[41 Pa.B. 435]
[Saturday, January 15, 2011]
[Continued from previous Web Page]
Subchapter D. EVIDENCE AND WITNESSES
EVIDENCE Sec.
1005.141. Admissibility of evidence. 1005.142. Admission of evidence. 1005.143. Control of receipt of evidence. 1005.144. Additional evidence. 1005.145. Effect of pleadings. 1005.146. Public documents. 1005.147. Records of other proceedings. 1005.148. Official and judicial notice of fact. 1005.149. Copies and form of documentary evidence.
WITNESSES
1005.151. Oral examination. 1005.152. Written testimony. 1005.153. Offers of proof.
SUBPOENAS
1005.161. Subpoenas. 1005.162. Depositions.
CLOSE OF THE RECORD
1005.171. Close of the record.
EVIDENCE § 1005.141. Admissibility of evidence.
(a) In oral and documentary proceedings, neither the Authority nor the presiding officer will be bound by technical rules of evidence, and all relevant evidence of reasonably probative value may be received. Reasonable examination and cross-examination will be permitted at all oral hearings.
(b) In the discretion of the Authority or presiding officer, evidence may be excluded if:
(1) It is repetitious or cumulative.
(2) Its probative value is outweighed by:
(i) The danger of unfair prejudice.
(ii) Confusion of the issues.
(iii) Considerations of undue delay or waste of time.
(c) Subsections (a) and (b) supersede 1 Pa. Code § 35.161 (relating to form and admissibility of evidence).
§ 1005.142. Admission of evidence.
(a) The Authority or presiding officer will rule on the admissibility of evidence and otherwise control the reception of evidence so as to confine it to the issues in the proceeding.
(b) For an exhibit to be received into evidence, it will be marked for identification and moved into evidence.
(c) Subsections (a) and (b) supersede 1 Pa. Code § 35.162 (relating to reception and ruling on evidence).
§ 1005.143. Control of receipt of evidence.
(a) The Authority or presiding officer has all necessary authority to control the receipt of evidence, including the following:
(1) Ruling on the admissibility of evidence.
(2) Confining the evidence to the issues in the proceeding and impose, when appropriate:
(i) Limitations on the number of witnesses to be heard.
(ii) Limitations of time and scope for direct and cross-examinations.
(iii) Limitations on the production of further evidence.
(iv) Other necessary limitations.
(b) The Authority or presiding officer will actively employ these powers to direct and focus the proceedings consistent with due process.
(c) Subsections (a) and (b) supersede 1 Pa. Code §§ 35.127, 35.162 and 35.163 (relating to limiting number of witnesses; reception and ruling on evidence; and designation of relevant portions of documentary evidence).
§ 1005.144. Additional evidence.
(a) At any stage of the hearing or thereafter, the Authority or the presiding officer may call for further admissible evidence upon an issue and require that the evidence be presented by the parties concerned, either at the hearing or at the adjournment thereof.
(b) Subsection (a) supersedes 1 Pa. Code § 35.128 (relating to additional evidence).
§ 1005.145. Effect of pleadings.
(a) Pleadings listed in § 1005.1 (relating to pleadings allowed) will, without further action, be considered as part of the record as pleadings.
(b) Except as provided in subsection (c) and in the case of a noncontested proceeding, a pleading, or any part thereof may not be considered as evidence of a fact other than that of filing thereof unless offered and received into evidence.
(c) A fact admitted by a party in an answer, filed under oath, to a numbered allegation in a pleading may be considered as evidence of the fact without the pleading and answer being offered and received into evidence.
(d) Subsections (a) and (b) supersede 1 Pa. Code § 35.125(d) (relating to order of procedure). Subsection (c) supersedes 1 Pa. Code § 35.35 (relating to answers to complaints and petitions).
§ 1005.146. Public documents.
(a) A report, decision, opinion or other document or part thereof, need not be produced or marked for identification, but may be offered in evidence as a public document by specifying the document or part thereof and where it may be found, if the document is one of the following:
(1) A report or other document on file with the Authority.
(2) An official report, decision, opinion, published scientific or economic statistical data or similar public document which is issued by a governmental department, agency, committee, Authority or similar entity which is shown by the offeror to be reasonably available to the public.
(b) Upon the request of a party and at the direction of the Authority or presiding officer, a party who incorporates by reference a pleading shall provide a copy of the pleading to the party requesting one.
(c) Subsections (a) and (b) supersede 1 Pa. Code §§ 35.164, 35.165 and 35.166 (relating to documents on file with agency; public documents; and prepared expert testimony).
§ 1005.147. Records of other proceedings.
(a) When a portion of the record in another proceeding before the Authority is offered in evidence and shown to be relevant and material to the instant proceeding, a true copy of the record shall be presented in the form of an exhibit, together with additional copies as provided in § 1005.149 (relating to copies and form of documentary evidence), unless both of the following occur:
(1) The party offering the record agrees to supply, within a period of time specified by the Authority or the presiding officer, the copies at his own expense, if any, when so required.
(2) The portion is specified with particularity so as to be readily identified, and upon motion is admitted into evidence by reference to the records of the other proceedings.
(b) Subsection (a) is identical to 1 Pa. Code § 35.167 (relating to records in other proceedings).
§ 1005.148. Official and judicial notice of fact.
(a) Official notice or judicial notice of facts may be taken by the Authority or the presiding officer.
(b) When the decision of the Authority or the presiding officer rests on official notice or judicial notice of a material fact not appearing in the evidence in the record, the parties will be so notified.
(c) Upon notification that facts are about to be or have been noticed, a party adversely affected shall have the opportunity upon timely request to show that the facts are not properly noticed or that alternative facts should be noticed.
(d) The Authority or the presiding officer in its discretion will determine whether written presentations suffice, or whether oral argument, oral evidence or cross-examination is appropriate in the circumstances.
(e) Subsections (a)—(d) supersede 1 Pa. Code § 35.173 (relating to official notice of facts).
§ 1005.149. Copies and form of documentary evidence.
(a) Except as otherwise provided in this subpart, when exhibits of a documentary character are offered in evidence, copies shall be furnished to the presiding officer and to the parties present at the hearing, unless the presiding officer otherwise directs. Two copies of each exhibit of documentary character shall be furnished for the use of the Authority unless otherwise directed by the presiding officer.
(b) Whenever practicable, all exhibits of a documentary character received in evidence must be on paper of good quality and so prepared as to be plainly legible and durable, whether printed, typewritten or otherwise reproduced, and conform to Chapter 1001, Subchapter D (relating to documentary filings) whenever practicable.
(c) Subsection (a) is identical to 1 Pa. Code § 35.169 (relating to copies to parties and agency). Subsection (b) is identical to 1 Pa. Code § 35.168 (relating to form and size of documentary evidence).
WITNESSES § 1005.151. Oral examination.
(a) Witnesses shall be examined orally unless the testimony is taken by deposition as permitted by the Authority or presiding officer or the facts are stipulated in the manner provided in § 1005.91 or § 1005.101 (relating to conferences generally; and presentation and effect of stipulations) or the testimony of expert witnesses is submitted in prepared written form as permitted by the Authority or presiding officer. Witnesses whose testimony is to be taken shall be sworn, or shall affirm, before their testimony shall be deemed evidence in the proceeding or any questions are put to them.
(b) Subsection (a) supersedes 1 Pa. Code § 35.137 (relating to oral examination).
§ 1005.152. Written testimony.
(a) General. Use of written testimony in Authority proceedings is encouraged, especially in connection with the testimony of witnesses determined by the Authority or presiding officer to be experts. Written direct testimony is required of expert witnesses testifying in rate cases.
(b) Use. The Authority or presiding officer may direct that expert testimony to be given upon direct examination be submitted as prepared written testimony. A reasonable period of time will be allowed to prepare written testimony.
(c) Rules regarding use. Written testimony is subject to the same rules of admissibility and cross-examination of the sponsoring witness as if it were presented orally in the usual manner.
(d) Cross-examination. Cross-examination of the witness presenting written testimony shall proceed at the hearing at which testimony is authenticated if service of the written testimony is made upon each party of record at least 20 days prior to the hearing, unless the presiding officer for good cause otherwise directs. In a rate proceeding, the presiding officer or the Authority will establish the schedule for the filing and authentication of written testimony, and for cross-examination by other parties.
(e) Form. Written testimony must normally be prepared in question and answer form, include a statement of the qualifications of the witness and be accompanied by exhibits to which it relates. A party offering prepared written testimony shall insert line numbers in the left-hand margin on each page. A party should also use a logical and sequential numbering system to identify the written testimony of individual witnesses.
(f) Service. Written testimony shall be served upon the presiding officer and parties in the proceeding in accordance with the schedule established by this chapter. At the same time the testimony is served, a certificate of service for the testimony shall be filed with the Secretary.
(g) Copies. At the hearing at which the testimony is authenticated, counsel for the witness shall provide two copies of the testimony to the court reporter.
(h) Supersession. Subsections (a)—(g) supersede 1 Pa. Code §§ 35.138, 35.150 and 35.166 (relating to expert witnesses; scope and conduct of examination; and prepared expert testimony).
§ 1005.153. Offers of proof.
(a) An offer of proof may be requested when opposing counsel contends the witness is not competent to testify to the subject matter or that the evidence to be offered is inadmissible. An offer of proof also may be made when the presiding officer has sustained an objection to the admission of testimony or tangible evidence. If the proffered evidence is tangible, it shall be marked for identification and shall constitute the offer of proof. If the proffered evidence is oral testimony, the offer of proof must consist of a summary of the evidence which counsel contends would be adduced by the testimony. The presiding officer may also request a statement of the basis for admissibility of the evidence.
(b) Subsection (a) supersedes 1 Pa. Code § 35.190(b) (relating to appeals to agency head from rulings of presiding officers).
SUBPOENAS § 1005.161. Subpoenas.
Matters related to subpoenas shall be as provided in 1 Pa. Code § 35.142 (relating to subpoenas).
§ 1005.162. Depositions.
Matters related to depositions shall be as provided in 1 Pa. Code §§ 35.145—35.152 (relating to depositions).
CLOSE OF THE RECORD § 1005.171. Close of the record.
(a) The record will be closed at the conclusion of the hearing unless otherwise directed by the Authority or presiding officer.
(b) After the record is closed, additional matter may not be relied upon or accepted into the record unless allowed for good cause shown by the Authority or presiding officer upon motion.
(c) Subsections (a) and (b) supersede 1 Pa. Code §§ 35.231 and 35.232 (relating to reopening on application of party; and reopening by presiding officer).
Subchapter E. PRESIDING OFFICERS Sec.
1005.181. Designation of presiding officer. 1005.182. Qualifications. 1005.183. Disqualification of a presiding officer. 1005.184. Authority of presiding officer. 1005.185. Restrictions on duties and activities. 1005.186. Manner of conduct of hearings. 1005.187. Unavailability of presiding officer. § 1005.181. Designation of presiding officer.
(a) When evidence is to be taken in a proceeding, either the Authority, a standing presiding officer appointed under § 1003.73(b) (relating to Adjudication Department) or an Authority representative appointed according to law and qualified as provided in § 1005.182 (relating to qualifications), may preside at the hearing.
(b) Subsection (a) supersedes 1 Pa. Code § 35.185 (relating to designation of presiding officers).
§ 1005.182. Qualifications.
(a) An authority representative appointed as provided in § 1005.181 (relating to designation of presiding officer) will be one of the following:
(1) A member of the Authority.
(2) The Director.
(3) An attorney admitted to practice law before the Supreme Court of Pennsylvania for at least 7 years prior to the date of designation.
(b) A presiding officer appointed to preside over an enforcement proceeding must meet the qualifications of subsection (a)(3).
§ 1005.183. Disqualification of a presiding officer.
(a) A party may file a motion for disqualification of a presiding officer which shall be accompanied by affidavits alleging personal bias or other disqualification.
(b) A presiding officer may withdraw from a proceeding when deemed disqualified in accordance with law.
(c) A motion for disqualification shall be filed with the Clerk and served on the presiding officer and the parties to the proceeding.
(d) The presiding officer will rule upon a motion for disqualification within 30 days of receipt. Failure to rule upon a motion for disqualification within 30 days of its receipt will be deemed to be a denial of the motion.
(e) The ruling of the presiding officer on a motion for disqualification is subject to the interlocutory appeal procedure in § 1005.132 (relating to petition for interlocutory Authority review and answer to a material question).
(f) Subsections (a)—(e) supersede 1 Pa. Code § 35.186 (relating to disqualification of a presiding officer).
§ 1005.184. Authority of presiding officer.
(a) The presiding officer will have the authority, within the powers of the act, this part or an order of the Authority. This authority includes, but is not limited to, the power to exclude irrelevant, immaterial or unduly repetitive evidence, to prevent excessive examination of witnesses, to schedule and impose reasonable limitations on discovery and to otherwise regulate the course of the proceeding.
(b) Subsection (a) supersedes 1 Pa. Code § 35.187 (relating to authority delegated to presiding officers).
§ 1005.185. Restrictions on duties and activities.
(a) Presiding officers will perform no duties inconsistent with their duties and responsibilities as such.
(b) Except as required for the disposition of ex parte matters not prohibited by the act, this part or an order of the Authority, a presiding officer will not consult a person or party on a fact in issue unless upon notice and opportunity for all parties to participate.
(c) Subsections (a) and (b) are identical to 1 Pa. Code § 35.188 (relating to restrictions on duties and activities).
§ 1005.186. Manner of conduct of hearings.
(a) The presiding officer will conduct a fair and impartial hearing and maintain order.
(b) The presiding officer may note on the record a party's disregard of a ruling. When necessary, the presiding officer may submit a report to the Authority recommending suspension and disbarment of the offending person as provided by § 1001.27 (relating to suspension and disbarment).
(c) Subsections (a) and (b) supersede 1 Pa. Code § 35.189 (relating to manner of conduct of hearings).
§ 1005.187. Unavailability of presiding officer.
(a) If a presiding officer becomes unavailable, the Adjudication Department's supervising presiding officer may either designate another qualified standing presiding officer to prepare the initial or recommended decision or cause the record to be certified to the Authority for decision.
(b) Subsection (a) is identical to 1 Pa. Code § 35.203 (relating to unavailability of presiding officer).
Subchapter F. BRIEFS Sec.
1005.191. Content and form of briefs. 1005.192. Filing and service of briefs. § 1005.191. Content and form of briefs.
(a) When briefs are required by this part or upon direction of the Authority or presiding officer in a proceeding, the brief must contain the following:
(1) A concise statement or counter-statement of the case.
(2) Reference to the pages of the record or exhibits where the evidence relied upon by the filing party appears.
(3) An argument preceded by a summary. The party with the burden of proof shall, in its main or initial brief, completely address, to the extent possible, every issue raised by the relief sought and the evidence adduced at hearing.
(4) A conclusion with requested relief.
(b) Briefs must also contain the following, if and as directed by the presiding officer:
(1) A statement of the questions involved.
(2) Proposed findings of fact with references to transcript pages or exhibits where evidence appears, together with proposed conclusions of law.
(3) Proposed ordering paragraphs specifically identifying the relief sought.
(c) Exhibits should not be reproduced in the brief, but may, if desired, be reproduced in an appendix to the brief.
(d) Briefs of more than 20 pages must contain on their front leaves a table of contents with page references and a table of citations, which may be prepared without pagination.
(e) Briefs must be as concise as possible and, except for briefs in rate cases, be limited to 60 pages in length, unless some other limitation is imposed or allowed by the presiding officer. The length of briefs in rate cases will be controlled by the presiding officer.
(f) Subsections (a)—(e) supersede 1 Pa. Code § 35.192 (relating to content and form of briefs).
§ 1005.192. Filing and service of briefs.
(a) Service. Copies shall be served on the parties in accordance with § 1001.57 (relating to number of copies to be served).
(b) Number of copies. An original and 12 copies of a brief shall be filed with the Clerk in proceedings before the Authority, with only three copies filed in proceedings before a presiding officer.
(c) Filing of briefs in nonrate proceedings.
(1) Initial brief. An initial brief shall be filed by the party with the burden of proof except as provided by agreement or by direction of the presiding officer.
(2) Response brief. A party may file a response brief to the initial brief.
(d) Filing of briefs in rate proceedings.
(1) Main brief. A main brief may be filed by a party except as provided by agreement or by direction of the presiding officer.
(2) Reply brief. A party may file a reply brief to a main brief regardless of whether the party filed a main brief.
(e) Filing of amicus curiae briefs. A person interested in the issues involved in an Authority proceeding, although not a party, may, without applying for leave to do so, file amicus curiae briefs with the Clerk in regard to those issues. Unless otherwise ordered, amicus curiae briefs shall be filed and served in the manner and number required and within the time allowed by this section, absent good cause.
(f) Deadlines. Initial briefs, main briefs, responsive briefs and reply briefs shall be filed and served within the time fixed by the presiding officer. If no specific times are fixed, initial briefs or main briefs shall be filed and served within 20 days after the date of service of notice of the filing of the transcript and responsive briefs or reply briefs shall be filed within 20 days after date of service of the notice of the filing of the transcript.
(g) Late-filed briefs. Briefs not filed and served on or before the dates fixed therefore will not be accepted, except by special permission of the Authority or the presiding officer as permitted under § 1001.15 (relating to extensions of time and continuances).
(h) Supersession. Subsections (a)—(g) supersede 1 Pa. Code §§ 35.191 and 35.193 (relating to proceedings in which briefs are to be filed; and filing and service of briefs).
Subchapter G. RECOMMENDED DECISIONS AND APPEALS
RECOMMENDED DECISIONS Sec.
1005.201. Recommended decisions generally. 1005.202. Certification of record without decision. 1005.203. Appeal hearings. 1005.204. Briefs and oral argument before presiding officer.
EXCEPTIONS TO RECOMMENDED DECISIONS
1005.211. Exceptions to recommended decisions. 1005.212. Replies. 1005.213. Final orders and effect of failure to file exceptions. 1005.214. Oral argument before the Authority. 1005.215. Withdrawal of appeals.
RECOMMENDED DECISIONS § 1005.201. Recommended decisions generally.
(a) This subchapter applies only to proceedings referred to a presiding officer for a recommended decision by a provision of this part or order of the Authority.
(b) The Authority will employ the use of recommended decisions in lieu of proposed reports.
§ 1005.202. Certification of record without decision.
(a) If a proceeding is referred to a presiding officer as provided in § 1005.201 (relating to recommended decisions generally), that officer will normally file a decision. The record will be certified to the Authority without a decision of the presiding officer only as required or allowed by the Authority.
(b) Subsection (a) supersedes 1 Pa. Code §§ 35.201—35.207 (relating to proposed reports generally).
§ 1005.203. Appeal hearings.
In the event a matter is referred to a presiding officer with instructions to conduct hearings to develop an evidentiary record or if the petition for appeal avers a material factual dispute which the presiding officer determines necessitates a hearing, the hearing will be conducted as provided in Subchapter B (relating to hearings).
§ 1005.204. Briefs and oral argument before presiding officer.
(a) In matters which do not require a hearing to develop an evidentiary record, the presiding officer may issue a recommended decision upon review of the petition and answer, if any.
(b) On the presiding officer's own motion or at the request of a party, the presiding officer may order the filing of briefs in a form consistent with Subchapter F (relating to briefs), on a schedule the presiding officer deems appropriate.
(c) In the event briefs are filed, on the presiding officer's own motion or at the request of a party the presiding officer may order the presentation of oral argument and impose limits on the argument that are deemed appropriate. When determining the propriety of oral argument the presiding officer shall consider the limitations of time, the nature of the proceedings, the complexity or importance of the issues of fact or law involved and the public interest.
(d) Subsections (a)—(c) supersede 1 Pa. Code § 35.204 (relating to oral argument before presiding officer).
EXCEPTIONS TO RECOMMENDED DECISIONS § 1005.211. Exceptions to recommended decisions.
(a) Subject to subsection (f), a party may file written exceptions to the recommended decision of a presiding officer with the Clerk within 15 days after the 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 must follow each specific exception.
(c) The exceptions must be concise. The exceptions and supporting reasons must be limited to 20 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 Clerk.
(d) An original and twelve copies of the exceptions shall be filed with the Clerk.
(e) Unless otherwise ordered by the Authority, §§ 1001.11 and 1001.54 (relating to date of filing; and date of service) will not be available to extend the time periods for filing exceptions.
(f) A presiding officer's decision related to an enforcement proceeding will not be subject to exception or administrative appeal, except as provided in section 5705(a) of the act (relating to contested complaints).
(g) Subsections (a)—(f) 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).
§ 1005.212. Replies.
(a) A party has the right to file a reply to an exception in proceedings before the Authority. Unless otherwise directed by the Authority or presiding officer, a reply shall be filed within 10 days of the date that an exception is filed and be limited to 20 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 Authority, §§ 1001.11 and 1001.54 (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).
§ 1005.213. Final orders and effect of failure to file exceptions.
(a) Enforcement proceedings. A presiding officer's decision related to an enforcement proceeding will become a final order or adjudication of the Authority as provided in section 5705(a) of the act (relating to contested complaints).
(b) Other proceedings. If no exceptions are filed in a proceeding included within § 1005.211(a) (relating to exceptions to recommended decisions), the decision of the presiding officer will become a final order or adjudication of the Authority without further Authority action, unless, within 15 days after the decision is issued, two or more members of the Authority request that the General Counsel schedule the decision for Authority review. Authority action on exceptions will be a final order or adjudication.
(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).
§ 1005.214. Oral argument before the Authority.
(a) In a case brought to the Authority by the filing of an exception or appeal, a request for oral argument before the Authority shall be filed in writing together with the appeal.
(b) In a case where exceptions are filed under § 1005.211 (relating to exceptions to recommended decisions), a request for oral argument before the Authority shall be filed in writing together with exceptions to recommended decision, or any reply.
(c) In a case where no recommended decision will be issued, a request for oral argument before the Authority 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).
§ 1005.215. Withdrawal of appeals.
(a) The filing of exceptions to a recommended decision will be deemed to be an appeal to the Authority of the recommended decision and is subject to review by the Authority.
(b) An appeal to the Authority may be withdrawn at any time. If the presiding officer's previous decision is not otherwise subject to Authority review, it becomes final and effective upon the filing of a notice of withdrawal.
Subchapter H. REOPENING, RECONSIDERATION AND REHEARING Sec.
1005.221. Reopening prior to a final decision. 1005.222. Petitions for relief. § 1005.221. Reopening prior to a final decision.
(a) At any time after the record is closed but before a final decision is issued, a party may file a petition to reopen the proceeding for the purpose of taking additional evidence.
(b) A petition to reopen must set forth clearly the facts claimed to constitute grounds requiring reopening of the proceeding, including material changes of fact or of law alleged to have occurred since the conclusion of the hearing.
(c) Within 10 days following the service of the petition, another party may file an answer thereto.
(d) The record may be reopened upon notification to the parties in a proceeding for the reception of further evidence if there is reason to believe that conditions of fact or of law have so changed as to require, or that the public interest requires, the reopening of the proceeding.
(1) The presiding officer may reopen the record if the presiding officer has not issued a decision or has not certified the record to the Authority.
(2) The Authority may reopen the record after the presiding officer has issued a decision or certified the record to the Authority.
(e) Subsections (a)—(e) supersede 1 Pa. Code §§ 35.231 —35.233 (relating to reopening of record).
§ 1005.222. Petitions for relief.
(a) Petitions for rehearing, reargument, reconsideration, clarification, rescission, amendment, supersedeas or the like must be in writing and specify, in numbered paragraphs, the findings or orders involved, and the points relied upon by petitioner, with appropriate record references and specific requests for the findings or orders desired.
(b) A copy of every petition covered under subsection (a) shall be served upon each party to the proceeding.
(c) Petitions for reconsideration, rehearing, reargument, clarification, supersedeas or others shall be filed within 10 days after the Authority order involved is entered or otherwise becomes final.
(d) Answers to a petition covered under subsection (a) shall be filed and served within 10 days after service of a petition.
(e) The filing of a petition as provided in this section will not act to toll any period of appeal related to judicial review of an agency action. The expiration of a period of appeal without action by the Authority will be deemed a denial of the petition by the Authority.
(f) Subsections (a)—(e) supersede 1 Pa. Code § 35.241 (relating to application for rehearing or reconsideration).
Subchapter I. REPORTS OF COMPLIANCE Sec.
1005.231. Reports of compliance. 1005.232. Compliance with orders prescribing rates. § 1005.231. Reports of compliance.
(a) A person subject to the jurisdiction of the Authority who is required to do or perform an act by an Authority order, certificate, registration, driver's certificate or other right shall file with the Director a notice stating that the requirement has or has not been met or complied with.
(b) The notice shall be filed within 30 days following the date when the requirement becomes effective, unless the Authority, by regulation, by order or by making specific provision thereof in the certificate, registration, driver's certificate or other right provides otherwise for compliance or proof of compliance. The notice shall be accompanied by a verification in accordance with § 1001.36 (relating to verification and affidavit).
(c) Subsections (a) and (b) supersede 1 Pa. Code § 35.251 (relating to reports of compliance).
§ 1005.232. Compliance with orders prescribing rates.
(a) When the Authority makes a final decision concerning a rate filing and permits or requires the adoption of rates other than the rates originally filed, the certificate holder affected shall file, within 20 days of entry of the final order, a tariff revision consistent with the Authority's decision together with a proof of revenues and supporting calculations. The certificate holder shall simultaneously serve copies of the tariff revision, along with the proof of revenues and supporting calculations, on the parties in the proceeding. A utility may also be required to provide an electronic, red-lined copy of any filing made to assist the parties in promptly identifying and analyzing the filing.
(b) Unless otherwise specified in the order, the tariff revision shall be effective upon statutory notice to the Authority and to the public and, whether made effective on statutory notice or under authority granted in the order, shall bear under the effective date on the title page the following notation: ''Filed in compliance with the order of Philadelphia Parking Authority, entered
______ 2_____ (date) at ____ :____ (time).''
(c) Exceptions to a tariff revision under this section may be filed by a party to the proceeding within 10 days of the date of service of the compliance filing, and must be strictly limited in scope to the factual issue of alleged deviation from requirements of the Authority order. The utility making the compliance filing may respond to exceptions within 5 days. No further pleadings will be permitted.
(d) Rates contained in a tariff revision filed in compliance with an Authority order may not be imposed prior to entry of a subsequent order by the Authority approving the compliance filing. Notwithstanding the filing of an exception, the Authority may allow the compliance rates to become effective.
Subchapter J. APPEALS TO COURT Sec.
1005.241. Notice of taking appeal. 1005.242. Preparation and certification of records. 1005.243. Certification of interlocutory orders. § 1005.241. Notice of taking appeal.
When an appeal is taken from an order of the Authority to the Commonwealth Court, the appellant shall immediately give notice of the appeal to all parties to the Authority proceeding, the Clerk and the General Counsel, as provided under § 1001.52 (relating to service by a party).
§ 1005.242. Preparation and certification of records.
A record will not be certified as complete until copies of exhibits or other papers have been furnished when necessary to complete the Authority file. Copies will be requested by the Authority.
§ 1005.243. Certification of interlocutory orders.
(a) When the Authority has made an order which is not a final order, a party may by motion request that the Authority find, and include the findings in the order by amendment, that the order involves a controlling question of law as to which there is a substantial ground for difference of opinion and that an immediate appeal to Commonwealth Court from the order may materially advance the ultimate termination of the matter. The motion shall be filed within 10 days after service of the order, and is procedurally governed under § 1005.71 (relating to motions). Unless the Authority acts within 30 days after the filing of the motion, the motion will be deemed denied.
(b) Neither the filing of a motion under subsection (a), nor the adoption of an amended order containing the requested finding, will stay a proceeding unless otherwise ordered by the Authority or Commonwealth Court.
(c) Subsections (a) and (b) supersede 1 Pa. Code § 35.225 (relating to interlocutory orders).
Subpart B. TAXICABS Chap.
1011. GENERAL PROVISIONS 1013. MEDALLION TAXICABS 1015. PARTIAL RIGHTS TAXICABS 1017. VEHICLE AND EQUIPMENT REQUIREMENTS 1019. DISPATCHERS 1021. TAXICAB DRIVERS 1023. TAXICAB RATES 1025. INSURANCE REQUIRED 1027. SALE OF RIGHTS 1029. BROKERS
CHAPTER 1011. GENERAL PROVISIONS Sec.
1011.1. Purpose. 1011.2. Definitions. 1011.3. Annual rights renewal process. 1011.4. Annual assessments and renewal fees. 1011.5. Ineligibility due to conviction or arrest. 1011.6. Fleet program. 1011.7. Payment of outstanding fines, fees, penalties and taxes. 1011.8. Facility inspections. 1011.9. Taxicab service limitations. 1011.10. Discrimination in service. 1011.11. Record retention. 1011.12. Aiding or abetting violations. 1011.13. Interruptions of service. 1011.14. Voluntary suspension of certificate. 1011.15. Death or incapacitation of a certificate holder or certain persons with controlling interest. 1011.16. Power of successors by law. 1011.17. Limitations. 1011.18. Application review generally. 1011.19. Exclusive and nonexclusive service. 1011.20. Noninterference with scheduled service. 1011.21. Service in unauthorized territory. § 1011.1. Purpose.
This subpart establishes and prescribes Authority regulations and procedures for taxicab service in Philadelphia.
§ 1011.2. Definitions.
The following words and terms, when used in this subpart, have the following meanings, unless the context indicates otherwise:
Arrest—Detaining, holding, or taking into custody by police or other law enforcement authorities to answer for an alleged commission of an offense.
Call or demand service—Local common carrier service for passengers, rendered on either an exclusive or a nonexclusive basis, where the service is characterized by the fact that passengers normally hire the vehicle and its driver either by telephone call or by hail, or both.
Common carrier—A common carrier by motor vehicle, as defined in 66 Pa.C.S. § 102 (relating to definitions), transporting passengers.
Controlling interest—
(i) A controlling interest is an interest in a legal entity, applicant or certificate holder if a person's voting rights under state law or corporate articles or bylaws entitle the person to elect or appoint one or more of the members of the board of directors or other governing board or the ownership or beneficial holding of 5% or more of the securities of the corporation, partnership, limited liability company or other form of legal entity, unless this presumption of control or ability to elect is rebutted by clear and convincing evidence. A member, partner, director, or officer of a corporation, partnership, limited liability company or other form of legal entity, is deemed to have a controlling interest.
(ii) A person who owns or beneficially holds less than 5% of the securities of a privately held domestic or foreign corporation, partnership, limited liability company or other form of privately held legal entity shall be deemed as having rebutted the presumption of control by clear and convincing evidence.
Conviction—
(i) A finding of guilt or a plea of guilty or nolo contendere whether or not a judgment of sentence has been imposed as determined by the law of the jurisdiction in which the prosecution was held relating to any of the following:
(A) A felony.
(B) A crime involving moral turpitude.
(C) A crime requiring registration with the State Police as provided in 42 Pa.C.S. § 9795.1 (relating to registration) or similar statute in any other jurisdiction.
(D) A crime subject to prosecution pursuant to 18 Pa.C.S. Chapter 25 (relating to criminal homicide) or similar statute in any other jurisdiction.
(E) A crime subject to prosecution pursuant to 18 Pa.C.S. Chapter 27 (relating to assault) or similar statute in any other jurisdiction.
(F) A crime subject to prosecution pursuant to 18 Pa.C.S. Chapter 29 (relating to kidnapping) or similar statute in any other jurisdiction.
(G) A crime subject to prosecution pursuant to 18 Pa.C.S. Chapter 31 (relating to sexual offenses) or similar statute in any other jurisdiction.
(ii) A crime resulting in an order of Accelerated Rehabilitative Disposition, prior to successful completion of the terms of the order.
(iii) Except as provided in subparagraphs (i) and (ii), the term does not include a misdemeanor or summary conviction or any conviction that has been expunged or overturned or for which an individual has been pardoned.
Crime involving moral turpitude—A crime determined by the Authority to be consistent with 22 Pa. Code § 237.9 (relating to crimes of moral turpitude).
Criminal history report—The report issued by the State Police, or similar government entity in a jurisdiction outside this Commonwealth, which will identify any convictions associated with an individual.
Dispatcher—The owner of a certificate of public convenience to operate a dispatching service in Philadelphia issued by the Authority under section 5711(c)(6) of the act (relating to power of authority to issue certificates of public convenience) and Chapter 1019 (relating to dispatchers).
Dispatcher's certificate—A certificate issued by the Authority to a dispatcher.
Driver history report—A driver's license report containing details about a driver's history including accidents and violations issued by a jurisdiction within the United States.
Driver's license—A license or permit to operate a motor vehicle issued by the Department of Transportation or similarly authorized government entity in another jurisdiction of the United States.
Enforcement Department—The department of the TLD created under § 1003.74 (relating to Enforcement Department).
Exclusive service—Transportation on a given trip when the first or principal person, party or group hiring the vehicle has the exclusive right to determine where, when or if another passenger shall be carried on that trip.
Federal Tax Identification number—The Social Security number of an individual or the Employer Identification number of a business entity, fiduciary or other person.
Holding company—A person, other than an individual, which, directly or indirectly, owns, has the power or right to control or to vote 20% or more of the outstanding voting securities of a corporation or other form of business organization. A holding company indirectly has, holds or owns the power, right or security if it does so through an interest in a subsidiary or successive subsidiaries.
Inspector—Enforcement Department uniformed or nonuniformed staff assigned to investigate and enforce the act, this part and orders of the Authority who will be identifiable by an Authority issued badge number.
Key employee—An individual who is employed in a director or department head capacity and who is empowered to make discretionary decisions that affect the operations of an applicant, certificate holder, or other entity identified by the Authority.
Manager of Administration—The individual appointed to manage the Administration Department of the TLD as provided in § 1003.72 (relating to TLD Staffer generally). The Manager of Administration may be contacted at TLD Headquarters or by email at TLDAdmin@philpark.org.
Manager of Enforcement—The individual named appointed to manage the Enforcement Department of the TLD as provided in § 1003.74. The Manager of Enforcement may be contacted at TLD Headquarters or by email at TLDEnforcement@philpark.org.
Medallion—A piece of metal in a shape and with a color to be determined by the Authority which is to be affixed to a vehicle by Authority staff before that vehicle may provide citywide taxicab service.
Medallion number—The number assigned to and placed on a particular medallion by the Authority, under § 1017.14 (relating to taxicab numbering).
Medallion lienholder—A person holding a recorded lien against a medallion as provided under section 5713 of the act (relating to property and licensing rights) and § 1013.21 (relating to notice of medallion lien).
Medallion taxicab—A taxicab certified by the Authority to provide city-wide taxicab service and affixed with a medallion by the Authority as provided in § 1013.2 (relating to attachment of a medallion) and section 5714(a) of the act (relating to certificate and medallion required).
Moving violations—Any debt owed the Commonwealth or one of its political subdivisions for violations of 75 Pa.C.S. (relating to Vehicle Code), that is not under appeal.
Proposed buyer—The party seeking to acquire an ownership interest in a medallion or certificate, as the context provides.
Parking violations—Any debt owed to the City of Philadelphia related to a violation of the Philadelphia Traffic Code (12 Phila. Code §§ 100-3012), that is not under appeal.
Partial-rights taxicab—A taxicab authorized by the Authority to provide common carrier call or demand transportation of persons for compensation on a non-citywide basis, under Chapter 1015 (relating to partial rights taxicabs) and sections 5711(c)(2) and 5714(d)(2) of the act (relating to power of Authority to issue certificates of public convenience; and certificate and medallion required).
Regulated person—A certificate holder, broker, taxicab driver, or other person subject to the act, this part or an order of the Authority.
Rights—A certificate of public convenience, driver's certificate, broker registration or other authorization issued to a regulated party by the Authority under the act.
Taxicab—
(i) A motor vehicle designed for carrying no more than eight passengers, exclusive of the driver, as defined in section 5701 of the act (relating to definitions) and certified by the Authority under the act, this part or an order of the Authority.
(ii) Unless the context indicates otherwise, the term includes partial-rights taxicabs, medallion taxicabs and wheelchair accessible taxicabs.
Taxicab certificate—
(i) A certificate issued by the Authority authorizing the holder to provide taxicab service under the act, this part or an order of the Authority.
(ii) Unless the context indicates otherwise, the term includes medallion taxicab certificates and partial-rights taxicab certificates.
Taxicab driver—The individual to whom a current and valid taxicab driver's certificate has been issued by the Authority under section 5706 of the act (relating to driver certification program).
Taxicab driver's certificate—The original photographic identification card issued by the Authority which confirms that an individual has complied with Chapter 1021 (relating to taxicab drivers) and is authorized to provide taxicab service under section 5706 of the act.
Taxicab service—
(i) The transportation of passengers or offering to transport passengers in a taxicab as a common carrier call or demand service in Philadelphia.
(ii) The term includes the stopping, standing or parking of a taxicab in a taxicab stand line or other location commonly used by the public to access taxicabs.
(iii) Unless the context indicates otherwise, the term includes both partial-rights taxicabs and medallion taxicabs.
Transfer fee—The fee paid to the Authority for its review of a sale application as provided in Chapter 1027 (relating to sale of rights).
Wheelchair accessible taxicab—A taxicab that can accommodate at least one person in a wheelchair without the person having to transfer from the wheelchair to another seat and that meets requirements established by the Americans with Disabilities Act of 1990 (42 U.S.C.A. §§ 12101—12213) or requirements that are a functional equivalent and approved by the Authority.
§ 1011.3. Annual rights renewal process.
(a) Expiration of certificate. All rights will expire annually, including the following:
(1) A certificate will expire on June 30 of each year.
(2) A taxicab driver's certificate will expired 1 year from its date of issuance or renewal.
(3) A broker registration will expire on June 30 of each year.
(4) All other rights, including waivers issued as provided in § 1005.23 (relating to petitions for issuance, amendment, repeal, or waiver of Authority regulations), will expire 1 year from the date of issuance or as otherwise provided by order at the time of issuance.
(b) Expired rights.
(1) Expired rights will be placed out of service and cancelled by the Authority as provided in § 1003.32 (relating to out of service designation).
(2) Taxicab driver certificates that have been expired for 1 year or more will be deemed cancelled.
(c) Renewal forms.
(1) Rights issued by the Authority must be renewed by completing and filing the required renewal form with the Director. Renewal forms may be obtained on the Authority's web site at www.philapark.org/tld or from TLD Headquarters.
(2) The renewal forms may require the submission of additional information or documents in order to confirm continuing eligibility under the act, this part or an order of the Authority.
(3) The renewal forms must be verified as provided in § 1001.36 (relating to verification and affidavit) and filed as follows:
(i) For medallion taxicab certificates, Form TX-1 ''Medallion Renewal'' shall be filed on or before February 15 of each year.
(ii) For partial-rights taxicab certificates, Form PR-1 ''Partial Rights Renewal'' shall be filed on or before February 15 of each year.
(iii) For dispatcher certificates, Form DSP-6 ''Dispatcher Renewal'' shall be filed on or before February 15 of each year.
(iv) For taxicab drivers' certificates, Form DR-3 ''Driver Renewal'' shall be filed 60 days before the expiration date printed on the taxicab driver's certificate.
(v) For broker registrations, a Form BR-4 ''Broker Renewal'' shall be filed on or before February 15 of each year.
(d) Renewal denial. The Authority will deny renewal of rights in the following circumstances:
(1) If the owner of the rights subject to renewal fails to complete the renewal process.
(2) The renewal process reveals information about the renewing person or those with a controlling interest in the renewing person that would have resulted in a denial of an initial application for the rights.
(3) The renewing person fails to comply with § 1011.4 (relating to annual assessments and renewal fees).
(e) Suspended rights. Rights subject to suspension for any reason must be renewed on the dates and in the manner provided by this section regardless of the suspended status.
§ 1011.4. Annual assessments and renewal fees.
(a) Assessments and renewal fees. The owners of rights issued by the Authority shall pay an annual assessment or renewal fee in an amount established each year under section 5707(b) of the act (relating to budget and fees) and as set forth in the Authority's annual fee schedule as provided in § 1001.43 (relating to Authority fee schedule).
(b) Payment of assessments by certificate holders. Except as provided in subsection (c), the annual assessment for certificate holders is due on or before June 15 of each year.
(c) Installment payments. Upon request by a taxicab certificate holder through the annual renewal form required under § 1011.3 (relating to annual rights renewal process), the Director may permit certificate holders to pay the assessment in two equal installments on or before June 15 and December 15 of each year, as limited under subsections (d) and (e).
(d) Assessment payment by appointment.
(1) In person appointments to pay annual assessments may be scheduled by the Director anytime after the renewal form is filed. If the certificate holder fails to appear at the scheduled appointment, the certificate holder will be charged a rescheduling fee as provided in § 1001.43, in addition to any penalty entered against the certificate holder.
(2) The scheduled appointment will become the new due date for the installment assessment payment.
(3) The Authority will provide notice of assessment payment appointments as provided in § 1001.51 (relating to service by Authority).
(e) Eligibility. A certificate will be ineligible for assessment installment payments if the certificate holder or any person having a controlling interest in the certificate holder has done any of the following in the previous 5 years:
(1) Failed to pay an assessment to the Authority on schedule.
(2) Failed to begin and complete the annual rights renewal process on schedule.
(3) Been subject to suspension or cancellation of any rights issued by the Authority under the act, this part or an order of the Authority.
(f) Payment of renewal fees by taxicab drivers. The annual renewal fee for taxicab drivers is due with the filing of the DR-3 as provided in § 1011.3(c)(3)(iv) (relating to annual rights renewal process).
(g) Payment of renewal fees by brokers. The annual renewal fee for brokers is due with the filing of the BR-4 as provide in § 1011.3 (c)(3)(v).
(h) Late assessment or renewal fee payments.
(1) A regular assessment or renewal fee payment will be considered late if not paid before 3 p.m. on the day it is due.
(2) An installment assessment payment will be considered late if not paid at the appointed time and date for payment.
(3) Rights issued by the Authority will expire at the time an assessment payment becomes late and will be immediately placed out of service by the Authority in as provided in § 1003.32 (relating to out of service designation).
§ 1011.5. Ineligibility due to conviction or arrest.
(a) Except as provided in subsection (e), a person is ineligible to own any interest in any right issued by the Authority if the person, or a person having a controlling interest in the person or a key employee, has been subject to a conviction as defined in § 1011.2 (relating to definitions) in the past 5 years and for 6 months from the date the convicted person completes the sentence imposed, including incarceration, probation, parole and other forms of supervised release.
(b) In the event a regulated party owning a transferable right becomes ineligible to hold rights issued by the Authority due to a conviction, the regulated party shall immediately cease use of the rights and initiate the sale of the rights to an eligible person as provided in Chapter 1027 (relating to sale of rights) within 180 days of the conviction.
(c) A regulated party shall inform the Director within 72 hours of being subject to an arrest or conviction as defined under § 1011.2.
(d) In the event a criminal prosecution is initiated against a regulated party for a crime that may lead to a conviction as defined in § 1011.2, the Enforcement Department or Trial Counsel may initiate a formal complaint against the regulated party as provided in § 1005.11 (relating to formal complaints generally) and seek the immediate suspension of rights pending the conclusion of the criminal proceedings.
(e) A person subject to an order of Accelerated Rehabilitative Disposition shall be ineligible to own any interest in any right issued by the Authority until the terms of the order have been completed.
§ 1011.6. Fleet program.
(a) The Authority will maintain a fleet program to assist taxicab certificate holders with the process of accurately transferring liability for Philadelphia parking violations from the owner of the vehicle to the taxicab driver assigned to the vehicle when the parking violation was issued.
(b) Each taxicab certificate holder engaged in the leasing of a taxicab to a taxicab driver shall enroll in the Authority's fleet program. Information related to enrollment and an enrollment application may be obtained from the Authority at www.philapark.org/tld.
§ 1011.7. Payment of outstanding fines, fees, penalties and taxes.
(a) Regulated persons and applicants for any right issued by the Authority shall pay all assessments, fees, penalties, and other payments due to the Authority under the act, this part or an order of the Authority on schedule, unless the matter related to the payment is under appeal.
(b) Regulated persons and applicants for any right issued by the Authority shall remain current on the payment of parking violations and moving violations, unless the violation is under appeal.
(c) Regulated persons and applicants for any right issued by the Authority shall remain current on the payment of taxes due to the Commonwealth or City of Philadelphia, unless under appeal.
(d) Regulated persons and applicants for any right issued by the Authority shall hold and maintain a Business Privilege License issued by the City of Philadelphia and present a copy of the license to the Authority for inspection upon demand.
(e) For purposes of this section, regulated persons and applicants includes those with a controlling interest in the regulated person or applicant, or both, and key employees.
§ 1011.8. Facility inspections.
Certificate holders and brokers shall make their operating locations available for inspection by the Authority. A facility inspection may be made without prior notice.
§ 1011.9. Taxicab service limitations.
(a) Only the following individuals may provide taxicab service:
(1) The owner, if the owner is a taxicab driver.
(2) An employee of the certificate holder who is a taxicab driver.
(3) A taxicab driver who leases the taxicab directly from the certificate holder.
(b) A certificate holder shall supervise its taxicab to make certain that only those taxicab drivers authorized by this section provide taxicab service.
§ 1011.10. Discrimination in service.
A regulated person may not refuse service to a member of the public on the basis of gender, sexual orientation, race, religious preference, nationality, age, point of origin, point of destination or to a person with a disability.
§ 1011.11. Record retention.
(a) Certificate holders and brokers shall maintain for 5 years all records required under the act, this part or an order of the Authority, or otherwise kept in the ordinary course of business, in the English language and in a format capable of being easily produced to the Authority.
(b) Both paper and electronic records shall be maintained in chronological order by date and time of day.
(c) Paper records required under this section shall be stored in dry areas protected by a fire suppression system.
(d) Electronic records required under this section shall be routinely copied and stored at a location that is separate by at least 1 mile from the office where the record originated.
(e) A regulated party shall produce records maintained under subsection (a) to the Authority upon request. In the event the records require a special form of software to search or interpret, a regulated party shall make that software available to the Authority.
§ 1011.12. Aiding or abetting violations.
A person may not aid, abet, encourage or require a regulated party to violate the act, this part or an order of the Authority.
§ 1011.13. Interruptions of service.
(a) An interruption of service by a common carrier for more than 48 hours shall be reported to the Director in writing within 72 hours of the beginning of the service interruption. The written statement must include the cause of interruption and its probable duration.
(b) An interruption of service by a dispatcher for more than 30 minutes shall be reported to the Director in writing within 2 hours of the beginning of the service interruption. The written statement must include the cause of interruption and its probable duration.
(c) Suspension of service by a common carrier for 5 consecutive days without notice to the Authority will be deemed sufficient cause for cancellation of the rights of the common carrier, except if the suspension is caused by strike or labor difficulties, riot, insurrection, war, government decrees, an act of God or other good cause shown.
(d) Suspension of service by a dispatcher for 6 consecutive hours without notice to the Authority will be deemed sufficient cause for cancellation of the dispatcher's certificate, except if the suspension is caused by strike or labor difficulties, riot, insurrection, war, government decrees, an act of God or other good cause shown.
(e) An order of cancellation entered under this section will not be issued until the certificate holder is given opportunity for a public hearing on a formal complaint as provided in § 1005.11 (relating to formal complaints generally) as to why the rights should not be cancelled.
§ 1011.14. Voluntary suspension of certificate.
(a) A certificate holder may place a certificate in a voluntary state of suspension to avoid penalties for violation of § 1011.13 (relating to interruptions of service) subject to the prior approval of the Director who may, in his sole or peculiar discretion as deemed appropriate, attach conditions as found to be necessary or proper.
(b) A certificate may be placed in voluntary suspended status after a report is issued as provided in § 1011.13.
(c) A certificate may not be placed in voluntary suspended status for more than 1 year.
(d) A medallion may only be placed in a voluntarily suspended status for 90 days.
(e) The Authority will not grant an application for voluntary suspension if the approval will result in a reduction of five percent or more of the aggregate number of authorized medallion taxicabs in Philadelphia.
(f) To request approval from the Authority for the voluntary suspension of a certificate, the certificate holder shall file a completed CPC-1 ''Voluntary Suspension Application'' with the Director and pay the application fee as provided in §§ 1001.42 and 1001.43 (relating to mode of payment to the Authority; and Authority fee schedule). The CPC-1 may be obtained at www.philapark.org/tld.
(g) Before a CPC-1 is granted, a certificate holder must be in compliance with § 1011.7 (relating to payment of outstanding fines, fees, penalties and taxes) and pay the entire Authority assessment that will come due during the proposed period of voluntary suspension.
§ 1011.15. Death or incapacitation of a certificate holder or certain persons with controlling interest.
(a) Definitions. The following words and terms, when used in this section, have the following meanings, unless the context indicates otherwise:
Incapacitation—A determination by a court that an individual is incapacitated as provided in 20 Pa.C.S. § 5511 (relating to petition and hearing; independent evaluation), or for non-Pennsylvania residents, a substantially similar order from a court of competent jurisdiction.
(b) Death or incapacitation of an individual certificate holder.
(1) Upon the death or incapacitation of an individual certificate holder, the rights conferred by the certificate shall continue with the legal representative of the deceased or incapacitated certificate holder for 6 months.
(2) The legal representative of the deceased or incapacitated certificate holder shall immediately begin the process of finding a qualified person to buy the certificate as provided in Chapter 1027 (relating to sale of rights), including the use of a broker or attorney. Nothing in this section prohibits the legal representative from buying the certificate.
(3) In the event an SA-1 for the certificate is not correctly filed, as provided in § 1027.6 (relating to applications for sale of transferable rights), within 90 days of the date the certificate holder died or was declared incapacitated, the certificate will be placed out of service as provided in § 1003.32 (relating to out of service designation) and may be cancelled upon determination of a formal complaint filed by the Enforcement Department or Trial Counsel.
(4) In the event an SA-1 for the certificate is correctly filed within 90 days of the date the certificate holder died or was declared incapacitated, the rights conferred by the certificate shall continue with the legal representative of the deceased or incapacitated certificate holder for the duration of the SA-1 review period and through closing on the sale.
(c) Death, incapacitation or dissolution of certain persons with controlling interest in a certificate.
(1) Upon the death, incapacitation or dissolution of a person that owns 5% or more of the certificate holder's securities, the rights conferred by the certificate shall continue with the certificate holder for 3 months.
(2) The certificate holder shall immediately begin the process of finding a qualified person to buy the securities of the certificate holder referenced in paragraph (1) as provided in Chapter 1027, including the use of a broker or attorney. Nothing in this section will prohibit the certificate holder from acquiring the securities of the person referenced in paragraph (1).
(3) In the event an SA-1 for the sale of the securities referenced in paragraph (1) is not correctly filed as provided in § 1027.5 (relating to agreement of sale) within 6 months of the date of the person's death, incapacitation or dissolution, the certificate will be placed out of service as provided in § 1003.32 and may be cancelled upon determination of a formal complaint filed by the Enforcement Department or Trial Counsel.
(4) In the event an SA-1 for the sale of the securities referenced in paragraph (1) is correctly filed, as provided in § 1027.6, within 6 months of the date of the person's death, incapacitation or dissolution, the rights conferred by the certificate shall continue for the duration of the SA-1 review period and through closing on the sale.
(c) Ineligibility of successor or legal representative. This section may not be interpreted to permit the operation or use of Authority rights by a person otherwise prohibited from the ability to receive Authority rights. For example, the executor of the estate on a deceased individual certificate holder who would be ineligible to possess Authority rights as provided in § 1011.5 (relating to ineligibility due to conviction or arrest), may not operate or supervise the operation of the rights conferred by the certificate.
§ 1011.16. Power of successors by law.
(a) If a trustee, receiver, assignee, custodian or similar officer or officers is appointed by a court of competent jurisdiction, or is selected by creditors in accordance with provisions of law, with authority to take or retain possession and to operate the property and business of a certificate holder, the officer shall have authority to perform the service authorized in the certificate of the debtor certificate holder for a period of 90 days from his appointment or selection.
(b) The appointed officer may petition the Authority for authorization to exercise the rights conferred by the certificate for an additional period of time, and the Authority may, for good cause shown, grant authority.
(c) If the petition is filed within 60 days of the appointment or selection of the petitioner, the appointed officer shall have authority to exercise the rights conferred by the certificate pending a decision by the Authority on the petition. Pertinent orders or decrees of the court having jurisdiction may be deemed cause for the granting of petitions by the Authority.
§ 1011.17. Limitations.
Operations covered under §§ 1011.15 and 1011.16 (relating to death or incapacitation of a certificate holder or certain persons with controlling interest; and power of successors by law) are subject to the terms and conditions of the certificate of public convenience and may not be conducted without full compliance with the act, this part or an order of the Authority, including insurance coverage.
§ 1011.18. Application review generally.
Application for rights required by this subpart will be reviewed as provided in § 1003.51 (relating to applications generally).
§ 1011.19. Exclusive and nonexclusive service.
Taxicabs may transport persons on request, on an exclusive basis, or on a nonexclusive basis.
§ 1011.20. Noninterference with scheduled service.
When offering nonexclusive taxicab service, owners and drivers of vehicles shall be prohibited from permitting or causing the taxicab to be operated on a fixed time schedule over a route of a scheduled route carrier or a public transit system so as to pass specific points in a regular manner, at regular intervals, for the purpose of picking up passengers unless that route is not then in operation. The purpose of this section is to prohibit taxicab operations from interfering with scheduled service.
§ 1011.21. Service in unauthorized territory.
Taxicab service between points outside authorized territory may not be validated by the subterfuge of routing the taxicab through authorized territory. A certificate holder or taxicab driver may not attempt to evade operating rights restrictions by encouraging or causing the passengers to make a theoretical or actual fare-paying break in a trip by routing it through authorized territory.
CHAPTER 1013. MEDALLION TAXICABS. Subchap.
A. GENERAL REQUIREMENTS B. LIENS ON MEDALLIONS
Subchapter A. GENERAL REQUIREMENTS Sec.
1013.1. Certificate and medallion required. 1013.2. Attachment of a medallion. 1013.3. Removal of a medallion. 1013.4. Medallion renewal. § 1013.1. Certificate and medallion required.
A vehicle may not provide city-wide taxicab service unless a current and valid certificate is issued by the Authority to the owner of the vehicle and the medallion assigned to that certificate is attached to the vehicle.
§ 1013.2. Attachment of a medallion.
Only the Enforcement Department may attach a medallion to a vehicle. Prior to attaching the medallion, the Authority will inspect the vehicle, as provided in § 1017.2 (relating to preservice inspection).
§ 1013.3. Removal of a medallion.
(a) A medallion may only be removed from a vehicle by the Authority, or upon advance written approval from the Authority, by the medallion owner.
(b) Upon removal from a vehicle, the medallion will be held by the Authority for safe keeping until attachment of the medallion is scheduled with the Authority as provided in § 1013.2 (relating to attachment of a medallion). If removed by the medallion owner, the medallion shall be delivered to the Authority within 2 business days after removal.
§ 1013.4. Medallion renewal.
(a) A medallion will clearly display the calendar year or years in which it is valid.
(b) The Authority will schedule each medallion taxicab then in compliance with the act, this part and all orders of the Authority to have its expiring medallion removed and a new medallion attached before December 31 of the year preceding the earliest year displayed on the new medallion.
Subchapter B. LIENS ON MEDALLIONS Sec.
1013.21. Notice of medallion lien. 1013.22. Execution on and seizure of a medallion. 1013.23. Invalidation upon execution or seizure. § 1013.21. Notice of medallion lien.
A person who accepts a medallion as security shall file its lien in accordance with 13 Pa.C.S. (relating to commercial code). No notice or filing with the Authority of medallion liens is required.
§ 1013.22. Execution on and seizure of a medallion.
(a) If a medallion lienholder executes on or seizes a medallion, it shall notify the Director of all particulars, in writing, within 5 days of taking the action. Any seized medallion shall be delivered to the Authority and will be held by the Authority pending further disposition.
(b) A medallion shall be sold within 1 year of seizure or execution as provided in sections 5713 and 5718 of the act (relating to property and licensing rights; and restrictions) and Chapter 1027 (relating to sale of rights).
(c) A medallion that is not sold under subsection (b) will be nontransferable and will become the property of the Authority.
§ 1013.23. Invalidation upon execution or seizure.
(a) The execution or seizure of a medallion invalidates the medallion for purposes of providing taxicab service.
(b) Upon reclaiming a medallion from execution or seizure, a certificate holder shall petition the Director for an order reversing the invalidation imposed by this section. The petition shall be filed with the Clerk and be in a form consistent with § 1005.21 (relating to petitions generally).
(c) The petition for validation of a medallion shall be granted by the Director upon determination that the certificate holder and the relevant medallion are in compliance with the act, this part and all orders of the Authority.
(d) Determinations of the Director may be appealed as provided in § 1005.24 (relating to appeals from actions of the staff).
CHAPTER 1015. PARTIAL RIGHTS TAXICABS Sec.
1015.1. Purpose. 1015.2. Certificate required. 1015.3. New or additional rights restricted. 1015.4. Partial-rights certificate holders. 1015.5. Partial-rights taxicab numbers. § 1015.1. Purpose.
(a) This chapter establishes and prescribes certain Authority regulations and procedures for partial-rights taxicab service in Philadelphia.
(b) Due to the substantially similar nature of service provided within Philadelphia by partial-rights and medallion taxicabs, most regulations related to taxicab service in Philadelphia do not differentiate between medallion taxicabs and partial-rights taxicabs.
§ 1015.2. Certificate required.
(a) A person may not operate a vehicle as a partial-rights taxicab in Philadelphia unless a certificate of public convenience conferring the rights is issued by the Authority to that person.
(b) Each vehicle operated as a partial-rights taxicab shall be registered with the Department of Transportation in the name of the owner of the partial-rights certificate.
§ 1015.3. New or additional rights restricted.
(a) The Authority will not issue a new certificate of public convenience to provide partial-rights taxicab service in Philadelphia.
(b) The Authority will not issue additional or expanded rights to existing partial-rights taxicab certificate holders.
(c) Upon the cancellation, surrender, or other final termination of a partial rights taxicab certificate, the Authority will not issue a new certificate to continue the service provided under the terminated certificate.
(d) The number of taxicabs that may be operated by a partial-rights certificate holder may not exceed the number registered by the certificate holder with the Authority on November 1, 2010.
§ 1015.4. Partial-rights certificate holders.
(a) The partial-rights taxicab certificate holders certified by the Authority are as follows:
(1) Germantown Cab Company, Certificate No. 1011748-02.
(2) Bucks County Services, Inc., Certificate No. 1011752-02.
(3) Concord Limousine, Inc., Certificate No. 1016120-05.
(4) Concord Coach USA, Inc., Certificate No. 1015925-05.
(5) Dee Dee Cab, Inc., Certificate No. 1017611-02.
(6) MCT Transportation, Inc. d/b/a Montco Suburban Taxi, Certificate No. 1015570-05.
(b) The Philadelphia geographical boundaries within which each partial-rights certificate holder is permitted to provide taxicab service through the Authority were originally created by the PUC and continue through the Authority as follows:
(1) Germantown Cab Company: To transport, as a common carrier, by motor vehicle, persons upon call or demand between points in the city of Philadelphia, bounded by School House Lane, Church Lane, Wister Street, Stenton Avenue, Northwestern Avenue, Ridge Avenue, Manatawanna Avenue, Hagys Mill Road, Port Royal Avenue, Cross Street, Shawmont Avenue, Umbria Street, Parker Avenue, Ridge Avenue, Walnut Lane, Wissahickon Avenue to points of beginning: and that portion of Whitemarsh Township, Montgomery County, bounded as follows: beginning on Ridge Pike; at the Springfield Township Line, northwest on Ridge Pike to Butler Pike, northeast on Butler Pike to the Whitemarsh Township Line, southeast along the Whitemarsh Township Line to Bethlehem Pike, south on Bethlehem Pike to Valley Green Road, northeast on Valley Green Road to the Whitemarsh Township Line, southwest along the Whitemarsh Township Line to Ridge Pike; and that portion of Springfield Township, Montgomery County, bounded as follows: beginning at the Springfield Township Line and Mermaid Lane, southwest on Mermaid Lane to Stenton Avenue, northwest on Stenton Avenue to the Springfield Township Line, northeast, southeast, southwest and southeast along the Springfield Township Line to Mermaid Lane; and from points in the said area to points outside the area and vice versa.
(2) Bucks County Services, Inc.: To transport, as a common carrier: South and east along Pennypack Creek in the city and county of Philadelphia, to the Delaware River, thence north along the Delaware River to the Bucks County Line in Bensalem Township, Bucks County.
(3) Concord Limousine, Inc. t/d/b/a CONCORD COACH TAXI: To transport as a common carrier by motor vehicle, persons upon call or demand: In that part of the City of Philadelphia, Philadelphia County, beginning at the intersection of City Line Avenue and 52nd Street, thence continuing south along Wynnefield Avenue to Belmont Avenue. Thence south along Belmont Avenue to its intersection with Montgomery Avenue, thence continuing in an easterly direction along Montgomery Avenue until the same intersects with the Schuylkill River, thence continuing in a northerly direction to City Line Avenue and the place of beginning; all transportation to be upon call by telephone to the carrier's office.
(4) Concord Coach USA, Inc. t/d/b/a BENNETT CAB SERVICE: To transport as a common carrier, persons, upon call or demand: In that portion of the City and County of Philadelphia bounded by City Line, 57th Street, Columbia Avenue, Lebanon Avenue, Haverford Avenue, Lansdowne Avenue, and Cobbs Creek; and that portion of the Borough of Narberth and the township of Lower Merion, Montgomery County, as bounded by Montgomery Avenue, Merion Road (Merion Avenue), City Line Avenue and Wynnewood Road (Wynnewood Avenue), and on City Line Avenue between 52nd Street and Haverford Road.
(5) Dee Dee Cab, Inc. t/d/b/a PENN-DEL: To transport, as a common carrier, persons, upon call or demand: Within that area of the City of Philadelphia bounded on the north by Lancaster Avenue, on the east by 56th Street, on the south by Grays Avenue (Grays Ferry Avenue), and on the west by the city limits.
(6) MCT Transportation, Inc. d/b/a Montco Suburban Taxi: Between points in the part of Philadelphia bounded by the Philadelphia-Montgomery County line (Northwestern Avenue), Schuylkill River, School Lane, Church Lane, Wister Street, Stenton Avenue, Vernon Road, Cheltenham Avenue, Cresheim Street and Stenton Avenue and between points in the townships of Whitemarsh and Springfield, Montgomery County, all transportation to be in answer to call s made either in person or by telephone at the certificate holder's state located at the Chestnut Hill Station of the Pennsylvania Railroad. In that portion of the counties of Philadelphia and Montgomery bounded on the west of Germantown Avenue and the Germantown and Perkiomen Turnpike; on the south by Mt. Airy Avenue and Easton Road; on the east by eastern township lines of Springfield and Whitemarsh Townships, Montgomery County; and on the north by Whitemarsh Township line; provided that all calls for said service must be received at a stand located at the Gulf Station situated at the northeast corner of Germantown Avenue and the Bethlehem Pike in the city of Philadelphia.
(c) Each taxicab owned by a partial-rights certificate holder must be associated with the same dispatcher.
§ 1015.5. Partial-rights taxicab numbers.
Each partial rights company shall submit a Form PR-1 ''Partial-rights Taxicabs in Operation'' to the Authority on the first business day of each month. A Form PR-1 may be obtained at www.philapark.org/tld. The Form PR-1 must include the information required by the Authority, including the following:
(1) The taxicab number assigned to each taxicab under § 1017.14 (relating to taxicab numbering).
(2) The Vehicle Identification Number assigned to the vehicle at the time it was manufactured.
(3) A list of the taxicab drivers then permitted to operate the certificate holder's partial-rights taxicabs.
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