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TITLE 83:
PUBLIC UTILITIES |
| CHAPTER I:
ILLINOIS COMMERCE COMMISSION |
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Subchapter B:
Provisions Applicable to More
than One Kind of Utility |
| SUBPART A: GENERAL |
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| Section |
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265.10 |
Definitions |
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265.20 |
Application of Rules |
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265.30 |
Location Records |
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265.40 |
Non-Emergency Excavation and
Demolition |
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265.50 |
Emergency Excavation and Demolition |
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265.60 |
State-Wide One-Call Notification
System |
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| SUBPART
B: REPORTING OF VIOLATIONS INVOLVING THE ACT |
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265.100 |
Reporting of Suspected Violations |
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| SUBPART
C: REVIEW OF REPORTED VIOLATIONS |
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265.200 |
Initial Consideration by Staff |
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265.210 |
Issuance of Notice of Violation |
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265.220 |
Contents of Notice of Violation |
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265.230 |
Alleged Violator's Options After
Receiving Notice of Violation |
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| SUBPART
D: ADVISORY COMMITTEE |
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265.300 |
Advisory Committee-Formation and
Duties |
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265.310 |
Alleged Violator's Options After
Advisory Committee's Decision |
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| SUBPART
E: SUBSEQUENT PROCEEDINGS |
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265.400 |
Formal Adjudicatory Proceedings |
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265.410 |
Scheduling and Time Limits |
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AUTHORITY: Implementing
Section 8-505 and authorized by Section 10-101 of the Public Utilities
Act [220 ILCS 5/8-505 and 10-101], Section 3 of the Illinois Gas
Pipeline Safety Act [220 ILCS 20/3], and Section 11 of the Illinois
Underground Utility Facilities Damage Prevention Act [220 ILCS 50/11].
SOURCE: Effective
January 16, 1962; codified at 8 Ill. Reg. 18462; amended at 10 Ill. Reg.
19407, effective November 15, 1986; Part repealed, new Part adopted at
26 Ill. Reg. 9714, effective July 1, 2002. |
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SUBPART A:
GENERAL |
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Section 265.10: Definitions |
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In this Part, the
following words shall have the definitions shown: |
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“Act” means the
Illinois Underground Utility Facilities Damage Prevention Act [220
ILCS 50].
“Approximate
location” means the same as in Section 2.8 of the Act [220 ILCS
50/2.8].
“Clear evidence” includes, but is not limited to,
the visual evidence of an unmarked utility facility, such as the
presence of an overhead-underground transition or downfeed,
knowledge of the presence of a utility facility, or faded marks
from previous marking of a utility facility.
"Commission" means the Illinois Commerce
Commission.
“Damage” means the same as in Section 2.5 of the
Act [220 ILCS 50/2.5].
“Demolition” means the same as in Section 2.4 of
the Act [220 ILCS 50/2.4].
“Emergency” means any condition constituting an
imminent danger to life, health, property, or a utility service
outage that requires immediate repair or action. An emergency also
includes the reinstallation of traffic control devices.
“Excavation” means the same as in Section 2.3 of the Act [220 ILCS
50/2.3].
“Excavator” means any person who performs excavation.
“Hand digging” means the use of hand-operated
tools such as shovels, spades, picks, bars, etc., or
automatically-powered hand devices designed to be held in the hand
of the operator when in use.
“Immediate safety hazard” means any condition
constituting an imminent danger to life or health.
“Interfere” means the
performance of excavation or demolition activities at a location
or in a manner that may result in damage to underground utility
facilities.
“Notice area” means the locations where excavation
or demolition activities are to occur.
“Operator” means any person who owns, furnishes
or transports materials or services by means of a utility
facility.
“Person” means the same as in Section 2.1 of the
Act [220 ILCS 50/2.1].
"Support" means the installation of shoring,
braces, props, or other equipment or material to prevent the
displacement of existing underground facilities both during and
after the construction or excavation activities of the person
doing the work.
"Tolerance Zone" means the approximate location of
underground utility facilities defined as a strip of land at least
3 feet wide, but not wider than the width of the underground
facility plus 1-1/2 feet on either side of such facility based
upon the markings made by the owner or operator of the facility.
“Underground utility facilities” or "facilities"
means the same as in Section 2.2 of the Act [220 ILCS 50/2.2].
“Vacuum excavation” means excavation through the
use of high pressure air or water where the excavated material is
removed with a vacuum. |
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Section 265.20: Application of Rules |
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This Part shall
apply to any person and any owner or operator of underground
utility facilities. Except for the provisions in Section 265.100,
this Part is not applicable to any person or any owner or operator
of underground utility facilities with respect to any excavation
or demolition within the boundaries of a municipality of at least
one million persons
that operates its own underground facility notice system. |
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Section
265.30: Location Records |
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a) Every
underground utility facilities operator shall maintain records
showing the location of all of its underground utility facilities,
installed after January 16, 1962, except relatively minor
facilities that connect a particular premises or building to a
facility serving more than one premises or building.
b) Every
underground utility facilities operator shall be able to locate
all of its underground utility facilities installed after January
16, 1962:
1) by
maintaining accurate records showing the location of its
underground utility facilities, or
2) by
maintaining equipment that can locate its underground utility
facilities in the field.
c) Nothing
in this Part shall be construed to require a utility to maintain
records showing the depth of underground utility facilities or to
indicate the depth of underground utility facilities in the field. |
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Section
265.40: Non-emergency Excavation and Demololition |
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a) Provide
notice not more than 14 days nor less than 48 hours (exclusive of
Saturdays, Sundays and holidays) in advance of the start of any
excavation or demolition to the State-Wide One-Call Notice System
to request that any underground facilities in the notice area be
marked in accordance with the Act;
b) Before
commencing excavation or demolition, each person shall take
reasonable action to identify the location of underground utility
facilities in and near the construction area. Reasonable actions
include the performance of a site inspection prior to excavation
to verify the person is at the correct location of excavation or
demolition activities and to check for any indication of unmarked
utility facilities. If clear evidence of unmarked utility
facilities exists, each person shall comply with the requirements
of Section 11(i) of the Act [220 ILCS 50/11(i)];
c)
Identify on appropriate construction plans, with such warnings as
may be reasonable, the existence of underground utility facilities
determined to be in and near the construction area;
d) Plan
the excavation or demolition to avoid or minimize the possibility
of damage to underground utility facilities within the tolerance
zone by utilizing precautions that include, but are not limited
to, hand excavation, vacuum excavation, and visually inspecting
the excavation while in progress until clear of the existing
marked facilities;
e) Provide
support for existing underground utility facilities in and near
the construction area as may be reasonably necessary for the
protection of those facilities, unless otherwise agreed to by the
owner or operator of the underground utility facility; and
f)
Backfill all excavations in such manner and with such materials as
to provide reliable support for existing underground utility
facilities in and near the construction area. |
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Section
265.50: Emergency Excavation and Demolition |
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Every person in
connection with emergency excavation or demolition, or when any
other emergency operation might interfere with existing
underground facilities, shall:
a) Notify,
through the State-Wide One-Call Notice System,
as promptly as possible the underground utility facilities
operators known to have underground utility facilities in and
near the excavation or demolition area;
b) Unless
an immediate safety hazard exists, wait two hours after providing
notice to the State-Wide One-Call Notice System before beginning
excavation or demolition;
c) If an
immediate safety hazard exists such that a two-hour wait is not
possible:
1) Assume
the responsibility for demonstrating that site conditions
warranted the earlier start time;
2) Conduct
a thorough site assessment to determine the location of
underground utility facilities;
3) Locate
the underground utility facilities with acceptable equipment, if
possible;
4) Use
hand or vacuum excavation around any known or suspected
underground utility facilities;
5)
Immediately and directly notify the utility line operators, if
necessary;
d) Take
all reasonable precautions to avoid or minimize interference
between the emergency work and existing underground utility
facilities in and near the excavation or demolition area. |
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Section 265.60: State-Wide One-Call
Notice System |
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The utilities, in a joint
endeavor, shall continue the operation and maintenance of the
previously established State-Wide One-Call Notice System (System)
for the exchanging of information between excavators and utilities
so that the utilities will know where and when excavation is to
take place and the excavators will know where the underground
facilities are located, all in accordance with the following
criteria:
a) The
System shall continue to be designed, organized, financed,
operated, maintained and controlled by the underground utility
facility owners and others subject to the jurisdiction of this
Part as a joint endeavor;
b) The
System shall provide for a minimum notice period not to exceed 48
hours (excluding Saturdays, Sundays and holidays) in order to
assure that the marking of the location of underground utility
facilities will occur prior to excavation;
c) The
System shall provide a readily accessible, free of charge,
One-Call Notice System whereby any person desiring to excavate
shall give notice to owners of all underground utility facilities
located in the area of the proposed excavation;
d) The
System shall provide procedures for verifying that notice was
received from the excavator and acknowledged by any owners of the
underground utility facilities located in the area of excavation;
e) The
System shall provide publicity of the One-Call Notice System to
assure substantially all excavators are informed of the notice
procedure;
f) The
System shall provide for participation by utilities not subject to
the jurisdiction of the Commission;
g) The
System shall provide for participation by small utilities at an
economically feasible unit cost per call;
h) The
System shall provide for “notice areas” no larger than one section
of land
i) The
system shall provide:
1. for the gathering of information from excavators as to :
A) the location and description of the excavation;
B) the date and time the excavation is to begin;
C) the name of the person or company doing the excavation;
and
D) the name and phone numbers of persons to be contacted
about the excavation;
2. for distribution of the information to utilities with
underground facilities in the area of the excavation.
j) The
System shall provide an informational system to indicate to
excavators that no underground facilities exist in the area of
excavation, if marking of the location of underground utilities
does not exist on the site at the expiration of the notice period;
k) The
System shall require that information needed to operate the system
within each
utility's domain be identified and provided by the utilities to
the notice system operator;
l) The
System shall provide for the financing and sharing of cost of
construction, operation and maintenance of the system among the
utilities;
m)
The System shall provide for the resolution of liability problems
resulting from operation of the system. |
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SUBPART B:
REPORTING OF VIOLATIONS INVOLVING THE ACT |
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Section 265.100:
Reporting of Suspected Violations |
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a) Any person may report to the Commission a
suspected violation of the Act. A report may be made whether or
not the suspected violation resulted in any personal injury or
property damage.
b) Except for
suspected violations that occur within the boundaries of a
municipality of at least one million persons that operates its own
underground facility notice system, facilities operators shall
report suspected violations of the Act in the following
circumstances:
1) An underground natural gas utility facilities operator
shall report suspected violations when any gas main is damaged
causing a gas leak;
2) An underground
telecommunications utility facilities operator shall report
suspected violations if the damage causes an outage to a provider
of an emergency telephone system (i.e., a 9-1-1 system);
3) An
underground utility facilities operator shall report a suspected
violation if the occurrence results in a fatality or in personal
injuries requiring hospitalization.
c) Except
for allegations of a violation of Section 11(h) of the Act [220
ILCS 50/11(h)], the Commission Staff will not investigate, and the
Commission will not formally proceed with respect to, any alleged
violation of Section 11 involving an excavation within the
boundaries of a municipality of at least one million persons that
operates its own underground facility notice system.
d) Reports made pursuant to this Section may be
submitted in writing, by telephone, electronically, or in person.
Reports shall be submitted within 45 days after the discovery of
the violation. The Commission shall make available forms necessary
for this purpose. When reports made pursuant to this Section are
submitted orally, the party receiving the oral report shall record
the information on the above-mentioned form. |
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SUBPART C: REVIEW OF
REPORTED VIOLATIONS |
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Section 265.200: Initial
Consideration by Staff |
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a) Upon the receipt of a report of a suspected
violation, the Staff of the Commission shall consider the matter and
determine whether a violation has occurred. Staff’s consideration may
include, among other things, one or more of the following:
1) Verification of records
2) Informal meetings,
3) Teleconferences,
4) Photo-documentation; and
5) Comments or correspondence obtained from the
parties
involved.
b) If Staff determines that a violation has occurred,
Staff shall also consider the appropriate amount, if any, of a penalty
to assess. In determining the amount of the penalty, Staff shall
consider the alleged violator's:
1) Gravity of noncompliance with the law;
2) Culpability;
3) History
of noncompliance;
4) Ability
to pay the penalty;
5) Good
faith in attempting to comply with the law;
6) Ability
to continue in business; and
7) Any
other special circumstances relevant to the matter.
[220 ILCS 50/11(j)]
c) Any penalties assessed
shall not exceed the maximum penalties provided by Section 11 of the Act
[220 ILCS 50/11]. |
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Section 265.210: Issuance of Notice
of Violation |
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If Staff determines that a
violation has occurred, Staff shall issue to the alleged violator either
a notice of violation or a warning letter. Copies of these documents
shall also be provided to the person who reported the suspected
violation and, if different, to the owner of the facilities involved.
The gravity and circumstances of the violation and the alleged
violator's history of compliance or noncompliance shall guide Staff’s
decision whether to issue a notice of violation or a warning letter. If
Staff determines that a violation has not occurred, Staff shall so
inform, in writing, the alleged violator, the reporting party, and, if
different, the owner of the facilities involved. |
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Section 265.220: Contents of Notice
of Violation |
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A notice of violation shall set
forth the date, time, and location of the violation, briefly describe
the circumstances surrounding the violation, cite the provision or
provisions of the Illinois Underground Utility Facilities Damage
Prevention Act allegedly violated, and specify the amount of the penalty
being assessed. The notice shall also advise the alleged violator of his
or her options in resolving or contesting the matter. |
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Section 265.230: Alleged Violator's
Option After Receiving Notice of Violation |
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The alleged violator
shall, within 30 days after the date of the mailing of the notice of
violation, either pay the amount of the penalty specified in the notice
or request that the matter be considered by the Advisory Committee.
Timely
payment of the proposed penalty shall constitute a final, non-reviewable
resolution of the notice of violation issued under this Part, and all
activity with respect to the penalty assessed as a result of the notice
of violation shall then terminate.
If the alleged violator
either fails to pay the proposed penalty within the time allotted or
requests that the case be considered by the Advisory Committee, the
matter shall then be referred to the Advisory Committee for its
consideration. |
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SUBPART D:
ADVISORY COMMITTEE |
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Section 265.300: Advisory Committee
- Formation and Duties |
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a) The Commission shall
appoint an Advisory Committee as directed in Section 11(l) of the Act
[220 ILCS 50/11(l)]. As a public body, the Advisory Committee shall be
subject to the Open Meetings Act [5 ILCS 120]. The Advisory Committee
shall meet from time to time as necessary to consider administrative
matters and/or contested penalties. In evaluating the merits of a case,
the Advisory Committee shall consider the report of the suspected
violation, the results of Staff’s consideration of the matter,
correspondence from the parties, and any other pertinent information.
The Advisory Committee shall allow an alleged violator to speak at any
regularly scheduled meeting where the alleged violator’s case is being
considered, provided that the alleged violator provides notice to
Commission Staff of its intent to speak at least five business days
prior to the scheduled meeting. If the proper notice is not provided,
the alleged violator must ask the Advisory Committee for permission to
speak at the meeting. The Advisory Committee shall adopt bylaws
regarding its procedures.
b) A decision shall be
rendered by the Advisory Committee within 90 days after the date on
which the alleged violator requests that the case be considered by the
Advisory Committee or the case is referred by Staff to the Advisory
Committee, as described in Section 265.230. If the Advisory Committee
fails to act within the 90 days, the notice of violation mailed by Staff
shall be considered the findings of the Advisory Committee.
c) If the Advisory
Committee concludes that a violation has not occurred, it shall direct
Staff to so inform the alleged violator, the reporting party, and, if
different, the owner of the facilities involved.
d) If the Advisory
Committee concludes that a violation has occurred, the Advisory
Committee shall also determine the appropriate amount, if any, to assess
as a penalty. In determining the amount of the penalty, the Advisory
Committee shall consider the alleged violator’s gravity of noncompliance
with the law, culpability, history of noncompliance, ability to pay the
penalty, good faith in attempting to comply with the law, and ability to
continue in business, together with any other special circumstances
relevant to the matter. If the Advisory Committee concludes that a
penalty should be assessed for the violation, the Committee shall direct
Staff to issue a letter so informing the alleged violator. If the
Advisory Committee concludes that no penalty should be assessed for the
violation, the Committee shall direct Staff to issue a warning letter to
the alleged violator on the Committee’s behalf. |
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Section 265.310: Alleged Violator's
Options After Advisory Committee's Decision |
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If the Advisory Committee decides
that a penalty should be assessed, the alleged violator may pay the
amount of that penalty within 30 days after the date of the mailing of
the letter informing the alleged violator of the Advisory Committee’s
decision. Such payment shall constitute a final, non-reviewable
resolution of the matter, and all activity with respect to the violation
shall then terminate. If, within 30 days after the date of the mailing
of the letter informing the offender of the Advisory Committee’s
decision, the offender either refuses to pay or fails to pay the amount
of the penalty assessed by the Advisory Committee, Staff shall then
prepare and submit to the Commission an order initiating a proceeding to
determine whether a violation has occurred and a penalty should be
assessed. |
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SUBPART E:
SUBSEQUENT PROCEEDINGS |
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Section 265.400: Formal Adjudicatory
Proceedings |
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After the Commission
issues an order initiating the proceeding, the matter shall be assigned
to an Administrative Law Judge for de novo consideration. Such
proceedings shall be conducted in conformity with Article X of the
Public Utilities Act, 83 Ill. Adm. Code 200, and the provisions of this
Subpart. |
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Section 265.410: Scheduling and Time
Limits |
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a) Any answer or responsive pleading to the order
initiating the case shall be filed with the Commission within 7 days
after the respondent receives notice of the order.
b) Reasonable discovery specific to the issues of the
matter may commence upon the initiation of the case. Requests for
discovery must be served in hand, and responses to discovery must be
received by the requesting party within 14 days after the request is
made, unless otherwise
specified by the Administrative Law Judge.
c) A pre-hearing conference shall be held within 14 days
after the date on which the case is initiated.
d) Hearings shall begin within 60 days after the date on
which the case is initiated. Staff, the respondent, and any intervening
parties shall be entitled to present evidence and argument in oral or
written form as deemed appropriate by the Administrative Law Judge. The
Commission shall issue a written decision resolving the case within 180
days after the date on which the case is initiated. |
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