STATE OF ILLINOIS ILLINOIS COMMERCE COMMISSION Caterpillar Inc. : : Application for Certificate of : Service Authority under Section : 13-0197 16-115 of the Public Utilities Act. : ORDER By the Commission: I. PRELIMINARY MATTERS On March 8, 2013, Caterpillar Inc. ("Applicant") filed a verified application with the Illinois Commerce Commission (“Commission”) requesting a certificate of service authority to operate as an alternative retail electric supplier (“ARES”) in Illinois pursuant to Section 16-115 of the Public Utilities Act (“Act”), 220 ILCS 5/1-101 et seq., and 83 Ill. Adm. Code 451 (“Part 451”). Applicant submitted its certificate of publication showing that on March 21, 2013, proper notice of the application was published in the official State newspaper. On March 26, 2013, Applicant filed a supplement to the application. II. BACKGROUND AND AUTHORITY SOUGHT BY APPLICANT Applicant requests authority, under subpart E of Part 451, to serve only the electric loads associated with facilities located in Illinois that are both (i) owned by, or a subsidiary of, or an affiliate of the applicant and (ii) are Retail Customers as defined by the Act, eligible for delivery service in the electric service areas of Ameren Illinois Company d/b/a Ameren Illinois ("Ameren Illinois") and Commonwealth Edison Company ("ComEd"). Applicant does not seek authority to provide single-billing services, under subpart F of Part 451. Applicant states it is not currently authorized to be an ARES in any jurisdiction and has not had any complaints against it for provision of any energy commodity supply service in the electric or gas industry. III. REQUIREMENTS UNDER SECTION 16-115(d) OF THE ACT Applicant asserts it is a corporation formed in the State of Delaware, licensed to do business in the State of Illinois. Applicant states it is not affiliated with an Illinois utility. Applicant states that the Retail Customers serviced by it will be industrial and commercial facilities; it will not serve residential customers. 13-0197 Applicant states it is a manufacturer of construction and mining equipment, diesel and natural gas engines, industrial gas turbines and diesel-electric locomotives. Applicant says it is also a service provider through Caterpillar Financial Services, Caterpillar Remanufacturing Services and Progress Rail Services. Applicant states it operates multiple facilities within Illinois. Applicant provides a description and the location of cogeneration or self-generation facilities that it owns within Illinois as required by Section 451.510(c). Applicant filed a list of addresses of the facilities it will be serving in the Ameren Illinois and the ComEd service territories. Applicant states that its employees, as well as any entity with which it may contract, that will be installing operating, and maintaining generation facilities within the State of Illinois, have the requisite knowledge, skills, and competence to perform those functions in a safe and responsible manner in order to provide safe and reliable service in accordance with the criteria stated in Section 16-128(a) of the Act and Part 451.20(d). Applicant states that it will use the transmission or distribution facilities of Ameren Illinois and ComEd. Applicant states it will not be installing or operating or maintaining transmission or distribution facilities within Illinois to serve the subject load within the meaning of Section 16-128 of the Act. Applicant asserts it has notified the designated in-state agent for each affected utility that it intends to serve customers in that utility's service area. Applicant further states that it has entered into agreements with the electric utilities in whose service territory the co-generation facilities are located, pursuant to Section 16-118 of the Act. Applicant asserts that the agreements set forth the prices, terms, and conditions for interconnection and the prices terms and conditions for services provided by the electric utility to the Applicant in connection with the delivery by the electric utility of electric power and energy supplied by the applicant as required by Part 451.410(d). Applicant certifies that it will comply with all applicable Federal, State, regional and industry rules, practices, policies, procedures and tariffs for the use, operation, maintenance, safety, integrity, and reliability of the interconnected electric transmission system. Applicant states it will comply with informational and reporting requirements established by Commission rule; and that it will comply with all other applicable laws, regulations, terms, and conditions required to the extent they have application to the services being offered under Subpart E of Part 451. Additionally, Applicant certifies that Section 16-115D and subsection (d) of Section 16-115 of the Act do not apply to it pursuant to subsection (h) of Section 16-115D of the Act. Applicant certifies that it will source electricity from clean coal facilities as required by Section 16-116(d)(5) of the Act. Applicant agrees to adopt and follow rules and procedures ensuring that authorizations received from customers, customer billing records, and requests for delivery service transmitted to utilities are retained for a period of not less than two calendar years after the calendar year in which they were created. Applicant agrees to 2 13-0197 adopt and follow rules and procedures to preserve the confidentiality of its customer’s data. Pursuant to the requirements of Section 451.50 of Part 451, Applicant provided a License or Permit Bond in the amount of $150,000 issued by a qualifying surety authorized to transact business in Illinois. Attachment F to the application is a copy of the required License or Permit Bond. IV. FINANCIAL, TECHNICAL, AND MANAGERIAL REQUIREMENTS OF SECTION 16-115 Applicant asserts that it meets the technical qualifications set forth in Section 16-115(d)(1) and Part 451. Applicant indicates that it will maintain a technical staff on duty or on call 24 hours each day to operate and maintain Applicant's generation facilities as needed. The occupational background information and qualifications of its technical staff and the agents or contractors upon which it will rely are provided in Attachment G to the application. Pursuant to subsection E, Applicant states that it maintains and will continue to maintain a telephone number, fax number and address where its staff can be directly reached at all times and recognizes that an answering service or machine, pager, or other similar message-taking procedure does not satisfy the requirements of the Commission's rules. Applicant identifies a telephone number and facsimile number that can be reached at all times. Applicant certifies that all of its agents or contractors will comply with all Sections of Part 451 applicable to the function or functions to be performed by the respective agent or contractor. V. COMMISSION CONCLUSION AND CERTIFICATE OF SERVICE AUTHORITY The Commission has reviewed the application and attachments along with the supplementary information provided by Applicant regarding the technical, financial, and managerial requirements and all other requirements of the Act and Part 451 and finds that the Applicant sufficiently demonstrates compliance with the requirements. The Commission concludes, therefore, that Applicant’s request for a certificate of service authority to operate as an ARES in Illinois should be granted and should include the following authority: CERTIFICATE OF SERVICE AUTHORITY IT IS CERTIFIED that Caterpillar Inc. is granted service authority to operate as an Alternative Retail Electric Supplier as follows: SERVICES TO BE PROVIDED: The sale of electricity and power. 3 13-0197 GEOGRAPHIC REGION(S) SERVED: The service area of Ameren Illinois Company. CUSTOMERS TO BE SERVED: • 2406 SW Washington Street, Peoria, IL 61602 • 28194 Caterpillar Lane, Washington, IL 61571 • Route 29 and Rench Road, Mossville, IL, 61552 • 8826 W Route 24, Mapleton, IL 61547 • 100 NE Adams, Peoria, IL 61602 • 8201 N University Street, Peoria, IL 61615 • 1980 Caterpillar Road, Delavan, IL 61734 • 915 N Main Street, Morton, IL,61550 • 500 W Washington Street, East Peoria, IL 61630 • 501 SW Jefferson Ave, Peoria, IL 61602 • 27th Street & Pershing Road, Decatur, IL 62525 GEOGRAPHIC REGION(S) SERVED: The service area of Commonwealth Edison Company. CUSTOMERS TO BE SERVED: • 251 Wille Road, DesPlaines, IL 60018 • 275 Route 31, Oswego Township, IL 60543 • 2200 Channahon Rd, Joliet Township, IL 60507 • 4H Park Road, Pontiac, IL 61764 • 9301 W 55th Street, LaGrange, IL 60525 VI. FINDINGS AND ORDERING PARAGRAPHS The Commission, having reviewed the entire record, is of the opinion and finds that: (1) Applicant, Caterpillar Inc., a corporation organized under the laws of Delaware, seeks a certificate of service authority to operate as an alternative retail electric supplier under Section 16-115 of the Act; 4 13-0197 (2) the Commission has jurisdiction over the parties hereto and the subject matter hereof; (3) the recitals of fact and conclusions reached in the prefatory portion of this Order are supported by the record and are hereby adopted as findings of fact, as required by Section 16-115(d) of the Act; (4) Applicant has demonstrated that it possesses sufficient financial, managerial and technical resources and abilities to provide power and energy to the eligible retail customers in the service areas of Commonwealth Edison Company and Ameren Illinois Company, as described in the prefatory part of this Order; (5) Applicant has complied with Section 16-115(d)(1) through (5) and (8) of the Act and 83 Ill. Adm. Code 451;and (6) Caterpillar Inc. should be granted a certificate of service authority to operate as an alternative retail electric supplier as specified in Section V of this Order. IT IS THEREFORE ORDERED by the Illinois Commerce Commission that Caterpillar Inc. is hereby granted the Certificate of Service Authority as set forth in Section V of this Order. IT IS FURTHER ORDERED that Caterpillar Inc. shall comply with all applicable Commission rules and orders now and as hereafter amended.