCS 5/4-605)
Sec. 4-605. Reliability mitigation plan findings. The General Assembly finds that reducing carbon dioxide and copollutant emissions in a manner that does not threaten electric reliability and resource adequacy is essential to the health and safety of all Illinois citizens. Therefore, the Commission shall review reliability mitigation plans filed pursuant to Section 9.15 of the Environmental Protection Act to ensure adequate, reliable, affordable, efficient, and environmentally sustainable electric service is available to ratepayers by approving reliability mitigation plans that permit the Illinois Pollution Control Board to enforce emission reductions in a manner that preserves reliability and resource adequacy in wholesale and retail electricity markets.

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

Structure Illinois Compiled Statutes