Pennsylvania Code & Bulletin
COMMONWEALTH OF PENNSYLVANIA

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The Pennsylvania Code website reflects the Pennsylvania Code changes effective through 53 Pa.B. 7346 (November 25, 2023).

12 Pa. Code § 11.7. Complaints.

§ 11.7. Complaints.

 (a)  A person authorized to file a complaint with the Department under section 8211 of the act (relating to petitions for declaratory orders and complaints to department) may file a complaint at the office of the Department within the time limits prescribed in section 8211 of the act.

   (1)  Complaints shall be by letter or other writing, typewritten or legibly printed, as required by 1 Pa. Code §  33.2 (relating to form) and this chapter, and shall contain the following:

     (i)   The name, address and interest of each complainant.

     (ii)   The name and address of each respondent.

     (iii)   A statement of the facts and legal grounds which form the basis for the conclusion that there has been a violation of the act.

   (2)  The allegations shall concern matters within the jurisdiction of the Department under the act, pertaining to the regularity of the debt or other proceedings filed before the Department, the validity of the bonds, notes, tax anticipation notes or other obligations of a local government unit, or the legality of the purpose for which the obligations are to be issued.

   (3)  The complaint also shall include an identification of the relief sought and the legal basis for the relief.

   (4)  Supporting material may be submitted with the complaint.

   (5)  Notice pleading will not be permitted.

   (6)  If ordered by the Department, a complainant shall amend a complaint in the manner and within the time period prescribed in the order.

   (7)  A copy of the complaint will be mailed by the Department to the respondent named thereon or who, in the determination of the Department, will be called upon to address the allegations of the complaint or answer the same under §  11.9 (relating to answers to complaints and petitions).

 (b)  Joinder of complaints or petitions will be permitted in accordance with 1 Pa. Code §  35.11 (relating to joinder of formal complaints).

 (c)  Upon the filing of a document purporting to be a complaint or petition in the office of the Department, a determination will be made by the Department as to whether the filing constitutes a complaint or petition and whether it has been timely filed.

   (1)  If a determination is made that the pleading, as filed, is insufficient to meet the requirements of a complaint or petition under the act, a further determination will be made by the Department, in its discretion, whether to:

     (i)   Permit the filing of an amended complaint or petition.

     (ii)   Issue an order dismissing the complaint or petition, with or without prejudice.

     (iii)   Schedule a conference with the parties.

     (iv)   Take other action deemed just and appropriate by the Department.

   (2)  If a determination is made that the pleading is untimely filed, the Department will issue an order dismissing the complaint or petition, with prejudice.

 (d)  If, in the judgment of the Department, a complaint has been filed within the purview of section 8211 of the act, the Department will either invite the parties to an informal conference, set the matter for a formal hearing or take other action which in the judgment of the Department is just and appropriate. Complainants shall be required to attend a conference or hearing held on the complaint.

 (e)  This section supersedes 1 Pa. Code § §  35.1, 35.2, 35.5, 35.7, 35.9, 35.11 and 35.14.



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