Pennsylvania Code › Title 52 - PUBLIC UTILITIES › Part I - Public Utility Commission › Subpart C - Fixed Service Utilities › Chapter 69 - GENERAL ORDERS, POLICY STATEMENTS AND GUIDELINES ON FIXED UTILITIES › FACTORS AND STANDARDS FOR EVALUATING LITIGATED AND SETTLED PROCEEDINGS › Section 69.1201 - Factors and standards for evaluating litigated and settled proceedings involving violations of the Public Utility Code and Commission regulations-statements of policy

Current through Register Vol. 54, No. 28, July 13, 2024
(a) The
					 Commission will consider specific factors and standards in evaluating litigated
					 and settled cases involving violations of 66 Pa.C.S. (relating to Public
					 Utility Code) and this title. These factors and standards will be utilized by
					 the Commission in determining if a fine for violating a Commission order,
					 regulation or statute is appropriate, as well as if a proposed settlement for a
					 violation is reasonable and approval of the settlement agreement is in the
					 public interest.
(b) Many of the
					 same factors and standards may be considered in the evaluation of both
					 litigated and settled cases. When applied in settled cases, these factors and
					 standards will not be applied in as strict a fashion as in a litigated
					 proceeding. The parties in settled cases will be afforded flexibility in
					 reaching amicable resolutions to complaints and other matters so long as the
					 settlement is in the public interest. The parties to a settlement should
					 include in the settlement agreement a statement in support of settlement
					 explaining how and why the settlement is in the public interest. The statement
					 may be filed jointly by the parties or separately by each individual
					 party.
(c) The factors and
					 standards that will be considered by the Commission include the following:
(1) Whether the conduct at issue was of a
					 serious nature. When conduct of a serious nature is involved, such as willful
					 fraud or misrepresentation, the conduct may warrant a higher penalty. When the
					 conduct is less egregious, such as administrative filing or technical errors,
					 it may warrant a lower penalty.
(2)
					 Whether the resulting consequences of the conduct at issue were of a serious
					 nature. When consequences of a serious nature are involved, such as personal
					 injury or property damage, the consequences may warrant a higher
					 penalty.
(3) Whether the conduct at
					 issue was deemed intentional or negligent. This factor may only be considered
					 in evaluating litigated cases. When conduct has been deemed intentional, the
					 conduct may result in a higher penalty.
(4) Whether the regulated entity made efforts
					 to modify internal practices and procedures to address the conduct at issue and
					 prevent similar conduct in the future. These modifications may include
					 activities such as training and improving company techniques and supervision.
					 The amount of time it took the utility to correct the conduct once it was
					 discovered and the involvement of top-level management in correcting the
					 conduct may be considered.
(5) The
					 number of customers affected and the duration of the violation.
(6) The compliance history of the regulated
					 entity which committed the violation. An isolated incident from an otherwise
					 compliant utility may result in a lower penalty, whereas frequent, recurrent
					 violations by a utility may result in a higher penalty.
(7) Whether the regulated entity cooperated
					 with the Commission's investigation. Facts establishing bad faith, active
					 concealment of violations, or attempts to interfere with Commission
					 investigations may result in a higher penalty.
(8) The amount of the civil penalty or fine
					 necessary to deter future violations. The size of the utility may be considered
					 to determine an appropriate penalty amount.
(9) Past Commission decisions in similar
					 situations.
(10) Other relevant
					 factors.