Subchapter D. DOCUMENTARY FILINGS
Sec.
1.31. Requirements for documentary filings.
1.32. Filing specifications.
1.33. Incorporation by reference.
1.34. Single pleading or submittal covering more than one matter.
1.35. Execution.
1.36. Verification.
1.37. Number of copies.
1.38. Rejection of filings.
Cross References This subchapter cited in 52 Pa. Code § 1.4 (relating to filing generally); and 52 Pa. Code § 5.409 (relating to copies and form of documentary evidence).
§ 1.31. Requirements for documentary filings.
(a) Form. Pleadings must be divided into numbered paragraphs.
(b) Attachments. Copies of documents relied upon in the pleadings must be identified and attached. Copies of reported court decisions, writings or orders already of record with the Commission need not be attached to the pleading if reference by docket number is made to the proceeding in which they were filed in accordance with § 1.33 (referring to incorporation by reference).
(c) Identifying information. Documents filed with the Commission in a proceeding must clearly contain the following information:
(1) The docket number or similar identifying symbols, if any.
(2) The title or caption of the proceeding before the Commission.
(3) Within the title of the document, the name of the person on whose behalf the filing is made. If more than one person is involved, only a single name is necessary.
(d) Supersession. Subsections (a)—(c) supersede 1 Pa. Code § 33.1 (relating to title).
Authority The provisions of this § 1.31 amended under the Public Utility Code, 66 Pa.C.S. § § 501, 504—506, 1301 and 1501.
Source The provisions of this § 1.31 adopted October 12, 1984, effective January 1, 1985, 14 Pa.B. 3819; amended January 24, 1997, effective January 25, 1997, 27 Pa.B. 414; amended April 28, 2006, effective April 29, 2006, 36 Pa.B. 2097. Immediately preceding text appears at serial page (263599).
Notes of Decisions Form of Filings
A letter from a corporate officer requesting reinstatement of Certificate of Public Convenience was properly considered although not in formal compliance with regulations. P-I-E Nationwide, Inc. v. Pennsylvania Public Utility Commission, 567 A.2d 1124 (Pa. Cmwlth. 1989).
Cross References This section cited in 52 Pa. Code § 3.501 (relating to certificate of public convenience as a water supplier or wastewater collection, treatment or disposal provider); 52 Pa. Code § 3.601 (relating to general); 52 Pa. Code § 56.173 (relating to review from informal complaint decisions of the Bureau of Consumer Services); 52 Pa. Code § 56.403 (relating to review from informal complaint decisions of the Bureau of Consumer Services); and 52 Pa. Code § 57.72 (relating to form and content of application).
§ 1.32. Filing specifications.
(a) Paper filings. A paper filing made with the Commission must be:
(1) Typewritten. Pleadings, submittals or other documents filed in proceedings, if not printed, must be typewritten on paper cut or folded to letter size, 8 to 8 1/2 inches wide by 10 1/2 to 11 inches long, with left-hand margin at least 1 inch wide and other margins at least 1 inch. The impression must be on only one side of the paper, unless there are more than four pages, and shall be double spaced, except that quotations in excess of a few lines shall be single spaced and indented. Reproduced copies shall be accepted as typewritten, if copies are clearly legible.
(2) Printed. Printed documents must be at least 10-point type on unglazed paper, cut or folded so as not to exceed 8 1/2 inches wide by 11 inches long, with inside margin at least 1 inch wide, and with double-leaded text and single-leaded, indented quotations.
(3) Bound. Pleadings, submittals and other documents, other than correspondence, must be stapled, fastened or otherwise bound at the left side only.
(b) Electronic filings.
(1) Participation. A person may register to use the electronic filing system in accordance with the registration instructions available on the Commission’s web site at http://www.puc.state.pa.us/. Registration as a filing user constitutes an agreement to receive electronic service, unless the filing user indicates upon registration that the filing user does not agree to receive electronic service. A person will not be required to register to use the electronic filing system to be a party in a Commission proceeding. A person that does not register to use the electronic filing system shall file and serve documents, and shall be served in accordance with the rules in Chapters 1, 3 and 5 (relating to rules of administrative practice and procedure; special provisions; and formal proceedings) for the filing and service of documents in paper form.
(2) Requirements. An electronic filing made with the Commission must:
(i) Comply with the requirements in subsection (a) regarding margins, spacing and type size.
(ii) Be a qualified document that is listed in the categories of documents that the Commission, after notice and opportunity to be heard, has designated as being permitted to be filed electronically.
(iii) Be in PDF format so that the document, and when feasible, its attachments, shall be capable of being printed and copied without restriction, and may not require a password to view the contents.
(iv) Be filed in accordance with the instructions made available on the Commission’s web site at http://www.puc.state.pa.us/.
(3) Size restriction. A filing, including attachments, that exceeds 10 megabytes may not be filed electronically.
(4) Restriction for filings containing confidential information. Filings containing confidential information, including confidential security information, as defined in section 2 of the Public Utility Confidential Security Information Disclosure Protection Act (35 P. S. § 2141.2) and sensitive and confidential information protected as an exemption to public disclosure under section 708(b) of the Right-to-Know Law (65 P. S. § 67.708(b)) regarding exceptions for public records may not be filed electronically. Filings containing confidential information shall be filed in paper form. Redacted, public versions of those filings shall be filed in paper form or on a CD-ROM or DVD. The Commission will post redacted, public versions on the electronic filing system.
(5) Confirmation of receipt. The electronic filing system will generate a notice confirming the successful receipt of a filing made electronically. The notice will contain the date and time that the filing was received and a link to the filing.
(6) Revocation of participation in the electronic filing system.
(i) Revocation by the filing user. Filing users may revoke their participation in the electronic filing system for all Commission proceedings by filing a notice of revocation with the Secretary. The notice must contain the user’s name, user ID, address and e-mail addresses, the name of the party that the user represents, the names of all authorized users on the same account, the effective date of the revocation, and all Commission proceedings in which the user is a party or participant, or provides representation. Upon receipt of the notice, the Commission will cancel the filing user’s user ID and password. Filing users who are parties in an active Commission proceeding at the time of revocation and who have agreed to receive electronic service, shall serve the other parties to the proceeding with a notice of revocation and file with the Secretary a certificate of service consistent with § § 1.57 and 1.58 (relating to proof of service; and form of service) memorializing this service.
(ii) Revocation by the Commission. The Commission may revoke a filing user’s participation in the electronic filing system and may cancel the filing user’s user ID and password, after providing the filing user with notice, when the Commission determines that the filing user is abusing the electronic filing privileges. Filing users whose user ID and password have been revoked and who are parties in an active Commission proceeding at the time of revocation and who have agreed to receive electronic service, shall serve the other parties to the proceeding with a notice of revocation and file with the Secretary a certificate of service consistent with § § 1.57 and 1.58 memorializing this service.
(iii) Abuse of electronic filing privileges. Abuse of the Commission’s electronic filing privileges includes knowingly permitting unauthorized use of a user ID and password and knowingly engaging in actions that interfere with the security of the electronic filing system, including the introduction of a virus or destructive programming into the electronic filing system.
(c) Supersession. Subsection (a) is identical to 1 Pa. Code § 33.2 (relating to form).
Authority The provisions of this § 1.32 amended under the Public Utility Code, 66 Pa.C.S. § § 501, 504, 523, 1301, 1501 and 1504.
Source The provisions of this § 1.32 adopted October 12, 1984, effective January 1, 1985, 14 Pa.B. 3819; amended September 26, 2008, effective September 27, 2008, 38 Pa.B. 5303; amended January 10, 2014, effective January 11, 2014, 44 Pa.B. 249. Immediately preceding text appears at serial pages (358918) to (358920).
Cross References This section cited in 52 Pa. Code § 1.8 (relating to definitions); 52 Pa. Code § 3.501 (relating to certificate of public convenience as a water supplier or wastewater collection, treatment or disposal provider); 52 Pa. Code § 3.601 (relating to general); 52 Pa. Code § 5.412a (relating to electronic submission of pre-served testimony); 52 Pa. Code § 51.13 (relating to diversity reporting requirement); 52 Pa. Code § 56.173 (relating to review from informal complaint decisions of the Bureau of Consumer Services); and 52 Pa. Code § 56.403 (relating to review from informal complaint decisions of the Bureau of Consumer Services).
§ 1.33. Incorporation by reference.
(a) Documents on file with the Commission may be incorporated by reference into a subsequent pleading, submittal or other document. A document may be so incorporated only by reference to the specific document and to the prior filing and docket number at which it was filed.
(b) Documents on file with the Commission for more than 20 years may not be incorporated by reference in a current document unless the person filing the current document first ascertains that the earlier document continues to be readily available in the active records of the Commission.
Authority The provisions of this § 1.33 amended under the Public Utility Code, 66 Pa.C.S. § § 501, 504—506, 1301 and 1501.
Source The provisions of this § 1.33 adopted October 12, 1984, effective January 1, 1985, 14 Pa.B. 3819; amended January 24, 1997, effective January 25, 1997, 27 Pa.B. 414; amended April 28, 2006, effective April 29, 2006, 36 Pa.B. 2097. Immediately preceding text appears at serial page (263600).
Cross References This section cited in 52 Pa. Code § 1.31 (relating to requirements for documentary filings); 52 Pa. Code § 56.173 (relating to review from informal complaint decisions of the Bureau of Consumer Services); and 52 Pa. Code § 56.403 (relating to review from informal complaint decisions of the Bureau of Consumer Services).
§ 1.34. Single pleading or submittal covering more than one matter.
(a) Except as otherwise provided under this chapter and Chapter 5 (relating to formal proceedings), a single pleading or submittal may be accepted for filing with respect to a particular transaction and one or more related transactions and shall be deemed to be a single filing for purposes of the computation of fees under § 1.43 (relating to schedule of fees payable to the Commission).
(b) If, upon review, the Commission determines that the transactions are not closely related or otherwise properly joined, the Commission will direct that the single pleading be refiled as two or more separate pleadings each subject to a separate filing fee.
(c) Subsection (a) supersedes 1 Pa. Code § 33.4 (relating to single pleading or submittal covering more than one matter).
Authority The provisions of this § 1.34 amended under the Public Utility Code, 66 Pa.C.S. § § 501, 504—506, 1301 and 1501.
Source The provisions of this § 1.34 adopted October 12, 1984, effective January 1, 1985, 14 Pa.B. 3819; amended January 24, 1997, effective January 25, 1997, 27 Pa.B. 414. Immediately preceding text appears at serial page (215916).
Cross References This section cited in 52 Pa. Code § 56.173 (relating to review from informal complaint decisions of the Bureau of Consumer Services); and 52 Pa. Code § 56.403 (relating to review from informal complaint decisions of the Bureau of Consumer Services).
§ 1.35. Execution.
(a) Signature.
(1) Paper filings. A pleading, submittal or other document must be signed in ink by the party in interest, or by the party’s attorney, as required by subsection (b), and show the office and mailing address of the party or attorney. An original hard copy must be signed, and other copies filed must conform thereto unless otherwise ordered by the Commission.
(2) Electronic filings. An electronic filing must include an electronic signature when it is filed on the Commission’s electronic filing system by a filing user or authorized agent by means of a user ID and password. A filing must include:
(i) A notation on the first page that it has been electronically filed.
(ii) A signature block and the name, office, and e-mail address of the filing user.
(3) Limitation on user ID and password. Each filing user may determine the number of authorized agents who may use the filing user’s user ID and password. A filing user may not knowingly permit or cause to permit a user ID and password to be used by anyone other than an authorized agent of the filing user.
(b) Signatory.
(1) A pleading, submittal or other document filed with the Commission must be signed by one of the following:
(i) The person filing the documents, and severally if there is more than one person so filing.
(ii) An officer if it is a corporation, trust, association or other organized group.
(iii) An officer or employee thereof if it is another agency, a political subdivision, or other governmental authority, agency or instrumentality.
(iv) An attorney having authority with respect thereto.
(2) A document filed by a corporation, trust, association or other organized group, may be required to be supplemented by appropriate evidence of the authority of the officer or attorney signing the documents.
(c) Effect.
(1) The signature of the individual signing a document filed with the Commission constitutes a certificate by the individual that:
(i) The individual has read the document being signed and filed, and knows the contents thereof.
(ii) The document has been signed and executed in the capacity specified upon the document with full power and authority to do so, if executed in a representative capacity.
(iii) The document is well grounded in fact and is warranted by existing law or a good faith argument for the extension, modification or reversal of existing law, to the best of the individual’s knowledge, information and belief formed after reasonable inquiry.
(iv) The document is not interposed for an improper purpose, such as to harass or to cause unnecessary delay or needless increase in the cost of litigation.
(2) If a document is signed in violation of this subsection, the presiding officer or the Commission, upon motion or upon its own initiative, may impose upon the individual who signed it, a represented party, or both, an appropriate sanction, which may include striking the document, dismissal of the proceeding or the imposition of civil penalties under section 3301 of the act (relating to civil penalties for violations).
(d) Supersession. Subsections (a)—(c) supersede 1 Pa. Code § 33.11 (relating to execution).
Authority The provisions of this § 1.35 amended under the Public Utility Code, 66 Pa.C.S. § § 309—311, 315, 331—335, 501, 504—506, 701—703, 1101—1103, 1301 and 1501.
Source The provisions of this § 1.35 adopted October 12, 1984, effective January 1, 1985, 14 Pa.B. 3819; amended December 2, 1988, effective January 3, 1989, 18 Pa.B. 5451; amended April 28, 2006, effective April 29, 2006, 36 Pa.B. 2097; amended September 26, 2008, effective September 27, 2008, 38 Pa.B. 5303. Immediately preceding text appears at serial pages (319052) to (319054).
Cross References This section cited in 52 Pa. Code § 3.601 (relating to general); 52 Pa. Code § 56.173 (relating to review from informal complaint decisions of the Bureau of Consumer Services); and 52 Pa. Code § 56.403 (relating to review from informal complaint decisions of the Bureau of Consumer Services).
§ 1.36. Verification.
(a) Applications, petitions, formal complaints, motions and answers thereto containing an averment of fact not appearing of record in the action or containing a denial of fact must be personally verified by a party thereto or by an authorized officer or other authorized employee of the party if a corporation or association. Verification means a signed written statement of fact supported by oath or affirmation or made subject to the penalties of 18 Pa.C.S. § 4904 (relating to unsworn falsification to authorities). When a verification is filed electronically, the verification shall be executed by a filing user, or if the verification is signed by an individual who is not a filing user, a filing user may file the verification electronically by scanning the original verification and submitting it as an attachment to a filing. When a verification is signed by an individual who is not a filing user, the original verification shall be filed in paper form no later than 3 business days after the electronic filing is made. The filing date for the verification in paper form will be determined in accordance with § 1.11(a)(1)—(3) (relating to date of filing). The docket number for the filing must be clearly indicated on the original verification. When verification is permitted, notarization is not necessary.
(b) The verification form should comply substantially with the following:
VERIFICATION I,
, hereby state that the facts above set forth are true and correct (or are true and correct to the best of my knowledge, information and belief) and that I expect to be able to prove the same at a hearing held in this matter. I understand that the statements herein are made subject to the penalties of 18 Pa.C.S. § 4904 (relating to unsworn falsification to authorities).Date:
(Signature)(c) When an affidavit is used, it must be notarized. A filing user may file an affidavit electronically by scanning the original affidavit and submitting it as an attachment to a filing. When an affidavit is filed electronically, the original affidavit shall be filed in paper form no later than 3 business days after the electronic filing is made. The filing date for the affidavit in paper form will be determined in accordance with § 1.11(a)(1)—(3). The docket number for the filing must be clearly indicated on the original affidavit. The affidavit form should comply substantially with the following:
AFFIDAVIT I,
, (Affiant) being duly sworn (affirmed) according to law, depose and say that (I am authorized to make this affidavit on behalf of
corporation, being the holder of the office of
with that corporation, and that, I am an employee or agent of
and have been authorized to make this affidavit on its behalf and that) the facts above set forth are true and correct (or are true and correct to the best of my knowledge, information and belief) and (I or corporation) expect to be able to prove the same at any hearing hereof.
(Signature of affiant)Sworn and subscribed before me this
day of
, 2
.
(Signature of official administering oath)(My Commission Expires)(d) An applicant for motor carrier rights shall include in the verification the following statement:
Applicant is not now engaged in intrastate transportation of property or passengers for compensation in this Commonwealth except as authorized by the Pennsylvania Public Utility Commission certificate or permit, and will not engage in the transportation for which approval is herein sought, unless and until the transportation is authorized by your Honorable Commission.
(e) An individual who executes a pleading, submittal or other document knowing that it contains a false statement and who causes it to be filed in the Commission shall be subject to prosecution for the commission of a misdemeanor of the second degree in violation of 18 Pa.C.S. § 4904(a).
(f) Subsections (a)—(e) supersede 1 Pa. Code § 33.12 (relating to verification).
Authority The provisions of this § 1.36 amended under the Public Utility Code, 66 Pa.C.S. § § 501, 504—506, 1102, 1301, 1501, 2503 and 2504.
Source The provisions of this § 1.36 adopted October 12, 1984, effective January 1, 1985, 14 Pa.B. 3819; amended July 14, 1989, effective July 15, 1989, 19 Pa.B. 3037; amended January 24, 1997, effective January 25, 1997, 27 Pa.B. 414; amended April 28, 2006, effective April 29, 2006, 36 Pa.B. 2097; amended September 26, 2008, effective September 27, 2008, 38 Pa.B. 5303. Immediately preceding text appears at serial pages (319054) to (319055).
Notes of Decisions Letter from corporate officer requesting reinstatement of Certificate of Public Convenience was properly considered although not in formal compliance with regulations. P-I-E Nationwide, Inc. v. Pennsylvania Public Utility Commission, 567 A.2d 1124 (Pa. Cmwlth. 1989).
Cross References This section cited in 52 Pa. Code § 3.601 (relating to general); 52 Pa. Code § 3.602 (relating to abbreviated securities certificate); 52 Pa. Code § 3.381 (relating to applications for transportation of property, household goods in use and persons); 52 Pa. Code § 5.22 (relating to contents of formal complaint); 52 Pa. Code § 5.342 (relating to answers or objections to written interrogatories by a party); 52 Pa. Code § 5.591 (relating to reports of compliance); 52 Pa. Code § 30.12 (relating to sale of medallion); 52 Pa. Code § 54.32 (relating to application process); 52 Pa. Code § 56.173 (relating to review from informal complaint decisions of the Bureau of Consumer Services); 52 Pa. Code § 56.403 (relating to review from informal complaint decisions of the Bureau of Consumer Services); 52 Pa. Code § 62.103 (relating to application process); 52 Pa. Code § 75.62 (relating to alternative energy system qualification); and 52 Pa. Code § 75.66 (relating to force majeure).
§ 1.37. Number of copies.
(a) Paper filings. When a pleading, submittal or document other than correspondence is submitted in hard copy, an original and the cover letter shall be furnished to the Commission at the time of filing, except when:
(1) The document is subject to a statutory requirement or is otherwise ordered or requested by the Commission, a different number of copies may be designated.
(2) The document is subject to § 5.502 or § 5.533 (relating to filing and service of briefs; and procedure to except to initial, tentative and recommended decisions), the filing must conform to the requirements in the applicable section.
(3) A filing, including attachments, exceeds 10 megabytes, in addition to filing the requisite number of hard copies in accordance with this subpart, a CD-ROM or DVD containing the filing and an index to the filing shall be filed with the Commission.
(b) Electronic filings.
(1) When the qualified document, including attachments, is 250 pages or less and does not exceed 10 megabytes, the filing user may file one electronic copy on the electronic filing system and is not required to file paper copies.
(2) When the qualified document, including attachments, exceeds 250 pages, but does not exceed 10 megabytes, the filing user may file one electronic copy on the electronic filing system and shall also file the original in paper form with the Commission. The original in paper form shall be filed no later than 3 business days after the electronic filing is submitted. The filing date for the qualified document in paper form will be determined in accordance with § 1.11(a)(1)—(3) (relating to date of filing).
(c) Supersession. Subsections (a)—(c) supersede 1 Pa. Code § 33.15 (relating to number of copies).
Authority The provisions of this § 1.37 amended under the Public Utility Code, 66 Pa.C.S. § § 501, 504—506, 523, 1301, 1501 and 1504.
Source The provisions of this § 1.37 adopted October 12, 1984, effective January 1, 1985, 14 Pa.B. 3819; amended January 24, 1997, effective January 25, 1997, 27 Pa.B. 414; amended April 28, 2006, effective April 29, 2006, 36 Pa.B. 2097; amended September 26, 2008, effective September 27, 2008, 38 Pa.B. 5303; amended September 20, 2013, effective September 21, 2013, 43 Pa.B. 5593; amended January 10, 2014, effective January 11, 2014, 44 Pa.B. 249. Immediately preceding text appears at serial pages (368393) to (368394).
Cross References This section cited in 52 Pa. Code § 1.59 (relating to number of copies to be served); 52 Pa. Code § 5.533 (relating to procedure to except to initial, tentative and recommended decisions); 52 Pa. Code § 56.173 (relating to review from informal complaint decisions of the Bureau of Consumer Services); and 52 Pa. Code § 56.403 (relating to review from informal complaint decisions of the Bureau of Consumer Services).
§ 1.38. Rejection of filings.
The Commission may reject a filing if it does not comply with any applicable statute, regulation or order of the Commission.
Authority The provisions of this § 1.38 issued under the Public Utility Code, 66 Pa.C.S. § § 501, 504—506, 1301 and 1501.
Source The provisions of this § 1.38 adopted April 28, 2006, effective April 29, 2006, 36 Pa.B. 2097.
Cross References This section cited in 52 Pa. Code § 56.173 (relating to review from informal complaint decisions of the Bureau of Consumer Services); and 52 Pa. Code § 56.403 (relating to review from informal complaint decisions of the Bureau of Consumer Services).
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