NOTICES

PENNSYLVANIA PUBLIC
UTILITY COMMISSION

Pennsylvania Public Utility Commission, Bureau of Investigation and Enforcement's Investigation of American Broadband and Telecommunications Company, LLC relating to Possible Violations of 52 Pa. Code § 63.1, et seq., of the Commission's Regulations and 66 Pa.C.S. § 1101 of the Public Utility Code

[54 Pa.B. 7639]
[Saturday, November 23, 2024]

Public Meeting held
November 7, 2024

Commissioners Present: Stephen M. DeFrank, Chairperson; Kimberly Barrow, Vice Chairperson, statement; Kathryn L. Zerfuss; John F. Coleman, Jr.; Ralph V. Yanora

Pennsylvania Public Utility Commission, Bureau of Investigation and Enforcement's Investigation of American Broadband and Telecommunications Company, LLC relating to Possible Violations of 52 Pa. Code § 63.1, et seq., of the Commission's Regulations and 66 Pa.C.S. § 1101 of the Public Utility Code; A-2022-3034019

Opinion and Order

By the Commission:

 Before the Pennsylvania Public Utility Commission (Commission) for consideration and disposition is the proposed Joint Petition for Approval of Settlement (Settlement Agreement or Joint Petition), filed on April 9, 2024, by the Commission's Bureau of Investigation and Enforcement (I&E) and American Broadband and Telecommunications Company LLC (AB&T or the Company) (collectively the Parties), with respect to an informal investigation conducted by I&E. The Joint Petition contains terms and conditions representing a comprehensive settlement, along with Statements in Support of the Settlement Agreement (Statements in Support), regarding an Informal Investigation that I&E conducted. Both Parties submit that the proposed Settlement Agreement is in the public interest and is consistent with our Policy Statement at 52 Pa. Code § 69.1201, Factors and standards for evaluating litigated and settled proceedings involving violations of the Public Utility Code and Commission regulations—statement of policy (Policy Statement). Settlement Agreement at ¶ 42. Before issuing a final decision on the merits of the proposed Settlement, and consistent with the requirement of 52 Pa. Code § 3.113(b)(3), we shall publish the Settlement in the Pennsylvania Bulletin and provide an opportunity for interested parties to file comments regarding the proposed Settlement.¹

I. History of the Proceeding

 This matter concerns an informal investigation initiated by I&E based on a referral from our Opinion and Order, entered April 13, 2023, at Docket No. A-2022-3034019 (April 2023 Order), wherein we modified the Initial Decision of Deputy Chief Administrative Law Judge (ALJ) Mark A. Hoyer and ALJ Emily I. DeVoe (collectively, the ALJs), issued on November 30, 2022. The ALJs' Initial Decision granted AB&T's unopposed Petition for Leave to Withdraw its Application for Approval of Pro Forma Transfer of Control, Nunc Pro Tunc (Petition to Withdraw). I.D. at 1, 7. In our April 2023 Order, we modified the ALJs' Initial Decision, in part. While we agreed with the ALJs that AB&T's unopposed Petition to Withdraw should be granted, we also modified the ALJs' Initial Decision to recognize that AB&T's conduct included noncompliance with our Regulations governing transfers of control, which was not obviated or cured by the ALJ's Initial Decision. Given AB&T's apparent noncompliance with Chapter 63 of the Regulations and Chapter 11 of the Pennsylvania Public Utility Code (Code), and the Office of Consumer Advocate's (OCA) prior Protest,² and in consideration of the facts of the case, we referred this matter to I&E for further action as deemed necessary and appropriate. Id. at 8.

 To investigate AB&T's apparent non-compliance, I&E initiated an informal investigation into AB&T's conduct and practices. Through its informal investigation, I&E concluded that sufficient data had been gathered to substantiate alleged violations of Chapter 63 of the Commission's Regulations and Chapter 11 of the Code in connection with its untimely filed Application for Approval of Pro Forma Transfer of Control, Nunc Pro Tunc. Settlement Agreement, Appendix A at 2-3.

 The Parties entered into negotiations and agreed to resolve these matters in accordance with the Commission's policy to promote settlements at 52 Pa. Code § 5.231. Settlement Agreement at ¶ 8. The Parties filed the instant Settlement Agreement on April 9, 2024.

II. Background

A. I&E Informal Investigation

 As indicated above, the basis for the instant Settlement Agreement resulted from AB&T's apparent failure to timely comply with the Commission's shortened review and approval process relating to transfers of control for certificated telecommunications providers prescribed under Chapter 63 of the Commission's Regulations and Chapter 11 of the Code, which was referred to I&E for further investigation by our April 2023 Order.

 As a result of the referral, I&E opened an informal investigation into AB&T's apparent noncompliance with regulations governing transfers of control. As part of its investigation, on October 12, 2023, I&E served AB&T with I&E Data Requests—Set I, consisting of eight (8) Data Requests. On November 3, 2023, AB&T provided its responses to I&E Data Requests—Set I. I&E's investigation included a careful review of AB&T's responses to the Data Requests, as well as information and documentation provided in various docketed matters, and its communications with AB&T. Ultimately, I&E determined that AB&T's conduct violated Chapter 63 of the Commission's Regulations and Chapter 11 of the Code. Settlement Agreement at ¶¶ 22—25, 27-28.

B. Alleged Violations

 Based on its informal investigation, I&E concluded that AB&T was required to, and failed to, utilize the Commission's shortened review and approval process relating to transfers of control for certificated telecommunications public utilities. Specifically, pursuant to 52 Pa. Code § 63.325(c), AB&T was required to provide notification of the pro forma transaction thirty (30) days prior to closing the transaction. In this case, AB&T indicated that AB&T Holdings obtained a majority interest in AB&T on May 27, 2022, and thus was required to provide notice to the Commission by April 27, 2022. AB&T did not file its Application until July 22, 2022, which was 86 days past the required notification date. Settlement Agreement at ¶¶ 27, 29.

 If this matter had been litigated, I&E would have proffered evidence that AB&T violated certain provisions of our Regulations and the Code. Specifically, I&E would have asserted that AB&T violated the Commission's Regulations at 52 Pa. Code § 63.325, as well as Section 1102 of the Code, 66 Pa.C.S. § 1102(a)(3), when it failed to first provide notice to the Commission prior to the transfer of control. Settlement Agreement at ¶¶ 28, 30.

 As a result of negotiations, the Parties entered into the proposed Settlement Agreement, which is attached to this Opinion and Order, to resolve their differences. The Parties assert that the proposed Settlement Agreement is in the public interest and should, therefore, be approved by the Commission. Settlement Agreement at ¶ 8. I&E submits that AB&T cooperated with its investigation by issuing responses to I&E's data requests for information as requested and by engaging in communications. Id. at ¶¶ 24—26.

III. Terms of the Settlement³

 The Parties state that the purpose of the Settlement is to terminate I&E's informal investigation and settle this matter completely without litigation. Both Parties jointly acknowledge that approval of the Settlement Agreement is in the public interest and is fully consistent with the Commission's Policy Statement. Moreover, the Parties agree that the Settlement Agreement is in the public interest because it effectively addresses I&E's allegations that are the subject of I&E's informal investigation, it avoids the inherent unpredictability of the outcome of a contested proceeding, and it emphasizes the importance of compliance with the Commission's Regulations by imposing a civil penalty. Settlement Agreement at ¶¶ 31—33.

 The essential terms of the Settlement are set forth in Paragraph No. 31 of the Joint Petition, which is recited in full, below, as it appears in the Joint Petition:

a) AB&T shall pay a civil penalty of Ten Thousand ($10,000) Dollars to fully and finally resolve all possible claims of alleged violations of the Public Utility Code and the Commission's regulations in connection with the above alleged violations. Said payment shall be made within thirty (30) days of the date of the Commission's Final Order approving the Settlement Agreement and shall be made by certified check or money order payable to the ''Commonwealth of Pennsylvania'' and sent to:

 Rosemary Chiavetta, Secretary
Pennsylvania Public Utility Commission
Commonwealth Keystone Building
400 North Street
Harrisburg, PA 17120

The civil penalty shall not be tax deductible pursuant to Section 162(f) of the Internal Revenue Code, 26 U.S.C. § 162(f) or passed through as an additional charge to any customers in Pennsylvania.

Settlement Agreement at ¶ 31.

 The Parties submit that the above civil penalty is in the public interest because it will reinforce the importance of complying with the Commission's streamlined transfer of control Regulations at 52 Pa. Code § 63.325. The Parties further represent that AB&T has taken measures to improve its existing internal procedures by directing relevant employees to confer with regulatory counsel prior to completing any transactions that could impact the ownership or control of AB&T. Settlement Agreement at ¶¶ 32, 34.

 The Parties state that the Joint Petition represents the Settlement Agreement in its entirety. In consideration of AB&T's agreement to pay a civil penalty, I&E agrees that its informal investigation relating to AB&T's conduct will be terminated. Settlement Agreement at ¶¶ 31, 35.

 The proposed Settlement Agreement is conditioned on the Commission's approval without modification of any of its terms or conditions. If the Commission rejects the proposed Settlement Agreement, or makes any change or modification thereto, either Party may elect to withdraw from the Settlement Agreement. Moreover, the Settlement Agreement represents a compromise of positions and does not constitute a finding of culpability or an admission concerning the alleged violations of the Code and the Commission's Regulations. Finally, the Parties present the Settlement Agreement without prejudice to any position that I&E or AB&T may advance in the future on the merits of the issues in any future proceeding, except to the extent necessary to effectuate the terms and conditions of the Settlement Agreement. Settlement Agreement at ¶¶ 36—41.

IV. Discussion

 Pursuant to our Regulations at 52 Pa. Code § 5.231, it is the Commission's policy to promote settlements. However, the Commission must review proposed settlements to determine whether the terms are in the public interest. Pa. PUC v. Philadelphia Gas Works, Docket No. M-00031768 (Order entered January 7, 2004).

 In reviewing settlements that resolve informal investigations, the Commission will provide other potentially affected parties with the opportunity to file comments regarding a proposed settlement prior to issuing a decision. The Commission's Regulations at 52 Pa. Code § 3.113(b) provide as follows:

§ 3.113. Resolution of informal investigations.

*  *  *

(b) Under 65 Pa.C.S. Chapter 7 (relating to Sunshine Act), the Commission's official actions resolving informal investigations will be as follows:

*  *  *

(3) When the utility, or other person subject to the Commission's jurisdiction, has committed to undertake action to address or remedy a violation or potential violation of the act or to resolve another perceived deficiency at the utility, in the form of a settlement with the Commission staff or other resolution of the matter, the Commission's consideration of the settlement or approval of the utility's action will occur at public meeting. Except for staff reports and other documents covered by a specific legal privilege, documents relied upon by the Commission in reaching its determination shall be made part of the public record. Before the Commission makes a final decision to adopt the settlement or to approve the utility's action, the Commission will provide other potentially affected persons with the opportunity to submit exceptions thereon or to take other action provided for under law.

52 Pa. Code § 3.113(b) (emphasis added). See also, Pa. PUC, Bureau of Investigation and Enforcement v. PPL Electric Utilities Corporation, Docket No. M-2012-2264635 (Order entered September 13, 2012); Pa. PUC, Bureau of Investigation and Enforcement v. Liberty Power Holdings, LLC, Docket No. M-2019-2568471 (Order entered August 8, 2019).

V. Conclusion

 Before issuing a decision on the merits of the proposed Settlement, and consistent with the requirement of 52 Pa. Code § 3.113(b)(3), and for the reason(s) stated above, we believe it is appropriate to publish the Settlement in the Pennsylvania Bulletin. Therefore, we will: (1) publish this Opinion and Order and a copy of the proposed Settlement and Statements in Support, attached hereto, in the Pennsylvania Bulletin; and (2) provide an opportunity for interested parties to file comments regarding the proposed Settlement within twenty-five (25) days after the date of publication in the Pennsylvania Bulletin; Therefore,

 It Is Ordered That:

 1. The Secretary's Bureau shall duly certify this Opinion and Order along with the attached Joint Petition for Approval of Settlement and the Statements in Support thereof, at Docket No. A-2022-3034019, and deposit them with the Legislative Reference Bureau for publication in the Pennsylvania Bulletin.

 2. Within twenty-five (25) days after the date that this Opinion and Order and the attached Joint Petition for Approval of Settlement and the Statements in Support thereof are published in the Pennsylvania Bulletin, interested parties may file comments concerning the proposed Settlement.

 3. A copy of this Opinion and Order, together with the attached Joint Petition for Approval of Settlement and the Statements in Support thereof, at Docket No. A-2022-3034019, shall be served on the Office of Consumer Advocate and the Office of Small Business Advocate.

 4. Subsequent to the Commission's review of any comments filed in this proceeding, at Docket No. A-2022-3034019, a final Opinion and Order will be issued by the Commission.

ROSEMARY CHIAVETTA, 
Secretary

ORDER ADOPTED: November 7, 2024

ORDER ENTERED: November 7, 2024

Appendix A

BEFORE THE
PENNSYLVANIA PUBLIC UTILITY COMMISSION

Pennsylvania Public Utility Commission, Bureau of Investigation and Enforcement's Investigation of American Broadband and Telecommunications Company, LLC relating to possible violations of 52 Pa. Code § 63.1, et seq., of the Commission's regulations and 66 Pa.C.S. § 1101 of the Public Utility Code

: : : : : : : :

Docket No. A-2022-3034019

__________
JOINT PETITION FOR APPROVAL OF SETTLEMENT
__________

TO THE HONORABLE PENNSYLVANIA PUBLIC UTILITY COMMISSION:

 Pursuant to 52 Pa. Code §§ 3.113(b)(3), 5.41 and 5.232, the Pennsylvania Public Utility Commission's (''Commission'' or ''PUC'') Bureau of Investigation and Enforcement (''I&E'') and American Broadband and Telecommunications Company LLC (''AB&T'' or ''Company'') (hereinafter referred to collectively as the ''Parties'' or ''Joint Petitioners'') hereby submit this Joint Petition for Approval of Settlement (''Joint Petition'' or ''Settlement Agreement'') to resolve all issues related to an informal investigation conducted by I&E. I&E's investigation was initiated based upon the Commission's Opinion and Order, entered April 13, 2023, at Docket No. A-2022-3034019, wherein the Commission agreed to grant AB&T's Petition to Withdraw, but modified the Initial Decision of the presiding ALJs to refer the matter to the Bureau of Investigation and Enforcement for further action as deemed necessary and appropriate. Following numerous discussions between the Parties, I&E and AB&T respectfully request herein that the Commission enter an Opinion and Order approving this Settlement Agreement, without modification, for the compelling public interest reasons set forth, infra. Also attached are Statements in Support of the Settlement expressing the individual views of I&E (Appendix A) and AB&T (Appendix B), respectively.

I. Introduction

 1. The Parties to this Settlement Agreement are I&E, by its prosecuting attorneys, Commonwealth Keystone Building, 400 North Street, Harrisburg, PA 17120, and American Broadband and Telecommunications Company LLC, with a business address of 1480 Ford Street, Maumee, OH 43537.

 2. The Commission is a duly constituted agency of the Commonwealth of Pennsylvania empowered to regulate public utilities within this Commonwealth, as well as other entities subject to its jurisdiction, pursuant to the Public Utility Code (''Code''), 66 Pa.C.S. §§ 101, et seq.

 3. I&E is the bureau within the Commission established to prosecute complaints against public utilities and other entities subject to the Commission's jurisdiction. See Implementation of Act 129 of 2008; Organization of Bureaus and Offices, Docket No. M-2008-2071852 (Order entered August 11, 2011) (delegating authority to initiate proceedings that are prosecutory in nature to I&E); see also 66 Pa.C.S. § 308.2(a)(11).

 4. Section 501(a) of the Code, 66 Pa.C.S. § 501(a), authorizes and obligates the Commission to execute and enforce the provisions of the Code.

 5. AB&T is a ''public utility,'' as that term is defined at 66 Pa.C.S. § 102⁴ , as it is engaged in providing telecommunications service to the public for compensation.

 6. On April 13, 2023, the Commission referred this matter to I&E, the Commission's independent prosecutory bureau, outlining concerns regarding AB&T's compliance with the Code and the Commission's regulations related to AB&T's perceived noncompliance with the Commission's regulations governing transfer of control.

 7. I&E determined that an informal investigation was warranted to ascertain whether the actions of AB&T violated any regulations, laws, or orders that the Commission has jurisdiction to administer.

 8. As a result of successful negotiations between I&E and AB&T, the Parties have reached an agreement on an appropriate outcome to the investigation as encouraged by the Commission's policy to promote settlements. See 52 Pa. Code § 5.231. The Settlement Agreement is also consistent with the Commission's Policy Statement for evaluating litigated and settled proceedings involving violations of the Code and Commission regulations, 52 Pa. Code § 69.1201. The Parties agree to the settlement terms set forth herein and urge the Commission to grant the Joint Petition and approve the Settlement Agreement in its entirety, without modification, as being in the public interest.

II. Background

 9. American Broadband and Telecommunications Holdings, Inc. (''AB&T Holdings'') was formed on May 20, 2022, and obtained a majority interest in AB&T on May 27, 2022.

 10. According to AB&T, the creation of AB&T Holdings and transfer of control was necessitated by a condition for closing a debt-based financial transaction. As explained in AB&T's Abbreviated Securities Certificate, filed on July 22, 2022 at Docket S-2022-3033982, ''[t]he purpose of this financing was to repay a debt to an existing lender and for general business purposes related to the Registrant's operations.''

 11. On or about July 22, 2022, AB&T filed an Application for Approval of Pro Forma Transfer of Control, Nunc Pro Tunc, Docket No. A-2022-3034019 (''Transfer of Control Application''). Specifically, AB&T requested approval of the transfer of control and internal reorganization when AB&T Holdings took control of AB&T.

 12. At the time AB&T filed it Transfer of Control Application, it held Certificates of Public Convenience as a Reseller of Interexchange Toll Services, Docket No. A-2013-2354978 (effective May 9, 2013), an Interexchange Carrier, Docket No. A-2013-2354980 (effective May 9, 2013), and a Competitive Local Exchange Carrier, Docket No. A-2013-2354840 (effective Sept. 24, 2013).

 13. On August 22, 2022, the Office of Consumer Advocate filed a formal Protest against AB&T's Application, Docket No. A-2022-3034019.

 14. On September 23, 2022, AB&T filed a letter advising the Commission's Office of Administrative Law Judge that it intended to abandon its Certificates of Public Convenience and would file an application seeking discontinuance and abandonment separately, and thus was withdrawing its Application at Docket No. A-2022-3034019. The Office of Administrative Law Judge treated the letter as a Petition for Leave to Withdraw.

 15. Concurrently, on September 23, 2022, AB&T separately filed an Application for Approval of Discontinuance and Abandonment of Telecommunications Service, Docket No. A-2022-3035615. Specifically, AB&T sought approval to surrender its Certificates of Public Convenience as a Competitive Local Exchange Carrier, Reseller of Interexchange Toll Services, and Facilities-based Interexchange Carrier.

 16. On or about October 11, 2022, AB&T filed a Notice of Pro Forma Change in Corporate Ownership, Petition to Maintain Eligible Telecommunications Carrier Status Post-Corporate Change in Ownership, and Petition for Waiver of the Obligation to Petition for Renewal of ETC Designation, Docket No. P-2022-3036054. Specifically, AB&T requested waiver of the requirement to file a petition for renewal of its ETC designation since the change in corporate control did not change the corporate management.

 17. On October 31, 2022, the Office of Consumer Advocate filed an Answer to the Petition of AB&T at Docket No. P-2022-3036054, stating that good cause existed for AB&T to affirmatively prove to the Commission that it was qualified to provide Lifeline service as an ETC in light of the Consent Decree issued by the Federal Communications Commission (''FCC''), In the Matter of American Broadband and Telecommunications Company, Jeffrey S. Ansted, FCC File No. EB-IHD-17-00023554, Order (rel. June 3, 2022), Consent Decree (Enforcement Bureau, DA-22-421).

 18. On November 21, 2022, AB&T filed a Response to the Answer of the Office of Consumer Advocate,⁵ stating that the Consent Decree is not a factual or legal finding regarding AB&T's compliance with the FCC's Lifeline rules, and therefore, does not provide any valid basis for requiring AB&T to prove that it is qualified to provide Lifeline service. In the Response, AB&T further advised the Commission that it commits to its continued compliance with federal and Pennsylvania Lifeline service requirements.

 19. The matters at Docket Nos. P-2022-3036054 and A-2022-3035615 remain open before the Commission.

 20. On November 30, 2022, Deputy Chief Administrative Law Judge Mark A. Hoyer and Administrative Law Judge Emily I. DeVoe (herein referred to collectively as ''Presiding Officers'') issued an Initial Decision granting AB&T's Petition for Leave to Withdraw its Application for Approval of Pro Forma Transfer of Control, Nunc Pro Tunc and dismissing the Application without prejudice, Docket No. A-2022-3034019.

 21. On April 13, 2023, the Commission issued an Opinion and Order at Docket No. A-2022-3034019 (''April 13, 2023 Order''), modifying the Initial Decision of the Presiding Officers. Specifically, the Commission agreed with the decision to grant AB&T's Petition to Withdraw, but modified the Initial Decision to refer the matter to the Bureau of Investigation and Enforcement for further action as deemed necessary and appropriate.

 22. Despite AB&T's Application for Approval of Pro Forma Transfer of Control Nunc Pro Tunc being withdrawn, the Commission nevertheless had concerns regarding AB&T's underlying noncompliance with the Commission's regulations governing transfers of control. The Commission stated, in pertinent part:

 Due to AB&T's failure to seek approval for the transfer from the Commission under Chapter 63 of the Code, AB&T sought nunc pro tunc relief from the Commission regarding a transfer of control it had entered into for financing arrangements. We are concerned that allowing certificated public utility providers to avoid compliance with our streamlined transfer of control regulations, which are available only to certificated providers of communications services in the Commonwealth, if allowed to become common practice, will ultimately affect consumer services [footnote omitted].

. . .

It is necessary to emphasize the importance of compliance with our streamlined transfer of control regulations.

April 13, 2023 Order at 7.

 23. Pursuant to the April 13, 2023 Order, the matter was referred to I&E.

 24. By letter dated October 12, 2023, I&E issued an investigation letter with I&E Data Requests—Set I informing AB&T of the scope of its investigation and requesting responses to I&E's eight (8) Data Requests.

 25. On November 1, 2023, AB&T provided its responses to I&E Data Requests—Set I.

 26. The Parties engaged in communications that resulted in the amicable resolution that is set forth herein.

III. Violations

 27. After a careful review of AB&T's responses to the Data Requests and the information and documentation provided in the various docketed matters, I&E determined that AB&T was required to timely utilize the Commission's shortened review and approval process relating to transfers of control for certificated communications providers and failed to utilize that process.

 28. If proven, this is a violation of Section 63.325 of the Commission's Regulations, 52 Pa. Code § 63.325, and Section 1102 of the Public Utility Code, 66 Pa.C.S. § 1102(a)(3), when AB&T failed to first provide notice to the Commission prior to the transfer of control.

 29. Pursuant to Section 63.325(c), AB&T was required to provide notification of the pro forma transaction thirty (30) days prior to the closing of the transaction. Here, AB&T stated that AB&T Holdings obtained a majority interest in AB&T on May 27, 2022, and thus was required to provide notice to the Commission by April 27, 2022. AB&T filed its Application on July 22, 2022, 86 days past the notification date.

 30. Had this matter been fully litigated, I&E would have proffered evidence and legal arguments to demonstrate that AB&T violated Section 63.325 of the Commission's Regulations, 52 Pa. Code § 63.325, and Section 1102 of the Public Utility Code, 66 Pa.C.S. § 1102(a)(3), when AB&T failed to first provide notice to the Commission prior to the transfer of control.

IV. Settlement Terms

 31. Pursuant to the Commission's policy of encouraging settlements that are reasonable and in the public interest, the Parties held multiple discussions that culminated in this Settlement. I&E and AB&T desire to (1) terminate I&E's informal investigation; and (2) settle this matter completely without litigation. The Parties recognize the inherent unpredictability of the outcome of a contested proceeding and further recognize the benefits of amicably resolving the issues. The terms of the Settlement, for which the Parties seek Commission approval, are set forth below:

a) AB&T shall pay a civil penalty of Ten Thousand ($10,000) Dollars to fully and finally resolve all possible claims of alleged violations of the Public Utility Code and the Commission's regulations in connection with the above alleged violations. Said payment shall be made within thirty (30) days of the date of the Commission's Final Order approving the Settlement Agreement and shall be made by certified check or money order payable to the ''Commonwealth of Pennsylvania'' and sent to:

 Rosemary Chiavetta, Secretary
Pennsylvania Public Utility Commission
Commonwealth Keystone Building
400 North Street
Harrisburg, PA 17120

The civil penalty shall not be tax deductible pursuant to Section 162(f) of the Internal Revenue Code, 26 U.S.C.S. § 162(f) or passed through as an additional charge to any customers in Pennsylvania.

 32. The Parties agree that this civil penalty is in the public interest in order to emphasize the importance of compliance with the Commission's streamlined transfer of control regulations.

 33. The Parties agree that payment of the stated civil penalty is, in and of itself, a reasonable and adequate resolution of the matter referred to I&E and a settlement based thereon is in the public interest.

 34. AB&T has nevertheless also improved its existing procedures by directing relevant employees to confer with regulatory counsel prior to completing any transactions that could impact the ownership or control of AB&T.

V. Conditions of Settlement

 35. This document represents the Settlement Agreement in its entirety. No changes to obligations set forth herein may be made unless they are in writing and are expressly accepted by the Parties involved. This Settlement Agreement shall be construed and interpreted under Pennsylvania law, without regard to its conflicts of laws provisions.

 36. The Settlement is conditioned upon the Commission's approval of the terms and conditions contained in this Joint Settlement Petition without modification. If the Commission rejects or modifies this Settlement Agreement, any party may elect to withdraw from this Settlement Agreement and may proceed with litigation or take other such action as deemed appropriate and, in such event, this Settlement Agreement shall be void and of no effect. Such election to withdraw must be made in writing, filed with the Secretary of the Commission and served upon all Parties within twenty (20) business days after entry of an Order modifying the Settlement.

 37. The benefits and obligations of this Settlement Agreement shall be binding upon the successors and assigns of the Parties to this Settlement.

 38. The Parties agree that the underlying allegations were not the subject of any hearing or formal procedure and that there has been no order, findings of fact or conclusions of law rendered in this proceeding. It is further understood that, by entering into this Settlement Agreement, AB&T has made no concession or admission of fact or law and may dispute all issues of fact and law for all purposes in all proceedings that may arise as a result of the circumstances described in this Settlement Agreement.

 39. The Parties acknowledge that this Settlement Agreement reflects a compromise and does not necessarily reflect any party's position with respect to any issues raised in this proceeding.

 40. If either party should file any pleading, including comments, in response to an order of the Commission, the other party shall have the right to file a reply.

 41. This Settlement Agreement is being presented only in the context of this proceeding in an effort to resolve the proceeding in a manner that is fair and reasonable. This Settlement Agreement is presented without prejudice to any position that any of the Parties may have advanced and without prejudice to the position any of the Parties may advance in the future on the merits of the issues in future proceedings, except to the extent necessary to effectuate the terms and conditions of this Settlement Agreement. This Settlement Agreement does not preclude the Parties from taking other positions in any other proceeding.

 42. The terms of this Settlement Agreement represent a reasonably negotiated compromise on the issue addressed herein. Thus, the Settlement Agreement is consistent with the Commission's rules and practices encouraging negotiated settlements set forth in 52 Pa. Code §§ 5.231 and 69.1201.

 Wherefore, the Pennsylvania Public Utility Commission's Bureau of Investigation and Enforcement and American Broadband and Telecommunications Company, LLC respectfully request that the Commission enter an Order approving the terms of the Joint Petition for Approval of Settlement in their entirety as being in the public interest.

Respectfully submitted,

Date: April 9, 2024
Debra McGuire Mercer, Esq
Nelson Mullins Riley &
 Scarborough LLP
Counsel for American Broadband and Telecommunications Company, LLC

Date: April 9, 2024
Michael L. Swindler
Deputy Chief Prosecutor
Bureau of Investigation and Enforcement
Pennsylvania Public Utility
 Commission

BEFORE THE
PENNSYLVANIA PUBLIC UTILITY COMMISSION

Pennsylvania Public Utility Commission, Bureau of Investigation and Enforcement's Investigation of American Broadband and Telecommunications Company, LLC relating to possible violations of 52 Pa. Code § 63.1, et seq., of the Commission's regulations and 66 Pa.C.S. § 1101 of the Public Utility Code

: : : : : : : :

Docket No. A-2022-3034019

__________
THE BUREAU OF INVESTIGATION AND ENFORCMENT'S
STATEMENT IN SUPPORT OF THE
JOINT PETITION FOR APPROVAL OF SETTLEMENT
__________

TO THE HONORABLE PENNSYLVANIA PUBLIC UTILITY COMMISSION:

 Pursuant to 52 Pa. Code §§ 5.231, 5.232 and 69.1201, the Pennsylvania Public Utility Commission's (''Commission'') Bureau of Investigation and Enforcement (''I&E'') hereby submits this Statement in Support of the Joint Petition for Approval of Settlement (''Settlement Agreement'') in the above-docketed matter between I&E and American Broadband and Telecommunications Company, LLC (''AB&T'') (hereinafter collectively referred to as the ''Parties''). I&E avers that the terms of the Settlement Agreement are just and reasonable and in the public interest for the reasons set forth in the Settlement Agreement and as set forth herein.

I. Background

 American Broadband and Telecommunications Holdings, Inc. (''AB&T Holdings'') was formed on May 20, 2022, and obtained a majority interest in AB&T on May 27, 2022. According to AB&T, the creation of AB&T Holdings and transfer of control was necessitated by a condition for closing a debt-based financial transaction. As explained in AB&T's Abbreviated Securities Certificate, filed on July 22, 2022 at Docket S-2022-3033982, ''[t]he purpose of this financing was to repay a debt to an existing lender and for general business purposes related to the Registrant's operations.''

 On or about July 22, 2022, AB&T filed an Application for Approval of Pro Forma Transfer of Control, Nunc Pro Tunc, Docket No. A-2022-3034019 (''Transfer of Control Application''). Specifically, AB&T requested approval of the transfer of control and internal reorganization when AB&T Holdings took control of AB&T.

 On or about October 11, 2022, AB&T filed a Notice of Pro Forma Change in Corporate Ownership, Petition to Maintain Eligible Telecommunications Carrier Status Post-Corporate Change in Ownership, and Petition for Waiver of the Obligation to Petition for Renewal of ETC Designation, Docket No. P-2022-3036054. Specifically, AB&T requested waiver of the requirement to file a petition for renewal of its ETC designation since the change in corporate control did not change the corporate management.

 On November 30, 2022, Deputy Chief Administrative Law Judge Mark A. Hoyer and Administrative Law Judge Emily I. DeVoe (herein referred to collectively as ''Presiding Officers'') issued an Initial Decision granting AB&T's Petition for Leave to Withdraw its Application for Approval of Pro Forma Transfer of Control, Nunc Pro Tunc and dismissing the Application without prejudice, Docket No. A-2022-3034019.

 On April 13, 2023, the Commission issued an Opinion and Order at Docket No. A-2022-3034019 (''April 13, 2023 Order''), modifying the Initial Decision of the Presiding Officers. Specifically, the Commission agreed with the decision to grant AB&T's Petition to Withdraw, but modified the Initial Decision to refer the matter to the Bureau of Investigation and Enforcement for further action as deemed necessary and appropriate.

 Despite AB&T's Application for Approval of Pro Forma Transfer of Control Nunc Pro Tunc being withdrawn, the Commission nevertheless had concerns regarding AB&T's underlying noncompliance with the Commission's regulations governing transfers of control. Pursuant to the April 13, 2023 Order, the matter was referred to I&E.

 Upon investigation and following multiple discussions with AB&T counsel, the Parties reached an amicable settlement that reflects an adequate resolution of the issue referred to I&E. On March 25, 2024, the Parties filed a Joint Petition for Approval of Settlement resolving the issue referred to I&E pursuant to the April 13, 2023 Order.

II. The Public Interest

 I&E is satisfied that approval of the proposed settlement is in the public interest. As set forth at Section 5.231(a) of the Commission's regulations, it is the Commission's policy to encourage settlements, 52 Pa. Code § 5.231(a). The instant Joint Petition for Settlement resolves the issue of AB&T's noncompliance with the Commission's regulations regarding transfer of control. The settlement will save the parties the time and expense that would be incurred in litigating this matter before the Commission. Since the signatory parties have agreed to the terms of this Joint Petition for Settlement, adopting it will eliminate the possibility of an appeal from a Secretarial Letter or Order, thus saving the signatory parties the time and expense that might have been incurred in such an appeal.

III. Terms of Settlement

 I&E and AB&T, intending to be legally bound and for consideration given and received, desire to fully and finally conclude this investigation and agree that a Commission Order approving the Settlement Agreement without modification shall create the following obligation:

AB&T shall pay a civil penalty in the amount of Ten Thousand Dollars ($10,000) pursuant to 58 P.S. § 801.502 and 52 Pa. Code § 69.1201. Said payment shall be made within thirty (30) days of the entry date of the Commission's Final Order approving the Joint Petition for Approval of Settlement in this matter and shall be made by certified check or money order payable to the ''Commonwealth of Pennsylvania.'' The docket number of this proceeding shall be indicated on the certified check or money order and the payment shall be sent to:

 Rosemary Chiavetta, Secretary
Pennsylvania Public Utility Commission
Commonwealth Keystone Building
400 North Street
Harrisburg, PA 17120

AB&T agrees that the civil penalty shall not be tax deductible pursuant to Section 162(f) of the Internal Revenue Code, 26 U.S.C.S. § 162(f).

 I&E reiterates here that approval of the Settlement Agreement is in the public interest and is fully consistent with the Commission's Policy Statement for evaluating litigated and settled proceedings involving violations of the Code and Commission regulations. 52 Pa. Code § 69.1201. The Commission will serve the public interest by approving this Joint Petition for Approval of Settlement without modification. It is the Commission's long-standing policy to promote settlements. See 52 Pa. Code § 5.231. Settlements lessen the time and expense that the parties must expend litigating a case and, at the same time, conserve precious administrative resources. Settlement results are often preferable to those achieved at the conclusion of a fully litigated proceeding. ''The focus of inquiry for determining whether a proposed settlement should be recommended for approval is not a 'burden of proof' standard, as is utilized for contested matters.'' Pa. Pub. Util. Comm'n, et al. v. City of Lancaster—Bureau of Water, Docket Nos. R-2010-2179103, et al. (Order entered July 14, 2011). Instead, the benchmark for determining the acceptability of a settlement is whether the proposed terms and conditions are in the public interest. Pa. Pub. Util. Comm'n v. Philadelphia Gas Works, Docket No. M-00031768 (Order entered January 7, 2004).

 I&E submits that approval of the Settlement Agreement in the above-captioned matter is consistent with the Commission's Policy Statement regarding Factors and Standards for Evaluating Litigated and Settled Proceedings Involving Violations of the Public Utility Code and Commission Regulations (''Policy Statement''), 52 Pa. Code § 69.1201; see also Joseph A. Rosi v. Bell-Atlantic-Pennsylvania, Inc., Docket No. C-00992409 (Order entered March 16, 2000). The Commission's Policy Statement sets forth ten (10) factors (''Rosi factors'') that the Commission may consider in evaluating whether a civil penalty for violating a Commission order, regulation, or statute is appropriate, as well as whether a proposed settlement for a violation is reasonable and in the public interest. 52 Pa. Code § 69.1201.

 It is important to note that the Commission will not apply the Rosi factors as strictly in settled cases as in litigated cases. 52 Pa. Code § 69.1201(b). As this matter is a settled case, the Rosi factors should not be strictly construed. While many of the same factors may still be considered, in settled cases, the parties ''will be afforded flexibility in reaching amicable resolutions to complaints and other matters as long as the settlement is in the public interest.'' Id. (emphasis added). By the filing of this Joint Petition for Approval of Settlement, I&E and AB&T have declared that they have in good faith negotiated an amicable resolution that benefits the public, the Parties and this Commission. I&E asks that the Commission acknowledge and accept this flexibility when considering the terms negotiated and entered into in this Settlement Agreement.

 The first Rosi factor considers whether the conduct at issue was of a serious nature, such as fraud or misrepresentation, or if the conduct was less egregious, such as an administrative or technical error. Conduct of a less serious nature warrants a lesser civil penalty. 52 Pa. Code § 69.1201(c)(1). I&E avers that the noncompliance in question, while important to address, would seem to be a matter not, in and of itself, of a serious nature. I&E considers the conduct at issue to not be of a serious nature, and this was taken into consideration in arriving at the agreed-to civil penalty.

 The second factor considers whether the resulting consequences of AB&T's noncompliance with the Commission's transfer of control regulations 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. 52 Pa. Code § 69.1201(c)(2). Here, the issue at hand did not result in any personal injury or property damage, and the consequences of AB&T's actions were nominal to non-existent. I&E does not consider the consequences of the conduct at issue to be of a serious nature, which is reflected in the agreed-to civil penalty imposed in the Settlement Agreement.

 The third factor to be considered under the Policy Statement is whether the alleged conduct was intentional or negligent. 52 Pa. Code § 69.1201(c)(3). ''This factor may only be considered in evaluating litigated cases.'' Id. Whether AB&T's alleged conduct was intentional or negligent does not apply here since this matter is being resolved by settlement of the Parties.

 The fourth factor to be considered is whether AB&T has made efforts to change its practices and procedures to prevent similar conduct in the future. 52 Pa. Code § 69.1201(c)(4). As noted in the Joint Petition, AB&T has improved its existing procedures by directing that relevant employees confer with regulatory counsel prior to completing any transactions that could impact the ownership or control of AB&T in order to safeguard a repeat occurrence of this noncompliance issue.

 The fifth factor to be considered relates to the number of customers affected by the Company's actions and the duration of the violations. 52 Pa. Code § 69.1201(c)(5). Here, no customers were impacted.

 The sixth factor to be considered relates to the compliance history of AB&T. 52 Pa. Code § 69.1201(c)(6). An isolated incident from an otherwise compliant company may result in a lower penalty whereas frequent, recurrent violations by a jurisdictional entity may warrant a higher penalty. Here, there is no indication that AB&T has a poor compliance history with the Commission.

 The seventh factor to be considered relates to whether the Company cooperated with the Commission's investigation. 52 Pa. Code § 69.1201(c)(7). AB&T has cooperated with I&E's investigation in order to address the violation alleged. Together, the Parties have agreed to a minor procedural enhancement and an appropriate civil penalty. The Parties further determined that it was in their respective best interest, as well as in the public interest, to settle this matter and to reach an amicable agreement as to an appropriate civil penalty amount that adequately balances all the relevant interests under the circumstances of this case. A fair and equitable civil penalty has been reached in this Settlement Agreement without the need to pursue formal enforcement action.

 The eighth factor to be considered is the appropriate civil penalty necessary to address the instant matter and to deter future violations. 52 Pa. Code § 69.1201(c)(8). I&E submits that the negotiated civil penalty amount of $10,000, which is not tax deductible, is a fair, substantial and sufficient result to find that this Settlement Agreement is in the public interest.

 The ninth factor to be considered relates to past Commission decisions in similar situations. 52 Pa. Code § 69.1201(c)(9). I&E submits that the instant Settlement Agreement should be viewed on its own merits and is fair and reasonable.

 The tenth factor considers ''other relevant factors.'' 52 Pa. Code § 69.1201(c)(10). The issue at hand and resulting resolution are straight forward and there are no additional relevant factors to be considered.

 In conclusion, I&E fully supports the terms of the Settlement Agreement. The terms of the Settlement Agreement reflect a compromise of the interests of the Parties in this proceeding. AB&T has agreed to pay a fair civil penalty as part of this Settlement Agreement and will implement an enhancement to its procedures that will improve future compliance with the Commission's regulations.

 Accordingly, the Joint Petition for Settlement filed at this docket should be granted and settlement approved as in the public interest.

Respectfully submitted,
Michael L. Swindler
Deputy Chief Prosecutor
PA Attorney ID No. 43319

Pennsylvania Public Utility Commission
Bureau of Investigation and Enforcement
Commonwealth Keystone Building
400 North Street
Harrisburg, PA 17120
(717) 783-6369
mswindler@pa.gov

Date: April 9, 2024

Appendix B

BEFORE THE
PENNSYLVANIA PUBLIC UTILITY COMMISSION

Pennsylvania Public Utility Commission, Bureau of Investigation and Enforcement's Investigation of American Broadband and Telecommunications Company, LLC relating to possible violations of 52 Pa. Code § 63.1, et seq., of the Commission's regulations and 66 Pa.C.S. § 1101 of the Public Utility Code

: : : : : : : :

Docket No. A-2022-3034019

__________
AMERICAN BROADBAND AND TELECOMMUNICATIONS
COMPANY, LLC'S STATEMENT IN SUPPORT OF THE
JOINT PETITION FOR APPROVAL OF SETTLEMENT
__________

 In accordance with 52 Pa. Code § 5.232, American Broadband and Telecommunications Company, LLC (''AB&T''), a party to the Joint Petition for Approval of Settlement (''Settlement''), submits this Statement in Support of the Settlement in this matter between AB&T and the Pennsylvania Public Utility Commission's (''Commission'') Bureau of Investigation and Enforcement (''I&E'') (collectively, the ''Parties''). The Settlement resolves all issues and is the public interest. Furthermore, the application of the Commission's statement of policy for evaluating settlements support the Commission's approval of the Settlement.

I. Background

 As described in the Settlement, American Broadband and Telecommunications Holdings, Inc. (''AB&T Holdings'') was formed on May 20, 2022, and obtained a majority interest in AB&T on May 27, 2022. The creation of AB&T Holdings and transfer of control was necessitated by a condition for closing a debt-based financial transaction. As explained in AB&T's Abbreviated Securities Certificate, filed on July 22, 2022 at Docket S-2022-3033982, ''[t]he purpose of this financing was to repay a debt to an existing lender and for general business purposes related to the Registrant's operations.''

 On or about July 22, 2022, AB&T filed an Application for Approval of Pro Forma Transfer of Control, Nunc Pro Tunc, Docket No. A-2022-3034019 (''Transfer of Control Application'') in which it requested approval of the pro forma transfer of control that occurred when AB&T Holdings became an intermediary owner of AB&T. At the time that AB&T filed the Transfer of Control Application, it held Certificates of Public Convenience as a Reseller of Interexchange Toll Services, Docket No. A-2013-2354978 (effective May 9, 2013), an Interexchange Carrier, Docket No. A-2013-2354980 (effective May 9, 2013), and a Competitive Local Exchange Carrier, Docket No. A-2013-2354840 (effective Sept. 24, 2013).

 As detailed in the Settlement, on September 23, 2023, AB&T advised the Commission that it intended to abandon its Certificates of Public Convenience and was withdrawing its Transfer of Control Application, and it filed an Application for Approval of Discontinuance and Abandonment of Telecommunications Service, Docket No. A-2022-3035615, solely related to wireline telecommunications services. On November 30, 2022, an Initial Decision was issued by Deputy Chief Administrative Law Judge Mark A. Hoyer and Administrative Law Judge Emily I. DeVoe granting AB&T's request to withdraw its Transfer of Control Application and dismissing the Application without prejudice, Docket No. A-2022-3034019. On April 13, 2023, the Commission issued an Opinion and Order in Docket No. A-2022-3034019, modifying the Initial Decision to refer the matter to I&E for further action as deemed necessary and appropriate.

 AB&T counsel and I&E engaged in discussions and have reached a resolution to this matter that is reflected in the Settlement.

II. Settlement Terms

 The following are the terms of the Settlement for which the Parties jointly seek the Commission's approval: AB&T shall pay a civil penalty in the amount of ten thousand dollars ($10,000), which shall not be tax deductible.

III. The Settlement Is Supported by the Commission's Policy Statement for Evaluating Settlements and is in the Public Interest

 The Commission has issued a policy statement at 52 Pa. Code § 69.1201 setting forth the factors and standards that may be considered in the evaluation of both litigated and settled cases. The policy statement provides that ''[w]hen 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 Settlement is consistent with the standards in the Commission's policy statement and is in the public interest. For these reasons, AB&T requests that the Commission approved the Settlement without modification. Each of the factors in the Commission's policy statement are addressed.

 1. Seriousness of Conduct

 The first factor is ''[w]hether the conduct at issue was of a serious nature,'' such as ''willful fraud or misrepresentation'' or is ''less egregious, such as administrative filing or technical errors.'' 52 Pa. Code § 69.1201(c)(1). The conduct at issue was not of a serious nature and had no impact on customers.

 2. Consequences of Conduct

 The second factor looks at ''[w]hether the resulting consequences of the conduct at issue were of a serious nature,'' such as ''personal injury or property damage.'' 52 Pa. Code § 69.1201(c)(2). In this case, there was no personal injury or property damage and there were no consequences of a serious nature.

 3. Intentional or Negligent Conduct

 The third factor looks to ''[w]hether the conduct at issue was deemed intentional,'' which is more serious, or whether it is simply negligent. ''This factor may only be considered in evaluating litigated cases'' and therefore, is not applicable to this matter. 52 Pa. Code § 69.1201(c)(3).

 4. Modification of Practices and Procedures

 The fourth factor looks to ''[w]hether the regulated entity made efforts to modify internal practices and procedures to address the conduct at issue and prevent similar conduct in the future.'' 52 Pa. Code § 69.1201(c)(4). AB&T has improved its existing internal procedures by directing relevant employees to confer with regulatory counsel prior to completing any transactions that could impact the ownership or control of AB&T. This will ensure that similar conduct will not reoccur.

 5. Number of Customers and Duration

 The fifth factor looks to ''[t]he number of customers affected and the duration of the violation.'' 52 Pa. Code § 69.1201(c)(5). No customers were affected.

 6. Compliance History

 The sixth factor looks to ''[t]he compliance history of the regulated entity'' and whether this was an ''isolated incident from an otherwise compliant utility.'' 52 Pa. Code § 69.1201(c)(6). AB&T submits that this is an isolated incident and that it has a history of compliance with the Commission's rules.

 7. Cooperation

 The seventh factor looks to ''[w]hether the regulated entity cooperated with the Commission's investigation.'' 52 Pa. Code § 69.1201(c)(7). In this case AB&T fully cooperated with I&E's investigation.

 8. Deterrence

 The eighth factor looks to ''[t]he amount of the civil penalty or fine necessary to deter future violations.'' 52 Pa. Code § 69.1201(c)(8). AB&T intends to comply with applicable rules governing transfers of control or ownership. While it does not need to pay a civil penalty to deter violations, the penalty set forth in the Settlement is reasonable given the facts of this case.

 9. Precedent

 The ninth factor looks to ''[p]ast Commission decisions in similar situations.'' 52 Pa. Code § 69.1201(c)(9). AB&T is not aware of a past settlement that addressed a similar situation.

 10. Other Relevant Factors

 The tenth factor is ''[o]ther relevant factors.'' 52 Pa. Code § 69.1201(c)(10). There are no other factors that the Commission needs to consider.

 The Settlement comports with the Commission's policy statement for evaluating settlements and is in the public interest. Indeed, ''[i]it is the policy of the Commission to encourage settlements.'' 52 Pa. Code § 5.231(a). The Settlement represents a fair and reasonable resolution of this matter regarding AB&T's transfer of control. Moreover, the Commission's approval of the Settlement will promote administrative efficiency and avoid the costs associated with litigating this matter before the Commission.

 For the foregoing reasons, AB&T respectfully requests that the Commission approve without modification the Joint Petition for Approval of Settlement of AB&T and I&E in this matter.

Respectfully submitted,

John J. Heitmann
Debra McGuire Mercer
Nelson Mullins Riley &
 Scarborough LLP
101 Constitution Avenue, NW
 Suite 900
Washington, DC 20001
(202) 689-2945
john.heitmann@nelsonmullins.com
debra.mercer@nelsonmullins.com

April 9, 2024

BEFORE THE
PENNSYLVANIA PUBLIC UTILITY COMMISSION

Pennsylvania Public Utility Commission, Bureau of Investigation and Enforcement's Investigation of American Broadband and Telecommunications Company, LLC relating to possible violations of 52 Pa. Code § 63.1, et seq., of the Commission's regulations and 66 Pa.C.S. § 1101 of the Public Utility Code

: : : : : : : :

Docket No. A-2022-3034019

CERTIFICATE OF SERVICE

 I hereby certify that I have this day served a true copy of the foregoing Joint Petition for Approval of Settlement and Statements in Support dated April 9, 2024, upon the parties listed below, in accordance with the requirements of 52 Pa. Code § 1.54 (relating to service by a party).

Via Electronic Mail
Debra McGuire Mercer, Esq.
Nelson Mullins Riley & Scarborough LLP
101 Constitution Avenue, NW, Suite 900
Washington, D.C. 20001
debra.mercer@nelsonmullins.com

Michael L. Swindler
Deputy Chief Prosecutor
Bureau of Investigation and En-
 forcement
PA Attorney ID No. 43319
(717) 783-6369
mswindler@pa.gov

STATEMENT OF VICE CHAIRPERSON KIMBERLY BARROW

 Prior to joining my staff, Kayla Rost was employed in the Commission's Bureau of Investigation and Enforcement and worked on this case. She has not advised me in this matter.

Date: November 7, 2024

KIMBERLY BARROW, 
Vice Chairperson

[Pa.B. Doc. No. 24-1686. Filed for public inspection November 22, 2024, 9:00 a.m.]

_______

¹  As discussed, infra, due to the nature of the alleged violations in this matter, it is appropriate to publish the Settlement in the Pennsylvania Bulletin.

²  In the April 2023 Order, the Commission acknowledged both that on August 22, 2022, the OCA filed a Protest to AB&T's then-pending Application, and that the OCA had not thereafter filed an objection to AB&T's Petition to Withdraw. April 2023 Order at 3, 4.

³  Page 9 of the Settlement Agreement sets forth the full Settlement Terms and Conditions.

⁴  At 66 Pa.C.S. § 102, ''Public utility'' is defined under that term at subsection (1)(i) as:
 (1) Any person or corporations now or hereafter owning or operating in this Commonwealth equipment or facilities for:
  (i) Producing, generating, transmitting, distributing or furnishing natural or artificial gas, electricity, or steam for the production of light, heat, or power to or for the public for compensation.

⁵  AB&T filed its Response in Docket No. P-2013-2362571 (the Docket for AB&T's ETC designation). AB&T subsequently filed a copy of its Response in Docket No. P-2022-3036054.

---

No part of the information on this site may be reproduced for profit or sold for profit.

This material has been drawn directly from the official Pennsylvania Bulletin full text database. Due to the limitations of HTML or differences in display capabilities of different browsers, this version may differ slightly from the official printed version.

---