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COMMONWEALTH OF PENNSYLVANIA

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Pennsylvania Code



Subchapter H. EXCEPTIONS, APPEALS AND ORAL ARGUMENT


Sec.


5.531.    Certification of record without decision.
5.532.    Oral argument before presiding officer.
5.533.    Procedure to except to initial, tentative and recommended decisions.
5.534.    [Reserved].
5.535.    Replies.
5.536.    Effect of failure to file exceptions.
5.537.    Rate case settlements.
5.538.    Oral argument before the Commission.
5.539.    Withdrawal of appeals.

§ 5.531. Certification of record without decision.

 (a)  If a proceeding is referred to a presiding officer, that officer will normally file a decision. The record will be certified to the Commission without a decision of the presiding officer only as required or allowed by the Commission.

 (b)  Subsection (a) supersedes 1 Pa. Code § §  35.201—35.207 (relating to proposed reports generally).

Source

   The provisions of this §  5.531 adopted October 12, 1984, effective January 1, 1985, 14 Pa.B. 3819.

§ 5.532. Oral argument before presiding officer.

 (a)  When, in the opinion of the presiding officer, time permits and the nature of the proceedings, the complexity or importance of the issues of fact or law involved, and the public interest warrant, the presiding officer may, either on the presiding officer’s own motion or at the request of a party, allow and fix a time for the presentation of oral argument, imposing limits on the argument that are deemed appropriate.

 (b)  Subsection (a) supersedes 1 Pa. Code §  35.204 (relating to oral argument before presiding officer).

Authority

   The provisions of this §  5.532 amended under the Public Utility Code, 66 Pa.C.S. § §  501, 504—506, 1301 and 1501.

Source

   The provisions of this §  5.532 adopted October 12, 1984, effective January 1, 1985, 14 Pa.B. 3819; amended April 28, 2006, effective April 29, 2006, 36 Pa.B. 2097. Immediately preceding text appears at serial page (225717).

§ 5.533. Procedure to except to initial, tentative and recommended decisions.

 (a)  In a proceeding, exceptions may be filed by a party and served within 20 days after the initial, tentative or recommended decision is issued unless some other exception period is provided. Exceptions may not be filed with respect to an interlocutory decision.

 (b)  Each exception must be numbered and identify the finding of fact or conclusion of law to which exception is taken and cite relevant pages of the decision. Supporting reasons for the exceptions shall follow each specific exception.

 (c)  The exceptions must be concise. The exceptions and supporting reasons must be limited to 40 pages in length. Statements of reasons supporting exceptions must, insofar as practicable, incorporate by reference and citation, relevant portions of the record and passages in previously filed briefs. A separate brief in support of or in reply to exceptions may not be filed with the Secretary under §  1.4 (relating to filing generally).

 (d)  An original shall be filed with the Secretary under §  1.4. Filing users may file electronically as provided by §  1.37(b) (relating to number of copies).

 (e)  Unless otherwise ordered by the Commission, the provisions of § §  1.11(a)(2) and (3) and 1.56(b) (relating to date of filing; and date of service) will not be available to extend the time periods for filing exceptions.

 (f)  Subsections (a)—(e) supersede 1 Pa. Code § §  35.211 and 35.212 (relating to procedure to except to proposed report; and content and form of briefs on exceptions).

Authority

   The provisions of this §  5.533 amended under the Public Utility Code, 66 Pa.C.S. § §  309—311, 315, 331—335, 501, 504—506, 523, 701—703, 1101—1103, 1301, 1501 and 1504.

Source

   The provisions of this §  5.533 adopted October 12, 1984, effective January 1, 1985, 14 Pa.B. 3819; amended December 2, 1988, effective January 3, 1989, 18 Pa.B. 5451; corrected April 7, 1989, effective January 3, 1989, 19 Pa.B. 1554; 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. Immediately preceding text appears at serial page (338489).

Notes of Decisions

   Waiver

   The Pennsylvania Public Utility Commission has the authority to waive the procedural requirement of identifying the specific finding of fact or law to which exception is taken as long as the procedural defects do not affect the substantive rights of the party. Info Connections, Inc. v. Pennsylvania Public Utility Commission, 630 A.2d 498 (Pa. Cmwlth. 1993).

Cross References

   This section cited in 52 Pa. Code §  1.37 (relating to number of copies); 52 Pa. Code §  5.102 (relating to motions for summary judgment and judgment on the pleadings); 52 Pa. Code §  5.536 (relating to effect of failure to file exceptions); and 52 Pa. Code §  5.538 (relating to oral argument before the Commission).

§ 5.534. [Reserved].


Source

   The provisions of this §  5.534 adopted October 12, 1984, effective January 1, 1985, 14 Pa.B. 3819; reserved December 2, 1988, effective January 3, 1989, 18 Pa.B. 5451. Immediately preceding text appears at serial page (95611).

§ 5.535. Replies.

 (a)  A party has the right to file a reply to an exception in proceedings before the Commission. Unless otherwise directed by the presiding officer or Commission, a reply shall be filed within 10 days of the date that an exception is due and be limited to 25 pages in length and in paragraph form. A reply must be concise and incorporate by reference relevant passages in previously filed briefs. A reply may not raise new arguments or issues, but be limited to responding to the arguments or issues in the exception.

 (b)  Unless otherwise ordered by the Commission, the provisions of § §  1.11(a)(2) and (3) and 1.56(b) (relating to date of filing; and date of service) will not be available to extend the time periods for filing replies to an exception.

 (c)  Subsections (a) and (b) supersede 1 Pa. Code §  35.211 (relating to procedure to except to proposed report).

Authority

   The provisions of this §  5.535 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 §  5.535 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. Immediately preceding text appears at serial page (225719).

§ 5.536. Effect of failure to file exceptions.

 (a)  If no exceptions are filed in a proceeding included within §  5.533(a) (relating to procedure to except to initial, tentative and recommended decisions), the decision of the administrative law judge will become final, without further Commission action, unless, within 15 days after the decision is issued, two or more Commissioners request that the Commission review the decision.

 (b)  A tentative decision, issued by the Commission, subject to exceptions, shall become final, without further Commission action, if no exceptions are filed under §  5.333(a).

 (c)  Subsections (a) and (b) supersede 1 Pa. Code § §  35.213 and 35.226 (relating to effect of failure to except to proposed report; and final orders).

Authority

   The provisions of this §  5.536 amended under the Public Utility Code, 66 Pa.C.S. § §  331, 501, 504—506, 1301 and 1501.

Source

   The provisions of this §  5.536 adopted October 12, 1984, effective January 1, 1985, 14 Pa.B. 3819; amended January 19, 1990, effective February 19, 1990, 20 Pa.B. 277; amended January 24, 1997, effective January 25, 1997, 27 Pa.B. 414. Immediately preceding text appears at serial pages (216011) to (216012).

§ 5.537. Rate case settlements.

 Except where all parties to a settlement agree, settlements to rate proceedings will be subject to the same right to file exceptions and replies to exceptions provided in this subchapter.

Source

   The provisions of this §  5.537 adopted October 12, 1984, effective January 1, 1985, 14 Pa.B. 3819.

Cross References

   This section cited in 52 Pa. Code §  5.232 (relating to stipulations and settlement petitions).

§ 5.538. Oral argument before the Commission.

 (a)  In a case brought to the Commission by the filing of an appeal, a request for oral argument before the Commission shall be filed in writing together with the appeal.

 (b)  In a case where exceptions are filed under §  5.533(b) (relating to procedure to except to initial, tentative and recommended decisions) a request for oral argument before the Commission shall be filed in writing together with exceptions to the tentative, recommended or initial decision.

 (c)  In a case where no tentative, recommended or initial decision will be issued, a request for oral argument before the Commission shall be filed in writing together with the initial or responding brief.

 (d)  If oral argument is ordered, it shall be limited, unless otherwise specified, to matters properly raised by the briefs.

 (e)  Subsections (a)—(d) supersede 1 Pa. Code § §  35.214 and 35.221 (relating to oral argument on exceptions; and briefs and oral argument in absence of proposed report).

Source

   The provisions of this §  5.538 adopted October 12, 1984, effective January 1, 1985, 14 Pa.B. 3819.

§ 5.539. Withdrawal of appeals.

 (a)  The filing of exceptions to a recommended or initial decision shall be deemed to be an appeal to the Commission of the recommended or initial decision and is subject to review by the Commission.

 (b)  An appeal to the Commission may be withdrawn at any time. If the presiding officer’s previous decision is not otherwise subject to Commission review, it becomes final and effective upon the filing of a notice of withdrawal.

Authority

   The provisions of this §  5.539 amended under the Public Utility Code, 66 Pa.C.S. § §  501, 504—506, 1301 and 1501.

Source

   The provisions of this §  5.539 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 (216012).



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