Section 286.10  Applicability

 

This Part shall apply to all public utilities as defined in Section 3-105 of the Public Utilities Act (Act) [220 ILCS 5/3-105] and to those telecommunications carriers as defined in Sec­tion 13-202 of the Act [220 ILCS 5/13-202] that are subject to the requirements of Section 9-201 of the Act [220 ILCS 5/9-201] and 83 Ill. Adm. Code 285. As used in this Part, the term "utilities" shall include both public utilities and those telecommunications carriers to which this Part is applicable.

 

Section 286.20  Submission of Prepared Testimony

 

a)         Direct Testimony

 

1)         Utilities shall, at the time of filing tariffs for a base rate increase, file the prepared direct testimony of any witnesses and any exhibits in support of the utility's proposed tariffs.

 

2)         For each project listed in 83 Ill. Adm. Code 285.6100(a), the utility's direct testimony shall include at least the following information that the utility relied upon to support its conclusion that its investment in the project is both prudent and used and useful in providing utility service:

 

A)        A description of all reports, studies, forecasts, documentation, or other factors that the utility relied upon to support its con­clusion; and

 

B)        A description of the manner in which the utility's use of the described reports, studies, forecasts, documentation or other factors in planning, constructing or operating the projects supports the utility's conclusion.

 

3)         The utility shall also submit one electronic copy of the testimony and exhibits to the Director of the Financial Analysis Division or any successor division of the Illinois Commerce Commission (Commission) at the time of filing.

 

b)         Supplemental direct testimony. Submission of direct testimony shall not preclude submission of supplemental direct testimony with good cause shown. In determining whether good cause has been shown, the Commission shall consider, among other things, the degree to which the information that is the subject of the supplemental direct testimony was not known to the utility at the time direct testimony was filed, and the degree to which facts have changed due to circumstances beyond the control of the utility.

 

c)         Nothing in this Section shall be construed as limiting:

 

1)         Updates to the rate of return on rate base during the rebuttal phase of the rate proceeding;

 

2)         Updates or adjustments pursuant to 83 Ill. Adm. Code 287; or

 

3)         The submission of post record data pursuant to 83 Ill. Adm. Code 200.875.

 

d)         Nothing in this Section shall be construed to limit the submission of corrections of mistakes or inadvertent omissions, provided no party is prejudiced by that submission.

 

(Source:  Amended at 40 Ill. Reg. 16200, effective December 9, 2016)

 

Section 286.30  Schedules and Work Papers Required to Support the Utility's Revised Revenue Requirement

 

When, subsequent to the date of filing initial rates or tariffs in a rate proceeding, a utility files testimony or exhibits with a revised revenue requirement or a revenue increase differ­ent from the revenue increase previously presented on Schedule A-2, the utility shall provide the schedules and work papers sup­porting the revised revenue requirement at the time of filing the testimony in accordance with the requirements of 83 Ill. Adm. Code 285.

 

a)         The schedules shall be identified in the upper right hand corner with the appro­priate schedule reference, the revision date, and the docket number. The following schedules, if affected by the change in the proposed revenue requirement, are required:

 

1)         An overall financial summary as defined by 83 Ill. Adm. Code 285.1005 to be identified as Revised Schedule A-2;

 

2)         A jurisdictional rate base summary as defined by 83 Ill. Adm. Code 285.2005 to be identified as Revised Schedule B-1, except that the presentation of rate base components shall include:

 

A)        Prior balance sponsored by the utility;

 

B)        Adjustment; and

 

C)        Adjusted requested balance;

 

3)         A summary of rate base adjustments as defined by 83 Ill. Adm. Code 285.2010 to be identified as Revised Schedule B-2 that reflects the individual adjustments to rate base included within the aggregated total adjustment amount reflected on Revised Schedule B-1;

 

4)         A schedule of each rate base adjustment providing support for the adjustment as defined by 83 Ill. Adm. Code 285.2015 to be identified as Revised Schedule B-2.1, B-2.2, etc.;

 

5)         A jurisdictional operating income summary as defined by 83 Ill. Adm. Code 285.3005 to be identified as Revised Schedule C-1, except that the presentation of the components of operating income shall include:

 

A)        Prior pro forma balance at present rates;

 

B)        Total of adjustments;

 

C)        Revised pro forma balance at present rates;

 

D)        Requested rate increase; and

 

E)        Pro forma balance at proposed rates;

 

6)         A summary of the adjustments to operating income as defined by 83 Ill. Adm. Code 285.3010 to be identified as Revised Schedule C-2 that reflects the individual adjustments to operating income within the aggregated total adjustment amount reflected on the jurisdictional operating income summary;

 

7)         A schedule of each adjustment to operating income providing support for the adjustment as defined by 83 Ill. Adm. Code 285.3015 to be identified as Revised Schedule C-2.1, C-2.2, etc.; and

 

8)         All schedules as defined by 83 Ill. Adm. Code 285.Subpart G affected by that revision.

 

b)         Work papers are required for, but not limited to, the work papers prescribed by the schedules submitted in support of the revised tariffs or revised reve­nue requirement. In addition, all work papers shall:

 

1)         Be keyed to the appropriate text or testimony exhibit;

 

2)         Contain the name of the person responsible for the work paper and the date prepared;

 

3)         Be cross-referenced wherever possible to minimize duplication of data; and

 

4)         Include assumptions, schedule amounts, narrative or other support so that the reasonableness of the work paper can be reviewed.

 

Section 286.40  Work Papers Supporting the Testimony of Parties Other Than the Utility

 

Provision of work papers supporting the testimony of parties other than the utility shall be determined at the pre-hearing conference.