Section 288.10  Scope

 

a)         This Part applies to the following rate case expenses for which recovery is sought by the public utility through rates:

 

1)         expenses incurred by a public utility to compensate outside counsel/support staff and outside technical experts/support staff for preparing and litigating a rate case filing; and

 

2)         expenses incurred by a public utility to compensate affiliate counsel/support staff and affiliate technical experts/support staff for preparing and litigating a rate case filing.

 

b)         This Part also applies to the disbursement of compensation pursuant to Section 9-229 of the Public Utilities Act [220 ILCS 5] from the Consumer Intervenor Compensation Fund for any docketed proceedings in which public utilities seek to recover rate case expenses or in any other docketed proceedings concerning matters affecting programs, plans, tariffs, policies, pricing, rates, costs, charges, or other offerings associated with utility service.

 

(Source:  Amended at 47 Ill. Reg. 5619, effective April 7, 2023)

 

Section 288.20  Definitions

 

"Act" means the Illinois Public Utilities Act [220 ILCS 5].

 

"Administrator" means the person or entity independent of the Commission and chosen by the Commission through a competitive bid process who is responsible for the prudent management of the Consumer Intervenor Compensation Fund and for recommendations for the award of consumer intervenor compensation from the Fund. [220 ILCS 5/9-229(b)(7)(A)]

 

"Commission" means the Illinois Commerce Commission.

 

"Consumer interest representative" or "CIR" means:

 

a residential utility customer or group of residential utility customers represented by a not-for-profit group or organization registered with the Illinois Attorney General under the Solicitation of Charity Act;

 

representatives of not-for-profit groups or organizations whose membership is limited to residential utility customers; or

 

representatives of not-for-profit groups or organizations whose membership includes Illinois residents and that address the community, economic, environmental, or social welfare of Illinois residents, except government agencies or intervenors specifically authorized by Illinois law to participate in Commission proceedings on behalf of Illinois consumers. [220 ILCS 5/9-229(b)(2)]

 

"Eligible costs" means costs incurred by a consumer interest representative to represent residential consumer interests in a proceeding before the Commission, including reasonable attorney's or advocate's fees, reasonable expert witness fees, and other reasonable costs of preparation for and participation in a hearing or proceeding, including reasonable compensation for each advocate's, attorney's, or lay or expert witness's hours expended, and other eligible costs for reimbursement, but specifically excluding expenses related to travel or meals.

 

"Flat fee contract" means a contract between a public utility and outside counsel or an outside technical expert by which the public utility pays an agreed-upon amount, regardless of hours worked or billed.

 

"Fund" means the Consumer Intervenor Compensation Fund created pursuant to Section 9-229(b) of the Act.

 

"Hourly rate contract" means a contract under which a public utility agrees to compensate outside counsel or an outside technical expert based on hourly rates multiplied by hours billed.

 

"Material recommendation" means any recommendation advanced by a consumer interest representative for Commission action in testimony, briefing, the presentation of facts in the evidentiary record, and evidence and recommendations concerning expenses, investments, rate design, rate impact, or other matters affecting the programs, plans, tariffs, policies, pricing, rates, costs, charges, or other offerings associated with utility service, relating to a significant issue in the docket as defined in this Section.

 

"Miscellaneous expenses" means expenses billed by an outside counsel, outside technical expert, public utility affiliate counsel, or public utility affiliate technical expert for costs including, but not limited to, photocopying, travel, travel-related meals, and lodging, if the evidence establishes that those costs were excluded from the agreement with the public utility as compensation for the rate case at issue.

 

"Not-to-exceed contract" means a contract between a public utility and outside counsel or an outside technical expert by which the public utility agrees to compensate the outside counsel or outside technical expert at an hourly rate for work billed, if there is a cap on the maximum amount that may be paid out under the contract.

 

"Outside counsel" means an attorney that is not employed by the public utility or any of its affiliates who is retained to prepare and litigate a rate case filing subject to this Part on behalf of the public utility.

 

"Outside counsel and outside technical expert compensation" means costs subject to the Commission's specific assessment as to justness and reasonableness, which include the following costs for which the public utility seeks recovery as part of rate case expense in a rate case filing:

 

Outside counsel (attorney) fees, whether billed under an hourly rate contract, a flat fee contract, a not-to-exceed contract, or some other arrangement for compensation, including non-attorney support staff fees and reimbursement of miscellaneous incidental expenses.

 

Outside technical expert fees, whether billed under an hourly rate contract, a flat fee contract, a not-to-exceed provision, or some other arrangement for compensation, support staff fees, and reimbursement of miscellaneous expenses.

 

"Outside technical expert" means a consultant or other professional who is not employed by the public utility or any of its affiliates that is retained to testify as an expert witness on behalf of the public utility or otherwise assist the public utility with the preparation or litigation of a rate case filing.

 

"Significant financial hardship" means that a consumer intervenor has incurred or will incur eligible costs as defined in this Section and will be either unable or not reasonably able, without an award of intervenor compensation, to participate in a Commission proceeding by offering lay or expert testimony or legal briefing and argument concerning the expenses, investments, rate design, rate impact, or other matters affecting the pricing, rates, costs, or other charges associated with utility service.

 

"Significant issue in the docket" means an issue raised in a docket which affects the expenses, investments, rate design, rate impact, or other matters affecting the programs, plans, tariffs, policies, pricing, rates, costs, charges, or other offerings associated with utility service.

 

"Support staff" means personnel performing functions under the direction and supervision of outside counsel, outside technical experts, public utility affiliate counsel, or public utility affiliate technical experts in connection with a rate case filing subject to this Part, such as paralegals, legal assistants or other non-attorney/non-technical expert staff whose time is billed to the public utility in connection with a rate case filing.

 

"Time entry" means a contemporaneously generated document that states the hours performed on a particular task, specifying the task performed and:

 

the applicable hourly rate, in the case of hourly rate billing or a contract with a not-to-exceed clause; or

 

the applicable estimated hourly rate, in the case of a flat fee contract.

 

"Utility affiliate counsel" means an attorney employed by a public utility affiliate who prepares and litigates a rate case filing subject to this Part on behalf of the public utility.

 

"Utility affiliate counsel and support staff and utility affiliate technical experts and support staff compensation" means costs subject to the Commission's specific assessment as to justness and reasonableness, which include the following costs for which the public utility seeks recovery as part of rate case expense in a rate filing:

 

Expenses for utility affiliate counsel and related support staff for services provided on a rate case pursuant to an affiliate agreement, if the recovery of incentive compensation costs is excluded from rate case expense;

 

Expenses for utility affiliate technical experts and related support staff for services provided on the rate case pursuant to an affiliate agreement, if the recovery of incentive compensation costs is excluded from rate case expense.

 

"Utility affiliate technical expert" means a professional employed by a public utility affiliate that is:

 

retained to testify as an expert witness on behalf of the public utility or otherwise assist the public utility with the preparation or litigation of a rate case filing; and

 

who is not a utility affiliate counsel as that term is defined.

 

(Source:  Amended at 47 Ill. Reg. 5619, effective April 7, 2023)

 

Section 288.30  Required Support for Compensation Costs (Renumbered)

 

(Section 288.30 renumbered to Section 288.100 at 47 Ill. Reg. 5619, effective April 7, 2023)

 

Section 288.40  Determination of Reasonable Compensation Costs (Renumbered)

 

(Section 288.40 renumbered to Section 288.110 at 47 Ill. Reg. 5619, effective April 7, 2023)

 

Section 288.50  Compensation Costs Support Disclosure (Renumbered)

 

(Section 288.50 renumbered to Section 288.120 at 47 Ill. Reg. 5619, effective April 7, 2023)

 

Section 288.100  Required Support for Compensation Costs

 

a)         A public utility subject to this Part shall, upon request during discovery, make information available to parties of record to assist them in developing a recommended amount of rate case expense and to assist the Commission in assessing the justness and reasonableness of amounts paid to compensate all persons covered by Section 288.10. This information shall include, but not be limited to, the following:

 

1)         Facts and documentation describing the terms of the engagement between the public utility and outside counsel/support staff and the public utility and outside technical experts/support staff that include the nature of the services to be provided, by whom the services would be provided, and the hourly rates to be charged.  In a flat fee contract, this documentation shall include the estimated hourly rate charged for work of similar nature or some other unit of time measurement.

 

2)         For services provided, including, but not limited to, under an hourly rate contract, a flat fee contract, or a contract with a not-to-exceed provision, invoices disclosing time entries for each outside counsel/support staff that clearly indicate:

 

A)        a description of the services provided;

 

B)        by whom the services were provided;

 

C)        the time spent providing the services on a daily basis;

 

D)        the applicable hourly rate, or some other unit of time measurement, charged by the persons providing the services; and

 

E)        For outside counsel and their support staff, the applicable codes from the American Bar Association's Uniform Task-Based Management System Litigation Code Set or a similar standardized billing system, if and to the extent that the outside counsel/support staff use that coding system in their billing invoices.

 

3)         For services provided under an hourly rate contract, including, but not limited to, a contract with a not-to-exceed provision, invoices or other documents disclosing time entries for each outside technical expert/support staff that clearly indicates:

 

A)        a description of the services provided;

 

B)        by whom the services were provided;

 

C)        the time spent providing the services on a daily basis;

 

D)        the hourly rate charged, or some other unit of time measurement.

 

4)         For services provided under a flat fee contract, all invoices provided by the outside counsel/support staff or outside technical expert/support staff to the public utility that are performed under the contract, as well as any existing invoices or documentation disclosing time entries and summaries of any proposals reviewed before the selection for service.

 

5)         For a flat fee contract, documents created or reviewed by the public utility in considering the reasonableness of the contracted fee, including any fee-related calculations that the public utility performed or reviewed before executing the contract. This includes the estimated hourly rate that would be charged in an hourly rate contract and the presumed or estimated number of hours to be worked.

 

6)         For services provided by utility affiliate counsel/support staff and utility affiliate technical experts/support staff, documentation that clearly indicates:

 

A)        a description of the services provided;

 

B)        the name and title of the persons providing the services;

 

C)        the time spent providing the services on a daily basis; and

 

D)        the amounts and rates charged, excluding incentive compensation costs.

 

b)         In addition to the information required in subsection (a), the public utility shall provide the following information at the time of filing its direct case:

 

1)         All information required by 83 Ill. Adm. Code 285.3085 (Schedule C-10) and 285.3090 (Schedule C-10.1).

 

2)         Invoices or documentation from the counsel and expert witnesses that specify the work performed, by whom the work was performed, and the charges for the services.

 

3)         An explanation of the processes, procedures, and controls the public utility has in place to ensure that the work performed by all persons covered by Section 288.10 does not duplicate work performed by a public utility employee.

 

4)         An explanation of the process, procedures, and controls the public utility has in place to ensure that the bills from all persons covered by Section 288.10 are accurate, reasonable, and not redundant before payment is made to those vendors.

 

5)         An explanation of the reasonableness of the fees to be paid to all persons covered by Section 288.10 with consideration of the factors enumerated in Section 288.110.

 

6)         An explanation of the public utility's rationale for the proposed amortization period of total rate case expense that approximates the time between rate cases.

 

c)         At the time of filing its direct or rebuttal case and, if applicable, its surrebuttal case, and as otherwise directed by the Administrative Law Judge, the public utility shall file a summary schedule of the compensation costs for which rate recovery is sought that includes, for all persons covered by Section 288.10, the following:

 

1)         Identification of the outside counsel/support staff, outside technical experts/support staff, utility affiliate counsel/support staff, and utility affiliate technical experts/support staff;

 

2)         Total projected expense update, if the projection is the basis for the total requested rate case expense;

 

3)         Actual expense incurred to date, with supporting invoices made available upon request;

 

4)         Remaining costs projected to be incurred, if any; and

 

5)         Total rate case expense that was approved by the Commission in the utility's previous rate case for the work performed by all persons covered by Section 288.10.

 

d)         Inclusion of overhead expenses for all persons covered by Section 288.10 (e.g., photocopying, binding) shall be accompanied by evidence that the rates charged to the public utility by the attorney or expert specifically exclude those overhead expenses from the rates charged to the public utility.

 

e)         Not later than five business days before the start of evidentiary hearings in the rate case, the public utility shall file an affidavit signed by a public utility representative with authority to make affirmations on behalf of the public utility that, to the best of the public utility representative's knowledge, information, and belief:

 

1)         The compensation paid or to be paid to all persons covered by Section 288.10 that the public utility is seeking to recover as rate case expense in the instant rate case is supported by billings or other documentation that:

 

A)        Are true and accurate;

 

B)        Support costs that were reasonable to prepare and litigate the rate case;

 

C)        Were reviewed and approved by public utility management before payment; and

 

D)        Are not duplicative;

 

2)         The public utility paid or will pay the billed amounts requested to be recovered as rate case expense;

 

3)         Additional compensation, if any, to be paid to all persons covered by Section 288.10 that are not yet billed to the public utility, or not yet performed, will be made in accordance with the affirmations required in this subsection (e); and

 

4)         The filing of the public utility representative affidavit is informational in nature and shall not be binding on the Commission in its assessment of the justness and reasonableness of the amount of rate case expense requested by the public utility.

 

f)         All updates and supporting documentation of the rate case expense amounts requested by the utility for recovery in rates shall be submitted for inclusion in the evidentiary record of the rate case.

 

(Source:  Former Section 288.30 renumbered to 288.100 and amended at 47 Ill. Reg. 5619, effective April 7, 2023)

 

Section 288.110  Determination of Reasonable Compensation Costs

 

a)         Rate case expenses shall be addressed in the attorney review that occurs in post-trial briefs.

 

b)         The factors to be considered by the Commission in determining the justness and reasonableness of compensation costs for all persons covered by Section 288.10 may include, without limitation, the following:

 

1)         The fulfillment of the required support for compensation costs as required in Section 288.110;

 

2)         Identification of the type of service involved as either professional or support staff;

 

3)         Novelty, complexity, or difficulty of the issues;

 

4)         Nature, extent, and reasonableness of work performed that was considered at the time the work was performed, including, without limitation, the amount of support required for pleadings, discovery, briefing, and hearings, and the relevance of the work products to the justness and reasonableness of the proposed utility rates;

 

5)         Requisite skill required to perform services efficiently and accurately;

 

6)         Professional credentials, including, without limitation, education, training, experience, achievements, and reputation, in the applicable professional discipline;

 

7)         The reasons why multiple outside counsel, outside technical experts, utility affiliate counsel, or utility affiliate technical experts addressed the same issues;

 

8)         Relevant evidence regarding the market rates concerning fees charged for comparable services, including, as applicable, fees charged in other rate cases in Illinois or fees charged in other jurisdictions for rate cases;

 

9)         Hourly rates applicable to outside counsel and outside technical experts representing or retained by utilities and outside counsel or outside technical experts representing or retained by other entities that regularly appear in Commission proceedings; and

 

10)        The reasonableness of the amount of time taken to perform a task.

 

(Source:  Former Section 288.40 renumbered to 288.110 and amended at 47 Ill. Reg. 5619, effective April 7, 2023)

 

Section 288.120  Compensation Costs Support Disclosure

 

a)         Information disclosed by the utility in support of compensation costs for all persons covered by Section 288.10 shall be given the same protections for privileged, confidential and proprietary information that exist under the Commission's Rules of Practice (83 Ill. Adm. Code 200), the Illinois Code of Civil Procedure [735 ILCS 5], the Illinois Rules of Evidence, and other applicable Illinois law.

 

b)         When information or a document is withheld from disclosure or discovery on a claim that it is privileged pursuant to a common law or statutory privilege, any claim shall be made expressly and shall be supported by a description of the nature of the documents, communications or things not produced or disclosed and the exact privilege that is being claimed.

 

c)         When there is a dispute regarding a claim of privilege, any party may file a motion seeking an in camera inspection of the documents in question by the Administrative Law Judge to resolve that dispute.

 

d)         Nothing in this Section is intended to prevent or otherwise change any protections or rights existing under the Illinois Code of Civil Procedure, the Illinois Supreme Court Rules, the Illinois Rules of Evidence, the Commission's Rules of Practice, or any other applicable law concerning privileged information or documents.

 

(Source:  Former Section 288.50 renumbered to 288.120 at 47 Ill. Reg. 5619, effective April 7, 2023)

 

Section 288.200  Eligibility Requirements

 

a)         A Consumer Interest Representative is eligible for full or partial compensation from the Fund if all of the conditions in this subsection (a) are met.  Eligible expenses include the CIR's reasonable fees for attorneys and experts and reasonable costs of participating in a Commission docket. Expenses related to travel or meals are not compensable. Nothing in this provision shall exclude a CIR from receiving compensation under this Subpart C for cosponsoring a witness's testimony, joint discovery, or joint briefing with another party. Other parties may include, but are not limited to, a government agency or the Citizens Utility Board:

 

1)         The CIR's participation includes lay or expert testimony or legal briefing and argument concerning the expenses, investments, rate design, rate impact, or other matters affecting the programs, plans, tariffs, policies, pricing, rates, costs, charges, or other offerings associated with utility service;

 

2)         The Commission adopts a material recommendation, in whole, in part, or with modification, made by the CIR or adopts a settlement or stipulation agreement in which a material recommendation of the CIR is resolved related to a significant issue in the docket;

 

3)         The CIR's participation has caused a significant financial hardship to the participant;

 

4)         The CIR does not receive any compensation, funding or donations, directly or indirectly, from parties that have a financial interest in the outcome of the proceeding, provided that parties that have a financial interest do not include residential or small commercial utility customers.

 

b)         The Administrator shall, by July 1, 2023, publish a standard application and disclosure form required from all CIRs requesting funds according to this Subpart. The purpose of the form is to provide transparency in the Administrator's adjudication of fund eligibility.  The Administrator may revise and publish the standard financial disclosure form from time to time if that form is made available on the Commission's website and accessible to intervenors at the time of intervention and if the form contains no requirements not already stated in this Part.  Notwithstanding the standard application and disclosure form, the Administrator or the Commission may request, and the CIR shall provide, any additional information relevant to determining the appropriateness of an award request.

 

(Source:  Added at 47 Ill. Reg. 5619, effective April 7, 2023)

 

Section 288.220  Request for Consumer Intervenor Compensation After Conclusion of the Proceeding

 

a)         A Consumer Interest Representative must submit a verified request for funding from the Fund to the Administrator within 30 days after the later of the Commission's final order in the proceeding or after the Commission's denial of rehearing, if any. The CIR shall serve copies of this verified request on all parties to the proceeding.

 

b)         A verified request for funding from the Fund by a Consumer Interest Representative submitted to the Administrator must include:

 

1)         The name of the CIR requesting compensation;

 

2)         The full name, mailing address, telephone number, and e-mail address of the CIR or its representative filing the request;

 

3)         The mailing address to which payments should be sent;

 

4)         A completed Form W-9 containing the CIR's taxpayer identification number;

 

5)         Information demonstrating eligibility as a CIR;

 

6)         An itemized request for compensation including, but not limited to the applicable Commission docket number and the following information for each advocate, attorney, or lay or expert witness:

 

A)        name;

 

B)        work title;

 

C)        fee rate per hour;

 

D)        firm or business name;

 

E)        number of hours expended;

 

F)         specific tasks performed in the applicable Commission docket;

 

G)        the specific issue each task addressed; and

 

H)        other eligible costs for reimbursement, excluding expenses related to travel or meals. Costs should be supported by invoices where practicable;

 

7)         Information demonstrating that the CIR addressed expenses, investments, rate design, rate impact, or other matters affecting the pricing, rates, costs or other charges associated with utility service and that the final Commission Order or Order on Rehearing adopted a material recommendation, in whole, in part, or with modification, made by the CIR or adopts a settlement or stipulation agreement in which a material recommendation of the CIR is resolved related to a significant issue in the Commission docket identified in subsection (b)(6), including that the final Commission Order included a discussion of the CIR's evidence or recommendations related to that issue;

 

8)         Information demonstrating that the costs incurred from participation in the Commission docket identified in subsection (b)(6) caused a significant financial hardship for the CIR including, but not limited to, a budget summary containing information concerning the CIR's financial capabilities and resources, including, but not limited to, annual budget, cash on hand, and revenue information supporting the claim of financial hardship;

 

9)         Information demonstrating that the compensation sought is fair, just and reasonable, and consistent with the market rate paid to persons of comparable training and experience who offer similar services and that the rates do not exceed the comparable market rate for services paid by the public utility as part of its rate case expense;

 

10)       The CIR's status as a tax-exempt organization registered with the IRS (e.g., 501(c)(3) or 501(c)(4) status);

 

11)       A certification that the CIR did not receive directly or indirectly any compensation, funding, or donations from parties that have a financial interest in        the outcome of the proceeding for which the CIR seeks compensation;

 

12)       A certification that the CIR understands and accepts that the receipt of funds is subject to the availability of monies in the Fund and that in no event will compensation be paid if funds are insufficient; and

 

13)       Other information that the Administrator requires to make a recommendation regarding compensation.

 

c)         Information disclosed by the CIR in support of compensation costs for all persons covered by this Section shall be given the same protections for privileged, confidential and proprietary information that exist under the Commission's Rules of Practice (83 Ill. Adm. Code 200), the Illinois Code of Civil Procedure [735 ILCS 5], the Illinois Rules of Evidence, and other applicable Illinois law. If a verified request for reimbursement from the Fund contains information the CIR considers confidential or proprietary, the CIR must clearly identify that information.

 

(Source:  Added at 47 Ill. Reg. 5619, effective April 7, 2023)

 

Section 288.230  Request for Consumer Intervenor Compensation Before the Conclusion of the Proceeding

 

a)         To receive compensation from the Fund before the conclusion of a proceeding, a Consumer Interest Representative shall submit to the Administrator a verified request for compensation before the Commission enters its final order after denial or decision on rehearing in the proceeding.  The CIR shall serve copies of this verified request on all parties to the proceeding. In such cases, the CIR shall include in its verified request:

 

1)         The name of the CIR requesting compensation;

 

2)         The full name, mailing address, telephone number, and e-mail address of the CIR or its representative filing the request;

 

3)         The mailing address to which payments should be sent;

 

4)         A completed Form W-9 containing the CIR's taxpayer identification number;

 

5)         Information demonstrating that the CIR meets the definition of a Consumer Interest Representative;

 

6)         An itemized request for compensation including, but not limited to the applicable Commission docket number and the following information for each advocate, attorney, or lay or expert witness:

 

A)        name;

 

B)        work title;

 

C)        fee rate per hour;

 

D)        firm or business name;

 

E)        number of hours expended;

 

F)         specific tasks performed in the applicable Commission docket;

 

G)        the specific issue each task addressed; and

 

H)        other eligible costs for reimbursement, excluding expenses related to travel or meals. Costs should be supported by invoices where practicable;

 

7)         Information demonstrating that the tasks identified in subsection (a)(6) address expenses, investments, rate design, rate impact, or other matters affecting the pricing, rates, costs or other charges associated with utility service and relate to a material recommendation made by the CIR or adopts a settlement or stipulation agreement in which a material recommendation of the CIR is resolved related to a significant issue in the Commission docket identified in subsection (a)(6);

 

8)         Information demonstrating that costs the CIR incurred from participation in the identified ICC dockets in subsection (a)(6) will cause a significant financial hardship for the CIR including, but not limited to, a budget summary containing information concerning the CIR's financial capabilities and resources including but not limited to annual budget, cash on hand, and revenue information supporting the claim of financial hardship;

 

9)         Information demonstrating that the compensation sought is fair, just and reasonable and consistent with the market rate paid to persons of comparable training and experience who offer similar services and that the rates do not exceed the comparable market rate for services paid by the public utility as part of its rate case expense;

 

10)       The CIR's status as a tax-exempt organization registered with the IRS (e.g., 501(c)(3) or 501(c)(4) status);

 

11)       A certification that the CIR did not receive directly or indirectly any compensation, funding, or donations from parties that have a financial interest in the outcome of the proceeding for which the CIR seeks compensation;

 

12)       A certification that the CIR understands and accepts that the receipt of funds is subject to the availability of monies in the Fund and that in no event will compensation be paid if funds are insufficient;

 

13)       A certification that the CIR will, for any compensation received from the Fund that exceeds the award of compensation determined following the Commission's final order after denial or decision on rehearing in the proceeding, return the excess compensation to the Fund within 30 days after a final award determination or the award becoming final pursuant to operation of law by submitting a check with the memo "Consumer Intervenor Compensation Fund" sent to:

 

Illinois Commerce Commission

Financial Information Section

527 East Capitol Avenue

Springfield, IL  62701;

 

and

 

14)       Any other information from the CIR the Administrator considers necessary to make a recommendation regarding compensation before the Commission's final order after denial or decision on rehearing in the proceeding.

 

b)         Information disclosed by the CIR in support of compensation costs for all persons covered by this Section shall be given the same protections for privileged, confidential and proprietary information that exist under the Commission's Rules of Practice (83 Ill. Adm. Code 200), the Illinois Code of Civil Procedure [735 ILCS 5], the Illinois Rules of Evidence, and other applicable Illinois law. If a verified request for reimbursement from the Fund contains information the CIR considers confidential, proprietary or a trade secret, the CIR must clearly identify that information.

 

c)         A CIR that receives compensation from the Consumer Intervenor Fund before the entry of the Commission's final order after denial or decision on rehearing in the proceeding must submit a verified request for funding following the Commission's final order after denial or decision on rehearing in the proceeding pursuant to Section 288.220.

 

(Source:  Added at 47 Ill. Reg. 5619, effective April 7, 2023)

 

Section 288.240  Award Recommendations

 

a)         In making recommendations for awards, the Administrator shall, at a minimum, include within its recommendation:

 

1)         The name of the CIR to which the Administrator recommends awarding compensation from the Fund;

 

2)         The amount of the award the Administrator recommends;

 

3)         An explanation of how the CIR meets the definition of a Consumer Interest Representative;

 

4)         Identification of each material recommendation, in whole, in part, or with modification, made by the CIR or adopts a settlement or stipulation agreement in which a material recommendation of the CIR is resolved related to a significant issue in a Commission docket (or dockets) that the Commission adopted in its final order, including evidence that the final Commission Order included a discussion of the CIR's evidence or recommendations;

 

5)         An explanation of how costs incurred by the CIR from participation in the Commission docket (or dockets) identified in subsection (a)(4) caused a significant financial hardship for the CIR;

 

6)         A determination of whether the CIR received directly or indirectly any compensation, funding, or donations from parties that have a financial interest in the outcome of the proceeding for which the CIR is seeking compensation;

 

7)         An explanation of why the recommended award is fair, just, and reasonable, including how the award is consistent with the market rates paid to persons of comparable training and experience who offer similar services and does not exceed the comparable market rate for services paid by the public utility as part of its rate case expense;

 

8)         A statement that sufficient monies exist in the Fund to make the award, if that is the case; and

 

9)         A statement of whether the CIR received compensation before the Commission's final order after denial or decision on rehearing in the proceeding and, if so, the net amount of compensation that the CIR is owed by, or is obligated to return to, the Fund.

 

b)         Award recommendations shall be submitted by the Administrator to the Commission, with information supporting the recommendation as required by Sections 288.220 and 288.230, as a notice filed as a report in eDocket in the proceeding in which compensation is sought within 30 days after a verified request for compensation is received.

 

(Source:  Added at 47 Ill. Reg. 5619, effective April 7, 2023)

 

Section 288.250  Award Payments

 

a)         Unless the Commission enters upon a hearing concerning the propriety of an award within 45 days after the Administrator submits an award recommendation to the Commission, the CIR shall be issued the recommended award within 75 days after the Administrator provides the Commission an award recommendation with any necessary adjustments to account for compensation provided prior to the Commission's final order after denial or decision on rehearing in the proceeding.

 

b)         The Commission may, without answer or other pleadings but upon reasonable notice, initiate a hearing concerning the propriety of an award either on its own initiative or in response to a complaint. In determining the grant of awards, the Commission shall consider the following:

 

1)         The impact the requesting CIR's advocacy had on the outcome of the matter before the Commission, as reflected in the Final Order, with respect to a significant issue in the docket; and the extent to which that impact made a meaningful advancement of public policy in light of the goals and aspirations outlined in the Act;

 

2)         The financial ability of the requesting CIR, and the imposition of the financial hardship that the Consumer Interest Representative would incur to the extent no award was granted;

 

3)         The CIR's eligibility, as set forth in Section 9-229 of the Act;

 

4)         The location of the residential utility customers represented by the CIR relative to the geographic locations or service territories affected by the matter for which the award is sought; and

 

5)         The reasonableness of the fees for which reimbursement is sought, the long-term financial solvency of the Fund, and the economic imposition on utilities and the public. 

 

c)         Complaints regarding an award recommendation made by the Administrator must be filed with the Commission within 30 days after the Administrator files the award recommendation in eDocket.

 

d)         If the Commission enters upon a hearing concerning the propriety of an award, the Commission's Order shall indicate whether the award of compensation is granted, denied, or granted in part and denied in part, and shall indicate that amount awarded, if anything and the CIR shall be issued the award within 30 days of the Commission's final determination regarding the award with any necessary adjustments to account for any previously provided compensation.

 

e)         In no event shall an award be issued that exceeds the amount of available monies in the Fund, with awards issued based upon the order in which notices of compensation to be paid from the Fund are received from the Administrator by the Executive Director or a designee until the funds are exhausted. 

 

f)         The Administrator shall notify the Executive Director and the Director of the Commission's Administrative Services Division when compensation is to be paid from the Fund. The notification shall include:

 

1)         The name of the CIR to be paid;

 

2)         The address to which payment should be sent;

 

3)         The amount of compensation to be provided;

 

4)         The balance that will remain in the Fund after the compensation is provided;

 

5)         A copy of the verified request for reimbursement from the Fund by a CIR;

 

6)         A copy of the CIR's Form W-9 containing its taxpayer identification number;

 

7)         A copy of the Administrator's award recommendation; and

 

8)         Copies of the itemized request for compensation including, but not limited to, the applicable Commission docket number; each advocate's, attorney's, or lay or expert witness's name, work title, fee rate per hour, number of hours expended, specific tasks performed in the applicable Commission docket; the specific issue each task addressed, and other eligible costs for reimbursement.

 

g)         When the Administrator notifies the Executive Director and the Director of the Commission's Administrative Services Division that compensation is to be paid from the Fund, the Administrator shall clearly identify any information provided to the Executive Director and the Director of the Commission's Administrative Services Division considered confidential, proprietary or a trade secret.

 

(Source:  Added at 47 Ill. Reg. 5619, effective April 7, 2023)

 

Section 288.260  Compensation Before the Commission's Final Order After Denial or Decision on Rehearing in the Proceeding

 

a)         The Administrator shall have in its sole discretion the authority, subject only to the Commission's authority to determine the propriety of any award, to approve, but subject to the requirements of this Part and Section 9-229 of the Act, the provision of compensation from the Fund to CIRs prior to the Commission's Final Order after denial or decision on rehearing in the proceeding.

 

b)         The Administrator will not approve the compensation if it exceeds the available monies in the Fund.

 

c)         The Administrator shall notify the Executive Director and the Director of the Commission's Administrative Services Division of approval of any compensation to be paid from the Fund.  The notification shall include:

 

1)         The name of the CIR to be paid;

 

2)         The address to which payment should be sent;

 

3)         The CIR's completed Form W-9 containing its taxpayer identification number;

 

4)         The amount of compensation to be provided;

 

5)         The balance that will remain in the Fund after the compensation is provided; and

 

6)         A copy of the verified request for compensation from the Fund prior to the entry of the Commission's final order after denial or decision on rehearing in the proceeding (if such a request is made).

 

d)         When the Administrator notifies the Executive Director and the Director of the Commission's Administrative Services Division that compensation is to be paid from the Fund, the Administrator shall clearly identify any information provided to the Executive Director and the Director of the Commission's Administrative Services Division considered confidential, proprietary or a trade secret.

 

(Source:  Added at 47 Ill. Reg. 5619, effective April 7, 2023)

 

Section 288.270  Issuance of Compensation

 

a)         Upon receipt of an Administrator's notice indicating compensation is to be paid from the Fund, the Executive Director or a designee shall sign and issue a voucher directing payment of the award by the Illinois Office of the Comptroller, except that the Executive Director or a designee shall not cause to be issued any voucher directing payment of compensation if the amount to be paid exceeds the available monies in the Fund or that causes the Commission to exceed its legislative appropriation with respect to the Fund.

 

b)         Awards shall be issued based upon the order in which notices of compensation to be paid from the Fund are received from the Administrator by the Executive Director or a designee.

 

(Source:  Added at 47 Ill. Reg. 5619, effective April 7, 2023)

 

Section 288.280  Mandatory Contributions from Utilities to Consumer Intervenor Compensation Fund

 

a)         Each utility that files a request for an increase in base rates pursuant to Section 9-201 of the Act or a multi-year rate plan pursuant to Section 16-108.18(d) of the Act and seeks to recover rate case expenses pursuant to this Part shall deposit the lesser of $500,000 or half the rate case attorney and expert expense allowed by the Commission into the Fund.  The contribution shall be made within 35 days after the date of the Commission's Final Order in the rate case or 20 days after the denial of rehearing under Section 10-113 of the Act, whichever is later.  (See Section 9-229(b)(4) of the Act.)

 

b)         Utility contributions to the Fund shall be recoverable expenses.

 

(Source:  Added at 47 Ill. Reg. 5619, effective April 7, 2023)

 

Section 288.290  Annual Report from Administrator of Consumer Intervenor Compensation Fund

 

By March 1 of each year, the Administrator shall issue an annual report containing a summary of the Fund's operation for the prior year. The report shall contain at a minimum, the following information:

 

a)         A list of proceedings for which compensation was awarded, and the amounts awarded by docket number and by the entity receiving an award;

 

b)         A list of compensation recipients including, at a minimum, a description of the organization receiving the funds, the location of the organization's principal place of business, the effect the representative's participation had on the outcome of the docket, and the amount paid to each recipient;

 

c)         A list of compensation award requests that were denied by the Commission or the Administrator for any reason;

 

d)         A fiscal summary that includes funds on hand, receipts from contributions, and expenditures of the fund during the year for which the report is submitted;

 

e)         Any additional information the Commission requires, or the Administrator considers appropriate to report.

 

(Source:  Added at 47 Ill. Reg. 5619, effective April 7, 2023)