Subchapter A. GENERAL PROVISIONS
Sec.
31.1. Scope of part.
31.2. Liberal construction.
31.3. Definitions.
31.4. Information and special instructions.
31.5. Communications and filings generally.
31.6. Amendments to rules.§ 31.1. Scope of part.
(a) This part governs the practice and procedure before agencies of the Commonwealth except as otherwise provided in this section.
(b) This part is not applicable to a proceeding before an agency to the extent that the applicable statute governing or authorizing the proceeding sets forth inconsistent rules on the same subject.
(c) This part is not applicable to a proceeding before an agency to the extent that the agency has promulgated inconsistent regulations on the same subject.
Source The provisions of this § 31.1 amended April 9, 1982, effective April 10, 1982, 12 Pa.B. 1173. Immediately preceding text appears at serial page (66685).
Notes of Decisions Applicability
The Board’s regulation at 37 Pa. Code § 73.1(a)(4) concerns second or subsequent appeals, and, therefore, is not inconsistent with the General Rules of Administrative Practice and Procedure at 1 Pa. Code § 35.241, which governs requests for reconsideration. Petitioner’s request for reconsideration was under § 35.241 and was not barred. Shaw v. Board of Probation and Parole, 812 A.2d 769 (Pa. Cmwlth. 2002).
Prosecution
Since the State Board of Nursing initiated prosecution against the licensed practical nurse by having authorized its prosecutors to take formal action against the nurse, the Board appropriately delegated the hearing of the matter to a hearing examiner. Stephens v. State Board of Nursing, 657 A.2d 71 (Pa. Cmwlth. 1995), appeal denied, 664 A.2d 978 (Pa. 1995).
Cross References This section cited in 4 Pa. Code § 153.1 (relating to applicability of general rules); 4 Pa. Code § 163.1 (relating to applicability of general rules); 4 Pa. Code § 175.1 (relating to applicability of general rules); 4 Pa. Code § 250.1 (relating to applicability of general rules); 12 Pa. Code § 1.2 (relating to applicability of general rules); 16 Pa. Code § 42.1 (relating to applicability of general rules); 16 Pa. Code § 91.1 (relating to applicability of general rules); 16 Pa. Code § 209.1 (relating to procedures on petition for appeal); 19 Pa. Code § 13.1 (relating to applicability of general rules); 22 Pa. Code § 1.5 (relating to applicability of general rules before the Board); 22 Pa. Code § 1.6 (relating to applicability of general rules before the Department); 22 Pa. Code § 201.1 (relating to applicability of general rules); 25 Pa. Code § 1021.1 (relating to scope of chapter); 28 Pa. Code § 8.1 (relating to applicability of general rules); 28 Pa. Code § 903.13 (relating to formal appeal); 28 Pa. Code § 1230a.21 (relating to scope); 31 Pa. Code § 56.1 (relating to applicability of general rules); 31 Pa. Code § 242.20 (relating to formal and informal complaints; procedure); 34 Pa. Code § 1.11 (relating to applicability of general rules); 34 Pa. Code § 49.10 (relating to applicability of general rules); 34 Pa. Code § 60.9 (relating to applicability of general rules); 34 Pa. Code § 111.1 (relating to scope); 34 Pa. Code § 131.2 (relating to scope); 34 Pa. Code § 201.1 (relating to applicability of general rules); 34 Pa. Code § 211.1 (relating to applicability of general rules); 34 Pa. Code § 213.1 (relating to applicability of general rules); 34 Pa. Code § 221.1 (relating to applicability of general rules); 37 Pa. Code § 171.11 (relating to applicability of laws and rules); 37 Pa. Code § 197.2 (relating to applicability of general rules of practice and procedure); 37 Pa. Code § 203.101 (relating to scope); 49 Pa. Code § 1.1 (relating to applicability of general rules); 49 Pa. Code § 3.4 (relating to applicability of general rules); 49 Pa. Code § 5.2 (relating to applicability of general rules); 49 Pa. Code § 6.3 (relating to applicability of general rules); 49 Pa. Code § 11.3 (relating to applicability of general rules); 49 Pa. Code § 15.2 (relating to Board proceedings and meetings); 49 Pa. Code § 16.2 (relating to rules governing Board activities and proceedings); 49 Pa. Code § 19.3 (relating to applicability of general rules); 49 Pa. Code § 20.2 (relating to applicability of general rules); 49 Pa. Code § 21.4 (relating to applicability of general rules); 49 Pa. Code § 21.146 (relating to applicability of general rules); 49 Pa. Code § 23.2 (relating to applicability of general rules); 49 Pa. Code § 25.3 (relating to applicability of general rules); 49 Pa. Code § 27.81 (relating to applicability of general rules); 49 Pa. Code § 29.3 (relating to applicability of general rules); 49 Pa. Code § 31.2 (relating to applicability of general rules); 49 Pa. Code § 31.103 (relating to applicability of other laws and rules); 49 Pa. Code § 31.115 (relating to disciplinary sanctions); 49 Pa. Code § 33.2 (relating to applicability of general rules); 49 Pa. Code § 36.402 (relating to applicability of general rules); 49 Pa. Code § 37.2 (relating to rules governing Board activities and proceedings); 49 Pa. Code § 39.21 (relating to applicability of general rules); 49 Pa. Code § 40.41 (relating to hearings relating to revocation or suspension of license); 49 Pa. Code § 41.2 (relating to applicability of general rules); 49 Pa. Code § 42.2 (relating to applicability of general rules); 49 Pa. Code § 43b.301 (relating to applicability of general rules of practice and procedure); 49 Pa. Code § 47.2 (relating to applicability of general rules); 52 Pa. Code § 1001.2 (relating to scope of subpart and severability); 58 Pa. Code § 1.3 (relating to applicability of general rules); 58 Pa. Code § 15.8 (relating to procedural rules; Commission review); 58 Pa. Code § 51.21 (relating to scope); 61 Pa. Code § 601.3 (relating to applicability of general provisions); and 61 Pa. Code § 702.1 (relating to scope).
§ 31.2. Liberal construction.
This part shall be liberally construed to secure just, speedy and inexpensive determination of the issues presented.
Notes of Decisions Regardless of the provision for liberality of construction of the rules of practice and procedure and provisions regarding inconsistency, the provisions of 1 Pa. Code § 31.11 explicitly provide that the date of filing is the date of receipt of the documents and not the mailing date. Skyvue Terrace, Inc. v. Department of Public Welfare, 482 A.2d 58 (Pa. Cmwlth. 1984).
Cross References This section cited in 7 Pa. Code § 171.2 (relating to construction of the regulations); 7 Pa. Code § 179.21 (relating to scope); 16 Pa. Code § 42.2 (relating to construction); 40 Pa. Code § 15.2 (relating to liberal construction); 34 Pa. Code § 131.1 (relating to purpose); 40 Pa. Code § 17.2 (relating to liberal construction); 49 Pa. Code § 31.103 (relating to applicability of other laws and rules); 49 Pa. Code § 31.115 (relating to disciplinary sanctions); 52 Pa. Code § 1.2 (relating to liberal construction); 52 Pa. Code § 1001.3 (relating to liberal construction); 58 Pa. Code § 401a.2 (relating to construction); and 61 Pa. Code § 702.2 (relating to liberal construction).
§ 31.3. Definitions.
The following words and terms, when used in this part, have the following meanings, unless the context clearly indicates otherwise:
Adjudication—An order, decree, decision, determination or ruling by an agency affecting personal or property rights, privileges, immunities, duties, liabilities or obligations of the parties to the proceeding in which the adjudication is made.
Agency—A department, departmental administration board or commission, officer, independent board or commission, authority or other agency of the Commonwealth now in existence or hereafter created, including—to the extent that it is an administrative agency within the meaning of PA. CONT. art. V,§ 9—the Governor’s Office, but not including the Senate or House of Representatives of this Commonwealth or a court, political subdivision, municipal or other local authority, or an officer or agency of a court, political subdivision or local authority.
Agency head—The secretary of a department, a quorum of an authority or departmental administrative board or commission or independent board or commission, or another officer or group of officers whose action with respect to a matter pending before the agency exhausts opportunity for administrative review within the agency and constitutes the action of the administrative agency for the purposes of PA. CONT. art. V, § 9.
Applicants—In proceedings involving applications for permission or authorization which the agency may give under statutory or other authority delegated to it, the parties on whose behalf the applications are made.
Complainants—Persons who complain to the agency of an agency regulation or general order or anything done or omitted to be done in violation of the provisions of a statute or other delegated authority administered by the agency, orany orders, rules or regulations issued thereunder, or another alleged wrong over which the agency may have jurisdiction.
Formal record—The filings and submittals in a matter or proceeding, a notice or agency order initiating the matter or proceeding, and if a hearing is held, the following: the designation of the presiding officer, transcript of hearing, exhibits received in evidence, exhibits offered but not received in evi-dence, offers of proof, motions, stipulations, subpoenas, proofs of service, references to the agency head and determinations made by the agency head thereon, certifications to the agency head and anything else upon which action of the presiding officer or the agency head may be based; but not including a proposed testimony or exhibits not offered or received in evidence.
Interveners—Persons intervening or petitioning to intervene as provided by § § 35.27—35.31, when admitted as a participant to a proceeding. Admission as an intervener may not be construed as recognition by the agency that the intervener has a direct interest in the proceeding or might be aggrieved by an order of the agency in the proceeding.
Issue—Includes to prescribe or promulgate.
Matter or proceeding—The elucidation of the relevant facts and applicable law, consideration thereof and action thereupon by the agency with respect to a particular subject within the jurisdiction of the agency, initiated by a filing or submittal or an agency notice or order.
Notarial officer—An officer authorized under § 35.148 (relating to officer before whom deposition is taken) to take depositions for use before an agency.
Office of the agency—The office of the secretary of the agency if the agency is a board, commission or authority; otherwise the office of the agency head.
Participant—A party, another person admitted by the agency to limited participation in a proceeding and staff counsel.
Petitioners—Persons seeking relief, not otherwise designated in this section.
Pleading—An application, complaint, petition, answer, protest, reply or other similar document filed in an adjudicatory proceeding.
Presiding officer—A member of the agency, or one or more trial examiners appointed according to law and designated, to preside at hearings or conferences, or other officers specially provided for and designated under statute to conduct specified classes of proceedings, but not including the agency head when sitting as such.
Proof of service—A certificate of service complying with § 33.36 (relating to form of certificate of service).
Proposed report—The written statement of the issues, the facts and the findings that a subordinate officer proposes the agency should make, with the reasons therefor, whether or not including a recommended order.
Protestants—Persons objecting on the ground of private or public interest to the approval of an application, petition, motion or other matter which the agency may have under consideration. Protestants desiring to become interveners in a proceeding before the agency shall file a petition for intervention as provided by § § 35.27—35.31.
Regulation—Any provision of the Pennsylvania Code.
Respondents—Persons subject to a statute or other delegated authority administered by the agency, to whom an order or notice is issued by the agency instituting a proceeding or investigation on its own initiative or otherwise.
Rules—The provisions of this part.
Staff counsel—The counsel of the agency participating in a proceeding before the agency.
Submittal—An application, amendment, exhibit or other similar document filed in an ex parte or other nonadversary proceeding.
Subordinate officer—A presiding officer or other officer or employe of the agency, but not including the agency head.
Notes of Decisions Although petitioners who sought a declaratory judgment of a resolution of the CAT Fund Board were not required to exhaust remedies before the Insurance Commissioner under the Financial Responsibility Law, 75 Pa.C.S. § § 1761—1769, they were required to follow the General Rules of Administrative Practice Procedures since the CAT Fund is a Commonwealth Agency. Harleysville Mutual Insurance Co. v. Catastrophic Loss Trust Fund, 515 A.2d 1039 (Pa. Cmwlth. 1986).
An administrative agency has exclusive jurisdiction when the General Assembly has given it the power to adjudicate on a particular subject matter. Sunrise Energy, LLC v. FirstEnergy Corp., 148 A.3d 894 (Pa. Cmwlth. 2016).
Cross References This section cited in 4 Pa. Code § 601a.3 (relating to definitions); 6 Pa. Code § 3.2 (relating to definitions); 7 Pa. Code § 179.2 (relating to definitions); 16 Pa. Code § 42.3 (relating to definitions); 25 Pa. Code § 1021.2 (relating to definitions); 28 Pa. Code § 1009.2 (relating to recognition process); 28 Pa. Code § 1011.4 (relating to denial, restriction or withdrawal of accreditation); 28 Pa. Code § 1230a.22 (relating to definitions); 34 Pa. Code § 111.3 (relating to definitions); 34 Pa. Code § 131.5 (relating to definitions); 34 Pa. Code § 131.201 (relating to petitions); 37 Pa. Code § 197.1 (relating to definitions); 37 Pa. Code § 197.81 (relating to definitions); 40 Pa. Code § 15.3 (relating to definitions); 49 Pa. Code § 31.103 (relating to applicability of other laws and rules); 49 Pa. Code § 31.115 (relating to disciplinary sanctions); 52 Pa. Code § 1.8 (relating to definitions); 52 Pa. Code § 1001.10 (relating to definitions); 55 Pa. Code § 41.3 (relating to definitions); 58 Pa. Code § 145.2 (relating to definitions); 58 Pa. Code § 491a.2 (relating to definitions); and 61 Pa. Code § 702.3 (relating to definitions).
§ 31.4. Information and special instructions.
Information as to procedure under this part, and instructions supplementing this part in special instances, will be furnished upon application to the agency at the office of the agency.
Cross References This section cited in 19 Pa. Code § 13.2 (relating to information and special instructions); 34 Pa. Code § 111.2 (relating to applicability of General Rules of Administrative Practice and Procedure); 34 Pa. Code § 131.4 (relating to applicability of General Rules of Administrative Practice and Procedure); 49 Pa. Code § 31.103 (relating to applicability of other laws and rules); 49 Pa. Code § 31.115 (relating to disciplinary sanctions); 52 Pa. Code § 1.3 (relating to information and special instructions); 52 Pa. Code § 1001.4 (relating to information and special instructions); and 61 Pa. Code § 702.4 (relating to filing generally).
§ 31.5. Communications and filings generally.
(a) Communications, submittals and pleadings should be addressed to the agency at the office of the agency unless otherwise specifically directed. Communication and filings should clearly designate the file number, docket number or similar identifying symbols, if any, employed by the agency, and should set forth a short title. The person communicating shall state his address, the party he represents and how response should be sent to him if not by first class mail.
(b) Submittals and pleadings, including documents filed under Chapter 35 (relating to formal proceedings) shall comply with Chapter 33 (relating to documentary filings) and the applicable provisions of this chapter.
(c) In a proceeding when upon inspection the agency is of the opinion that a submittal or pleading tendered for filing does not comply with this part and any applicable regulations of the agency or, if it is an application or similar document, does not sufficiently set forth required material or is otherwise insufficient, the agency may decline to accept the document for filing and may return it unfiled, or the agency may accept it for filing and advise the person tendering it of the deficiency and require that the deficiency be corrected.
(d) The agency may order any redundant, immaterial, impertinent or scandalous matter stricken from a document filed with it.
Cross References This section cited in 1 Pa. Code § 33.61 (relating to applications for waiver of formal requirements); 4 Pa. Code § 607a.5 (relating to filings with Docket Clerk); 7 Pa. Code § 179.3 (relating to filings and appeals); 16 Pa. Code § 42.12 (relating to caption); 19 Pa. Code § 13.3 (relating to communications and filings generally); 34 Pa. Code § 111.11 (relating to content and form); 34 Pa. Code § 111.32 (relating to form/content); 34 Pa. Code § 131.11 (relating to filing, service and proof of service); 34 Pa Code § 131.21 (relating to identifying number); 34 Pa. Code § 131.36 (relating to joinder); 37 Pa. Code § 171.4 (relating to filing papers); 37 Pa. Code § 407.3 (relating to rejected applications review procedure); 37 Pa. Code § 407.12 (relating to reconsideration procedure); 37 Pa. Code § 421.21 (relating to reconsideration of adverse determination and request for hearing); 40 Pa. Code § 15.21 (relating to information and special instructions); 49 Pa. Code § 31.103 (relating to applicability of other laws and rules); 49 Pa. Code § 31.115 (relating to disciplinary sanctions); 52 Pa. Code § 1.4 (relating to filing generally); 52 Pa. Code § 1001.6 (relating to filing generally); 58 Pa. Code § 495a.1 (relating to form of documentary filings generally); and 61 Pa. Code § 702.4 (relating to filing generally).
§ 31.6. Amendments to rules.
(a) The Joint Committee on Documents hereby retains continuing jurisdiction under 45 Pa.C.S. § 723(b) (relating to processing of deposited documents) to adopt the amendments and additions to this part as may be appropriate.
(b) An agency or other person may make application under § 35.18 (relating to petitions for issuance, amendment, waiver or repeal of regulations) for a general and permanent change in this part.
Cross References This section cited in 25 Pa. Code § 1021.3 (relating to amendments to rules); 34 Pa. Code § 131.12 (relating to modification of time); 49 Pa. Code § 31.103 (relating to applicability of other laws and rules); 49 Pa. Code § 31.115 (relating to disciplinary sanctions); 52 Pa. Code § 1.5 (relating to amendment to rules); 52 Pa. Code § 1001.7 (relating to amendment to rules); 55 Pa. Code § 41.4 (relating to amendments to regulation); and 61 Pa. Code § 702.1 (relating to scope).
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