Pennsylvania Code & Bulletin
COMMONWEALTH OF PENNSYLVANIA

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The Pennsylvania Code website reflects the Pennsylvania Code changes effective through 51 Pa.B. 6892 (October 30, 2021).

Pennsylvania Code



Subchapter B. INFORMAL PROCEEDINGS GENERALLY


Sec.


1003.41.    Form and content of informal complaints.
1003.42.    Authority action on informal complaints.
1003.43.    Other initiation of formal complaints.

§ 1003.41. Form and content of informal complaints.

 (a)  Informal complaints averring a violation of the act, this part or an order of the Authority may be by letter or other writing. A form of informal complaint is not required, but in substance the report, letter or other writing must contain the essential elements of a formal complaint as specified in §  1005.12 (relating to content of formal complaints).

 (b)  Informal complaints shall be filed with the Clerk.

 (c)  Subsection (a) supersedes 1 Pa. Code §  35.5 (relating to form and content of informal complaints).

Cross References

   This section cited in 52 Pa. Code §  1001.10 (relating to definitions).

§ 1003.42. Authority action on informal complaints.

 (a)  Filing. The Clerk will place a copy of an informal complaint related to a docketed matter in the official document folder. Each informal complaint will be forwarded to the Enforcement Department for review, unless the Enforcement Department is the subject of the complaint, in which case the matter will be referred to the Director.

 (b)  Authority staff review. The purpose of staff review will be to determine if the subject matter is within the Authority’s jurisdiction and, if warranted, institute an informal investigation. Informal investigations are typically undertaken to gather data or to substantiate allegations of potential violations of the act, this part or order of the Authority and are conducted without hearing.

 (c)  Authority staff action. Upon the completion of the informal investigation of an informal complaint, staff will notify the informal complainant of the results. When staff determines that no violation or potential violation of the act, this part or an order of the Authority has occurred, the informal investigation will be terminated by letter.

 (d)  Initiation of formal complaint. In the event it is determined by staff, in conjunction with the Office of Trial Counsel, that a violation of the act, this part or an order of the Authority has occurred and when formal action is deemed to be warranted, the Authority will file a formal complaint as provided in Chapter 1005 (relating to formal proceedings).

 (e)  Caveat. The submission of an informal complaint does not entitle complainant to a formal hearing before the Authority.

 (f)  Supersession. Subsections (a)—(d) supersede 1 Pa. Code § §  35.6 and 35.7 (relating to correspondence handling of informal complaints; and discontinuance of informal complaints without prejudice).

Cross References

   This section cited in 52 Pa. Code §  1005.11 (relating to formal complaints generally).

§ 1003.43. Other initiation of formal complaints.

 The informal complainant may file and prosecute a formal complaint averring any violation of the act, this part or an order of the Authority by a regulated person under §  1005.11(a)(4) (relating to formal complaints generally) within 30 days of service of an informal complaint termination letter from the Enforcement Department.

Cross References

   This section cited in 52 Pa. Code §  1005.11 (relating to formal complaints generally); and 52 Pa. Code §  1005.24 (relating to appeals from actions of the staff).



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