THE COURTS
Title 210—APPELLATE PROCEDURE
PART I. RULES OF APPELLATE PROCEDURE
[210 PA. CODE CH. 37]
Amendments to Chapter 37 of the Pennsylvania Rules of Appellate Procedure, Business of the Commonwealth Court; No. 126 Misc. Doc. No. 3
[50 Pa.B. 651]
[Saturday, February 1, 2020]
Order Per Curiam
And Now, this 17th day of January, 2020, it is Ordered pursuant to Pa.R.A.P. 104(a) that Chapter 37 of the Rules of Appellate Procedure, Business of the Commonwealth Court, is amended in the following form. These amendments shall be effective immediately upon publication in the Pennsylvania Bulletin.
Annex A
TITLE 210. APPELLATE PROCEDURE
PART I. RULES OF APPELLATE PROCEDURE
ARTICLE III. MISCELLANEOUS PROVISIONS
CHAPTER 37. BUSINESS OF THE COMMONWEALTH COURT
IN GENERAL Rule 3701. Amendments to Chapter.
This chapter may be added to or otherwise amended by order of the Supreme Court, or by order of the Commonwealth Court pursuant to [Rule 104 (rules of court)] Pa.R.A.P. 104 (Rules of Court).
THE COMMONWEALTH COURT Rule 3702. Office of the Prothonotary.
All business of the Commonwealth Court, except as otherwise provided by law, by these rules or by order of [court] Court, shall be administered through the Office of the [Chief Clerk] Prothonotary maintained by the [court] Court at the seat of government in the City of Harrisburg. All matters within the jurisdiction of the [court] Court may be filed in the Office of the [Chief Clerk] Prothonotary. Writs or other process issuing out of the [court] Court shall exit from the Office of the [Chief Clerk] Prothonotary and shall be returnable there.
Official Note: Based on former Commonwealth Court Rule 2 and makes no change in substance.
(Editor's Note: The following text is added and printed in regular type to enhance readability.)
Rule 3702.1. Office of Chief Legal Counsel.
The Office of Chief Legal Counsel shall provide legal support and counsel to the Judges, the Prothonotary, and the Executive Administrator; assist the Court in reviewing and processing filings; prepare memos for the Court as directed; screen cases; certify cases to advise the Court of apparent conflicts; prepare memos to inform the Court of recent Supreme Court decisions; and accept such other responsibilities as may be assigned by the Court or President Judge.
Rule 3703. Regular Sessions.
Regular sessions of the [court] Court, including regular sessions to hear cases listed for argument, shall be held at the seat of government in the City of Harrisburg and in the cities of Philadelphia and Pittsburgh as fixed by court calendars adopted from time to time.
Official Note: Former Commonwealth Court Rule 10 renumbered.
Rule 3704. Special Sessions.
(a) General rule.—A special session of the [court] Court may [also] be held in any judicial district of the Commonwealth whenever the [court] Court deems such a session to be in the interests of justice because of the convenience of parties or witnesses or both or for any other reason.
(b) Application.—An application for such a special session shall state in detail the reasons therefor and shall contain a certification pursuant to 42 Pa.C.S. § 563(b) (other sessions) of the availability, without cost to the Commonwealth, of suitable courtroom and related facilities, a court reporter and necessary personnel.
Official Note: Based on former Commonwealth Court Rule 11 and makes no change in substance.
(Editor's Note: The following text is added and printed in regular type to enhance readability.)
Rule 3706. Docketing Statement.
(a) The Prothonotary shall develop such Docketing Statement forms as may be necessary for the purposes of reviewing new matters filed in the Court's appellate and original jurisdiction and screening matters for the Court's Mediation Program.
(b) In counseled matters, the Prothonotary shall send, along with the notice of docketing as required by Pa.R.A.P. 907(a) or 1514(a)(3), the relevant Docketing Statement form to counsel for the appellant, petitioner or plaintiff.
(1) Counsel for the appellant, petitioner or plaintiff shall file an original and one copy of the Docketing Statement and all required attachments within ten days of receipt of the notice of docketing.
(2) An unrepresented party shall not be required to file a Docketing Statement.
(c) The party filing the Docketing Statement shall include as attachments:
(1) A statement of issues that shall be no more than two pages in length, and shall set forth a brief summary of the issues and the case sufficient for an understanding of the nature of the appeal, petition for review or complaint. Information in the statement of issues shall be used to screen cases for the Mediation Program, shall not bind any party, and any issue omitted shall not constitute a waiver of the issue before the Court. The statement of issues shall follow the format required by Pa.R.A.P. 124(a).
(2) In matters addressed to the Court's appellate jurisdiction, a copy of the judgment or order on appeal and any opinion or adjudication issued by the common pleas court or agency.
(3) Proof of Service of the Docketing Statement and all attachments indicating service on all parties in accordance with Pa.R.A.P. 121.
(d) Failure to file a Docketing Statement and all attachments as required may result in the dismissal of the matter.
Official Note: The Commonwealth Court Mediation Program is governed by Section 501 of the Internal Operating Procedures of the Commonwealth Court, 210 Pa. Code § 69.501 (Mediation). Counsel must draft the statement of issues so as to provide all the information required by paragraph (c)(1) and allow for adequate screening for mediation. Counsel should not simply attach a copy of the Pa.R.A.P. 1925(b) statement of issues complained of on appeal filed in the trial court, because that statement would not provide an adequate ''summary of the issues and the case sufficient for an understanding of the nature'' of the matter. The attachments required by paragraph (c)(2) may include, for example, the trial court order and opinion, the order and adjudication of a zoning hearing board, the decision of a Workers' Compensation Judge, and similar orders.
Rule 3707. Preargument Matters; Applications and Motions.
Prior to filing an application or a motion with the Court, a party shall confer with all counsel of record and any unrepresented parties to determine their position. Applications and motions shall include a paragraph indicating whether the other parties concur with the relief sought. If the other party does not respond to an inquiry regarding concurrence within a reasonable time, the party filing the application or motion shall set forth in detail the efforts made to obtain a response and that no response was received. This requirement shall not apply to preliminary objections, motions for judgments on the pleadings, motions for summary judgment or summary relief, petitions to open or strike judgments, applications for supersedeas, petitions to proceed in forma pauperis, and motions for post-trial relief. This requirement also shall not apply to actions involving incarcerated individuals.
BRIEFING AND LISTING OF
CASES FOR ARGUMENTRule 3711. All Cases to be Heard on Fixed Date.
Cases shall be listed for argument on a fixed date during the regular sessions of the [court] Court.
Official Note: Former Commonwealth Court Rule 30 renumbered.
Rule 3712. [Method] Manner of Listing of Cases.
Subject to the time limitations and conditions of Pa.R.A.P. 3713 (argument en banc or before a panel) where applicable:
(1) Each appeal from a court of common pleas, each other matter which under the applicable law is required to be determined by the [court] Court upon the record before the government unit below, and each matter subject to Pa.R.A.P. 1542 [(oral argument and evidentiary hearing)] (Evidentiary Hearing) in which no order for an evidentiary hearing has been entered, shall be listed for argument by the [Chief Clerk] Prothonotary on a specified date, of which notice shall be given by the [Chief Clerk] Prothonotary to the parties.
(2) An election [case] matter shall be argued before the [judges] Judge or Judges to whom it is assigned immediately after the record is closed and briefs shall be submitted to the [court] Court at or before argument as directed.
(3) An appeal or petition for review (except a matter subject to Paragraphs (1) or (2) of this rule) which under the applicable law may be determined in whole or in part upon the record made before the [court] Court, shall be listed for argument by the [Chief Clerk] Prothonotary on a specified date upon order of the [judge] Judge to whom [the case was] it is assigned or upon praecipe of either party certifying that it is at issue for argument, and notice shall be given by the [Chief Clerk] Prothonotary to the parties of the date fixed.
(4) A matter, except a matter subject to Pa.R.A.P. 1542, commenced in the [court] Court within its original jurisdiction when at issue for argument on preliminary matters or after the record has been made shall be listed by the [Chief Clerk] Prothonotary for argument upon the order of the President Judge or the [judge] Judge before whom the record has been made.
Official Note: Based upon former Commonwealth Court Rule 31A to D.
Rule 3713. Argument En Banc or Before a Panel.
On the initiative of the [court] Court, or at the request of either party and approved by the [assigned judge] Judge to whom the matter is assigned, argument after the record has been made may be heard by the [court] Court en banc or by a panel of at least three [judges] Judges.
Official Note: Based on former Commonwealth Court Rule 31E and makes no change in substance.
Rule 3714. Listing of Cases and Briefing Schedules.
(a) Matters heard solely on certified record. An appeal from a court of common pleas and each other matter which under the applicable law is required to be determined by the [court] Court upon the record before the government unit below shall be eligible for listing for argument after the record has been filed. When all briefs and reproduced records have been filed, the [Chief Clerk] Prothonotary shall list the [case] matter for oral argument on a specified date and shall give at least ten days written notice by first class mail to all parties of the date scheduled for the argument. The [court] Court may direct any matter to be submitted on briefs without oral argument.
(b) Original jurisdiction matters. A matter commenced in whole or in part within the original jurisdiction of the [court] Court including matters under Pa.R.A.P. 1571 (determinations of the Board of Finance and Revenue) when at issue for argument on preliminary matters or after the record has been made [shall] may be listed for oral argument after the [court] Court establishes a briefing schedule.
(c) Extensions of [Time to File Briefs or Reproduced Record] time to file briefs or reproduced record. A party may submit a written request for an extension of time to file briefs or the reproduced record, which the [chief clerk] Prothonotary may grant, if the requested extension is: (1) for thirty days or less; (2) the first one sought; and (3) unopposed by all other parties. If any of the three enumerated criteria do not exist, the party must submit its extension request by formal application. The [prothonotary, chief clerk or deputy prothonotary] Prothonotary or Chief Legal Counsel may act on the formal application.
Official Note: Under Rule 105 the court may reduce or enlarge any of the time periods specified in the rule. Preliminary matters referred to in Subdivision (b) include preliminary objections, motions for judgment on the pleadings, motions for summary judgment and motions to quash.
See Pa.R.A.P. 123 regarding the form of an application for relief, which is necessary if the three requirements in Pa.R.A.P. 3714(c) cannot be met.
Rule 3715. Distribution of Briefs.
The [Chief Clerk] Prothonotary shall distribute to each [judge] Judge who is to hear an argument, whether en banc or before a panel, at least five days before the argument date, copies of all briefs and reproduced records that have been filed by the parties.
Official Note: Based on former Commonwealth Court Rule 33 and makes no change in substance.
Rule 3716. Citing Judicial Opinions in Filings.
(a) A reported opinion of the Commonwealth Court en banc or [three-judge] three-Judge panel may be cited as binding precedent.
(b) An unreported panel decision of this Court issued after January 15, 2008, may be cited for its persuasive value, but not as binding precedent.
(c) Any unreported opinion of this Court may be cited and relied upon when it is relevant under the doctrine of law of the case, res judicata or collateral estoppel.
(d) A reported single [judge] Judge opinion in an election law matter filed after October 1, 2013, may be cited as binding precedent only in an election law matter.
(e) All other single [judge] Judge opinions of this Court, even if reported, shall be cited only for persuasive value and not as binding precedent.
Official Note: A special election panel is one designated by the president judge to hear election law matters on an expedited basis. Decisions by such panels are made by only the members of the panel without the participation of judges who are not part of the panel. See Internal Operating Procedure § 112(b) (Courts En Banc and Panels; Composition), § 258 (Decision; Election Law Appeals), § 416 (Reporting of Unreported Opinions).
ARGUMENT BEFORE COURT
EN BANC OR A PANELRule 3721. Composition of Court.
Argument of cases shall be heard by the [court] Court en banc or by a panel as determined by the [court] Court in its discretion. The President Judge shall, insofar as practicable, assign the members of the [court] Court to panels in such fashion that each member sits substantially the same number of times with each other member.
Official Note: The first sentence of the rule is based on former Commonwealth Court Rule 41.
Rule 3722. Presiding Judge of [Panels] Panel.
The President Judge or [his] the President Judge's designee shall preside over any panel.
Rule 3723. Application for Reargument [en] En Banc.
In [cases] matters argued before a single [judge] Judge, as in petitions for review of determinations of government units which are determined in whole or in part upon the record made before the [court] Court, or in [cases] matters argued before a panel of [judges] Judges, the [court] Court, at any time on its own initiative before its order becomes final, or upon application for reargument pursuant to these rules, may allow reargument before the [court] Court en banc. Such action will be taken only for compelling and persuasive reasons.
Official Note: Based on former Commonwealth Court Rule 43. The time for applying for reargument is increased from ten to 14 days. See Rule 2542(a)(1) (time for application for reargument).
EVIDENTIARY HEARINGS Rule 3731. Assignment of Judge.
Each matter which under the applicable law may be determined in whole or in part upon the record made before the [court] Court, and each election case shall be assigned by the President Judge to a [judge] Judge, who shall be responsible for all [matters in the case] aspects of the matter until such time as it is concluded by [him] the Judge or is at issue for argument.
Official Note: Based on former Commonwealth Court Rule 50 and makes no change in substance. See also 42 Pa.C.S. § 564 (evidentiary hearings) which provides that in any matter which requires the taking of testimony, the President Judge of the Commonwealth Court may assign a judge of the court, or another judge temporarily assigned to the court pursuant to 42 Pa.C.S. § 4121 (assignment of judges), to sit and receive evidence, and to perform such other duties as may be prescribed by rule or order of court.
Rule 3732. Setting of Hearing.
[Unless an evidentiary hearing is set by the President Judge or by the assigned judge, such a hearing shall be held only] An evidentiary hearing shall be held when set by the President Judge or by the Judge to whom the matter is assigned or after a praecipe therefor has been filed by any party. If the President Judge has not set the time and place for an evidentiary hearing, the [assigned judge] Judge to whom the matter is assigned shall fix the time and place for hearing of each [case assigned to him] matter, subject to the approval of the President Judge as to space and staff limitations.
Official Note: Former Commonwealth Court Rule 51 renumbered.
Rule 3733. Rotation of Assignments.
Insofar as is practicable in view of the pending case loads of individual [judges] Judges, and the duties and responsibilities of the President Judge, assignments shall be made on a rotating basis to and among the [judges of the court] Judges.
Official Note: Former Commonwealth Court Rule 52 renumbered.
Rule 3734. Record in Evidentiary Hearing Cases.
In matters which under the applicable law may be determined in whole or in part upon the record made before the [court] Court, the record made before the [court] Court as transcribed and filed, together with the pleadings and other documents filed incident to the matter (including any record certified pursuant to Chapter 19 (preparation and transmission of the record and related matters)), shall comprise the record in the [court] Court and need not be reproduced for purposes of argument, except as prescribed in [Rule] Pa.R.A.P. 2111(c) (pleadings).
Official Note: Based on former Commonwealth Court Rule 81 and makes no change in substance.
Rule 3735. Jury Trials.
Upon notice from the Commonwealth Court that a matter in that [court] Court is to be tried by jury, the court of common pleas of a county in which the matter is to be tried shall provide courtroom facilities and a jury. The matter shall be tried as a Commonwealth Court case at such time as the president judge of the designated court of common pleas and the President Judge of the Commonwealth Court shall agree.
Official Note: The judge who presides over the trial of such a Commonwealth Court case will be a judge assigned under Rule 3731 (assignment of judge), who may be either a judge of the Commonwealth Court or another judge (whether or not of the judicial district which provides the jury) temporarily assigned to the Commonwealth Court pursuant to Rule 701 of the Pennsylvania Rules of Judicial Administration (assignment of judges to courts). See also note to Rule 3731 (assignment of judge).
POST DECISION Rule 3740. Request to Report Unreported Opinion.
Within 30 days after an opinion has been filed as unreported, any person may file an application to report the opinion. Except as noted in the next sentence, grant of the application requires an affirmative majority vote of the [commissioned judges] Commissioned Judges. Grant of an application to report an opinion of a single [judge] Judge or an opinion of a special election panel requires an affirmative two-thirds vote of the [commissioned judges] Commissioned Judges.
* * * * * Rule 3751. Taxation of Costs.
A party who desires costs to be taxed under Pa.R.A.P. 2762(b) (procedure for collection of costs on appeal) shall state them in an itemized and verified bill of costs which such party shall file with the [Chief Clerk] Prothonotary within 14 days after entry of the judgment or other final order.
Official Note: As to taxation of costs generally see Chapter 27 (fees and costs in appellate courts and on appeal).
ENFORCEMENT OF AGENCY ORDER Rule 3761. Enforcement Proceedings.
* * * * * (c) Hearing and Notice. Upon the filing of a petition to enforce, the [court] Court will issue an order setting a date for a hearing and a date by which the respondent must answer the petition. The petitioner shall serve the [court's] Court's order upon the respondent in the manner prescribed by Pa.R.A.P. 121 and 122.
(d) Relief. Following the hearing, the [court] Court will enter such orders as may be appropriate.
(e) Discovery. Discovery shall be allowed only upon leave of court.
* * * * *
SUMMARY AND FORMAL PROCEEDINGS AGAINST INSURERS Rule 3771. Scope of Rules.
[Rules] Pa.R.A.P. 3771—3784 apply to all actions in the Commonwealth Court arising under Article V of The Insurance Department Act of 1921, Act of May 17, 1921, P.L. 789, added by the Act of December 14, 1977, P.L. 280, as amended, 40 P.S. §§ 221.1—221.63 (concerning summary and formal proceedings against insurers) (Article V). The rules are intended to govern practice and procedures in Article V proceedings. In the event of any inconsistency, the provisions of Article V control.
Rule 3772. Definitions.
* * * * * (c) Adversarial proceeding—Any action (1) initiated by the rehabilitator or liquidator against persons other than the insurer, (2) asserting a right or interest afforded by Article V and for which neither Article V nor prior orders of the Court provide an avenue for redress, and (3) that the Court determines shall be governed by [Rule] Pa.R.A.P. 3783 (adversarial proceedings) as an adversarial proceeding.
(d) Ancillary case docket—A docket created when an adversarial proceeding is initiated or when a creditor files an objection to the liquidator's claim determination under [Rule] Pa.R.A.P. 3781(c) (claim procedure).
(e) Court—The Commonwealth Court of Pennsylvania.
(f) Formal proceeding—An action to rehabilitate or liquidate an insurer pursuant to Sections 515 or 520 of Article V, 40 P.S. §§ 221.15, 221.20.
(g) Master service list—The list maintained by the Commissioner or receiver, as the case may be, as directed in [Rule] Pa.R.A.P. 3778 (master service list).
* * * * * Rule 3773. Filings; Number of Copies.
(a) General rule. Each paper filing shall consist of the original document, two (2) copies, and a labeled CD-ROM or USB flash drive containing a copy of the filing in portable document format (PDF).
(b) Exception. A copy on a labeled CD-ROM or USB flash drive is not required for a proof of service or report of the performance of a ministerial task.
(c) No courtesy copies. Courtesy copies of filings shall not be provided to the [judge's] Judge's chambers.
Official Note: Electronic Filing—The Court adopted these Rules before electronic filing became available. When electronic filing becomes available this Rule will be reviewed.
Rule 3775. Intervention in Formal Proceedings.
(a) Intervention. A person not named as a respondent in a formal proceeding who has a direct and substantial interest in the administration of the insurer's business or estate may request leave of court to intervene.
(b) Application to intervene. A request for leave to intervene, generally or for a limited purpose, shall be by application and answer, if any, in accordance with [Rule] Pa.R.A.P. 123 (application for relief). The application shall contain a concise statement of the interest of the applicant and the purposes for which the applicant seeks to intervene. A copy of the document to be filed if the Court allows intervention shall be attached to the application.
(c) Action on application. Intervention in a formal proceeding shall be allowed if the proven or admitted allegations of the application establish a sufficient interest in the proceedings, unless the interest of the applicant is already adequately represented or intervention will unduly delay or prejudice the adjudication of the rights of the parties.
* * * * * (d) Upon grant of an application to intervene, the document attached to the application to intervene, that is, the application for relief under [Rule] Pa.R.A.P. 3776 or complaint under [Rule] Pa.R.A.P. 3783, shall be deemed filed, and the Court shall direct the time for filing a response.
Official Note: General or limited intervention—Intervention, whether general or limited in scope, may be granted for purposes such as, but not limited to:
* * * * * (6) Compel the liquidator to issue a notice of determination if the liquidator has failed to do so in conformity with [Rule] Pa.R.A.P. 3781 (claim procedure).
Relief from stay—Intervention is a prerequisite to filing an application for relief from the stay of actions against the insurer that is imposed under Section 526, 40 P.S. § 221.26.
Rule 3776. Applications for Relief or Court Approval.
Relief or approval from the Court shall be requested by application. An application for relief or an application by the receiver for the Court's approval shall comply with [Rule] Pa.R.A.P. 123 (application for relief), except that a response, if any, shall be filed within thirty (30) days of service of an application for relief or an application for Court approval. Upon application, the Court may alter the time for response. The application and any response may be supported by a memorandum of law.
Official Note: Alteration of the time for response—Requests based on an agreement of the parties are more likely to receive favorable consideration.
Court approval—From time to time, the receiver must obtain the Court's approval of an action proposed to be taken in the course of administering the estate, such as, but not limited to, making an interim distribution of assets.
Rule 3777. Docketing.
(a) Administrative case docket. Upon the filing of a petition to rehabilitate or liquidate an insurance company under Article V, the [chief clerk] Prothonotary shall create an administrative case docket and assign the petition a number thereon. All filings directly related to the Court's consideration of the petition for rehabilitation or liquidation shall be filed at that number, and this docket will contain all filings concerning the administration of the insurer's business or estate should the petition be granted.
* * * * * (c) Ancillary case docket. When a complaint is filed by or against the receiver to commence an adversarial proceeding under [Rule] Pa.R.A.P. 3783 (adversarial proceeding), when the Court sua sponte directs that a dispute initiated by an application for relief under [Rule] Pa.R.A.P. 3776 (applications) be treated as an adversarial proceeding under [Rule] Pa.R.A.P. 3783 or when an objection is filed to a notice of determination under [Rule] Pa.R.A.P. 3781 (claim procedure), the [chief clerk] Prothonotary will note such filing on the administrative case docket, establish an ancillary case docket and assign a number for each such matter. The party initiating an ancillary case shall file a completed cover sheet that may be obtained from the [chief clerk] Prothonotary or at www.pacourts.us/T/Commonwealth/.
(d) Case caption—ancillary dockets. Matters that receive ancillary case docket numbers shall be captioned substantially in accordance with the following examples:
(1) An adversarial proceeding under [Rule] Pa.R.A.P. 3783 (adversarial proceedings) shall be captioned:
* * * * * (2) An objection to the liquidator's determination on a proof of claim under [Rule] Pa.R.A.P. 3781 (claim procedure) shall be captioned:
* * * * * Rule 3778. Master Service List.
(a) General rule. As soon as practicable after filing a petition to rehabilitate or liquidate an insurer, the Commissioner shall create and maintain a master service list. If the Court grants the petition to liquidate or rehabilitate, the receiver will assume the duty to maintain the master service list. The master service list shall include the name, address, telephone number, facsimile (fax) number and electronic mail (e-mail) address of counsel for each party and for each pro se party in the proceeding at the administrative case docket number.
The receiver is not required to include on the master service list any limited intervenor or [his/her] the limited intervenor's counsel.
Changes in contact information, including transfer of responsibilities to another attorney in the firm and requests to be removed from the master service list may be accomplished by notifying the Commissioner or receiver, as the case may be, by e-mail, fax or mail in accordance with the Commissioner's or receiver's instructions.
(b) Request of non-party for inclusion on master service list. Any interested person may be added to the master service list by sending a written request to the Commissioner or receiver, as the case may be, including name, address, telephone number, facsimile number and electronic mail address. A person included on the master service list pursuant to this subsection shall be designated thereon as a non-party.
(c) Availability of master service list. The Commissioner or receiver, as the case may be, shall post and maintain the master service list on any website established under [Rule] Pa.R.A.P. 3779 (website). If no website has been established, the master service list shall be available by e-mail upon request. A paper copy of the master service list shall be available for a standard fee.
Official Note: Court Maintains Its Own Service List—The master service list maintained by the Commissioner or receiver is not the Court's service list. The two lists are separately managed. Amendment or deletion of information on one list does not affect the other list. Notice of any change must be given to both the Commissioner or receiver and the Court.
Rule 3779. Website.
Unless otherwise ordered by the Court, when the Commissioner files a petition to rehabilitate or liquidate an insurer, the Commissioner shall establish and maintain a website for the purpose of listing filings with and orders of the Court in accordance with these rules, and when required, posting access to the listed documents. If the Court grants the petition to liquidate or rehabilitate, the receiver will maintain the website.
On the website, the receiver shall post: all documents filed at the administrative case docket number; a proof of claim form; a statement describing the procedure for filing claims pursuant to [Rule] Pa.R.A.P. 3781 (claim procedure); and a statement regarding the requirements in [Rule] Pa.R.A.P. 3781(c)(4) (corporate representation) and (5) (pro hac vice), for corporate representation and admission pro hac vice for attorneys.
The receiver shall note any ancillary docket number on the website and state the nature of the dispute. The receiver may but is not required to post filings at an ancillary case docket number.
Rule 3780. Service and Notice.
(a) Service of parties. All documents filed by any party shall be served on all other parties at the appropriate docket number assigned to the matter in accordance with [Rule] Pa.R.A.P. 121 (filing and service). Proof of service shall comply with [Rule] Pa.R.A.P. 122 (proof of service).
* * * * * Rule 3781. Claim Procedure in Liquidation Proceedings.
* * * * * (b) Notice of determination.
* * * * * (2) The notice of determination shall include:
(i) the allowed amount of the claim;
(ii) the priority class assigned to the claim;
(iii) if the claim is disallowed in whole or in part, a brief statement of the reason(s) for the liquidator's determination;
(iv) a statement advising the claimant of the requirements set forth in [Rule] Pa.R.A.P. 3781(c)(1) (time for filing); and
(v) notice that if a claimant fails to file an objection with the Court within sixty (60) days from the mailing date on the notice of determination, the claimant cannot later object to the liquidator's determination.
(3) If the liquidator determines that the claim has been submitted to a state guaranty association, the liquidator may defer further review of the proof of claim until the guaranty association has made its final determination and has returned the closed claim file to the liquidator. In such a case, the liquidator shall notify the claimant of the decision to defer review.
(c) Objections.
* * * * * (2) Service. The claimant shall serve a copy of the objection on the liquidator in accordance with [Rule] Pa.R.A.P. 121 (service).
* * * * * (d) Resolution of objections.
(1) Scheduling hearing. Upon receipt of the liquidator's response to the objection, the Court shall establish a time for a hearing.
(2) Assignment of [judge] Judge. Objections may be assigned to a single [judge] Judge for disposition.
(3) Assignment of referee. Upon the parties' request or on its own initiative, the Court may appoint a referee to hear the objection and submit to the Court a recommended decision, which shall include findings of fact, conclusions of law, and a proposed order.
(e) Referees.
(1) Compensation. Referees serve at the pleasure of the Court and shall be compensated from the insurer's estate at an hourly rate to be set by the Court at the beginning of each calendar year and posted on the website created under [Rule] Pa.R.A.P. 3779 and on the Court's website. The hourly rate shall be clearly set forth in the appointment order, subject to any annual adjustment.
(2) Litigation costs. Each party shall bear its own costs associated with the hearing before the referee. Unless the Court orders otherwise, the parties shall share equally the costs for transcribing a hearing and any costs that may be incurred by a referee in complying with [Rule] Pa.R.A.P. 3781(e)(7) (maintaining a record) and (f)(4) (filing recommended decision).
* * * * * (8) Filing recommended decision. The referee shall file and serve a recommended decision, a proposed order, and a list of all documents submitted by the parties and compiled in accordance with [Rule] Pa.R.A.P. 3781(e)(7) (maintaining a record).
* * * * * (f) Exceptions to the referee's recommended decision.
* * * * * (6) Final order. Upon completion of its review of exceptions, the Court will enter a final order sustaining or overruling exceptions in whole or in part. An order of Court sustaining or dismissing an objection as a sanction pursuant to [Rule] Pa.R.A.P. 3781(e)(9) is the final disposition of a claim.
* * * * * Rule 3782. Claim Procedure in Rehabilitation Proceedings.
When an approved plan of rehabilitation includes the filing of claims by creditors, the rehabilitation plan shall follow the claim procedures set forth in [Rule] Pa.R.A.P. 3781, unless modified by the Court.
Rule 3784. Reporting.
(a) Claims report. At least annually, the liquidator shall file a report of the claims against the insurer's estate that have been resolved, with [his] the liquidator's recommendations (''Claims Report''). The Claims Report shall include the following: each claimant's name, address, priority class, allowed amount, and whether the claim determination was finalized because no objection was filed, no exceptions were taken to a referee's recommended decision, a recommended decision was sustained by the [court] Court or the parties agreed to a settlement. The liquidator shall serve a copy of the Claims Report on those listed on the master service list in accordance with these rules. No claim shall be paid, in part or in whole, until the report is approved by the Court.
(b) Status report. The receiver shall file a comprehensive report on the status of the insurer's business or the administration of the insurer's estate as frequently as ordered by the Court. The liquidator shall serve a copy of the Status Report on those listed on the master service list in accordance with these rules.
[Pa.B. Doc. No. 20-146. Filed for public inspection January 31, 2020, 9:00 a.m.]
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