The Utility's Actions to Disclose and Rectify a Violation: Utilities are expected to promptly bring a violation to the Commission's attention. What constitutes "prompt" will depend on circumstances. Steps taken by a utility to promptly and cooperatively report and correct violations may be considered in assessing any penalty.
Although AGS failed to file the second status report until requested by CPSD, AGS has explained that it forgot to do so, and there is no evidence which suggests that AGS deliberately violated the Settlement Agreement. AGS has admitted the violation and promptly remedied it by filing the status report only six days after CPSD's data request for the customer-carrier list. However, AGS was responsible for carrying out its obligations under the Settlement Agreement and should have been tracking its own compliance, including the due dates for filing of status reports.
Criterion 3: Financial Resources of the Utility
In D.98-12-075, the Commission held that the size of a fine should reflect the financial resources of the utility. When assessing the financial resources of the utility, the Commission stated that it would consider the following factors:18
18 1998 Cal. PUC LEXIS 1016, *75 - *76.
