4 Pa. Code | Title 4 Pa. Code — Administration

Part II Executive Board

Subpart D Executive Board Regulations

Chapter 40 Travel and Subsistence

4 Pa. Code § 40.1 Purpose.

This chapter establishes policies and defines reimbursable expenses of Commonwealth officers and employes subject to section 216 of The Administrative Code of 1929 (71 P.S. § 76).

History

Authority: The provisions of this Chapter 40 issued under sections 216 and 709(f) of The Administrative Code of 1929 (71 P.S. § § 76 and 249(f)), unless otherwise noted.
Source: The provisions of this § 40.13 adopted May 18, 1984, effective May 19, 1984, 14 Pa.B. 1709.

4 Pa. Code § 40.3 General policy.

(a) Officers and employes shall be entitled to receive reimbursement for out-of-pocket expenses incurred in the performance of their duties within maximums prescribed under this chapter.

(b) Maximums established under this chapter are not flat allowances and only amounts actually expended may be claimed.

(c) The Offices of Administration and the Budget will issue, through the Directives Managements System, guidelines, administrative procedures, documentation requirements, and maximum amounts of reimbursement for travel and subsistence expenses of officers and employes under the Governor’s jurisdiction. Other agencies subject to section 216 of The Administrative Code (71 P.S. § 76) but not under the Governor’s jurisdiction will also adopt guidelines, administrative procedures, documentation requirements, and maximum amounts of reimbursement for their officers and employes. Guidelines, administrative procedures, documentation requirements, and maximum amounts of reimbursement shall be submitted to the Executive Board and shall become effective upon Executive Board approval. In the absence of approved guidelines, the current issuance of the Directives Management System pertaining to travel and subsistence shall apply to officers and employes subject to this chapter.

(d) Officers and employes shall not be eligible for reimbursement of meals or lodging when furnished by the Commonwealth without charge or when furnished by friends or relatives.

(e) Officers and employes traveling on official business are expected to exercise the same care in incurring expenses that a prudent person would exercise if traveling on personal business. Officers and employes are liable for the repayment of expenditures disallowed by the agency comptroller’s office.

(f) Persons who incur expenses while traveling on official Commonwealth business are to be reimbursed under this chapter and guidelines established under this chapter. To preclude the possibility of financial benefit, expense reimbursements received from another source, such as the Federal government, a private business, an individual, or other party shall be remitted to the agency comptroller’s office immediately upon receipt. Checks received may not be cashed, but must be endorsed to the order of the Commonwealth of Pennsylvania.

Since a Memorandum of Understanding arrived at through the ‘‘meet and discuss’’ provisions of the Public Employee Relations Act (43 P.S. § 1101.704), is neither a collective bargaining agreement nor a contract, a dispute arising under the Memorandum is not precluded from Board of Claims jurisdiction under the rule of Kapil v. Association of Pennsylvania State College and University Facilities, 470 A.2d 482 (Pa. 1983) and Liquor Control Board v. Shulin, 471 A.2d 599 (1984). Shaffer v. Liquor Control Board, 500 A.2d 917 (Pa. Cmwlth. 1985).

Were the Board of Claims to accept claimant’s implied contract theory, as an alternative to his claim under a memorandum of Understanding, the Board of Claims could have jurisdiction even though the Memorandum of Understanding contained an arbitration clause. Shaffer v. Liquor Control Board, 500 A.2d 917 (Pa. Cmwlth. 1985).

History

Authority: The provisions of this Chapter 40 issued under sections 216 and 709(f) of The Administrative Code of 1929 (71 P.S. § § 76 and 249(f)), unless otherwise noted.
Source: The provisions of this § 40.13 adopted May 18, 1984, effective May 19, 1984, 14 Pa.B. 1709.

4 Pa. Code § 40.13 Categories of reimbursable expenses.

Subject to limitations or conditions which may be imposed from time to time under this chapter, the following categories of expenses are reimbursable:

(1) All modes of transportation are authorized consistent with and appropriate to the requirements of an assignment and the efficient and economic conduct of official business. All travel shall be by the most direct and expeditious route considering both travel time and distance.

(2) Expenses for lodging will not be allowed at the place of an officer’s or employe’s headquarters or residence, nor at sites located within a reasonable commuting distance of headquarters or residence.

(3) Expenses for subsistence are reimbursable in amounts and subject to limitations as may be established under this chapter.

(4) Conference and convention registration fees, moving expenses required as a condition of continued Commonwealth employment, telephone and telegraph, registered or certified mail, money order charges incurred in the course of official business, expenses incurred by Commonwealth officers and employes in the course of their official duties on behalf of others, and other miscellaneous expenses as may be established under this chapter shall also be reimbursable.

The provisions of this § 40.13 adopted May 18, 1984, effective May 19, 1984, 14 Pa.B. 1709.

(Editor’s Note: 1 Pa. Code § 3.13(b) (relating to contents of Bulletin) gives the Legislative Reference Bureau discretion to exclude from publication in the Pennsylvania Bulletin classes of documents which are voluminous and applicable only to Commonwealth property or contracts or agency organization, management or personnel. Section 3.13(c) requires the Bureau to publish and codify a summary table of documents filed under § 3.13(b).)

(1) Administrative Circular No. 92-24, Dated July 10, 1992. Commonwealth Corporate Card Program.

(2) Administrative Circular No. 92-27, Dated July 27, 1992. Matters Requiring Executive Board Approval.

(3) Administrative Circular No. 92-29, Dated July 31, 1992. Commonwealth Travel Center.

History

Authority: The provisions of this Chapter 40 issued under sections 216 and 709(f) of The Administrative Code of 1929 (71 P.S. § § 76 and 249(f)), unless otherwise noted.
Source: The provisions of this § 40.13 adopted May 18, 1984, effective May 19, 1984, 14 Pa.B. 1709.

Part III Department of General Services

Subpart A Surplus State Property

Chapter 41 Preliminary Provisions

4 Pa. Code § 41.1 Definitions.

The following words and terms, when used in this subpart, have the following meanings, unless the context clearly indicates otherwise: Bureau—The Bureau of Buildings and Grounds of the Department. Department—The Department of General Services of the Commonwealth. Division—The Surplus State Property Division of the Department. Secretary—The Secretary of the Department. Surplus State property—A term used as a substitute for the terms ‘‘unserviceable personal property’’ and ‘‘unserviceable property’’ as defined in sections 510 and 2405 of The Administrative Code of 1929 (71 P.S. § § 190 and 635). The term includes only articles previously purchased by the Commonwealth or an agency of the Commonwealth, and paid for out of funds of the Commonwealth. Not included are products manufactured, grown or raised by a department, board or commission, or by the inmates or patients of a Commonwealth institution, or minerals, oil, gas or other materials taken from any property of the Commonwealth.

History

Source: The provisions of this § 41.5 amended October 11, 1974, 4 Pa.B. 2170. Immediately preceding text appears at serial page (17569).

4 Pa. Code § 41.2 Purpose.

This subpart establishes procedures, defines responsibilities, and provides specific guidance for the reporting, release, receipt, storage and transfer or sale of surplus State property.

History

Source: The provisions of this § 41.5 amended October 11, 1974, 4 Pa.B. 2170. Immediately preceding text appears at serial page (17569).

4 Pa. Code § 41.3 Scope.

(a) This subpart is specifically directed to employes of the Division, but this subpart also applies to persons involved in the control and accountability of Commonwealth property.

(b) This subpart applies to surplus State property transactions, regardless of their origin or location.

History

Source: The provisions of this § 41.5 amended October 11, 1974, 4 Pa.B. 2170. Immediately preceding text appears at serial page (17569).

4 Pa. Code § 41.4 Filing of names.

(a) Names of persons authorized to accept and direct transfer of surplus State property shall be filed with the Division.

(b) Program directors are responsible for delegation of this responsibility and authority.

History

Source: The provisions of this § 41.5 amended October 11, 1974, 4 Pa.B. 2170. Immediately preceding text appears at serial page (17569).

4 Pa. Code § 41.5 Reporting of surplus property.

(a) Surplus State property generated within the departments, boards or commissions throughout this Commonwealth shall be reported to the Division on Office of Administration Form 551, Surplus State Property Reports. The releasing official or agency will identify any compounds, mixture, element, material, equipment or component which, because of its nature, is dangerous to manufacture, process, store, handle or consume by printing the words HAZARDOUS MATERIAL in bold print on releasing reports and identification tags associated with the property transaction. If deemed necessary or appropriate, special handling instructions will be attached to the report releasing the property and the identification tag affixed to the hazardous item.

(b) A separate report shall be submitted for each item or each lot of identical items.

(c) Each item except bulk stock, metal extrusions or scrap metal, shall be tagged with an Office of Administration Form 552, Surplus State Property Identification Tag.

(d) Items which are not properly tagged will not be accepted, picked up or moved by the Division.

The provisions of this § 41.5 amended October 11, 1974, 4 Pa.B. 2170. Immediately preceding text appears at serial page (17569).

History

Source: The provisions of this § 41.5 amended October 11, 1974, 4 Pa.B. 2170. Immediately preceding text appears at serial page (17569).

4 Pa. Code § 41.6 Changes to established procedures.

Recommended changes to this subpart, including supporting reasons for the changes, shall be forwarded through proper administrative channels to the Division of the Department.

History

Source: The provisions of this § 41.5 amended October 11, 1974, 4 Pa.B. 2170. Immediately preceding text appears at serial page (17569).

4 Pa. Code § 41.7 Supply of forms.

(a) Office of Administration Forms prescribed in this subpart shall be available from the Warehouse Division, Bureau of Management Services, Department of General Services, Post Office Box 1365, Harrisburg, Pennsylvania 17125.

(b) Other forms shall be procured by the appropriate agency.

History

Source: The provisions of this § 41.5 amended October 11, 1974, 4 Pa.B. 2170. Immediately preceding text appears at serial page (17569).

4 Pa. Code § 41.11 General procedure.

(a) Upon receipt of an Office of Administration Form 551, Surplus State Property Report, the Division shall perform the following:

(1) Schedule items reported as surplus for inspection and verification.

(2) Determine the disposition of the property and perform the necessary administration under this subpart.

(b) Compliance with this subpart shall be required. Departures from this subpart shall be only as directed by higher authority and shall be held to an absolute minimum.

History

Source: The provisions of this § 41.5 amended October 11, 1974, 4 Pa.B. 2170. Immediately preceding text appears at serial page (17569).

4 Pa. Code § 41.12 Inspection of surplus property.

(a) The Division shall, insofar as practical, inspect all materials declared as surplus within this Commonwealth prior to acceptance and further disposition of the material.

(b) Inspection should include, but not necessarily be limited to, the following:

(1) Verification of items reported on Office of Administration Form 551, Surplus State Property Reports.

(2) Verification that Office of Administration Form 552, Surplus State Property Identification Tags, are affixed to each item, when feasible.

(3) Removal of nonrelated and superfluous materials and supplies from surplus items.

(4) Determination of whether surplus items will be moved to the city of Harrisburg for transfer or sale.

(5) Determination of whether the surplus items require special attention or handling.

(c) Based on favorable experiences with releasing agency, the requirements for inspection of materials, prior to acceptance and disposition, may be waived.

History

Source: The provisions of this § 41.5 amended October 11, 1974, 4 Pa.B. 2170. Immediately preceding text appears at serial page (17569).

4 Pa. Code § 41.13 Responsibility for surplus property.

(a) The Division shall be responsible for surplus State property scheduled for movement to the warehouse in the city of Harrisburg from the time it is receipted and picked up at the point of origin, until it is transferred or sold.

(b) The Division will effect movement of surplus State property selected for transfer to the warehouse in the city of Harrisburg by utilization of employes of the Division, contract with Correctional Industries, or by Work Request to the Bureau.

(c) Items not scheduled for movement to the warehouse in the city of Harrisburg may not be receipted by the Division and shall remain the direct and prime responsibility of the releasing agent, until a property transfer or sale has been consummated.

History

Source: The provisions of this § 41.5 amended October 11, 1974, 4 Pa.B. 2170. Immediately preceding text appears at serial page (17569).

4 Pa. Code § 41.14 Receipting surplus property.

(a) Surplus State property agents shall receipt surplus property scheduled for movement to the warehouse in the city of Harrisburg by affixing the date and their signature to the tear-off receipt stub of the Office of Administration Form 552, Surplus State Property Identification Tag.

(b) The receipt shall be delivered to the appropriate representative of the releasing agency.

(c) When the services of either Correctional Industries or the Bureau, are utilized to effect movement of surplus State property, the procedure set forth in subsection (d) shall be used.

(d) Copy No. 2 of the Surplus State Property Report, Office of Administration Form 551, stamped or preprinted with sufficient data to satisfy requirements for a Temporary Receipt, will be furnished to the ‘‘service’’ employed to move the property to the warehouse. An employe or other representative from the service effecting the movement of the property released as surplus, execute the temporary receipt stamped or printed on Copy No. 2 of the Surplus State Property Report, and deliver it to the releasing agent prior to movement of the property. The receipt portion of the Surplus State Property Identification Tag, Office of Administration Form 552, shall not be removed until the property is received by an employe of the Surplus State Property Warehouse.

(e) When the temporary receipt procedure has been utilized it shall be the responsibility of the Division, immediately upon receipt of surplus property at the warehouse, to execute the receipt portion of the Surplus State Property Identification Tag, Office of Administration Form 552, and return it through regular distribution or mail channels to the property control officer or agent of the agency releasing the property.

History

Source: The provisions of this § 41.5 amended October 11, 1974, 4 Pa.B. 2170. Immediately preceding text appears at serial page (17569).

4 Pa. Code § 41.15 Receiving and classification.

(a) The receiving phase of a surplus property transaction shall relate to the physical arrival of the property at the warehouse.

(b) Within a reasonable period of time after the surplus property has been unloaded from the transporting vehicle, the property shall be evaluated and classified as to its condition and proposed disposition.

(d) If surplus property is determined to be of no value then it shall be condemned in accordance with Chapter 47 (relating to condemnation of surplus State property).

(e) The reverse side of Office of Administration Form 552, Surplus State Property Identification Tag, shall be used to post the condition and disposition status and the suggested sale price, if applicable.

History

Source: The provisions of this § 41.5 amended October 11, 1974, 4 Pa.B. 2170. Immediately preceding text appears at serial page (17569).

4 Pa. Code § 41.16 Inventory of surplus property.

(a) An inventory shall be maintained of surplus State property located in the warehouse.

(b) Inventory balances shall be verified annually on schedules established by the Chief of the Division.

History

Source: The provisions of this § 41.5 amended October 11, 1974, 4 Pa.B. 2170. Immediately preceding text appears at serial page (17569).

4 Pa. Code § 41.17 Review of surplus property.

Surplus State property may not be sold until it has been reviewed by interested Commonwealth agencies in accordance with Chapter 43 (relating to transfer of surplus State property).

History

Source: The provisions of this § 41.5 amended October 11, 1974, 4 Pa.B. 2170. Immediately preceding text appears at serial page (17569).

4 Pa. Code § 41.21 Priority over surplus property.

(a) The Bureau shall be offered equipment and building materials which may be of value in the maintenance and repair of Commonwealth-owned buildings, prior to being released for transfer or sale.

(b) The Bureau will furnish the Division with a detailed list of equipment and materials which the Bureau desires to screen.

History

Source: The provisions of this § 41.5 amended October 11, 1974, 4 Pa.B. 2170. Immediately preceding text appears at serial page (17569).

4 Pa. Code § 41.22 Transfer to Bureau.

Equipment and materials selected for transfer to the Bureau shall be processed in accordance with Chapter 43 (relating to transfer of surplus State property).

History

Source: The provisions of this § 41.5 amended October 11, 1974, 4 Pa.B. 2170. Immediately preceding text appears at serial page (17569).

Chapter 43 Transfer of Surplus State Property

4 Pa. Code § 43.1 Inspection by interested Commonwealth agencies.

(a) Surplus State property generated or accumulated in the city of Harrisburg shall be held at the warehouse for review by interested Commonwealth agencies for a period of time not to exceed 5 working days. Property which has not been selected for transfer during this holding period shall be released for private sale or public auction.

(b) Surplus State property generated or accumulated outside of the city of Harrisburg or the local area shall be held at the place of origin for review and screening by interested Commonwealth agencies for a period not to exceed 10 working days. Property which has not been selected for transfer during this period shall be either:

(1) Moved to the Division warehouse in the city of Harrisburg for further processing.

(2) Sold in place through private sale or public auction.

(3) Condemned and demolished or destroyed.

4 Pa. Code § 43.2 Handling and transportation of selected property.

(a) The receiving agency shall be responsible for the handling and transportation of property selected for transfer.

(b) The Division warehouse employes shall assist in the transfer whenever possible or practical.

(c) Recipients shall submit Office of Administration Form 560, Work Request, to the Bureau for the movement of property from the warehouse.

4 Pa. Code § 43.3 Procedure for transfer of surplus property.

(a) Upon items being selected for transfer, the warehouse section shall proceed in the following manner:

(1) Mark the item selected for transfer with a Shipping Tag, Manila, 5 1/2 inches by 2 5/8 inches, Size 16, Commodity Code Number 0310-0300-030. Information posted to the tag shall include: recipient, Surplus State Property Identification Tag Number, date and signature of the warehouse representative.

(2) Remove the Surplus State Property Identification Tag, Office of Administration Form 552. Post transfer information on the tag and have it signed by the representative of the receiving activity.

(3) List all items selected for transfer on Property Transfer/Sale Slip, PSPD Form 20. The representative of the receiving activity shall sign all copies of the transfer slips. The warehouse shall retain Copies No. 1 and No. 2. Copy No. 3, Property Pass, shall be returned to the agency representative. Copy No. 4 shall be mailed to the institution Property Officer.

(4) Inform the representative of the receiving agency that the handling and transportation of the property shall be their responsibility.

(5) Affix Surplus State Property Identification Tags, Office of Administration Forms 552, from property which has been transferred to Copy No. 1 of the Property Transfer/Sale Slip. Forward Copies No. 1 and No. 2 of the Property Transfer/Sale Slip and related Surplus State Property Identification Tags to the office section of the Division.

(b) Upon an item being selected for transfer, the office section shall proceed in the following manner:

(1) Post appropriate records to reflect the transfer action.

(2) Adjust inventory balances and delete items from availability listings.

(3) Attach Property Transfer/Sale Slips and related Surplus State Property Identification Tags to appropriate Surplus State Property Reports. File as a completed property transaction.

(1) Administrative Circular No. 92-26, Dated July 27, 1992. Filing of Names With State Surplus Property Division, Department of General Services.

(2) Administrative Circular No. 92-34, Dated August 24, 1992. Availability of State Surplus Real Property for Transfer to Commonwealth Agencies—Delaware County.

Chapter 45 Sale of Surplus State Property

4 Pa. Code § 45.1 Authority to sell surplus or unserviceable property.

The Department is authorized to sell, either at public auction or private sale, those items of surplus or unserviceable furniture and equipment which are no longer of use to a department, board or commission of the Commonwealth and which have not been transferred under Chapter 43 (relating to transfer of surplus State property).

4 Pa. Code § 45.2 Division to conduct sales.

(a) Sales of surplus State property, regardless of property location, shall be conducted by employes of the Division and in accordance with this chapter and the best interests of the Commonwealth.

(b) The Division shall determine the type of sale to be utilized for individual or group sales transactions.

(c) Sales, except in cases of perishable property, shall be advertised in accordance with section 2405 of The Administrative Code of 1929 (71 P. S. § 635). Sales may be advertised when the Division deems the advertising is in the best interests of the Commonwealth in view of the value of the property involved.

(d) Surplus State property shall be sold in the condition in which it is received by the Division, and all sales shall be ‘‘as is.’’

4 Pa. Code § 45.3 Removal of property.

(a) The Department and the Commonwealth will not be responsible for damage to property that has been sold.

(b) Surplus State property which has been sold shall be removed from Commonwealth premises immediately or within the time period specified by the Division or other proper authority.

4 Pa. Code § 45.11 General requirements.

(a) Private sales of surplus State property shall be accomplished by securing competitive bids, by negotiation or by a predetermined fixed price. The office section of the Division shall have the sole responsibility for the administration of sales conducted on a competitive bid basis.

(b) Value and volume of particular items of surplus property shall be given prime consideration in the selection of the type of sale to be effected.

(d) Care shall be taken to insure that, insofar as possible, administrative costs do not exceed the gross dollar return for the sale.

(e) Surplus State property sales shall be taxable transactions.

(f) Warehouse and field employes shall assist as required and directed.

4 Pa. Code § 45.12 General procedures for sales.

Upon the sale of items of surplus State property, the warehouse or field section employes shall proceed in the following manner:

(1) Mark the items that have been sold with a Shipping Tag, Manila, 5 1/2 inches by 2 5/8 inches, Size 16, Commodity Code Number 0310-0300-030. Information posted to the tag shall include: purchaser’s name, Surplus State Property Identification Tag Number, date of sale, and signature of the warehouse or field representative. The word ‘‘Sold’’ and other identification requirements shall be hand stamped on blank tags.

(2) Remove the Surplus State Property Identification Tag, Office of Administration Form 552. Write the word ‘‘Sold,’’ the date, and actual sale price immediately above the suggested sale price block on the form. The Division employe conducting the sale shall sign the identification tag in the right margin to verify the sale.

(3) List all items that have been purchased by an individual on Property Transfer/Sale Slips, PSPD Forms. Direct the purchaser to sign and date all copies of the ‘‘Sales’’ slip.

(4) Individuals purchasing surplus State property shall be advised that the property must be removed from the premises immediately, or within the time specified by the Chief of the Division; otherwise, the property shall be considered abandoned and reentered on the inventory for further disposition. If purchaser has been granted additional time to remove the property, the date of the last day prior to abandonment action shall be entered on all copies of the Property Transfer/Sale Slip, PSPD Form 20 or PSSP Form 80. The purchaser shall initial the posted date to indicate that he is aware of the time limit. Further, the purchaser shall be advised that moneys paid for property and subsequently abandoned will be forfeited as liquidated damages.

4 Pa. Code § 45.13 Procedures for sales at the warehouse.

Upon the sale of items of surplus State property at the warehouse, a warehouse employe shall proceed in the following manner:

(1) Affix Surplus State Property Identification Tags, Office of Administration Form 552, to Copy No. 1 of the Property Transfer/Sale Slip. Direct the purchaser to hand-carry the sales slips and identification tags to the cashier in the office division of the Division. The cashier shall accept the receipt for payment of purchase by stamping ‘‘Payment Received’’ on all copies of the Property Transfer/Sales Slips. Copy No. 3 shall be returned to the purchaser.

(2) Release the appropriate property to the purchaser upon presentation of the properly receipted Property Transfer/Sale Slips.

(3) Inform the purchaser that the property shall be removed immediately from Commonwealth premises or within the time period specified by the Division.

4 Pa. Code § 45.14 Procedures for sales in the field.

Upon the sale of items of surplus State property in the field, a field section employe shall proceed in the following manner:

(1)(i) Affix Surplus State Property Identification Tags, Office of Administration Form 552, to Copy No. 1 of the Property Transfer/Sale Slip. Accept and receipt payment of purchases by writing or stamping ‘‘Payment Received’’ on all copies of the Property Transfer/Sale Slips. Return Copy No. 3 to the purchaser.

(ii) Payment for property purchased in the field shall be made by check or money order.

(iii) Cash sales shall not be transacted.

(iv) Checks in excess of $50 shall be certified.

(2) Inform the purchaser that the property shall be removed from Commonwealth premises or the sale location immediately or within the time period specified by proper authority.

(3) Forward Property Transfer/Sale Slips, Copies No. 1 and No. 2, applicable Surplus State Property Identification Tags and moneys received for the sales transactions, to the Chief of the Division not later than 2 working days following the date of sale.

4 Pa. Code § 45.15 Procedures for competitive bid sales.

(a) Competitive bid sales shall be accomplished in accord with established Departmental procedures.

(b) Invitation—Bid Proposal for surplus State Property, and attachments thereto, shall be assigned a control/sale number to facilitate filing and records disposition.

(c) When surplus State property is located outside the city of Harrisburg, the Department, in its discretion, may authorize the department, board or commission having possession of the same, without advertising, to obtain at least two bids in the locality where the property is located. The bids shall be referred to the Department, and if it believes that the property will not realize a higher net sale price if transported to the City of Harrisburg for sale, the Department may authorize the department, board or commission having possession of the same, to sell the property locally to the highest bidder, to take a proper receipt therefore, and to transmit the proceeds to the Department. When the sales are authorized, the Department will furnish the department, board or commission effecting the sale the forms to record receipt for the property and transmittal of moneys received from the sale.

4 Pa. Code § 45.16 Advertisement.

(a) Sales of surplus State property shall, if the Department deems it feasible in view of the value of the property involved, be advertised in not exceeding five newspapers of the Commonwealth, once a week for 3 weeks.

(b) Advertisements shall include, but are not necessarily limited to, the date, time, place and conditions of the sale.

4 Pa. Code § 45.21 General requirements.

(a) Public auction sales shall be conducted at the discretion of the Chief of the Division with the approval of the Department.

(b) Auction sales shall normally be conducted for large volumes of surplus property, but may be used for small lots of high value items.

(c) Care shall be taken to insure that, insofar as possible, administrative costs do not exceed the gross dollar return for the sale.

(d) The Chief of the Division shall be responsible for the overall administration and management of public auction sales.

4 Pa. Code § 45.22 Types of auctions.

(a) Auctions may be conducted by the Division, except that a professional licensed auctioneer shall be utilized to effect the actual sale of the item. Other functions of the sale shall be the direct responsibility of the Division.

(b) Auctions may be conducted solely by a contracted professional licensed auctioneer, except that a Division employe shall be present and responsible for collection, recording and receipting of sales tax moneys on taxable sale items as required by law.

(c) Contract with the auctioneer shall define the requirement that the auctioneer shall record the description, sale price, name of purchaser and other data deemed necessary to insure positive identification of each item sold in sufficient detail to provide the Division with adequate record of the complete sale.

4 Pa. Code § 45.23 Auctioneers.

(a) Professional licensed auctioneers shall be utilized for all public auction sales.

(b) Employment contracts with auctioneers shall be completed in detail, be limited to specific sales and be approved by the Department or other authority as directed.

(c) Listings of licensed auctioneers shall be available from the State Board of Auctioneer Examiners, Department of State.

4 Pa. Code § 45.24 Procedures for Division employes.

Upon the sale of items of surplus State property at public auction, conducted by the Division, an employe of the Division or the auctioneer shall proceed in the following manner:

(1) Mark the items with a shipping tag, preprinted, fill-in tag or card, or a suitable substitute, containing the name of the purchaser, the identification tag number, date of sale and signature of the authorized representative of the Division or auctioneer.

(2) Remove the Surplus State Property Identification Tags, Office of Administration Form 552.

(3) List all times that have been purchased by an individual on Property Transfer/Sale Slips. Direct the purchaser to sign and date all copies of the ‘‘Sales’’ slip. Attach Identification Tags to Copy No. 1 of the appropriate Property Transfer/Sales Slips.

(4) Direct the purchaser to hand carry the sales slips and identification tags to one of the auction cashiers.

4 Pa. Code § 45.25 Procedure for auction cashiers.

Upon the sale of items of surplus State property at public auction, the auction cashier shall proceed in the following manner:

(1) Accept and receipt payment of purchase by stamping or writing ‘‘Payment Received’’ on all copies of the Property Transfer/Sale Slips. Return Copy No. 3 to the purchaser as a receipt and property pass. Payment by check in excess of $50 shall be certified.

(2) Hold Copies No. 1 and No. 2 of the Property Transfer/Sale Slips with appropriate Surplus State Property Identification Tags and all moneys receipted from sales transactions, for pick-up by the designated representative of the Division or the auctioneer.

4 Pa. Code § 45.26 Procedure for office section.

Upon the sale of items of surplus State property at public auction, the office section shall proceed in the following manner:

(1) Accept and receipt payment of purchases. Stamp ‘‘Payment Received’’ on all copies of the Property Transfer/Sale Slip. Return Copy No. 3 to the purchaser to authorize release of the property, except in cases of public auctions.

(2) Record sales in the Master Sales Log.

(3) Attach Property Transfer/Sale Slips and related Surplus State Property Identification Tags to appropriate Surplus State Property Reports. File as a completed property sales transaction.

(4)(i) Prepare transmittal documents and transfer all moneys accumulated from sales to the comptroller, Department, on a schedule mutually acceptable to the Comptroller and the Chief of the Division. The schedule, to be initiated by the comptroller, shall be in memorandum form with copies directed to all parties concerned.

(ii) Capitol Police shall be made available to escort all transfer of moneys upon request and reasonable notice.

(iii) Transmittal documents shall be prepared in accordance with § 45.27 (relating to preparation of transmittal documents).

4 Pa. Code § 45.27 Preparation of transmittal documents.

Transmittal documents shall be prepared by the office section in the following manner:

(1) Sales transactions shall be grouped by fund and listed numerically.

(2) A summary shall be listed on the transmittal document to reflect the following:

(i) Total amount of cash.

(ii) Total value of checks and money orders.

(iii) Grand total for the entire transmittal action.

(3) Sales and sales tax for each fund shall be subtotaled for convenience of review or audit.

(4) A preprinted receipt statement shall be included on the transmittal documents for easy reference and control. The authorized representative of the comptroller shall acknowledge receipt of moneys on the transmittal documents. The comptroller shall furnish the Division with a copy of the revenue transmittal receipted by the Treasury Department. This document shall be filed with and become a permanent part of the transmittal records.

(5) Copy No. 2 of the Property Transfer/Sale Slips, for sales listed on the transmittal documents, shall be affixed to the appropriate document and forwarded to the office of the comptroller as a part of the transmittal procedure.

This section cited in 4 Pa. Code § 45.26 (relating to procedures for office section).

Chapter 47 Condemnation of Surplus State Property

4 Pa. Code § 47.1 General.

(a) Condemnation authority shall be limited to the Chief of the Division and his designated representatives.

(b) Items of surplus State property shall be condemned and sold as scrap after the items have been determined to be a safety or health hazard to the employes of the Commonwealth or the general public. The items shall be receipted as scrap by the Division.

(d) Special handling shall be required for items determined to be a health or safety hazard.

History

Authority: The provisions of this Chapter 47 issued under sections 510 and 2405 of The Administrative Code of 1929 (71 P. S. § § 190 and 635), unless otherwise noted.
Source: The provisions of this Chapter 47 adopted January 19, 1970; amended August 23, 1974, effective August 24, 1974, 4 Pa.B. 1775, unless otherwise noted.

4 Pa. Code § 47.2 Procedures for warehouse of field section employes.

Upon the condemnation of items of surplus State property, a warehouse or field section employe shall proceed in the following manner:

(1) Remove the Surplus State Property Identification Tag, check the block ‘‘Condemned,’’ and the applicable disposition block.

(2) List all items that have been condemned on Property Transfer/Sale Slips.

(3) Change the ‘‘Received by’’ block on the Property Transfer/Sale Slips to read: ‘‘Condemned by.’’

(4) Secure the signature of the Chief of the Division or one of his designated representatives.

(5) Attach applicable Surplus State Property Identification Tags to the appropriate Property Transfer/Sale Slips and forward to the office section of the Division.

History

Authority: The provisions of this Chapter 47 issued under sections 510 and 2405 of The Administrative Code of 1929 (71 P. S. § § 190 and 635), unless otherwise noted.
Source: The provisions of this Chapter 47 adopted January 19, 1970; amended August 23, 1974, effective August 24, 1974, 4 Pa.B. 1775, unless otherwise noted.

4 Pa. Code § 47.3 Procedures for office section.

Upon the condemnation of items of surplus State property, the office section shall proceed in the following manner:

(1) Post appropriate records to reflect the condemnation action.

(2) Attach Property Transfer/Sale Slips and related Surplus State Property Identification Tags to appropriate Surplus State Property Records. File as a completed property transaction.

History

Authority: The provisions of this Chapter 47 issued under sections 510 and 2405 of The Administrative Code of 1929 (71 P. S. § § 190 and 635), unless otherwise noted.
Source: The provisions of this Chapter 47 adopted January 19, 1970; amended August 23, 1974, effective August 24, 1974, 4 Pa.B. 1775, unless otherwise noted.

Subpart C Construction and Procurement

Chapter 60 Responsibility

4 Pa. Code § 60.1 Scope.

(a) This chapter prescribes policies and procedures relating to administrative debarment and suspension invoked by the Department to exclude or render ineligible certain persons or firms from participation in contracts and subcontracts within this Commonwealth on the basis of a lack of responsibility. It is directly applicable to contracts of the Department, including contracts for construction, alteration, repair, purchase of personal property, services and disposal of property.

(b) These measures are to be used for the purpose of protecting the interests of the Commonwealth and not for punishment. To assure the Commonwealth the benefits to be derived from the full and free competition of interested parties, these measures will not be instituted for any time longer than deemed necessary to protect the interests of the Commonwealth.

History

Authority: The provisions of this Chapter 60 issued under sections 507, 2401.1, 2403, 2406—2410 and 2412 of The Administrative Code of 1929 (71 P. S. § § 187, 631.1, 633, 636—640 and 642), unless otherwise noted.
Source: The provisions of this § 60.6 amended February 18, 1983, effective August 4, 1979, 13 Pa.B. 781. Immediately preceding text appears at serial page (43737).

4 Pa. Code § 60.2 Definitions.

The following words and terms, when used in this chapter, have the following meanings, unless the context clearly indicates otherwise: Affiliates—Persons having an overt or covert relationship such that any one of them directly or indirectly controls or has the power to control another. Bidders—Vendors or contractors negotiating or bidding under an invitation for bids or a request for proposals or otherwise. Commonwealth contracting—An arrangement giving rise to an obligation to supply anything to or perform a service for the Commonwealth other than by virtue of Commonwealth employment or to supply anything to or perform services for a private person where the Commonwealth provides financial assistance and retains the right to approve or disapprove the nature or quality of the goods or service or the persons who may supply or perform the same. Debarment—An exclusion from Commonwealth contracting for a reasonable, specified period of time commensurate with the seriousness of the offense or failure or the inadequacy of performance. Department—The Department of General Services of the Commonwealth. Person—An individual, company, firm, association, corporation or other entity. Secretary—The Secretary of the Department. Suspension—An exclusion from Commonwealth contracting or subcontracting for a temporary period of time, pending the completion of an investigation or legal proceedings.

History

Authority: The provisions of this Chapter 60 issued under sections 507, 2401.1, 2403, 2406—2410 and 2412 of The Administrative Code of 1929 (71 P. S. § § 187, 631.1, 633, 636—640 and 642), unless otherwise noted.
Source: The provisions of this § 60.6 amended February 18, 1983, effective August 4, 1979, 13 Pa.B. 781. Immediately preceding text appears at serial page (43737).

4 Pa. Code § 60.3 Causes for debarment.

The Secretary or his authorized representative is authorized to debar in the public interest a person for the following causes:

(1) Commission of a criminal offense as an incident to obtaining or attempting to obtain a public or private contract or subcontract thereunder or in the performance of the contract or subcontract.

(2) Violation of the antitrust statutes.

(3) Violation of election laws.

(4) Commission of embezzlement, theft, forgery, bribery, falsification or destruction of records, receiving stolen property, or another offense indicating a lack of business integrity or honesty.

(5) Violation of a governing hour of labor, minimum wage standards or prevailing wage standards; discrimination in wages; or child labor violations.

(6) Violation of the Pennsylvania Human Relations Act (43 P. S. § § 951—963).

(7) Willful failure to perform in accordance with the specifications or within contractural time limits.

(8) A record of failure to perform or of unsatisfactory performance in accordance with the terms of one or more contracts; provided, that the failure or unsatisfactory performance was within a reasonable period of time preceding the determination to debar and was caused by acts within the control of the contractor debarred.

(9) Providing false or misleading information as part of a prequalification statement, including but not limited to financial statements, equal opportunity employment forms, affidavits of compliance with prevailing wage statutes and product descriptive literature.

(10) Other cause affecting responsibility as a Commonwealth contractor, as may be determined by the Secretary to warrant debarment.

(11) Debarment by some other department or agency of the Commonwealth or other state or the Federal government.

This section cited in 4 Pa. Code § 60.4 (relating to conditions); and 4 Pa. Code § 60.7 (relating to suspension).

History

Authority: The provisions of this Chapter 60 issued under sections 507, 2401.1, 2403, 2406—2410 and 2412 of The Administrative Code of 1929 (71 P. S. § § 187, 631.1, 633, 636—640 and 642), unless otherwise noted.
Source: The provisions of this § 60.6 amended February 18, 1983, effective August 4, 1979, 13 Pa.B. 781. Immediately preceding text appears at serial page (43737).

4 Pa. Code § 60.4 Conditions.

(a) Debarment or suspension for any cause will be made only upon approval of the Secretary or his duly authorized representative and an Assistant Counsel.

(b) The existence of any of the causes set forth in § 60.3 (relating to cause for debarment) does not necessarily require that persons be debarred or suspended. In each instance, the decision will be made within the discretion of the Secretary, unless otherwise required by law, and will be rendered in the best interests of the Commonwealth. Mitigating factors may be considered in determining whether debarment or suspension is warranted.

(c) The existence of a cause set forth in § 60.3(1)—(4) will be established by conviction by or a judgment obtained in a court of competent jurisdiction. In the event that an appeal taken from the judgment or conviction results in a reversal thereof, the debarment or suspension will be removed upon request of the affected person unless other cause exists.

(d) The existence of a cause set forth in § 60.3(5)—(11) will be established by evidence which the Department determines to be clear and convincing in nature.

(e) Debarment or suspension for the cause set forth in § 60.3(11) will be proper provided that one of the causes set forth in § 60.3(1)—(10) was the basis for debarment or suspension by the original agency. The action may be based entirely on the record of facts obtained by the original governmental entity or upon a combination of the facts and additional facts.

History

Authority: The provisions of this Chapter 60 issued under sections 507, 2401.1, 2403, 2406—2410 and 2412 of The Administrative Code of 1929 (71 P. S. § § 187, 631.1, 633, 636—640 and 642), unless otherwise noted.
Source: The provisions of this § 60.6 amended February 18, 1983, effective August 4, 1979, 13 Pa.B. 781. Immediately preceding text appears at serial page (43737).

4 Pa. Code § 60.5 Period and scope.

(a) Debarments will be for a reasonable, definitely stated period of time, commensurate with the seriousness of the cause therefor. As a general rule, debarment will not exceed 3 years. Debarment for an additional period will be permitted provided that notice thereof is furnished and opportunity for opposition is given in accordance with § 60.6 (relating to procedure). Debarment may be modified by reducing the period thereof when justified by the circumstances.

(b) Debarment may include known affiliates provided that each decision to include an affiliate is made on a case-by-case basis after giving due regard to relevant facts and the circumstances. The fraud or criminal conduct of an individual may be imputed to the business firm with which he is connected when the impropriety involved was performed in the course of official duty or with the knowledge or approval of the business firm.

(c) The Secretary, at his discretion, may permit contracting with the Commonwealth by a debarred person to a limited extent in order to provide an opportunity to demonstrate responsibility for consideration on modifying or reducing the period of debarment.

History

Authority: The provisions of this Chapter 60 issued under sections 507, 2401.1, 2403, 2406—2410 and 2412 of The Administrative Code of 1929 (71 P. S. § § 187, 631.1, 633, 636—640 and 642), unless otherwise noted.
Source: The provisions of this § 60.6 amended February 18, 1983, effective August 4, 1979, 13 Pa.B. 781. Immediately preceding text appears at serial page (43737).

4 Pa. Code § 60.6 Procedure for debarment.

(a) The Department will furnish the person and its known affiliates with written notice of a proposed debarment stating:

(1) That debarment is being considered.

(2) The reasons for the proposed debarment.

(3) The period of time to be afforded to present information for consideration.

(4) That no contracts will be awarded pending the debarment determination.

(b) Information in opposition may be presented in person, in writing or through representation within 30 days of written notice. After the expiration of 30 days but prior to the expiration of 90 days from date of notice, a determination will be made. The provisions of this subsection supersede the provisions of 1 Pa. Code § 35.35 (relating to answers to complaints and petitions).

(1) Reference the notice of proposed debarment;

(2) Set forth the reasons.

(3) State the period and effective dates.

The provisions of this § 60.6 amended February 18, 1983, effective August 4, 1979, 13 Pa.B. 781. Immediately preceding text appears at serial page (43737).

This section cited in 4 Pa. Code § 60.5 (relating to period and scope).

History

Authority: The provisions of this Chapter 60 issued under sections 507, 2401.1, 2403, 2406—2410 and 2412 of The Administrative Code of 1929 (71 P. S. § § 187, 631.1, 633, 636—640 and 642), unless otherwise noted.
Source: The provisions of this § 60.6 amended February 18, 1983, effective August 4, 1979, 13 Pa.B. 781. Immediately preceding text appears at serial page (43737).

4 Pa. Code § 60.7 Suspension.

(a) Cause. The Secretary or his authorized representative may, in the interest of the Commonwealth, upon approval by an Assistant Counsel, suspend a person:

(1) Suspected, upon prima facie evidence, of the causes set forth in § 60.3 (relating to cause for debarment).

(2) For other causes of a serious and compelling nature, affecting responsibility as a Commonwealth contractor or subcontractor, as may be determined by the Secretary to justify suspension.

(b) Period of suspension. Suspensions will be for a temporary period pending the completion of an investigation and legal proceedings as may ensue. In the event prospective action is not initiated by an appropriate prosecutorial official within 6 months from the date of the notice of suspension, the suspension will be terminated unless an Assistant Counsel requests continuance of the suspension in writing, in which case the suspension may be continued for an additional 3 months. When prosecutive action is initiated, the suspension may continue until the legal proceedings are completed.

(c) Notice of suspension. Upon suspension, the person concerned will immediately be furnished a written notice of the suspension by the Secretary or his authorized representative. This notice will state:

(1) That the suspension is based on prima facie evidence that the person has committed irregularities of a serious nature in business dealings with the Commonwealth or that the suspension is based on the propriety of further dealings of the person with the Commonwealth, together with a statement of the nature of irregularities in general terms.

(2) That the suspension is for a temporary period pending the completion of an investigation and legal proceedings as may ensue.

(3) That bids and proposals will not be solicited from the person and, if received, will not be considered and that awards of contracts may not be made unless it is determined to be in the best interest of the Commonwealth by the Secretary to do so.

(4) The suspension is effective throughout the Department.

History

Authority: The provisions of this Chapter 60 issued under sections 507, 2401.1, 2403, 2406—2410 and 2412 of The Administrative Code of 1929 (71 P. S. § § 187, 631.1, 633, 636—640 and 642), unless otherwise noted.
Source: The provisions of this § 60.6 amended February 18, 1983, effective August 4, 1979, 13 Pa.B. 781. Immediately preceding text appears at serial page (43737).

Chapter 66 Employment Verification—Statement of Policy

4 Pa. Code § 66.1 Background and purpose.

(a) To prevent unauthorized employment, the Federal government created the EVP to ensure that companies employ a legal workforce. The EVP is an Internet-based program operated by the United States Department of Homeland Security that compares information from an employee’s Form I-9, Employment Eligibility Verification, to data from United States Department of Homeland Security and Social Security Administration records to confirm employment eligibility.

(b) The purpose of this chapter is to set forth the Department’s policy guidelines for the scope, administration and enforcement of the act.

(c) The Department is responsible to implement the Commonwealth’s process of notification, investigation and compliance with the act. Contractors and subcontractors performing work on a public works project shall comply with the act as set forth in this chapter by utilizing the EVP.

The provisions of this § 66.1 amended July 21, 2023, effective July 22, 2023, 53 Pa.B. 3833. Immediately preceding text appears at serial page (364605).

History

Source: The provisions of this § 66.9 amended July 21, 2023, effective July 22, 2023, 53 Pa.B. 3833. Immediately preceding text appears at serial pages (364608) to (364610).

4 Pa. Code § 66.2 Scope of work subject to the EVP.

(a) The act applies to public works contractors and subcontractors performing on a public works contract paid for in whole or in part out of the funds of a public body when the cost of the total project is in excess of $25,000.

(b) The cost of the total project must include the sum of prime contracts to be issued by the public body for the project.

(c) To the extent the cost of the total project is in excess of $25,000, contracts and subcontracts, regardless of value, shall comply with the act.

(d) The act does not apply to maintenance work or work performed under a manpower or rehabilitation training program.

The provisions of this § 66.2 amended July 21, 2023, effective July 22, 2023, 53 Pa.B. 3833. Immediately preceding text appears at serial page (364605).

History

Source: The provisions of this § 66.9 amended July 21, 2023, effective July 22, 2023, 53 Pa.B. 3833. Immediately preceding text appears at serial pages (364608) to (364610).

4 Pa. Code § 66.3 Definitions.

The following words and terms, when used in this chapter, have the following meanings, unless the context clearly indicates otherwise: Act—The Public Works Employment Verification Act (71 P.S. § § 656.1—656.11). Contract—A type of written agreement, regardless of what it may be called, for the procurement of construction work. Department—The Department of General Services. EVP—E-Verify program—The program operated by the United States Department of Homeland Security that electronically verifies employment eligibility. Employee—An individual hired by a public works contractor or a subcontractor for whom a public works contractor or subcontractor is required by law to file a Form W-2 with the Internal Revenue Service. Form—Public Works Employment Verification Form. Maintenance work—Annual inspection or routine upkeep of an existing facility which does not alter the use or size of the facility. Public body—The Commonwealth, its political subdivisions, authorities created by the General Assembly of the Commonwealth and instrumentalities or agencies of the Commonwealth. Public works—

(i) The construction, reconstruction, demolition, alteration or repair work other than maintenance work done under contract and paid for in whole or in part out of the funds of a public body when the estimated cost of the total project is in excess of $25,000.

(ii) The term does not include work performed under a manpower or rehabilitation training program. Public works contractor—A contractor that provides work under a contract involving public works. Secretary—The Secretary of the Department. Subcontractor—

(i) A person, other than a natural person, including a staffing agency, that performs work for a public works contractor under a contract for public works.

(ii) The term includes subcontractors of every level, that is, sub-subcontractors, sub-sub-subcontractors, and the like.

(iii) The term does not include persons that supply materials for a project. Willful—An action or conduct undertaken intentionally or with reckless disregard for or deliberate ignorance of the requirements and obligations established under the act.

The provisions of this § 66.3 amended July 21, 2023, effective July 22, 2023, 53 Pa.B. 3833. Immediately preceding text appears at serial page (364606).

History

Source: The provisions of this § 66.9 amended July 21, 2023, effective July 22, 2023, 53 Pa.B. 3833. Immediately preceding text appears at serial pages (364608) to (364610).

4 Pa. Code § 66.4 General requirements for public works contractors and subcontractors.

(a) Public works contractors and every subcontractor performing work under a public works contract shall utilize the EVP to verify the employment eligibility of each new employee.

(b) Public works contractors and every subcontractor performing work under a public works contract shall submit the Form to the contracting public body to ensure compliance with the EVP.

(c) In addition to the Form, public works contractors and every public works subcontractor shall maintain documentation of continued compliance with the act by utilizing the EVP to verify all new employees hired throughout the duration of the public work contract.

The provisions of this § 66.4 amended July 21, 2023, effective July 22, 2023, 53 Pa.B. 3833. Immediately preceding text appears at serial page (364607).

History

Source: The provisions of this § 66.9 amended July 21, 2023, effective July 22, 2023, 53 Pa.B. 3833. Immediately preceding text appears at serial pages (364608) to (364610).

4 Pa. Code § 66.5 Specific requirements for public works contractors.

(a) As a precondition to the award of a contract for public work, a public works contractor shall submit a completed Form to the public body that is bidding and awarding the public work contract. Throughout the duration of a public works contract, a new employee hired by a public works contractor, regardless of whether he will be working onsite or offsite of a public work or otherwise, shall be verified within 5 business days of his start date.

(b) Subcontracts between a public works contractor and its subcontractors are required to contain notification of the applicability of the act, information regarding the use of the EVP and reference to the Department’s web site at www.dgs.state.pa.us to obtain a copy of the Form.

(c) A public works contractor shall cooperate with the Department during an investigation or audit arising under the act.

The provisions of this § 66.5 amended July 21, 2023, effective July 22, 2023, 53 Pa.B. 3833. Immediately preceding text appears at serial page (364607).

History

Source: The provisions of this § 66.9 amended July 21, 2023, effective July 22, 2023, 53 Pa.B. 3833. Immediately preceding text appears at serial pages (364608) to (364610).

4 Pa. Code § 66.6 Specific requirements for public works subcontractors.

(a) Prior to beginning either onsite or offsite work on a public works project, every subcontractor shall submit a completed Form to the contracting public body. During a public works contract, a new employee hired by a public works subcontractor, regardless of whether he will be working onsite or offsite of a public work or otherwise, shall be verified within 5 business days of his start date.

(b) Subcontracts between a subcontractor and its subcontractors are required to contain notification of the applicability of the act, information regarding the use of the EVP and reference to the Department’s web site at www.dgs.state.pa.us to obtain a copy of the Form.

The provisions of this § 66.6 amended July 21, 2023, effective July 22, 2023, 53 Pa.B. 3833. Immediately preceding text appears at serial pages (364607) to (364608).

History

Source: The provisions of this § 66.9 amended July 21, 2023, effective July 22, 2023, 53 Pa.B. 3833. Immediately preceding text appears at serial pages (364608) to (364610).

4 Pa. Code § 66.7 Public Works Employment Verification Form.

(a) The Form for use by public bodies, public works contractors and subcontractors is posted on the Department’s web site at www.dgs.state.pa.us. The Form may not be changed or altered.

(b) The Form shall be signed by an authorized representative of the public works contractor or subcontractor. The representative shall have sufficient knowledge to make the representations and certifications in the Form.

(c) The Department may require the public works contractor or subcontractor to provide supporting documentation that the representative signing the Form had authority to legally bind the public works contractor or subcontractor.

(d) The submitted Forms shall be retained by the public body for the duration of the public work contract.

The provisions of this § 66.7 amended July 21, 2023, effective July 22, 2023, 53 Pa.B. 3833. Immediately preceding text appears at serial page (364608).

History

Source: The provisions of this § 66.9 amended July 21, 2023, effective July 22, 2023, 53 Pa.B. 3833. Immediately preceding text appears at serial pages (364608) to (364610).

4 Pa. Code § 66.8 Violations.

A public works contractor or subcontractor violates the act if it does either of the following:

(1) Fails to verify the employment eligibility of a new employee through EVP in accordance with the act and this chapter.

(2) Makes a false statement or misrepresentation in connection with the completion or submission of the Form to a public body.

The provisions of this § 66.8 amended July 21, 2023, effective July 22, 2023, 53 Pa.B. 3833. Immediately preceding text appears at serial page (364608).

History

Source: The provisions of this § 66.9 amended July 21, 2023, effective July 22, 2023, 53 Pa.B. 3833. Immediately preceding text appears at serial pages (364608) to (364610).

4 Pa. Code § 66.9 Enforcement.

The Department will enforce the act through investigations, audits, sanctions and civil penalties in accordance with the following guidelines.

(1) Investigations of complaints. The Department will accept, review and investigate timely and credible complaints filed on the Complaint Form posted on the Department’s web site.

(i) A complaint must contain sufficient information to enable the Department to investigate the allegation. The Department reserves the right to reject complaints that do not provide sufficient information.

(ii) The Department will also consider the timeliness of the complaint in assessing its credibility. A complaint is generally considered timely if it is filed prior to the date on which final payment is issued on the public works contract.

(iii) Public bodies, public works contractors and subcontractors shall cooperate with the Department during the investigation of a complaint.

(2) Audits. The Department will conduct complaint-based and random audits of public works contractors and subcontractors performing a public works contract for a public body in this Commonwealth. The Department reserves the right to determine the time, place and nature of audits.

(i) Public bodies, public works contractors and subcontractors shall cooperate with the Department during an audit.

(ii) Upon an audit, the Department may request, and the public works contractors and subcontractors shall provide, the following:

(A) Documentation of the date of hire of all employees.

(B) Documentation of compliance with the act through the utilization of EVP.

(3) Sanctions.

(i) If the Department’s investigation determines that a public works contractor or subcontractor failed to verify an employee through the use of EVP in accordance with the act and this chapter, the Department will issue sanctions as follows:

(A) First violation. The Department will issue a warning letter to the public works contractor or subcontractor detailing the violation. This letter will be posted on the Department’s E-Verify web site at www.dgs.state.pa.us. A violation by a public works contractor or subcontractor that occurs 10 years or more after a prior violation will be deemed to be a first violation for purposes of sanctions.

(B) Second violation. The Department will initiate debarment proceedings against the public works contractor or subcontractor. Once final, these proceedings will prevent a public works contractor or subcontractor from submitting a bid or being awarded a contract or subcontract on a public works contract in this Commonwealth for 60 calendar days from the date of debarment.

(C) Third and subsequent violations. The Department will initiate debarment proceedings against the public works contractor or subcontractor. Once final, these proceedings will prevent a public work contractor or a subcontractor from submitting a bid or being awarded a contract or subcontract on a public works contract in this Commonwealth for not less than 1 year and not more than 2 years from the date of debarment.

(ii) Willful violation. If the Department investigates and forms a reasonable belief that there has been a willful violation of the act, the Secretary will file a petition in Commonwealth Court seeking the Court to issue a rule to show cause why a public works contractor or subcontractor did not engage in a willful violation of the act. If the Court finds that there was a willful violation, the Department will petition to have the public works contractor or subcontractor debarred from public work contracts for 3 years from the date of the Court’s determination.

(4) Civil penalties. If the Secretary or a designee makes a written determination that the violation is for failing to provide the Form as required or making a false statement or misrepresentation in the Form, the Department will assess a civil penalty of not less than $2,500 and not more than $25,000 for each violation. The amount of the penalty is at the Department’s discretion. The Department will consider the duration and severity of the violation, and prior violations in imposing civil penalties.

(5) Notice and appeal. Sanctions or civil penalties imposed by the Department, other than those violations found to be willful, are subject to the notice, appeal and other provisions of 2 Pa.C.S. (relating to administrative law and procedure).

The provisions of this § 66.9 amended July 21, 2023, effective July 22, 2023, 53 Pa.B. 3833. Immediately preceding text appears at serial pages (364608) to (364610).

History

Source: The provisions of this § 66.9 amended July 21, 2023, effective July 22, 2023, 53 Pa.B. 3833. Immediately preceding text appears at serial pages (364608) to (364610).

Subpart D Automobiles

Chapter 71 Commonwealth Parking Facilities

4 Pa. Code § 71.1 Purpose.

This chapter has been promulgated to effect maximum utilization of parking facilities available for use by Commonwealth employees and to provide standard rules and regulations for the administration and management of the parking facilities.

The provisions of this § 71.1 amended under sections 506, 2401.1, 2402(a) and 2416(e) of The Administrative Code of 1929 (71 P.S. § § 186, 631.1, 632(a) and 646(e)).

The provisions of this § 71.1 amended January 10, 2025, effective January 11, 2025, 55 Pa.B. 257. Immediately preceding text appears at serial page (240670).

History

Authority: The provisions of this § 71.46 deleted under sections 506, 2401.1, 2402(a) and 2416(e) of The Administrative Code of 1929 (71 P.S. § § 186, 631.1, 632(a) and 646(e)).
Source: The provisions of this § 71.46 deleted January 10, 2025, effective January 11, 2025, 55 Pa.B. 257. Immediately preceding text appears at serial pages (240677) to (240678).

4 Pa. Code § 71.2 General.

(a) The Commonwealth will recognize to the best of its ability its responsibility for providing parking facilities for those employees who are required to travel by privately owned vehicle to their place of employment. It should be realized, however, that the Commonwealth is unable to provide parking facilities for all employees.

(b) Parking permits will be allocated on the basis of Capitol Complex employee complement of each department, board or commission.

(c) The head of each department, board or commission with offices and employee complement in the Capitol Complex area shall name an individual to act as parking officer who is empowered to handle all matters peculiar to the administration and management of that part of the Commonwealth Parking System as pertains to the department, board or commission. The name, title, telephone number, email address and office address of the parking officer, hereafter referred to as Departmental Parking Officer, shall be furnished to the Commonwealth Parking Officer, Department of General Services.

The provisions of this § 71.2 amended under sections 506, 2401.1, 2402(a) and 2416(e) of The Administrative Code of 1929 (71 P.S. § § 186, 631.1, 632(a) and 646(e)).

The provisions of this § 71.2 amended January 10, 2025, effective January 11, 2025, 55 Pa.B. 257. Immediately preceding text appears at serial page (240670).

History

Authority: The provisions of this § 71.46 deleted under sections 506, 2401.1, 2402(a) and 2416(e) of The Administrative Code of 1929 (71 P.S. § § 186, 631.1, 632(a) and 646(e)).
Source: The provisions of this § 71.46 deleted January 10, 2025, effective January 11, 2025, 55 Pa.B. 257. Immediately preceding text appears at serial pages (240677) to (240678).

4 Pa. Code § 71.3 Responsibilities.

(a) The Commonwealth Parking Officer has the following duties:

(1) To allocate parking spaces for use of the Capitol Complex employee complement of Commonwealth departments, boards and commissions.

(2) To establish and define parking assignment reporting requirements.

(3) To maintain appropriate records of parking allocations and assignments.

(4) To respond to or refer inquiries relative to assignment of parking permits to the appropriate parking officer.

(5) To procure and furnish Departmental Parking Officers with adequate supplies of permanent and temporary parking permits.

(6) To coordinate all matters peculiar to special policing requirements of parking areas with the Superintendent—Capitol Police, Department of General Services.

(b) Departmental Parking Officers have the following duties:

(1) To assign allocated parking spaces to members of the employee complement of their department, board or commission. Parking permits, whether permanent or temporary, may be assigned only to agency allocations.

(2) To review parking assignments to ensure compliance with the purpose and intent of this chapter.

(3) To maintain records of parking allocations and assignments.

(4) To compile and submit reports required by the Commonwealth Parking Officer or other authority.

The provisions of this § 71.3 amended under sections 506, 2401.1, 2402(a) and 2416(e) of The Administrative Code of 1929 (71 P.S. § § 186, 631.1, 632(a) and 646(e)).

The provisions of this § 71.3 amended January 10, 2025, effective January 11, 2025, 55 Pa.B. 257. Immediately preceding text appears at serial pages (240670) to (240671).

History

Authority: The provisions of this § 71.46 deleted under sections 506, 2401.1, 2402(a) and 2416(e) of The Administrative Code of 1929 (71 P.S. § § 186, 631.1, 632(a) and 646(e)).
Source: The provisions of this § 71.46 deleted January 10, 2025, effective January 11, 2025, 55 Pa.B. 257. Immediately preceding text appears at serial pages (240677) to (240678).

4 Pa. Code § 71.4 Suggested priorities for parking assignments.

The following priorities should be given prime consideration in the assignment of parking spaces:

(1) Officials requiring the car for performance of assigned duties, such as department heads or other officials using the car during the day for official business.

(2) {Reserved}.

(3) Individuals who commute from an area beyond public transportation and who cannot reach employment except by the individual’s own car.

(4) Regularly assigned State cars that must be parked near the agency for daily business use. On the parking permits for State cars, the bureau, division or other unit designation must be listed in the name and address column along with the license number and category.

(5) Individuals who participate in a carpool. For carpools, a permit will be assigned to a principal driver and recorded as such by the Departmental Parking Officer, along with alternate drivers. An alternate driver may use this permit during any absence of the principal driver.

(6) Individuals with irregular working hours.

The provisions of this § 71.4 amended under sections 506, 2401.1, 2402(a) and 2416(e) of The Administrative Code of 1929 (71 P.S. § § 186, 631.1, 632(a) and 646(e)).

The provisions of this § 71.4 amended January 10, 2025, effective January 11, 2025, 55 Pa.B. 257. Immediately preceding text appears at serial page (240671).

History

Authority: The provisions of this § 71.46 deleted under sections 506, 2401.1, 2402(a) and 2416(e) of The Administrative Code of 1929 (71 P.S. § § 186, 631.1, 632(a) and 646(e)).
Source: The provisions of this § 71.46 deleted January 10, 2025, effective January 11, 2025, 55 Pa.B. 257. Immediately preceding text appears at serial pages (240677) to (240678).

4 Pa. Code § 71.5 Trading assigned parking permits.

(a) The Departmental Parking Officer shall approve or disapprove the trading of assigned permits between employees of the department.

(b) The trading of assigned permits between employees of different departments is prohibited and if it is found to have occurred, the Departmental Parking Officer will recall the parking permit from the assignee.

The provisions of this § 71.5 amended under sections 506, 2401.1, 2402(a) and 2416(e) of The Administrative Code of 1929 (71 P.S. § § 186, 631.1, 632(a) and 646(e)).

The provisions of this § 71.5 amended January 10, 2025, effective January 11, 2025, 55 Pa.B. 257. Immediately preceding text appears at serial page (240671).

History

Authority: The provisions of this § 71.46 deleted under sections 506, 2401.1, 2402(a) and 2416(e) of The Administrative Code of 1929 (71 P.S. § § 186, 631.1, 632(a) and 646(e)).
Source: The provisions of this § 71.46 deleted January 10, 2025, effective January 11, 2025, 55 Pa.B. 257. Immediately preceding text appears at serial pages (240677) to (240678).

4 Pa. Code § 71.6 Miscellaneous requirements and prohibitions.

(a) Types and styles of parking permits will vary with need. Specific instructions for the type and style of the permit will be furnished to the employee with the permit at the time of issue. These instructions are in addition to the requirements contained in this chapter.

(b) The Departmental Parking Officer shall ensure that no employee has the use of more than one parking space on Commonwealth parking facilities.

(c) Vehicle operators shall be personally responsible for ensuring that parking permits are properly positioned or displayed on the vehicle they park on Commonwealth parking facilities.

(d) Parking permits shall be replaced when they are no longer legible. Damaged permits shall be returned to the Departmental Parking Officer by the assignee with a request for a replacement.

(e) Parking permits shall be returned to the Departmental Parking Officer, agency of issue, when an employee departs State service, transfers to another State agency or at the request of the Departmental Parking Officer.

(f) Display of placards or signs designating ‘‘Official Business,’’ ‘‘Messenger,’’ ‘‘Mail Car,’’ ‘‘Service Car’’ and similar statements instead of an official parking permit provided by the Department of General Services is not authorized and the operator will be cited for violation of the parking rules and regulations.

(g) The Commonwealth is not responsible for fire, theft or damage to any vehicle, or its contents, while it is parked on Commonwealth parking facilities.

(h) Unauthorized fabrication or duplication of official parking permits is unlawful, and offenders will be cited for violation of laws, rules and regulations.

(i) Parking permits will be issued for the nearest available parking area to the employee’s place of employment, to the extent possible and practical.

The provisions of this § 71.6 amended under sections 506, 2401.1, 2402(a) and 2416(e) of The Administrative Code of 1929 (71 P.S. § § 186, 631.1, 632(a) and 646(e)).

The provisions of this § 71.6 amended January 10, 2025, effective January 11, 2025, 55 Pa.B. 257. Immediately preceding text appears at serial pages (240671) to (240672).

History

Authority: The provisions of this § 71.46 deleted under sections 506, 2401.1, 2402(a) and 2416(e) of The Administrative Code of 1929 (71 P.S. § § 186, 631.1, 632(a) and 646(e)).
Source: The provisions of this § 71.46 deleted January 10, 2025, effective January 11, 2025, 55 Pa.B. 257. Immediately preceding text appears at serial pages (240677) to (240678).

4 Pa. Code § 71.11 General requirements.

(a) Temporary parking permits will be issued only against known vacancies in permanently allocated spaces. Temporary parking permits must be initialed by the Departmental Parking Officer.

(b) Upon the expiration of the time designated on the temporary permit, the temporary permit shall be returned to the Departmental Parking Officer by the assignee. Failure to do so will forfeit future parking privileges.

(d) A temporary parking permit will not be issued to an employee who leaves a personal car parked in an assigned space for a State car. The permanent parking permit for the State car may be transferred to the personal car but must be returned to the State car when the State car is parked in its assigned area.

The provisions of this § 71.11 amended under sections 506, 2401.1, 2402(a) and 2416(e) of The Administrative Code of 1929 (71 P.S. § § 186, 631.1, 632(a) and 646(e)).

The provisions of this § 71.11 amended January 10, 2025, effective January 11, 2025, 55 Pa.B. 257. Immediately preceding text appears at serial page (240672).

History

Authority: The provisions of this § 71.46 deleted under sections 506, 2401.1, 2402(a) and 2416(e) of The Administrative Code of 1929 (71 P.S. § § 186, 631.1, 632(a) and 646(e)).
Source: The provisions of this § 71.46 deleted January 10, 2025, effective January 11, 2025, 55 Pa.B. 257. Immediately preceding text appears at serial pages (240677) to (240678).

4 Pa. Code § 71.21 Reporting and investigating.

(a) Lost or stolen permits shall be reported to the Commonwealth Parking Officer by giving the name of the person to whom the permit was issued and the permit and area numbers.

(b) A person using a State car shall be responsible for notifying the Departmental Parking Officer if the State car has no parking permit. Unless there is evidence of a theft through break-in, the person who operated the State car immediately preceding the report shall be responsible for the loss of the permit.

(d) {Reserved}.

(e) The Departmental Parking Officer should require factual information concerning the reported lost or stolen permit before requesting an investigation by the Capitol Police.

The provisions of this § 71.21 amended under sections 506, 2401.1, 2402(a) and 2416(e) of The Administrative Code of 1929 (71 P.S. § § 186, 631.1, 632(a) and 646(e)).

The provisions of this § 71.21 amended January 10, 2025, effective January 11, 2025, 55 Pa.B. 257. Immediately preceding text appears at serial page (240673).

History

Authority: The provisions of this § 71.46 deleted under sections 506, 2401.1, 2402(a) and 2416(e) of The Administrative Code of 1929 (71 P.S. § § 186, 631.1, 632(a) and 646(e)).
Source: The provisions of this § 71.46 deleted January 10, 2025, effective January 11, 2025, 55 Pa.B. 257. Immediately preceding text appears at serial pages (240677) to (240678).

4 Pa. Code § 71.31 General requirement.

(a) Agency requirements for special visitor parking for conferences, committee meetings and other special purposes shall be submitted to the Departmental Parking Officer at least 4 working days prior to the date of requirement.

(b) The Departmental Parking Officer shall consider these special requirements in certain designated areas. Because the special visitor parking areas are limited, requests shall be honored on a first come, first served basis.

The provisions of this § 71.31 amended under sections 506, 2401.1, 2402(a) and 2416(e) of The Administrative Code of 1929 (71 P.S. § § 186, 631.1, 632(a) and 646(e)).

The provisions of this § 71.31 amended January 10, 2025, effective January 11, 2025, 55 Pa.B. 257. Immediately preceding text appears at serial page (240673).

History

Authority: The provisions of this § 71.46 deleted under sections 506, 2401.1, 2402(a) and 2416(e) of The Administrative Code of 1929 (71 P.S. § § 186, 631.1, 632(a) and 646(e)).
Source: The provisions of this § 71.46 deleted January 10, 2025, effective January 11, 2025, 55 Pa.B. 257. Immediately preceding text appears at serial pages (240677) to (240678).

4 Pa. Code § 71.41 Surveys to ensure maximum utilization.

(a) Surveys shall be made periodically by the Commonwealth Parking Officer of the various parking facilities to ensure maximum utilization.

(b) The survey of the Parking Facilities with lined and numbered stalls shall include a record of unoccupied stalls. Stalls vacant more than half of the time shall be brought to the attention of the Departmental Parking Officers of the departments involved. If such vacancies persist, the Commonwealth Parking Officer may withdraw these spaces from the allocation of such department and reallocate to another agency.

The provisions of this § 71.41 amended under sections 506, 2401.1, 2402(a) and 2416(e) of The Administrative Code of 1929 (71 P.S. § § 186, 631.1, 632(a) and 646(e)).

The provisions of this § 71.41 amended January 10, 2025, effective January 11, 2025, 55 Pa.B. 257. Immediately preceding text appears at serial pages (240673) to (240674).

History

Authority: The provisions of this § 71.46 deleted under sections 506, 2401.1, 2402(a) and 2416(e) of The Administrative Code of 1929 (71 P.S. § § 186, 631.1, 632(a) and 646(e)).
Source: The provisions of this § 71.46 deleted January 10, 2025, effective January 11, 2025, 55 Pa.B. 257. Immediately preceding text appears at serial pages (240677) to (240678).

4 Pa. Code § 71.42 Instructions to permit holders.

(a) Proper parking accommodations necessitate the cooperation of the employee, Capitol Police and the Departmental Parking Officer. Therefore, the following instructions are issued for the employee so that effective operation of the parking facilities may be achieved:

(1) A parking permit shall be displayed where it can be easily read through the windshield on the driver’s side of the vehicle.

(2) Capitol Police Officers are not required to search for the permit or guess as to its information. Failure to comply with permit requirements constitutes unauthorized parking.

(3) {Reserved}.

(4) Upon leaving employment, even by transfer to another State agency, the employee’s parking permit shall be returned to the Departmental Parking Officer and the new agency should be consulted for parking accommodations. Permits not returned upon separation shall be reported to the Capitol Police as stolen. The agency will be sent an invoice for the replacement permit.

(5) {Reserved}.

(b) Parking permits shall be issued by the Departmental Parking Officer on the basis of relative need. They can be recalled as circumstances and needs change throughout the year.

The provisions of this § 71.42 amended under sections 506, 2401.1, 2402(a) and 2416(e) of The Administrative Code of 1929 (71 P.S. § § 186, 631.1, 632(a) and 646(e)).

The provisions of this § 71.42 amended January 10, 2025, effective January 11, 2025, 55 Pa.B. 257. Immediately preceding text appears at serial page (240674).

History

Authority: The provisions of this § 71.46 deleted under sections 506, 2401.1, 2402(a) and 2416(e) of The Administrative Code of 1929 (71 P.S. § § 186, 631.1, 632(a) and 646(e)).
Source: The provisions of this § 71.46 deleted January 10, 2025, effective January 11, 2025, 55 Pa.B. 257. Immediately preceding text appears at serial pages (240677) to (240678).

4 Pa. Code § 71.43 Underground garages.

(a) The following provisions shall be complied with by personnel using the underground garages:

(1) Parking spaces in the underground garages are assigned by individual stall numbers. The permit shows the stall number and does not authorize parking in any other stall. If the stall is found to be already occupied, report this to the Departmental Parking Officer and park only as directed. Do not park in someone else’s assigned stall.

(2) Parking in the garage on any level is restricted to passenger vehicles and motorcycles.

(3) When entering the garage, follow the directional signs, arrows and the directions of the Capitol Police Officer on duty, as applicable.

(4) Radio antennas must be kept down to the roof level of the car due to low ceiling height.

(5) Vehicles may not be driven in excess of 10 miles per hour.

(6) Headlights must be turned on low beam at all times when the car is in motion.

(7) The horn may be sounded only to avoid an accident. Cars must be brought to a full stop before entering the garage.

(8) {Reserved}.

(9) {Reserved}.

(10) No engines are to be run unnecessarily. Engines may be run only to arrive and depart from a parking position. To preclude unnecessary build-up of carbon monoxide and other gases, no preheating of cars during inclement weather is permitted.

(b) Violators will lose their indoor parking privilege for a violation of the provisions of this section.

The provisions of this § 71.43 amended under sections 506, 2401.1, 2402(a) and 2416(e) of The Administrative Code of 1929 (71 P.S. § § 186, 631.1, 632(a) and 646(e)).

The provisions of this § 71.43 amended January 10, 2025, effective January 11, 2025, 55 Pa.B. 257. Immediately preceding text appears at serial pages (240674) to (240675).

History

Authority: The provisions of this § 71.46 deleted under sections 506, 2401.1, 2402(a) and 2416(e) of The Administrative Code of 1929 (71 P.S. § § 186, 631.1, 632(a) and 646(e)).
Source: The provisions of this § 71.46 deleted January 10, 2025, effective January 11, 2025, 55 Pa.B. 257. Immediately preceding text appears at serial pages (240677) to (240678).

4 Pa. Code § 71.44 Compliance with procedure, parking violations, fines and penalties.

(a) General. Failure to comply with the procedures contained in this chapter and the posted parking instructions or restrictions at Commonwealth-owned or Commonwealth-leased parking areas constitutes unauthorized parking and operators of vehicles involved in the violation will be cited accordingly.

(b) Parking violations. Additionally, vehicle operators will be cited for violation when the vehicle they are operating, whether attended or unattended, is parked in any of the following:

(1) No parking zone.

(2) Bus zone.

(3) Unloading zone or entrance ramp.

(4) Reserved parking space or stall.

(c) Fines and payment. A person who receives from a Capitol Police Officer a parking ticket for violation of the parking rules and regulations contained in this chapter will be required to pay a fine of $30 (increased to $50 if not paid within 4 business days from date of violation). Instructions for payment of the fine are provided on the parking ticket. If the violator fails to pay the fine within the cited period, the record of violation will be forwarded to the Magisterial District Judge.

(d) Penalty. A person violating this chapter shall, upon summary conviction thereof, be sentenced to pay a fine of $50 and costs of prosecution and in default of payment, may be subject to imprisonment for not more than 5 days.

(e) Enforcement provisions. Enforcement of the provisions of this chapter shall conform with the following:

(1) Informations charging violations of any of the summary provisions of this chapter, in such detail as the department may prescribe as being necessary for its records, shall be brought before the designated Magisterial District Judge within the city, borough, incorporated town or township in the county where the alleged violation occurred within 90 days after the commission of the alleged offense and not thereafter, except that when an information is filed against a person prima facie guilty of a summary offense, and it subsequently appears that a person other than the person named in the information was the offender or violator, an information may be filed against that other person within 30 days after that person’s identity has been discovered, and not thereafter.

(2) A salaried member of the Capitol Police, when in uniform or exhibiting a badge or other sign of authority, whenever a violation of the rules and regulations described in this chapter is committed in their presence, is vested with the authority to present the alleged offender a printed notice citing the offense or violation, the reverse side of which contains the amounts of the fines and instructions for payment.

(3) The Commonwealth Parking Officer, upon accepting payment of the fine from an individual for a cited offense or violation, shall issue a receipt to the person acknowledging payment and shall record the payment upon the docket.

The provisions of this § 71.44 amended under sections 506, 2401.1, 2402(a) and 2416(e) of The Administrative Code of 1929 (71 P.S. § § 186, 631.1, 632(a) and 646(e)).

The provisions of this § 71.44 amended through August 9, 1974, 4 Pa.B. 1668; amended January 10, 2025, effective January 11, 2025, 55 Pa.B. 257. Immediately preceding text appears at serial pages (240675) to (240676).

History

Authority: The provisions of this § 71.46 deleted under sections 506, 2401.1, 2402(a) and 2416(e) of The Administrative Code of 1929 (71 P.S. § § 186, 631.1, 632(a) and 646(e)).
Source: The provisions of this § 71.46 deleted January 10, 2025, effective January 11, 2025, 55 Pa.B. 257. Immediately preceding text appears at serial pages (240677) to (240678).

4 Pa. Code § 71.45 Illegally parked vehicles to be towed away.

Unauthorized, illegally parked vehicles on Commonwealth parking facilities shall be towed away and placed in storage at the owner’s expense.

History

Authority: The provisions of this § 71.46 deleted under sections 506, 2401.1, 2402(a) and 2416(e) of The Administrative Code of 1929 (71 P.S. § § 186, 631.1, 632(a) and 646(e)).
Source: The provisions of this § 71.46 deleted January 10, 2025, effective January 11, 2025, 55 Pa.B. 257. Immediately preceding text appears at serial pages (240677) to (240678).

Chapter 73 Commonwealth Automotive Fleet

4 Pa. Code § 73.1 Purpose.

The purpose of this chapter is to establish provisions for operation and maintenance of the Commonwealth Automotive Fleet by State officers and employes.

History

Authority: The provisions of this Chapter 73 issued under sections 515 and 2407 of The Administrative Code of 1929 (71 P. S. § § 195 and 637), unless otherwise noted.
Source: The provisions of this Chapter 73 amended through March 6, 1981, effective March 7, 1981, 11 Pa.B. 806, unless otherwise noted. Immediately preceding text appears at serial page (49465).

4 Pa. Code § 73.2 Definitions.

The following words and terms, when used in this chapter, have the following meanings, unless the context clearly indicates otherwise: Agency—The Governor or any administrative department, board or commission, officer, departmental administrative board or commission, authority or other agency of the Commonwealth subject to The Administrative Code of 1929 (71 P. S. § § 51—732) in existence or hereafter created. Bureau—The Bureau of Vehicle Management of the Department. Commonwealth Automotive Fleet—All motor vehicles monitored or maintained by or under the supervision of the Department to satisfy the transportation needs of agencies. Department—The Department of General Services of the Commonwealth. Lease—A contractual arrangement for rent of a vehicle which involves no purchase option or equity accrual and where title to the vehicle remains with the lessor. Motor vehicle—Any vehicle propelled by a self-contained engine that is licensed to operate on roadways, such as an automobile, truck, van or motorcycle; the term excludes railway vehicles and motorized vehicles which do not require licenses; the term includes but is not limited to the following:

(i) Automobile. Commonwealth owned passenger cars and station wagons designed for the transportation of human passengers.

(ii) Commercial vehicles. Commonwealth owned trucks, vans, ambulances, buses, trailers and other types of vehicles used for highway transportation. Secretary—The Secretary of General Services of the Commonwealth.

History

Authority: The provisions of this Chapter 73 issued under sections 515 and 2407 of The Administrative Code of 1929 (71 P. S. § § 195 and 637), unless otherwise noted.
Source: The provisions of this Chapter 73 amended through March 6, 1981, effective March 7, 1981, 11 Pa.B. 806, unless otherwise noted. Immediately preceding text appears at serial page (49465).

4 Pa. Code § 73.3 Applicability.

This chapter applies to all motor vehicles required for the proper conduct of the business of the agencies which are purchased, monitored or maintained by or under the supervision of the Department.

History

Authority: The provisions of this Chapter 73 issued under sections 515 and 2407 of The Administrative Code of 1929 (71 P. S. § § 195 and 637), unless otherwise noted.
Source: The provisions of this Chapter 73 amended through March 6, 1981, effective March 7, 1981, 11 Pa.B. 806, unless otherwise noted. Immediately preceding text appears at serial page (49465).

4 Pa. Code § 73.4 General.

(a) The Department is responsible for the maintenance and operation of all automobiles owned by the Commonwealth or any agency; except that the Department of Transportation may continue to maintain automobiles purchased for it by the Department as purchasing agency.

(b) The types and numbers of motor vehicles purchased by the Department will be determined by the Bureau and approved by the Secretary, and the number and type of automobiles and station wagons are subject to approval by the Executive Board.

(c) When a particular type of motor vehicle is required on a temporary basis for the proper conduct of the business of an agency and such motor vehicle is not presently included in the Commonwealth fleet, the requesting agency may independently lease the necessary vehicle for a limited time period; provided, however, that such lease is reviewed for necessity and approved by the Bureau prior to any agency action. The using agency must provide the Bureau with a copy of the contract.

(d) When a particular type of motor vehicle is required on a permanent basis for the proper conduct of Commonwealth business by an agency and such motor vehicle is not available from the Commonwealth Automotive Fleet, the Bureau may authorize the purchase or inter-agency transfer of such a vehicle. The Bureau must review and approve all such requests prior to the procurement or transfer of the vehicle and must be provided with a copy of the contract.

History

Authority: The provisions of this Chapter 73 issued under sections 515 and 2407 of The Administrative Code of 1929 (71 P. S. § § 195 and 637), unless otherwise noted.
Source: The provisions of this Chapter 73 amended through March 6, 1981, effective March 7, 1981, 11 Pa.B. 806, unless otherwise noted. Immediately preceding text appears at serial page (49465).

4 Pa. Code § 73.5 Duties of agency automotive officers.

Any person designated as an automotive officer within an individual agency shall act as the chief liaison between the agency in which he is assigned and the Bureau in any matters affecting the use of vehicles of the Commonwealth Automotive Fleet. These automotive officers shall be responsible for maintaining and coordinating the motor vehicle requirements and monitoring the usage of all motor vehicles within their agency of employment. In addition, all processing of forms, distributing of vehicle paraphernalia, and regulating of vehicle adornments such as bumper stickers within the particular agency shall be managed by the automotive officer in strict coordination with the Bureau and in compliance with this chapter.

History

Authority: The provisions of this Chapter 73 issued under sections 515 and 2407 of The Administrative Code of 1929 (71 P. S. § § 195 and 637), unless otherwise noted.
Source: The provisions of this Chapter 73 amended through March 6, 1981, effective March 7, 1981, 11 Pa.B. 806, unless otherwise noted. Immediately preceding text appears at serial page (49465).

4 Pa. Code § 73.6 Permanent assignment of Commonwealth motor vehicles.

(a) Assignment. Assignment shall be as follows:

(1) Permanent assignment of motor vehicles from the Commonwealth Automotive Fleet shall be limited to individuals authorized for assignment as defined in § 39.98 (relating to permanent assignments) or whenever one of the following occurs:

(i) Their functions require the use of a vehicle equipped with a two-way radio.

(ii) Their functions require the use of a vehicle whose specifications meet the special needs of the function.

(iii) Their functions require them to be subject to regular and frequent call.

(iv) Their job functions are justified by the requesting agency head as requiring continual travel on Commonwealth business.

(2) It shall be the responsibility of each requesting agency, under the supervision of the Department, to insure proper use of Commonwealth vehicles in accordance with Chapter 39, Subchapter J (relating to use of state automobiles) and regulations promulgated through the Directives Management System by the Department.

(b) Review. Any assignment made pursuant to this section will be subject to periodic reevaluation by the Bureau. If at the time of reevaluation any agency is unable to adequately justify the need or explain discrepancies or irregularities concerning the operation of a permanently assigned vehicle, such assignment shall be forfeited and the needs of such agency will be fulfilled by a temporary assignment pursuant to § 73.7 (relating to temporary assignment of Commonwealth motor vehicles). Any permanent assignment will be considered personal and nontransferable within the agency. Reassignment of a vehicle within the requesting agency can only be accomplished by rejustifying the need for the actions in writing to the Bureau.

This section cited in 4 Pa. Code § 73.12 (relating to reporting).

History

Authority: The provisions of this Chapter 73 issued under sections 515 and 2407 of The Administrative Code of 1929 (71 P. S. § § 195 and 637), unless otherwise noted.
Source: The provisions of this Chapter 73 amended through March 6, 1981, effective March 7, 1981, 11 Pa.B. 806, unless otherwise noted. Immediately preceding text appears at serial page (49465).

4 Pa. Code § 73.7 Temporary assignment of Commonwealth motor vehicles.

(a) State employes in need of temporary transportation for the conduct of official Commonwealth business must obtain an official request form, properly execute all necessary sections, and submit the form to: Dispatch Office; Bureau of Vehicle Management; Department of General Services; 2221 Forster Street; Harrisburg, Pennsylvania in accordance with instructions issued through the Directives Management System.

(b) All requests must be approved and signed by a Deputy Secretary of a Department or the equivalent position in a Board or Commission and processed by the agency automotive officer.

This section cited in 4 Pa. Code § 73.6 (relating to permanent assignment of Commonwealth motor vehicles); and 4 Pa. Code § 73.12 (relating to reporting).

History

Authority: The provisions of this Chapter 73 issued under sections 515 and 2407 of The Administrative Code of 1929 (71 P. S. § § 195 and 637), unless otherwise noted.
Source: The provisions of this Chapter 73 amended through March 6, 1981, effective March 7, 1981, 11 Pa.B. 806, unless otherwise noted. Immediately preceding text appears at serial page (49465).

4 Pa. Code § 73.8 Operation of Commonwealth motor vehicles.

(a) Motor vehicles of the Commonwealth Automotive Fleet shall be operated by authorized Commonwealth officers or employes who are properly licensed to drive a motor vehicle by the Commonwealth. Occupants of the vehicles shall also be authorized officers or employes of the Commonwealth or such members of the public or private sector as are necessary for the conduct of the official business for which the vehicle is being operated.

(b) Operators of Commonwealth motor vehicles will be held fully responsible for the proper operation of the vehicle and will be held primarily liable for any costs and damages caused by negligence or actions beyond the scope of authorized use.

(c) Operators of Commonwealth motor vehicles will be held primarily liable for costs of operation and repairs to or replacement of a Commonwealth motor vehicle when it is determined that the vehicle was used beyond the scope of its authorized use or has been physically abused by the operator. The requesting agency will be held secondarily liable for costs and damages resulting from the unauthorized use or physical abuse of a vehicle by the operators of that agency.

(d) The State Police, other Commonwealth employes, and citizens in general are authorized and encouraged to investigate and report to the Secretary any known or suspected violations in the operation of Commonwealth vehicles.

(e) Any operator of a Commonwealth vehicle is required to use the most direct route. Any deviation therefrom may result in suspension of the operator privileges under § 73.9 (relating to sanctions).

(f) Except for those assignments made under § 39.98 (relating to permanent assignments), all operators of Commonwealth vehicles shall restrict their use of the vehicle to Commonwealth business and should only drive the vehicles between duty locations and the Commonwealth dispatch station; however, if the Department finds it necessary and proper for the efficient execution of Commonwealth business that a vehicle be driven between duty locations and the residence of an operator, the extended use may be authorized if the operator shall:

(1) Abstain from using the vehicle for personal use.

(2) Carry only Commonwealth employes or the members of the public sector as are necessary for the conduct of the official business for which the vehicle is being operated.

History

Authority: The provisions of this Chapter 73 issued under sections 515 and 2407 of The Administrative Code of 1929 (71 P. S. § § 195 and 637), unless otherwise noted.
Source: The provisions of this Chapter 73 amended through March 6, 1981, effective March 7, 1981, 11 Pa.B. 806, unless otherwise noted. Immediately preceding text appears at serial page (49465).

4 Pa. Code § 73.9 Sanctions.

If any operator is found in violation of this chapter or any directives management issuances under this chapter, the Department will suspend or revoke such privileges of an employe to operate or be assigned any motor vehicle controlled or supervised by the Department unless a showing of good cause refuting said violation may be established.

This section cited in 4 Pa. Code § 73.8 (relating to operation of Commonwealth motor vehicles).

History

Authority: The provisions of this Chapter 73 issued under sections 515 and 2407 of The Administrative Code of 1929 (71 P. S. § § 195 and 637), unless otherwise noted.
Source: The provisions of this Chapter 73 amended through March 6, 1981, effective March 7, 1981, 11 Pa.B. 806, unless otherwise noted. Immediately preceding text appears at serial page (49465).

4 Pa. Code § 73.10 Maintenance, repair, and supervision of Commonwealth motor vehicles.

(a) The maintenance, repair and supervision of Commonwealth motor vehicles will be governed by sections 515 and 2407 of The Administrative Code of 1929 (71 P. S. § § 195 and 637) and issuances published by the Department through the Directives Management System.

(b) Operators of Commonwealth motor vehicles shall be responsible for coordinating maintenance and repair activity, including the obtaining of estimates and processing of invoices, with their assigned automotive officers.

(c) Operators of permanently assigned Commonwealth motor vehicles shall be responsible for insuring that the routine preventive maintenance of their vehicles is properly and regularly performed.

(d) Agencies using permanently assigned Commonwealth motor vehicles obtained through special funds will be responsible for the operational costs including routine and major repairs and maintenance.

(e) Each operator of a temporarily assigned Commonwealth motor vehicle shall be responsible for performing routine servicing duties for the vehicle during the term of its dispatch.

History

Authority: The provisions of this Chapter 73 issued under sections 515 and 2407 of The Administrative Code of 1929 (71 P. S. § § 195 and 637), unless otherwise noted.
Source: The provisions of this Chapter 73 amended through March 6, 1981, effective March 7, 1981, 11 Pa.B. 806, unless otherwise noted. Immediately preceding text appears at serial page (49465).

4 Pa. Code § 73.11 Purchasing fuel and other services.

(a) Commonwealth motor vehicles shall, whenever possible, be fueled at the following locations: the Commonwealth Garage, Harrisburg and Penn-DOT County Maintenance Offices, Statewide. In the Harrisburg area, all fuel and oil shall be purchased at the Commonwealth Garage.

(b) Each Commonwealth vehicle will have an official Commonwealth credit card. Credit cards may be used by the operator to purchase general maintenance items such as fuel, oil, antifreeze or window solvent and for obtaining emergency repairs as necessary.

History

Authority: The provisions of this Chapter 73 issued under sections 515 and 2407 of The Administrative Code of 1929 (71 P. S. § § 195 and 637), unless otherwise noted.
Source: The provisions of this Chapter 73 amended through March 6, 1981, effective March 7, 1981, 11 Pa.B. 806, unless otherwise noted. Immediately preceding text appears at serial page (49465).

4 Pa. Code § 73.12 Reporting.

(a) Reporting requirements shall be governed by section 2407 of The Administrative Code of 1929 (71 P. S. § 637) and issuances published by the Department through the Directives Management System.

(b) Operators of Commonwealth motor vehicles on permanent assignment, as defined in § § 39.98 and 73.6 (relating to permanent assignments; and permanent assignment of Commonwealth motor vehicles) shall be responsible for completing and submitting Form GSVM-5, Monthly Report of Daily Maintenance Activity of Automotive Equipment, and for legibly and accurately documenting all required information on the cited form.

(c) Operators of Commonwealth motor vehicles on temporary assignment as defined in § 73.7 (relating to temporary assignment of Commonwealth motor vehicles) shall be responsible for completing Form Office of Administration-540, Request for Temporary Transportation, and for legibly and accurately documenting all required information on the cited form.

(d) Failure to submit Commonwealth vehicle reporting forms or evidence of intentional falsification of posted data relevant to the forms shall result in the immediate withdrawal of the vehicle from the operator and the forfeiture of the rights of that individual to operate or be assigned a Commonwealth motor vehicle controlled or supervised by the Department.

History

Authority: The provisions of this Chapter 73 issued under sections 515 and 2407 of The Administrative Code of 1929 (71 P. S. § § 195 and 637), unless otherwise noted.
Source: The provisions of this Chapter 73 amended through March 6, 1981, effective March 7, 1981, 11 Pa.B. 806, unless otherwise noted. Immediately preceding text appears at serial page (49465).

4 Pa. Code § 73.13 Emergency actions.

In times of emergency, the Secretary may temporarily waive parts of this chapter as are necessary to properly respond to an emergency.

(1) Administrative Circular No. 92-12, Dated March 31, 1992. State Employes Purchasing Vehicles at the Commonwealth Auction.

(2) Administrative Circular No. 92-15, Dated May 1, 1992. Use of Seat Belts in Commonwealth Fleet Vehicles.

(3) Administrative Circular No. 92-17, Dated May 5, 1992. Repairs and Maintenance, Commonwealth Automotive Fleet.

(4) Administrative Circular No. 92-18, Dated May 5, 1992. Automotive Fleet Maintenance Schedule.

(5) Administrative Circular No. 92-36, Dated September 15, 1992. Refueling of Commonwealth Automotive Fleet Vehicles.

History

Authority: The provisions of this Chapter 73 issued under sections 515 and 2407 of The Administrative Code of 1929 (71 P. S. § § 195 and 637), unless otherwise noted.
Source: The provisions of this Chapter 73 amended through March 6, 1981, effective March 7, 1981, 11 Pa.B. 806, unless otherwise noted. Immediately preceding text appears at serial page (49465).

Subpart E Publications

4 Pa. Code § 81.1 Purpose.

This chapter establishes the procedures for processing subscriptions for and sales of the Pennsylvania Code and related publications.

History

Authority: The provisions of this Chapter 81 issued under section 2406(j) of The Administrative Code of 1929 (71 P. S. § 636(j)), unless otherwise noted.
Source: The provisions of this Chapter 81 adopted August 31, 1973, 3 Pa.B. 1837, unless otherwise noted.

4 Pa. Code § 81.2 Scope.

This chapter applies to all departments and employes of the Commonwealth; however, it is specifically directed to the employes in the Bureau of Management Services, Department of General Services.

History

Authority: The provisions of this Chapter 81 issued under section 2406(j) of The Administrative Code of 1929 (71 P. S. § 636(j)), unless otherwise noted.
Source: The provisions of this Chapter 81 adopted August 31, 1973, 3 Pa.B. 1837, unless otherwise noted.

4 Pa. Code § 81.3 General.

(a) The Commonwealth Documents Law establishes and defines the authority for the Department of General Services, Bureau of Management Services to process subscriptions and individual orders and distribute to the public, upon proper payment to the Department, the Pennsylvania Code and related publications. The following provisions apply:

(1) Subscriptions and sales to the general public shall be accompanied with payment by cash, check or money order.

(2) Subscriptions and orders from Departmental agencies shall be made on Miscellaneous Order, Office of Administration-183, and accompanied with a State Treasury check.

(b) All moneys collected by the Department shall be paid into the State Treasury through the Department of Revenue to the credit of the appropriations of the Legislative Reference Bureau and the Department of General Services.

History

Authority: The provisions of this Chapter 81 issued under section 2406(j) of The Administrative Code of 1929 (71 P. S. § 636(j)), unless otherwise noted.
Source: The provisions of this Chapter 81 adopted August 31, 1973, 3 Pa.B. 1837, unless otherwise noted.

4 Pa. Code § 81.4 Procedure.

Transactions relative to subscriptions and sales of the Pennsylvania Code and related publications will be processed as follows:

(1) Checks or cash from orders, requests, subscription notices and the like shall be separated.

(2) Check number, date of check, amount of check or cash on orders, requests, subscription notices and the like shall be entered.

(3) Stamp orders, requests, subscription notices and the like shall be dated.

(4) Checks or cash shall be placed in the cash box, and the amount of cash only shall be placed on the card or in the book for accountability.

(5) Files for duplicate copy or carbon copies of expiration notices or letters shall be checked, and check number, date of check and amount of check shall be entered.

(6) Any and all changes from the original orders, requests, subscription notices and the like shall be made as indicated by the subscriber on to the duplicate copies, if any.

(7) Sufficient copies of orders, requests, subscription notices and distribute shall be made as follows:

(i) Original to printer.

(ii) Copy to Legislative Reference Bureau. Original and duplicates shall be mailed every Tuesday and Friday by 3 p.m., mail pick-up.

(iii) Copy for Management Services file.

(8) Form letter of acknowledgment to customer shall be prepared.

(9) On the 15th and 30th of each month or the closest working day, checks shall be endorsed accordingly by typewriter or rubber stamp and checks and cash shall be tabulated with paper tape and transmittal receipt statement shall be prepared in duplicate to the Comptroller’s Office, for the Director’s review and signature. The transmittal receipt statement shall include actual dollar sales, Pennsylvania Sales Tax and total. Dollar amount of checks and cash shall be itemized.

(10) Comptroller’s Office shall be phoned for approval to transmit checks and cash.

(11) Arrangements shall be made with messenger to handcarry transmittal.

(12) The Comptroller or his authorized representative shall acknowledge receipt of moneys on the transmittal statement, retain one copy and return the other copy to the Bureau of Management Services.

(13) The Comptroller shall furnish the Bureau of Management Services with a copy of the revenue transmittal receipted by the Treasury Department. This document shall be filed with and become a permanent part of the transmittal records.

(14) Any inquiries concerning nondelivery of publications or volumes may be directed to the Legislative Reference Bureau after checking our files to determine if order, request and the like was actually received and processed.

(15) Requests for single copies of a particular issue of a Pennsylvania Bulletin shall be forwarded to the Publication Warehouse, to mail as requested. No concern should be expressed if remittance is not enclosed, unless request is for a quantitative number of extra copies.

(16) Any problems concerning subscriptions, orders, requests that cannot be solved by any of the foregoing shall be given to the Director for compliance.

History

Authority: The provisions of this Chapter 81 issued under section 2406(j) of The Administrative Code of 1929 (71 P. S. § 636(j)), unless otherwise noted.
Source: The provisions of this Chapter 81 adopted August 31, 1973, 3 Pa.B. 1837, unless otherwise noted.

Chapter 83 Book Store Operation

4 Pa. Code § 83.1 Purpose.

This chapter defines the procedure for sales of Commonwealth publications, transmittal of moneys collected from the sales and the maintenance of the accounting system to be used by the Book Store.

History

Authority: The provisions of this Chapter 83 issued under section 2406(j) of The Administrative Code of 1929 (71 P. S. § 636(j)), unless otherwise noted.
Source: The provisions of this Chapter 83 adopted August 31, 1973, 3 Pa.B. 1838, unless otherwise noted.

4 Pa. Code § 83.2 Scope.

This chapter applies to all departments and employes of the Commonwealth, unless by special authorization from the Department of General Services to deviate, and to the employes of the Bureau of Publication and Paperwork Management involved in the operation and maintenance of the Book Store.

History

Authority: The provisions of this Chapter 83 issued under section 2406(j) of The Administrative Code of 1929 (71 P. S. § 636(j)), unless otherwise noted.
Source: The provisions of this Chapter 83 adopted August 31, 1973, 3 Pa.B. 1838, unless otherwise noted.

4 Pa. Code § 83.3 General.

(a) Section 2406(j) of The Administrative Code of 1929 (71 P. S. § 636(j)) establishes and defines the power and duty of the Department of General Services to distribute to the public, upon payment to the Department of such sum per copy as shall cover the cost of publication, any documents published by the Department for the Commonwealth, or any department, board, commission or officer thereof, which shall cost more than 10¢ per copy to publish, except documents published for the Governor and the General Assembly which shall be distributed without charge.

(b) All moneys collected by the Department shall be paid, through the Department of Revenue into the General Fund in the State Treasury, except that if the cost of publishing any document sold by the Department hereunder shall have been paid out of any special fund in the State Treasury, the proceeds of the sale thereof shall be paid into the special fund through the Department of Revenue.

(c) No department, board or commission shall publish or distribute any publication, map or document to the public, except through the Department of General Services unless the Department of General Services consented to the direct publication or distribution of the publication, map or document by such other department, board or commission.

(d) Recommended changes with supporting documentation and approvals shall be forwarded through proper administrative channels to the Bureau of Publications and Paperwork Management, Department of General Services.

(e) Office of Administration Forms required by this procedure are available from the Bureau of Publication and Paperwork Management, Department of General Services.

History

Authority: The provisions of this Chapter 83 issued under section 2406(j) of The Administrative Code of 1929 (71 P. S. § 636(j)), unless otherwise noted.
Source: The provisions of this Chapter 83 adopted August 31, 1973, 3 Pa.B. 1838, unless otherwise noted.

4 Pa. Code § 83.4 Procedure.

(a) Unless otherwise directed, on all sales of publications whether by mail order or over-the-counter direct to customer, a Document Order Form GSMS-170 shall be properly prepared in triplicate and distributed as follows:

(1) The original shall be the customer’s receipt copy with the lower portion being a mailing label if the publication is to be mailed.

(2) The duplicate shall be the office copy to be filed and to be used as internal reference and receipt.

(3) The triplicate shall be the office copy to be filed and to be used for auditing purposes.

(b) If the publication is to be mailed, the original shall be attached to the publication and sent to the customer. If an over-the-counter sale is conducted, the original shall be given to the customer.

(c) If a mail order cannot be filled due to insufficient remittance, obsolete publication, out-of-stock and the like, the order, remittance and the like, shall be returned to the customer with appropriate explanation for the action.

(d) All sales shall be posted to a subsidiary ledger known as the ‘‘Sales Ledger.’’ Form GSMS-73, and the ledger shall be maintained individually by department, board and commission. Columns shall be provided for the following entries:

(1) Date of sale.

(2) Cash received.

(3) Checks received.

(4) Total—cash and checks.

(5) Sale tax.

(6) Transmittal no (CU).

(7) Date of transmittal.

(e) All sales shall also be posted to a control ledger known as the ‘‘Sales Control Ledger,’’ Form GSMS-74, which shall function as a compilation record of all the departmental sales ledgers. Columns shall be provided for the following entries:

(1) Date.

(2) Cash.

(3) Checks.

(4) Total—cash and checks.

(5) Sales tax.

(6) Numerical sequence of document order numbers (GSMS-170).

(f) All sales shall be posted to these two ledgers on a daily basis.

(g) All columns of these two ledgers shall be totaled on a weekly basis.

(h) Moneys collected (cash and checks) shall be transmitted to the Comptroller, Department of General Services on a weekly basis accompanied with a properly completed transmittal of Revenue, Form Office of Administration-420, and transmittal of Revenue Receipt Statement, Form GSMS-171. Transmittal documents shall be prepared in accord with instructions contained in this procedure.

(i) The Warehouse Superintendent or such person as designated, shall hand-carry the moneys and transmittal documents to the Comptroller, Department of General Services every week (day to be determined) and that person shall be accompanied by police escort.

(j) The person hand carrying moneys and transmittal documents to the Comptroller, Department of General Services shall obtain a receipt for the moneys. A copy of the receipt shall be filed in the office of the Warehouse Superintendent, or such place as designated, for future reference.

(k) A ‘‘Debit Memorandum Register,’’ Form PSMS-75, shall be maintained to provide any adjustments to the moneys or records previously transmitted. Columns shall be provided for the following entries:

(1) Debit memorandum number.

(2) Date of memorandum.

(3) Payer and address.

(4) Check number of payer.

(5) Amount of check.

(6) Document order number.

(7) CU number under which document order was processed.

(8) New CU number under which replacement check is transmitted.

(9) Date replacement check is resubmitted to the Department of General Services, Comptroller.

(l) Debit memorandum shall be prepared and processed as follows:

(1) All required information shall be entered from the debit memorandum on the Debit Memorandum Register, Form GSSO-75.

(2) Duplicate and triplicate copies of document orders shall be removed from the files and attached to debit memorandum.

(3) Form letter, Form GSSO-50, shall be prepared in duplicate to obtain replacement check and:

(i) Original shall be mailed to customer.

(ii) Duplicate to debit memorandum and copies of document orders shall be attached and placed in a suspense file until replacement check is received. When the replacement check is received:

(A) Debit memorandum and copies of Document Order from suspense file shall be removed.

(B) New check number and date on both copies of the document order forms and debit memorandum shall be entered.

(D) A file for closed debit memorandums shall be installed and maintained.

(E) After entering the new CU number under which the check is being submitted and the date resubmitted on the Debit Memorandum Register, the check shall be transmitted with the kept transmittal.

(F) If replacement check is not received after a period of 90 days, then all necessary information shall be submitted to the Director, Bureau of Supply Operations, who shall prepare the necessary papers for authority to adjust the records accordingly.

(G) Stale dated check memorandums shall also apply and be incorporated into the debit memorandum procedures.

(m) Transmittal documents shall be prepared as follows:

(1) Sales transactions shall be grouped by fund.

(2) A Summary shall be listed on the transmittal document, Form Office of Administration-420, to reflect the following:

(i) Number and total value of checks and money orders.

(ii) Total amount of cash.

(iii) Grand total of entire transmittal.

(3) Pennsylvania Sales Tax shall be listed for convenience of review and audit.

(4) A preprinted transmittal Receipt Statement shall be prepared in duplicate and submitted with the transmittal documents for easy reference and control. The transmittal statement shall include the following:

(i) Dollar amount of cash.

(ii) Dollar amount of checks and money orders.

(iii) Grand total of cash, checks and money orders.

(iv) Dollar amount of Pennsylvania Sales Tax included.

(5) The Comptroller or his authorized representative shall acknowledge receipt of moneys on the transmittal documents, retain one copy and return other copy to Book Store.

(6) The Comptroller shall furnish the Division with a copy of the Revenue transmittal receipted by the Treasury Department. This document shall be filed with and become a permanent part of the transmittal records.

History

Authority: The provisions of this Chapter 83 issued under section 2406(j) of The Administrative Code of 1929 (71 P. S. § 636(j)), unless otherwise noted.
Source: The provisions of this Chapter 83 adopted August 31, 1973, 3 Pa.B. 1838, unless otherwise noted.

Subpart F Commonwealth Buildings

Chapter 85 Exercise of First Amendment Rights on Commonwealth Property

4 Pa. Code § 85.1 Preamble.

It is the policy of the Commonwealth to protect and assist citizens in the exercise of their First Amendment rights. All citizens are encouraged to express themselves on issues of importance. The rights of citizens to demonstrate in a peaceful and lawful manner in and around public buildings and grounds owned by the Commonwealth will not be abridged. However, it is recognized that the time, place, and manner, although not the content, of demonstrations may be regulated consistent with other uses of the same facilities.

History

Authority: The provisions of this Chapter 85 issued under sections 2402(b) and 2416 of The Administrative Code of 1929 (71 P. S. § § 632(b) and 646), unless otherwise noted.
Source: The provisions of this Chapter 85 adopted July 8, 1977, 7 Pa.B. 1886, unless otherwise noted.

4 Pa. Code § 85.2 Definitions.

The following words and terms, when used in this chapter, have the following meanings, unless the context clearly indicates otherwise: Bureau—The Bureau of Police and Safety of the Department. Commonwealth property—The State Capitol Building and grounds, State buildings and grounds in Dauphin County, the Pittsburgh State Office Building and grounds, the Philadelphia State Office Building and grounds, and the Scranton State Office Building and grounds. Demonstration—A display of group or personal feelings or opinion by a gathering of at least 20 people for the purpose of public expression. Department—The Department of General Services of the Commonwealth. Director—The Director of the Bureau. Spontaneous demonstration—A demonstration on an issue of immediate public importance the delay of which will result in governmental action or inaction without the benefit of public expression.

History

Authority: The provisions of this Chapter 85 issued under sections 2402(b) and 2416 of The Administrative Code of 1929 (71 P. S. § § 632(b) and 646), unless otherwise noted.
Source: The provisions of this Chapter 85 adopted July 8, 1977, 7 Pa.B. 1886, unless otherwise noted.

4 Pa. Code § 85.3 Purpose.

This chapter enables citizens of this Commonwealth to petition their government and to facilitate the handling of demonstrations by the Department.

History

Authority: The provisions of this Chapter 85 issued under sections 2402(b) and 2416 of The Administrative Code of 1929 (71 P. S. § § 632(b) and 646), unless otherwise noted.
Source: The provisions of this Chapter 85 adopted July 8, 1977, 7 Pa.B. 1886, unless otherwise noted.

4 Pa. Code § 85.4 Scope.

This chapter applies to persons and organizations demonstrating on Commonwealth property.

History

Authority: The provisions of this Chapter 85 issued under sections 2402(b) and 2416 of The Administrative Code of 1929 (71 P. S. § § 632(b) and 646), unless otherwise noted.
Source: The provisions of this Chapter 85 adopted July 8, 1977, 7 Pa.B. 1886, unless otherwise noted.

4 Pa. Code § 85.5 Responsibilities.

The Director will establish a demonstration control facility in Room 45 East Wing of the Main Capitol Building. Additional facilities will be established, as needed, at other Commonwealth properties. The facility will provide overall direction, control and coordination of Commonwealth involvement with demonstration activities. The Director will establish liaison with the demonstrators and other appropriate governmental agencies, including the Governor’s Civil Tension Task Force.

History

Authority: The provisions of this Chapter 85 issued under sections 2402(b) and 2416 of The Administrative Code of 1929 (71 P. S. § § 632(b) and 646), unless otherwise noted.
Source: The provisions of this Chapter 85 adopted July 8, 1977, 7 Pa.B. 1886, unless otherwise noted.

4 Pa. Code § 85.6 Notice of Demonstration.

(a) To assist citizens wishing to demonstrate on Commonwealth property, it is important that the Department be advised by any group which intends to demonstrate. By notifying the Department as to the time, place, mode of travel and anticipated numbers, the Department will be able to assist the demonstrators in arranging traffic control and parking, pick-up and delivery points, and first-aid requirements and to coordinate with local officials the securing of parade routes.

(b) Whenever possible, notice of demonstration should be delivered to the Department at least 5 days in advance of the proposed demonstration. This notice should be in writing on the letterhead of the organizing group. If no letterhead is available, any other writing shall be sufficient. This notice shall be signed by two representatives of the organization and mailed to the Director, Bureau of Police and Safety, 502 North Office Building, Harrisburg, Pennsylvania, regardless of where the intended demonstration is to take place.

History

Authority: The provisions of this Chapter 85 issued under sections 2402(b) and 2416 of The Administrative Code of 1929 (71 P. S. § § 632(b) and 646), unless otherwise noted.
Source: The provisions of this Chapter 85 adopted July 8, 1977, 7 Pa.B. 1886, unless otherwise noted.

4 Pa. Code § 85.7 Content of notice.

The notice of demonstration should contain substantially the following criteria, if applicable:

(1) Date of demonstration.

(2) Beginning and ending times of demonstration.

(3) Identification of demonstration leaders specifying telephone numbers for contact.

(4) Number of persons expected to participate.

(5) Method of transportation, number and type of vehicles used to transport demonstrators.

(6) Assembly area for demonstrators.

(7) Route of march.

(8) Whether or not sound amplification is to be used, including description thereof, and if the group desires the equipment to be provided free of charge by the Department.

(9) Whether the group intends to visit legislators in their offices. If so, how many and which legislators are intended to be visited.

This section cited in 4 Pa. Code § 85.8 (relating to spontaneous demonstration).

History

Authority: The provisions of this Chapter 85 issued under sections 2402(b) and 2416 of The Administrative Code of 1929 (71 P. S. § § 632(b) and 646), unless otherwise noted.
Source: The provisions of this Chapter 85 adopted July 8, 1977, 7 Pa.B. 1886, unless otherwise noted.

4 Pa. Code § 85.8 Spontaneous demonstration.

This chapter does not impose a bar to spontaneous demonstrations. If a group or organization cannot give the Department 5 days notice of demonstration, a telephone call to the Department, at (717) 783-5028, Deputy Secretary for Central Services, or (717) 787-9013, Director, Bureau of Police and Safety, during normal working hours, at least 18 hours in advance of a spontaneous demonstration, is advisable. The individual calling on behalf of the group should be able to supply all the information required in § 85.7 (relating to content of notice).

History

Authority: The provisions of this Chapter 85 issued under sections 2402(b) and 2416 of The Administrative Code of 1929 (71 P. S. § § 632(b) and 646), unless otherwise noted.
Source: The provisions of this Chapter 85 adopted July 8, 1977, 7 Pa.B. 1886, unless otherwise noted.

4 Pa. Code § 85.9 Construction.

Nothing in this chapter may be construed to serve as a bar to an individual or group in exercising their First Amendment rights in a peaceful and lawful manner.

History

Authority: The provisions of this Chapter 85 issued under sections 2402(b) and 2416 of The Administrative Code of 1929 (71 P. S. § § 632(b) and 646), unless otherwise noted.
Source: The provisions of this Chapter 85 adopted July 8, 1977, 7 Pa.B. 1886, unless otherwise noted.

Chapter 86 Use of the Public Areas of the Capitol Complex—Statement of Policy

4 Pa. Code § 86.1 Introduction.

(a) The public areas of the Pennsylvania State Capitol Building and the Capitol Complex are under the jurisdiction of the department. The public areas of the Capitol include the Rotunda and its balconies; the main corridors; the grand staircase; the ground floor entrances; the cafeteria, when open; the East Wing Rotunda and its balconies; the first-floor exterior porches and staircases; all exterior building surfaces; and the Capitol grounds, defined as the property on which the Capitol building is situated. The Capitol Complex consists of that property which is delineated on the map in Appendix A.

(b) The public areas of the Capitol Complex must be maintained as intact, attractive, safe and readily available to the thousands of individuals who visit and work there. The Capitol Complex also must be available to individuals who wish to exercise their constitutional rights to assemble and to communicate their views to government officials and the public. The department has taken steps to secure parts of the Capitol Complex. These measures have evolved in response to emerging security challenges, including technological advances and the increasing complexity of modern threats. There will be designated visitor entrances with security screening checkpoints, and the Capitol Police Department will conduct visitor screenings using walk-through metal detectors, handheld metal detectors, X-ray machines, drones, search procedures and CCTV monitors. Upon entry and where deemed necessary, the department will post signs advising visitors of access requirements and rights.

(c) The policies and procedures in this chapter will be followed by the department in its administration, operation and preservation of the public areas of the Capitol Complex. At no time will the application or administration of these policies and procedures be influenced or affected by considerations of age, sex, race, national origin, disability, religion, partisan politics or the content of any written or oral communication or other expressive activity. Nothing in this chapter should be construed or applied in a manner that is inconsistent with Chapter 85 (relating to exercise of First Amendment rights on Commonwealth property), which is incorporated herein and made a part hereof.

The provisions of this § 86.1 amended September 6, 2002, effective September 7, 2002, 32 Pa.B. 4358; amended June 5, 2026, effective June 6, 2026, 56 Pa.B. 3323. Immediately preceding text appears at serial pages (290681) to (290682).

History

Source: The provisions of this § 86.6 amended September 6, 2002, effective September 7, 2002, 32 Pa.B. 4358; amended June 5, 2026, effective June 6, 2026, 56 Pa.B. 3323. Immediately preceding text appears at serial pages (290691) to (290693).

4 Pa. Code § 86.2 Definitions.

The following words and terms, when used in this chapter, have the following meanings, unless the context clearly indicates otherwise: Camping—Use of a temporary or mobile structure for living accommodation activities, including sleeping or making preparations to sleep, storing personal belongings, bathing, washing clothing, making a fire, using a tent or other structure for sleeping, regardless of the time of day, or digging or earth breaking. These activities constitute camping, regardless of the intent of the participants. Capitol—The Pennsylvania State Capitol Building. Unless otherwise specified, the term includes the building (including the East Wing and garage facility) and its grounds. Capitol Complex—The property and buildings as delineated on the map in Appendix A, including the Pennsylvania State Capitol Building. Capitol Police Department—Capitol Police and other police or security officers as may be supplemented at the discretion of the Secretary or a designee. Demonstrative activity—Public demonstrating; parading; picketing; speech making; holding of vigils, sit-ins or media events; or other activities conducted for the purpose of demonstrating approval or disapproval of governmental policies or practices, expressing a view on public issues or bringing into public notice an issue or other matter. Department—The Department of General Services of the Commonwealth. Drone—An aircraft that operates without a human pilot onboard. Also referred to as an unmanned aircraft system or UAS. Exhibit—A display of artwork, including paintings, sculptures, arts and crafts, and photographs; public service and educational presentations; and historical displays. Private event—A performance, ceremony, presentation, meeting, rally or reception held in a public area for a specific group of attendees. Secretary—The Secretary of the department.

The provisions of this § 86.2 amended June 5, 2026, effective June 6, 2026, 56 Pa.B. 3323. Immediately preceding text appears at serial page (390682).

History

Source: The provisions of this § 86.6 amended September 6, 2002, effective September 7, 2002, 32 Pa.B. 4358; amended June 5, 2026, effective June 6, 2026, 56 Pa.B. 3323. Immediately preceding text appears at serial pages (290691) to (290693).

4 Pa. Code § 86.3 Policy governing the use of the public areas of the Capitol Complex.

This section states the policy of the department relating to the public use of all public areas of the Capitol Complex. For department policy relating specifically to the interior or exterior public areas of the Capitol Complex, see § § 86.4 and 86.5 (relating to policy governing the use of the interior public areas of the Capitol Complex; and policy governing the use of the exterior public areas of the Capitol Complex).

(1) {Reserved}.

(2) Interference with Commonwealth business. A demonstrative activity, private event or exhibit within the Capitol Complex may not interfere with a Legislative session or the conduct of public business by agencies of the Commonwealth. A demonstrative activity, private event or exhibit may not threaten the safety and well-being of the individuals conducting the work of the General Assembly or Commonwealth agencies.

(2.1) Commercial activities. An individual or organization may not engage in commercial, retail or business activities in the Capitol Complex, whether for profit or nonprofit purposes, including sales, negotiations, the taking of orders and the displaying of wares, without the express written permission of the secretary or a designee.

(3) Emergencies. In case of fire, bomb threat, utility malfunction, structural failure, other unforeseen emergency, threat endangering public safety or health or in the interest of maintaining the necessary level of security, the secretary or a designee may delay or postpone a scheduled private event until the emergency or threat is over, and until the private event can be rescheduled.

(4) Scheduling. Subject to the provisions of Chapter 85 (relating to exercise of First Amendment rights on Commonwealth property), use of the Capitol Complex by an individual or organization for a demonstrative activity, private event or exhibit is authorized only if the demonstrative activity, private event or exhibit has been scheduled with the secretary or a designee in accordance with the procedures in § 86.6 (relating to scheduling demonstrative activities, private events and exhibits).

(5) Responsibilities of users of the Capitol Complex. An individual or organization is responsible for returning the areas used in conducting their demonstrative activity, private event or exhibit to their original condition. An individual or organization is responsible for any vandalism, damage, breakage, loss or other destruction to the Capitol Complex caused by that individual or organization. The department will assess individuals or organizations for damages incurred. The cost of the repair will include the costs for the services of specialists in relevant historical restoration skills as determined by the secretary or a designee.

(6) Obligation to the Commonwealth to indemnify and hold harmless. An individual or organization using the Capitol Complex will be required by the department to indemnify and hold harmless the Commonwealth, its departments, agents and employees, from and against all suits, damages, claims or other liabilities due to personal injury or death, damage to or loss of property to the Commonwealth or to others, or for any other injury or damage arising out of or resulting from the use of the Capitol Complex.

(7) Food and beverages. Food and beverages may be served at an approved demonstrative activity, private event or exhibit only with the written approval of the secretary or a designee. Prior to the scheduled demonstrative activity, private event or exhibit, an individual or organization shall submit a written request for permission to serve food and beverages which includes the following:

(i) A description of the type of food and beverages to be served, the desired service area and the identification of the caterer, if applicable.

(ii) The individual’s or organization’s agreement to assume full responsibility for the preparation, service and consumption of the food and beverages provided during the demonstrative activity, private event or exhibit.

(iii) The individual’s or organization’s assurance that the food and beverage service will not cause physical damage to the building or grounds.

(iv) The individual’s or organization’s agreement that alcoholic beverages may not be served or consumed in a public area within the Capitol Complex, except with the written permission of the secretary or a designee.

(v) The individual’s or organization’s agreement to not use open flame devices without written approval by the secretary or a designee.

(vi) The individual’s or organization’s agreement to abide by all applicable Commonwealth laws, rules and regulations regarding the use of public buildings.

(8) Exhibits. The department will allow exhibits subject to the following conditions:

(i) The Commonwealth is not responsible for damage to or loss or theft of exhibits during the period of their installation, display or removal. Unless otherwise approved by the secretary or a designee, special security required for an exhibit shall be provided by the exhibitor.

(ii) Exhibitors shall bear the cost of assembling, mounting, displaying and removing exhibits and of cleaning and restoring the exhibit space to its original condition under the supervision of the secretary or a designee.

(iii) Exhibits must be freestanding on the ground or floor. Exhibits may not hang from walls or ceilings or be affixed to doors, windows, railings or other building surfaces without written approval from the secretary or a designee. Exhibits may not hang or be affixed to trees, shrubbery or other plantings, statuary, monuments, fences, light fixtures, light wells or the exterior surfaces of buildings. Exhibits shall be removed at the expense of the individual or organization responsible for the improper placement of the exhibits, and damages caused by the placement or removal will be assessed against the individual or organization responsible.

(iv) Exhibits must contain a disclaimer stating that the display is not owned, maintained, promoted, supported by or associated with the Commonwealth.

(v) Exhibits may be scheduled for display for up to 30 calendar days, subject to availability of time and space.

(vi) Requests for exhibit space must include a clear layout, scale drawing or sketch of the proposed exhibit depicting how the exhibit will be displayed, the dimensions of the required space and the manner in which the exhibit will be mounted or displayed.

(9) Certain signs and other displays prohibited. No item or material with the potential to cause property damage may be used. The posting or affixing of signs, announcements or other documents on an exterior or interior wall, ceiling, floor, door, window or other surface of public areas not designed for that purpose is prohibited. Stickers, labels, tape or other adhesive material that might leave a residue or otherwise damage interior or exterior surfaces, including porches, stairs, statuary, monuments, light wells, fences and trees, are also prohibited. Tacks, nails, staples or other attachments may not be used. No item may be leaned against or tied to exterior or interior walls, pillars, portraits, furnishings, staircases or other features of any building. Items described in this paragraph will be removed at the expense of the individual or organization responsible for the improper placement, and damages caused by the placement or removal will be assessed against the individual or organization responsible.

(10) Removal of signs and other displays. Items or materials shall be removed promptly after a demonstrative activity, exhibit or private event by, and at the expense of, the individual or organization.

(11) Commonwealth-owned equipment. The department has limited equipment (for example, public address system, chairs, tables, podium and the like) for use at demonstrative activities, exhibits or private events, at pricing determined by the department. An individual or organization shall contact the department at least 5 business days in advance of a demonstrative activity, private event or exhibit to discuss the availability of equipment and the intended use of the equipment and to place a reservation. Commonwealth-owned equipment may not be used in connection with campaigning activity. The secretary or a designee may prohibit the use of equipment at their discretion. An individual or organization using the equipment will be held responsible by the department for damage to or loss of the equipment.

(12) Audio and sound amplifying equipment. Audio or sound amplifying equipment is not permitted on the grounds or in the buildings of the Capitol Complex without written approval from the secretary or a designee. An audio or sound amplifying device may not be used at a sound level which interferes with any Legislative session or the day-to-day conduct of Commonwealth business by the General Assembly or Commonwealth agencies.

(12.1) Remote or radio-controlled motorized devices. The use of remote or radio-controlled motorized devices, including drones, robots, radio-controlled cars or any other similar unmanned devices, is strictly prohibited without written approval from the secretary or a designee.

(12.2) Image projection devices. An individual or organization is prohibited from using any device to project holographic images or lighting patterns at, in, on or among the buildings, grounds and structures of the Capitol Complex without written approval from the secretary or a designee.

(13) Fees and other charges. The department may charge fees for the use of equipment, power and labor to set up, operate and remove equipment, clean up and for other appropriate requirements.

(14) Commonwealth property. An individual or organization may not remove Commonwealth property from the Capitol Complex without written approval of the secretary or a designee, except as permitted in the normal course of business.

(15) Security. To enhance security and public safety, visitors are subject to the procedures in § 86.4. The Capitol Police Department may request proper identification of employees and other visitors at any time. The Capitol Police Department may deny access to any area of the Capitol Complex during an emergency and may require employees or other visitors to sign a registration sheet when accessing areas of the Capitol Complex after normal hours of operation when a building is closed.

(16) Removal of individuals. An individual who fails to adhere to a policy of the department will be subject to immediate removal from the Capitol Complex or grounds, or both, by the Capitol Police Department as authorized by section 2416 of The Administrative Code of 1929 (71 P.S. § 646). Nothing contained in this paragraph will be construed as limiting prosecution under an existing or future law.

(17) Overnight access. Visitors are not permitted to either enter or remain overnight (which includes camping or sleeping) in or among the grounds, buildings or structures of the Capitol Complex without written approval from the secretary or a designee.

(18) Closure. The secretary or a designee may close any area of the Capitol Complex in the interest of maintaining security and to prevent activity that interferes with Commonwealth business.

The provisions of this § 86.3 amended September 6, 2002, effective September 7, 2002, 32 Pa.B. 4358; amended June 5, 2026, effective June 6, 2026, 56 Pa.B. 3323. Immediately preceding text appears at serial pages (290682) to (290686).

This section cited in 4 Pa. Code § 86.4 (relating to policy governing the use of the interior public areas of the Capitol Complex); and 4 Pa. Code § 86.5 (relating to policy governing the use of the exterior public areas of the Capitol Complex).

History

Source: The provisions of this § 86.6 amended September 6, 2002, effective September 7, 2002, 32 Pa.B. 4358; amended June 5, 2026, effective June 6, 2026, 56 Pa.B. 3323. Immediately preceding text appears at serial pages (290691) to (290693).

4 Pa. Code § 86.4 Policy governing the use of the interior public areas of the Capitol Complex.

This section states the policy of the department relating to the public use of the interior areas of the Capitol Complex.

(1) Visitor entrances. Except as provided in this section, visitors shall enter at designated visitor entrances for screening and pass through metal detectors at security-screening checkpoints. Visitor belongings will be scanned by an X-ray machine.

(2) Electronic equipment. Electronic equipment or devices such as laptops and tablets, computers, cellular or mobile phones, pagers, video cameras, compact disc players, radios and similar electronic video and audio equipment must be screened using the following standard X-ray procedures:

(i) {Reserved}.

(ii) The visitor will be asked to remove the device from the device’s carrying case.

(iii) The carrying case will be X-rayed using standard X-ray procedures.

(iv) The visitor will be asked to ‘‘power-up’’ the device and ensure the device is operational and that the individual is familiar with the device.

(v) The exterior of the device will be checked for signs of tampering.

(vi) The weight of the device should feel accurate as to the type of device that it is.

(vii) {Reserved}.

(viii) Visitors may request a hand inspection of electronic equipment.

(3) Registration. Visitors may be required to register and sign in at a designated visitor center and may receive a visitor badge issued by the Capitol Police Department.

(4) Visitor rights. Visitors will have the following rights pertaining to the screening process:

(i) A visitor may refuse screening, including screening of the visitor and the inspection of hand-carried items.

(ii) A visitor who refuses screening or inspection of hand-carried items may withdraw unless an obvious threat has been identified.

(iii) If the visitor has exercised the right to withdraw and poses no threat, the visitor and their belongings may not enter the building.

(5) Exception for individuals with pacemakers or defibrillators. If a visitor desires to enter a building with screening and X-ray equipment, and states that the visitor has a pacemaker or defibrillator and cannot go through the walk-through metal detector, the visitor shall remain in full view of an officer of the Capitol Police Department and submit to hand-held metal detection. The Capitol Police Department will maintain appropriate equipment to conduct the screening.

(6) Americans with Disabilities Act (ADA) (42 U.S.C. Chapter 126). In accordance with the ADA, at least one security screening checkpoint will be established at an ADA accessible entrance for each Capitol Complex building that has a security screening checkpoint. Each ADA accessible security screening checkpoint will have the same equipment and procedures as the non-ADA accessible security screening checkpoint located in the same Capitol Complex building and will include a metal detection wand.

(i) The ADA accessible entrance route and location will have the appropriate ADA designated signs. Visitors with disabilities will be thoroughly screened prior to entering the interior areas of the Capitol Complex.

(ii) The Capitol Police Department will be required to exercise sensitivity with visitors with disabilities while conducting security screenings.

(iii) If the visitor with a disability is unable to pass through the walk-through metal detector, the Capitol Police Department will screen the visitor using an alternate method and will conduct a physical inspection of the visitor’s belongings.

(iv) The Capitol Police Department will obtain the permission of a visitor with a disability before proceeding with a screening of the visitor using a metal detection wand. If an individual with a disability denies permission for a security screening, that individual will be denied access in accordance with the provisions of paragraph (4).

(v) {Reserved}.

(vi) {Reserved}.

(7) Service animals. Animals are not permitted in the interior public areas of the Capitol Complex without written approval from the secretary or a designee. Service animals, however, are permitted when necessary to assist individuals with disabilities in accordance with State law and the ADA. Guide dogs or other service animals accompanying individuals with disabilities are specially trained and educated for that purpose and are permitted after passing through the metal detection equipment unaccompanied. If metal in a service animal’s collar or harness sounds the metal detection alarm, officers of the Capitol Police Department will inspect the service animal.

(8) Hours of operation. Except as provided in paragraph (9), Capitol visiting hours for the public are from 7:30 a.m. to 6 p.m. Monday through Friday, except State holidays. The Rotunda will be accessible to the public on Saturdays, Sundays and State holidays between 9 a.m. and 4 p.m. When the Senate, the House of Representatives or a Legislative committee is in session prior to 7:30 a.m. or after 6 p.m., or on Saturday, Sunday or a State holiday, the Capitol will be open to the public with the commencement of the session and closed 2 hours after adjournment of the Senate, the House of Representatives or Legislative committee. Public hours of operation for the other buildings within the Capitol Complex will be posted.

(9) Private events after public hours. In accordance with § 86.6 (relating to scheduling demonstrative activities, private events and exhibits), the secretary or a designee may schedule private events to occur between 6 p.m. and 12 a.m. on weekdays and between 4 p.m. and 12 a.m. on weekends and State holidays. Private events sponsored and conducted by an official or agency of the Commonwealth, including the General Assembly, for official governmental purposes may be open to the public at the discretion of the Commonwealth official or agency and the secretary or a designee. A private event sponsored or conducted by a person or entity which is not an official or agency of the Commonwealth or which is not for official government purposes will not be open to the public. The secretary or a designee will determine the conditions applicable to private events scheduled after visiting hours.

(10) Emergencies. In case of fire, bomb threat, utility malfunction, structural failure, other unforeseen emergency, threat endangering public safety or health, or in the interest of maintaining the necessary level of security, the Capitol Police Department may lock any or all buildings at any time and require that the entrances be used only as a means of egress. An individual may not enter or attempt to enter through an entrance which is closed due to emergency conditions until the emergency is determined to be over by the Capitol Police Department.

(11) Smoking. Smoking may be permitted in specifically designated areas.

(12) {Reserved}.

(13) Ingress and egress. A demonstrative activity, private event or exhibit may not obstruct entrances or block traffic flow through the building.

(14) Furnishings. Moving furnishings, such as furniture, lighting and paintings, by the organizers, conductors or participants at a demonstrative activity, private event or exhibit is prohibited without the written permission of the secretary or a designee.

(15) Movement of furniture. Tables, displays, chairs or other items may not be dragged or rolled on the floors of the Rotunda and the East Wing Rotunda.

(16) Commercial activities. An individual or organization may not engage in commercial, retail or business activities, whether for profit or nonprofit purposes, including sales, negotiations, the taking of orders and the displaying of wares, without the express written permission of the secretary or a designee.

(17) Certain signs prohibited. Signs on handsticks or poles are prohibited in the interior public areas of the Capitol Complex.

(18) Balloons. Balloons are not permitted in the interior public areas of the Capitol Complex without written approval from the secretary or a designee.

(19) Food and beverages. Food and beverages may not be served in the public areas inside the buildings within the Capitol Complex without the written approval of the Secretary or a designee. See § 86.3(7) (relating to policy governing the use of the public areas of the Capitol Complex). Food and beverages may be consumed only in the area approved for a demonstrative activity, private event or exhibit, or in the cafeteria area.

(20) {Reserved}.

(21) Additional policies for scheduling demonstrative activities, private events and exhibits. Requests to hold a demonstrative activity, private event or exhibit in the interior public areas of the Capitol Complex will be scheduled on a first-come, first-served basis. In addition to meeting the conditions set forth in § 86.3, demonstrative activities, private events and exhibits must not obstruct entrances, interrupt traffic flow through buildings or disrupt Legislative sessions or the normal conduct of Commonwealth business.

(i) {Reserved}.

(ii) {Reserved}.

(22) Capacity. The maximum capacity for each public area will be determined, monitored and strictly enforced by the Capitol Police Department.

(23) {Reserved}.

The provisions of this § 86.4 amended September 6, 2002, effective September 7, 2002, 32 Pa.B. 4358; amended June 5, 2026, effective June 6, 2026, 56 Pa.B. 3323. Immediately preceding text appears at serial pages (290686) to (290689).

This section cited in 4 Pa. Code § 86.3 (relating to policy governing the use of the public areas of the Capitol Complex).

History

Source: The provisions of this § 86.6 amended September 6, 2002, effective September 7, 2002, 32 Pa.B. 4358; amended June 5, 2026, effective June 6, 2026, 56 Pa.B. 3323. Immediately preceding text appears at serial pages (290691) to (290693).

4 Pa. Code § 86.5 Policy governing the use of the exterior public areas of the Capitol Complex.

This section states the policy of the department relating to the public use of the exterior areas of the Capitol Complex.

(1) Hours. A demonstrative activity, private event or exhibit in the exterior public area of the Capitol Complex may occur only during the hours between dawn and dusk, regardless of the season or time of year, and may not block any entrance or exit of any building or impede free access to any building by its occupants, the public or emergency services. When the Senate, the House of Representatives or a Legislative committee is in session prior to dawn or after dusk, the public areas of the Capitol Complex will be open with the beginning of the session and will be closed 2 hours after adjournment of the Senate, the House of Representatives or Legislative committee.

(2) Damage to Commonwealth property. Defacing or damaging in any manner the exterior areas of the Capitol Complex, including (without limitation) exterior building walls and surfaces, porches, staircases, entrances, trees, shrubbery, flowers, lawns, sidewalks, fences, lighting fixtures, light wells, fire hydrants, benches, statues, monuments, plaques and subterranean features that are necessary for the maintenance and operation of the Capitol Complex (such as lawn sprinkler systems, sewer and water mains, electrical conduit and the like), or any other feature is prohibited.

(3) Limitations applicable to certain Commonwealth property. Stepping or climbing upon statues, monuments, fences, lighting fixtures, light wells, trees or parts of the buildings and grounds within the Capitol Complex not intended for these purposes is prohibited.

(4) Leafletting and the distribution of literature. Leafletting and the distribution of literature may not impede or interfere with Commonwealth business or public access to and use of the buildings within the Capitol Complex. It is recommended that an individual or organization desiring to leaflet or distribute literature on the Capitol Complex grounds inform the secretary or a designee of the date and time of the planned activity. To ensure the unimpeded conduct of public business, unobstructed access to the buildings within the Capitol Complex for occupants and the public, and to maintain the Capitol grounds, the secretary or a designee may designate specific areas of the grounds for leafletting and the distribution of literature, without consideration of the content of the communications. Individuals distributing leaflets or literature shall remove all discarded items from the Capitol Complex grounds at the conclusion of their activity.

(5) Driving stakes or other items into the ground prohibited. A banner, sign or other item may not be driven into the ground or affixed to a tree, monument or other structure, without written approval from the secretary or a designee. Signs (excluding disclaimer signs requiredunder § 86.3(8)(iv) (relating to policy governing the use of the public areas of the Capitol Complex) or banners supported by freestanding devices) may not be left unattended. An individual shall be stationed within 2 feet of a freestanding sign or banner at all times.

(6) Equipment and structures. The following requirements apply to all requests for the use of equipment or structures connected with a demonstrative activity, private event or exhibit:

(i) An individual or organization seeking to place equipment or structures on the Capitol Complex grounds in connection with a demonstrative activity, private event or exhibit must first obtain the written permission of the secretary or a designee.

(ii) The size, number and location of equipment or structures erected for shelter will be determined by the secretary or a designee based on the physical condition of the grounds and the expected size and nature of the demonstrative activity, private event or exhibit. Equipment or structures erected for the purpose of shelter, such as tents for first aid or lost children, may not be used for camping.

(iii) Equipment or structures for a scheduled demonstrative activity, private event or exhibit that contain obscured sides or walls will not be approved or otherwise permitted by the secretary or a designee if the sides or walls prevent officers of the Capitol Police Department from freely and completely viewing the interior area within the equipment or structure. The Capitol Police Department reserves the right to remove, at its discretion, equipment or structures from a demonstrative activity, private event or exhibit.

(iv) Equipment and structures erected by an individual or organization (whether for shelter or for any purpose) must be removed from the Capitol Complex grounds by the closing time set forth in paragraph (1).

(7) {Reserved}.

(8) {Reserved}.

(9) {Reserved}.

(10) Vehicles. Vehicles are prohibited on the Capitol Complex grounds, except in areas designated for vehicular use or by written permission of the secretary or a designee.

(11) {Reserved}.

The provisions of this § 86.5 amended September 6, 2002, effective September 7, 2002, 32 Pa.B. 4358; amended June 5, 2026, effective June 6, 2026, 56 Pa.B. 3323. Immediately preceding text appears at serial pages (290689) to (290691).

This section cited in 4 Pa. Code § 86.3 (relating to policy governing the use of the public areas of the Capitol Complex).

History

Source: The provisions of this § 86.6 amended September 6, 2002, effective September 7, 2002, 32 Pa.B. 4358; amended June 5, 2026, effective June 6, 2026, 56 Pa.B. 3323. Immediately preceding text appears at serial pages (290691) to (290693).

4 Pa. Code § 86.6 Scheduling demonstrative activities, private events and exhibits.

Requests to schedule demonstrative activities, private events or exhibits in the interior or exterior public areas of the Capitol Complex shall be made to the Office of Special Events, under the supervision of the Deputy Secretary for Facilities and Public Safety.

(1) Scheduling. Requests to schedule a demonstrative activity, exhibit or private event will be considered on a first-come, first-served basis. These requests must be made at least 5 business days in advance of the anticipated demonstrative activity, exhibit or private event, or at the discretion of the secretary or a designee. The secretary or a designee may set reasonable limits on the number or frequency of demonstrative activities, exhibits or private events by a single individual, group of individuals or organizations to afford reasonable opportunities for other individuals, groups of individuals or organizations to schedule demonstrative activities, private events or exhibits.

(2) Application. Each request must be in writing and contain the following information:

(i) The name and description of the sponsoring individual or organization.

(ii) The name, address and telephone number of the contact person.

(iii) The name, address and telephone number of the secondary contact person.

(iv) A description of the planned demonstrative activity, private event or exhibit.

(v) The date and hours requested for the demonstrative activity, private event or exhibit, and the duration of the demonstrative activity, private event or exhibit.

(vi) The area requested for use.

(vii) The number of anticipated attendees.

(viii) The method of transportation and number and type of vehicles used to transport participants.

(3) Commonwealth-owned equipment. Commonwealth-owned equipment or services available through the department may be used in connection with a demonstrative activity, private event or exhibit on an ‘‘as available’’ basis, upon payment of reasonable fees and charges. Commonwealth-owned equipment may not be used in connection with campaigning activity. The secretary or a designee may prohibit the use of equipment at their discretion. A list of the equipment and the charges is available upon request from the secretary or a designee.

(4) Decision. Decisions made by the secretary or a designee under this chapter will be made as promptly as possible, but no later than 3 business days after receiving the written request.

(5) Acknowledgement by sponsor. To schedule a demonstrative activity, private event or exhibit, a sponsor shall sign an acknowledgment that the sponsor has read, understood and shall abide by the procedures governing the use of the interior and exterior public areas of the buildings within the Capitol Complex; that the sponsor is responsible for damages incurred as a result of its demonstrative activity, private event or exhibit; that the sponsor shall either restore or pay to have restored the area used for the demonstrative activity, private event or exhibit to the condition that existed prior to its use; and that the sponsor shall indemnify and hold harmless the Commonwealth and its agents and employees for damage or loss the Commonwealth incurs arising out of its use of the buildings within the Capitol Complex or the Capitol grounds. A sponsor that fails to abide by the terms of the agreement may be denied permission to schedule a future demonstrative activity, private event or exhibit until the outstanding obligations have been fully satisfied.

(6) Refusal. The secretary or a designee may refuse the scheduling of a demonstrative activity, private event or exhibit in an area or a building in the interest of maintaining the necessary level of security.

(7) Designated areas for demonstrative activities. The following designated areas are intended for use by applicants to conduct demonstrative activities. These areas are available for occasional use by the public for civic and educational purposes and for cultural activities, upon scheduling by the Office of Special Events. The secretary may open or close additional areas at their discretion:

(i) Commonwealth Avenue.

(ii) Main Capitol Exterior Steps.

(iii) Main Capitol Rotunda.

(iv) East Wing Rotunda.

(v) Soldiers and Sailors Grove.

(vi) Irvis Office Building Lawn.

(vii) First Responders Plaza.

(viii) Judicial Center Plaza.

(ix) Forum Building Lawn.

(8) Designated areas for private events and exhibits. The following designated areas are intended for use by applicants to display exhibits or conduct private events. The secretary may open or close additional areas at their discretion:

(i) Main Capitol Rotunda.

(ii) East Wing Rotunda.

The provisions of this § 86.6 amended September 6, 2002, effective September 7, 2002, 32 Pa.B. 4358; amended June 5, 2026, effective June 6, 2026, 56 Pa.B. 3323. Immediately preceding text appears at serial pages (290691) to (290693).

This section cited in 4 Pa. Code § 86.3 (relating to policy governing the use of the public areas of the Capitol Complex); and 4 Pa. Code § 86.4 (relating to policy governing the use of the interior public areas of the Capitol Complex).

This appendix cited in 4 Pa. Code § 86.1 (relating to introduction); and 4 Pa. Code § 86.2 (relating to definitions).

History

Source: The provisions of this § 86.6 amended September 6, 2002, effective September 7, 2002, 32 Pa.B. 4358; amended June 5, 2026, effective June 6, 2026, 56 Pa.B. 3323. Immediately preceding text appears at serial pages (290691) to (290693).

Chapter 87 Use of the Forum

4 Pa. Code § 87.1 Definitions.

The following words and terms, when used in this chapter, have the following meanings, unless the context clearly indicates otherwise: Department—The Department of General Services. Forum—The auditorium in the Forum Building, South Drive, Harrisburg. Secretary—The Secretary of the Department.

History

Authority: The provisions of this Chapter 87 issued under section 2402(j) of The Administrative Code of 1929 (71 P. S. § 632(j)), unless otherwise noted.
Source: The provisions of this § 87.4 amended April 29, 1977, 7 Pa.B. 1171.

4 Pa. Code § 87.2 Purpose.

This chapter establishes procedures, defines responsibilities and provides provisions pertaining to the use of the Forum by private organizations or individuals.

History

Authority: The provisions of this Chapter 87 issued under section 2402(j) of The Administrative Code of 1929 (71 P. S. § 632(j)), unless otherwise noted.
Source: The provisions of this § 87.4 amended April 29, 1977, 7 Pa.B. 1171.

4 Pa. Code § 87.3 Scope.

The provisions in this chapter shall be specifically directed to persons and organizations requesting the use of the Forum.

History

Authority: The provisions of this Chapter 87 issued under section 2402(j) of The Administrative Code of 1929 (71 P. S. § 632(j)), unless otherwise noted.
Source: The provisions of this § 87.4 amended April 29, 1977, 7 Pa.B. 1171.

4 Pa. Code § 87.4 Responsibilities.

(a) The Director of the Bureau of Risk and Insurance Management will establish the extent of coverage to be provided by each entity granted a permit for the use of the Forum, such coverage to provide payment to the Department for any and all damages to the Forum premises by the using entity.

(b) The Director of the Bureau of Police and Safety will be responsible for the preservation of peace and order at the Forum.

(c) The Director of the Bureau of Buildings and Grounds, Department of General Services, Room 403 North Office Building, Harrisburg, Pennsylvania, will approve or deny requests for permits and will issue granted permits, on Form GSGS-9, to successful applicants.

The provisions of this § 87.4 amended April 29, 1977, 7 Pa.B. 1171.

History

Authority: The provisions of this Chapter 87 issued under section 2402(j) of The Administrative Code of 1929 (71 P. S. § 632(j)), unless otherwise noted.
Source: The provisions of this § 87.4 amended April 29, 1977, 7 Pa.B. 1171.

4 Pa. Code § 87.5 Staffing of Forum crowd control.

Staffing of the Forum crowd control facility will be accomplished by the Bureau of Police and Safety to assure that peace and order are maintained throughout the period the Forum is in use.

History

Authority: The provisions of this Chapter 87 issued under section 2402(j) of The Administrative Code of 1929 (71 P. S. § 632(j)), unless otherwise noted.
Source: The provisions of this § 87.4 amended April 29, 1977, 7 Pa.B. 1171.

4 Pa. Code § 87.6 Forum crowd control.

The Bureau of Police and Safety, with the aid of its own Capitol Police in addition to the enlistment of support from the State Police and National Guard, where necessary, will monitor all elements of crowd control at the Forum to assure that peace and order shall be maintained.

History

Authority: The provisions of this Chapter 87 issued under section 2402(j) of The Administrative Code of 1929 (71 P. S. § 632(j)), unless otherwise noted.
Source: The provisions of this § 87.4 amended April 29, 1977, 7 Pa.B. 1171.

4 Pa. Code § 87.7 Request for permit to use Forum.

(a) All persons and organizations requesting the use of the Forum must have requested and obtained an approved permit to use the Forum prior to the day of registration from the Director, Bureau of Buildings and Grounds, Department of General Services, Room 403 North Office Building, Harrisburg, Pennsylvania 17125.

(b) All persons and organizations requesting a permit to use the Forum must provide insurance coverage or security bonds for such use to the extent the Director of the Bureau of Risk and Insurance Management demands, binding the user to reimburse the Department for any and all damages to the Forum arising from the use of that structure by the successful applicant.

(d) Form GSGS-8 (Request to use the Forum) as set forth in Appendix A of this chapter will be available from the Bureau of Buildings and Grounds, Department of General Services, Room 403, North Office Building, Harrisburg, Pennsylvania 17125.

(e) Form GSGS-9 (Forum Use Permit) as set forth in Appendix B of this chapter will be approved and issued by the Director of the Bureau of Buildings and Grounds.

History

Authority: The provisions of this Chapter 87 issued under section 2402(j) of The Administrative Code of 1929 (71 P. S. § 632(j)), unless otherwise noted.
Source: The provisions of this § 87.4 amended April 29, 1977, 7 Pa.B. 1171.

4 Pa. Code § 87.8 Provisions governing use of the Forum.

(a) The Forum area alone, not inclusive of the hallways, other floors, or other areas of the Education Building or other Commonwealth property, is the extent of the area granted for use by the permit.

(b) Application for use of the Forum must be submitted no later than seven days prior to the date requested for use.

(c) A permit must be presented to proper Commonwealth personnel, inclusive of the Capitol Police, on the day of use of the Forum but prior to the commencement of the programs.

(d) The use or possession of illegal drugs or alcoholic beverages is expressly prohibited, with penalty of expulsion of the offender and possible termination of the presentation.

(e) The creation of any hazard to person or property, including, but not limited to, the carrying of lighted cigars, cigarettes, pipes, matches, or any naked flame in a restricted area, the starting of open fires, the carrying or storage of explosives or radioactive material, and the tampering with equipment, is prohibited with penalty of expulsion of the offender and possible termination of the presentation.

(f) The use of corridors, sidewalks, areaways, tunnels, elevators, or rooms in such a manner as to materially hamper or obstruct their safe or necessary use is prohibited.

(g) The carrying of firearms, knives, or any other items capable of being construed and used as weapons, without authorization, upon the Forum area is prohibited with exception to peace officers, designated post office employes, and members of the Armed Forces of the United States on official duty.

(h) No animals or pets of any kind shall be permitted in the Forum except guide dogs used by blind persons.

(i) No child of the age of 14 or under shall be admitted to the Forum unless accompanied by a responsible person, 18 years of age or older.

(j) The display, posting, or distribution of advertisements, letters, circulars, or other written or printed material in the Forum is expressly prohibited unless allowed by a permit obtained through the Bureau of General Services, Room 502 North Office Building, Harrisburg, Pennsylvania 17125.

(k) All equipment to be used in the Forum must be approved by the Bureau of Buildings and Grounds, Department of General Services, 403 North Office Building, Harrisburg, Pennsylvania 17125.

(l) News photographers, including television cameramen, visitors, and all others, may take pictures only in the areas designated by the Bureau of General Services.

(m) Unauthorized peddling, soliciting of business, trade, or contribution, or loitering in the Forum is prohibited.

(n) Defacing of the Forum by markings, scratchings or by any other means is prohibited; spray paint containers and the like shall not be permitted in the Forum area without authorization.

(o) Placing, discharging, or depositing, in any manner whatsoever, offal, garbage or any refuse in the Forum area, except in containers placed for that purpose, is prohibited.

(p) Trucks or delivery vehicles or both using loading platforms or delivery areas shall load and discharge at the places and times indicated by the Bureau of Buildings and Grounds, the Capitol Police (Bureau of Police and Safety) or the Security Guard (Bureau of Police and Safety).

(q) Capitol Police have a duty to prevent trespass, theft, and damage to the Forum and to maintain order in the Forum.

(r) The Capitol Police may take such action in times of emergency, such as fires, bomb threats, power failures, and unruly crowds, as may reasonably be necessary and lawful to maintain order, safety, and security in the Forum area.

(s) The entity group/individual granted a permit to use the Forum agree to reimburse the Commonwealth (Department of General Services) for any and all damages to the Forum occurring as a result of that entity’s use of the Forum, through insurance or out of its own pocket or security bonds, in such manner and amounts as the Director of the Bureau of Risk and Insurance Management demands.

(t) The entity group/individual granted a permit to use the Forum shall agree to leave the Forum in a restorable condition in order that it may be restored within 12 hours of the termination of the event.

(u) Failure by the applicant to follow any of the provisions of this chapter will result in any combination of the penalties as follows:

(1) Removal of the violator from the Forum for a stated period of time.

(2) Confiscation of the object prohibited by this chapter.

(3) Damages occurring from such use to be borne by the holder of the permit.

(v) A permit may be denied for any one or more of the following reasons:

(1) Where applicant falsely answers or fails to answer any part of Form GSGS-8 (Request of Use of Forum Permit) as set forth in Appendix A of this chapter.

(2) Where prior scheduling commitments will not allow the event to occur on the date requested.

(3) Where applicant fails to accept or follow any of the forms of this chapter dealing with requests to use the Forum.

(4) Where the activities of applicant, on the face of the Request For Use Of The Forum Permit, promise to do any one or more of the following:

(i) To disrupt the public order.

(ii) To create disorderly conduct.

(iii) To involve the molestation of Commonwealth personnel or invitees.

(iv) To unduly misuse or litter the Forum area.

(v) To materially disrupt the business of the Commonwealth so that the use of the Forum in the manner requested will not allow the normal business of the Commonwealth to take place.

(5) Where applicant has, in the past, used the Forum in a manner violative of this chapter.

(w) The Commonwealth reserves the right to refuse any or all applicants the use of the Forum.

History

Authority: The provisions of this Chapter 87 issued under section 2402(j) of The Administrative Code of 1929 (71 P. S. § 632(j)), unless otherwise noted.
Source: The provisions of this § 87.4 amended April 29, 1977, 7 Pa.B. 1171.

Part IV Civil Service Commission

Subpart A Rules of the Civil Service Commission

Chapter 91 General Provisions

4 Pa. Code § 91.1 Short title.

This subpart shall be known and cited as the ‘‘Rules of the Civil Service Commission.’’

The provisions of this § 91.1 adopted October 18, 1961; amended October 15, 1964 and April 16, 1970.

History

Authority: The provisions of this § 91.4 deleted under section 506 of The Administrative Code of 1929 (71 P.S. § 186).
Source: The provisions of this § 91.4 adopted March 29, 1985, effective March 30, 1985, 15 Pa.B. 1151; amended November 15, 1991, effective November 16, 1991, 21 Pa.B. 5334; amended March 12, 2004, effective March 13, 2004, 34 Pa.B. 1442; deleted February 6, 2026, effective February 7, 2026, 56 Pa.B. 791. Immediately preceding text appears at serial pages (414289) to (414291).

4 Pa. Code § 91.2 Purpose.

This subpart is designed to effectuate the primary purpose of the Civil Service Act (71 P.S. § § 741.1—741.1005), declared to be greater efficiency and economy in the administration of the government of the Commonwealth, including, as a means to that end, the ‘‘establishment of conditions of service which will attract to the service of the Commonwealth qualified persons of character and ability and their appointment and promotion on the basis of merit and fitness.’’ As amplifications, enlargements, and extensions of the Civil Service Act (71 P.S. § § 741.1—741.1005), the provisions of these rules shall be read in conjunction with appropriate and corresponding provisions of such act and shall be liberally construed to effectuate its purposes.

The provisions of this § 91.2 adopted October 18, 1961; amended October 15, 1964 and April 16, 1970.

History

Authority: The provisions of this § 91.4 deleted under section 506 of The Administrative Code of 1929 (71 P.S. § 186).
Source: The provisions of this § 91.4 adopted March 29, 1985, effective March 30, 1985, 15 Pa.B. 1151; amended November 15, 1991, effective November 16, 1991, 21 Pa.B. 5334; amended March 12, 2004, effective March 13, 2004, 34 Pa.B. 1442; deleted February 6, 2026, effective February 7, 2026, 56 Pa.B. 791. Immediately preceding text appears at serial pages (414289) to (414291).

4 Pa. Code § 91.3 Definitions.

Words, terms and phrases, when used in this part, have the meaning in 71 Pa.C.S. § 2103 (relating to definitions), unless the context clearly indicates otherwise. In addition, the following terms, when used in this part, have the following meanings, unless the context clearly indicates otherwise: Act—71 Pa.C.S. Part III (relating to civil service reform). Appointing authority—The officers, board, commission, person or group of persons having power by law to make appointments in the classified service. Commission—The State Civil Service Commission of the Commonwealth. Director—The Executive Director of the Commission.

The provisions of this § 91.3 amended under section 506 of The Administrative Code of 1929 (71 P.S. § 186).

The provisions of this § 91.3 adopted October 18, 1961; amended October 15, 1964 and April 16, 1970; amended March 29, 1985, effective March 30, 1985, 15 Pa.B. 1151; amended November 15, 1991, effective November 16, 1991, 21 Pa.B. 5334; amended March 12, 2004, effective March 13, 2004, 34 Pa.B. 1442; amended February 6, 2026, effective February 7, 2026, 56 Pa.B. 791. Immediately preceding text appears at serial pages (414286) to (414289).

The reassignment of two Office of Budget employes at the same time of the furlough of two other Office of Budget employes created a ‘‘vacancy,’’ because a ‘‘vacancy’’ existed under the Civil Service Commission regulations when the reassigned employees would no longer function as assistant comptrollers in their new positions, thus creating a vacancy simultaneous with the furlough action. Roetenberg v. Office of Budget, 550 A.2d 825 (Pa. Cmwlth. 1988).

History

Authority: The provisions of this § 91.4 deleted under section 506 of The Administrative Code of 1929 (71 P.S. § 186).
Source: The provisions of this § 91.4 adopted March 29, 1985, effective March 30, 1985, 15 Pa.B. 1151; amended November 15, 1991, effective November 16, 1991, 21 Pa.B. 5334; amended March 12, 2004, effective March 13, 2004, 34 Pa.B. 1442; deleted February 6, 2026, effective February 7, 2026, 56 Pa.B. 791. Immediately preceding text appears at serial pages (414289) to (414291).

Chapter 93 Civil Service Commission and Executive Director

4 Pa. Code § 93.1 Meetings of Commission.

(a) The Commission will meet at least once each month, consistent with the act, at its offices in Harrisburg, Pennsylvania, or at other places as will best serve the public interest. Meetings may be cancelled with appropriate public notice.

(b) One member of the Commission will be designated as secretary by the Chairperson.

(c) Not less than 48 hours’ notice of the date, time and place of a meeting shall be given to each member of the Commission.

(d) The Director will be responsible for preparing the agenda of the Commission meeting.

(e) Minutes of Commission meetings will be filed and maintained in the executive office of the Commission.

The provisions of this § 93.1 adopted October 18, 1961; amended October 15, 1964 and April 16, 1970; amended March 29, 1985, effective March 30, 1985, 15 Pa.B. 1151; amended March 12, 2004, effective March 13, 2004, 34 Pa.B. 1442. Immediately preceding text appears at serial page (275941).

History

Authority: The provisions of this § 93.6 amended under section 506 of The Administration Code of 1929 (71 P.S. § 186); and 71 Pa.C.S. Part III.
Source: The provisions of this § 93.8 adopted October 18, 1961; amended October 15, 1964 and April 16, 1970; amended March 29, 1985, effective March 30, 1985, 15 Pa.B. 1151; amended November 15, 1991, effective November 16, 1991, 21 Pa.B. 5334. Immediately preceding text appears at serial pages (96743) to (96744).

4 Pa. Code § 93.2 Powers and duties of the Director.

(a) Duties mandated by rules. No provisions of this section mandating action by the Director shall be construed as limiting the statutory duties, responsibilities, and powers of the Director.

(b) Promulgation of regulations. The Director may, subject to the prior approval of the Commission, promulgate, as Subpart B, reasonable regulations as shall be appropriate for carrying out the responsibilities imposed by law or this subpart.

(c) Periodic review of laws and rules. The Director will periodically review the laws and rules applicable to the classified service and recommend to the Commission changes desirable for the most appropriate, efficient, and economical compliance with the act.

(d) Editing and publishing laws and rules. The Director will periodically compile and publish provisions of the act, related laws, rules, and appropriate regulations applicable to the classified service.

(e) Research and staff development. The Director will undertake appropriate study and research to develop methods for the most efficient and economical administration of the work of the Commission. Within available funds therefor the Director will seek to develop the fullest capabilities of staff through appropriate training, including attendance at, and participation in, the programs of professional conferences and institutes.

The provisions of this § 93.2 adopted October 18, 1961; amended October 15, 1964 and April 16, 1970; amended March 29, 1985, effective March 30, 1985, 15 Pa.B. 1151. Immediately preceding text appears at serial pages (67253) to (67254).

History

Authority: The provisions of this § 93.6 amended under section 506 of The Administration Code of 1929 (71 P.S. § 186); and 71 Pa.C.S. Part III.
Source: The provisions of this § 93.8 adopted October 18, 1961; amended October 15, 1964 and April 16, 1970; amended March 29, 1985, effective March 30, 1985, 15 Pa.B. 1151; amended November 15, 1991, effective November 16, 1991, 21 Pa.B. 5334. Immediately preceding text appears at serial pages (96743) to (96744).

4 Pa. Code § 93.4 Public hearings.

(a) Time and place of certain hearings.

(1) The Commission shall hold public hearings in connection with its adoption or amendment of rules, or amendments or cancellation of eligible lists on account of illegality or fraud.

(2) These hearings shall be held in Harrisburg or other locations as the Commission shall determine necessary to insure proper balance of potential interests.

(3) Public notice shall be given of the time and place of hearings and continuations thereto.

(b) Participation at hearings.

(1) Those desiring to participate in the hearing or to speak or present their views on the subject to be covered at the hearing shall, not later than the regular closing time of the previous business day, so notify the Director, specifying whether attendance will be as individuals or as representatives of a named group.

(2) Speakers at hearings shall be required to identify themselves and the organizations they represent, if any.

(3) The Commission may limit the time granted to any one speaker or to successive speakers on the same subject.

(4) Briefs, and pertinent written material, in typewritten or printed form, presented at hearings by a speaker who announces the presentation, shall be made a part of the record.

(c) Minutes of hearings. The proceedings of the hearings shall be recorded stenographically or electronically, as determined by the Commission. The minutes shall be transcribed promptly and filed in the office of the Director, where they shall be open for public reference.

(d) Determination of the Commission. The Commission may accept or reject recommendations made at the public hearings and shall endeavor to make its determination and notify interested parties thereof promptly after the conclusion of the hearings and the review of the record established.

The provisions of this § 93.4 adopted October 18, 1961; amended October 15, 1964 and April 16, 1970; amended March 29, 1985, effective March 30, 1985, 15 Pa.B. 1151. Immediately preceding text appears at serial pages (67254) to (67255).

History

Authority: The provisions of this § 93.6 amended under section 506 of The Administration Code of 1929 (71 P.S. § 186); and 71 Pa.C.S. Part III.
Source: The provisions of this § 93.8 adopted October 18, 1961; amended October 15, 1964 and April 16, 1970; amended March 29, 1985, effective March 30, 1985, 15 Pa.B. 1151; amended November 15, 1991, effective November 16, 1991, 21 Pa.B. 5334. Immediately preceding text appears at serial pages (96743) to (96744).

4 Pa. Code § 93.5 Oaths.

Authorization of an employe or agent of the Commission to administer oaths or affirmations in matters pertaining to the work of the Commission shall be in writing and filed in the executive office of the Commission as a public record.

The provisions of this § 93.5 adopted October 18, 1961; amended October 15, 1964 and April 16, 1970; amended October 16, 1981, effective October 17, 1981, 11 Pa.B. 3551; amended March 29, 1985, effective March 30, 1985, 15 Pa.B. 1151. Immediately preceding text appears at serial pages (67255) to (67256).

History

Authority: The provisions of this § 93.6 amended under section 506 of The Administration Code of 1929 (71 P.S. § 186); and 71 Pa.C.S. Part III.
Source: The provisions of this § 93.8 adopted October 18, 1961; amended October 15, 1964 and April 16, 1970; amended March 29, 1985, effective March 30, 1985, 15 Pa.B. 1151; amended November 15, 1991, effective November 16, 1991, 21 Pa.B. 5334. Immediately preceding text appears at serial pages (96743) to (96744).

4 Pa. Code § 93.6 Records open to the public.

(a) An employe of the Commission shall be present at the inspection of records open to the public.

(b) [Reserved].

The provisions of this § 93.6 amended under section 506 of The Administration Code of 1929 (71 P.S. § 186); and 71 Pa.C.S. Part III.

The provisions of this § 93.6 adopted October 18, 1961; amended October 15, 1964 and April 16, 1970; amended March 29, 1985, effective March 30, 1985, 15 Pa.B. 1151; amended June 9, 2023, effective June 10, 2023, 53 Pa.B. 3082. Immediately preceding text appears at serial page (275943).

History

Authority: The provisions of this § 93.6 amended under section 506 of The Administration Code of 1929 (71 P.S. § 186); and 71 Pa.C.S. Part III.
Source: The provisions of this § 93.8 adopted October 18, 1961; amended October 15, 1964 and April 16, 1970; amended March 29, 1985, effective March 30, 1985, 15 Pa.B. 1151; amended November 15, 1991, effective November 16, 1991, 21 Pa.B. 5334. Immediately preceding text appears at serial pages (96743) to (96744).

4 Pa. Code § 93.7 Receiving funds and allocating or apportioning costs.

The Director shall report periodically to the Commission the receipt of any funds for the administration of the act and the allocation among the departments and agencies thereunder of the cost of administering the act or any part thereof.

The provisions of this § 93.7 adopted October 18, 1961; amended October 15, 1964 and April 16, 1970.

History

Authority: The provisions of this § 93.6 amended under section 506 of The Administration Code of 1929 (71 P.S. § 186); and 71 Pa.C.S. Part III.
Source: The provisions of this § 93.8 adopted October 18, 1961; amended October 15, 1964 and April 16, 1970; amended March 29, 1985, effective March 30, 1985, 15 Pa.B. 1151; amended November 15, 1991, effective November 16, 1991, 21 Pa.B. 5334. Immediately preceding text appears at serial pages (96743) to (96744).

4 Pa. Code § 93.8 Service to departments, boards and commissions, agencies and political subdivisions; cooperation with other civil service agencies.

(a) Acquisition of services. The services and facilities of the Commission and its staff shall be available to departments, boards, commissions, or agencies, and political subdivisions of the Commonwealth under the following terms and conditions:

(1) Formal application for extension of the services of the Commission shall be made in writing and shall be signed by the executive head of the requesting department, or by the chairman of the board, commission, or agency, accompanied by a proper resolution adopted by the board, commission, or agency, or by the proper official of the political subdivision, as appropriate.

(2) Applications for the extension of the services of the Commission shall state in detail the particular services requested, if less than a complete merit system is desired. If the applying agency desires the Commission to administer a complete merit system, the application shall so state and shall specify desired exceptions to the application of the act.

(3) Granting of the application shall be evidenced by a formal written contract or agreement, consistent with this section, between the applicant and the Commission, a copy of which shall be retained by the Commission as a public record.

(4) Applications for the requested extension of services may be granted in whole or in part at the discretion of the Commission.

(5) The Director will maintain, and make available to prospective applicants on request, a list of classes of positions in the classified service and of classes of positions to which the services of the Commission have been extended.

(6) In the case of a contract between an agency and the Commission extending a complete merit system to a class of positions, the legally applicable provisions of the act and this part shall be deemed incorporated in the contract, unless the contract specifies otherwise.

(b) Reimbursement for services. Reimbursement shall be as follows:

(1) The Commission shall be reimbursed for the actual cost of preparing, administering and rating examinations; and for the semi-annual cost of services and facilities made available, in the proportion which the cost of the services and facilities bears to the total cost of these services and facilities of the Commission, based on the ratio of its employes in the classified service to those of all the agencies serviced by the Commission.

(2) The number of employes in the classified service in each agency serviced shall be reported to or tabulated by the Director on the last working day of each month.

(c) Personnel actions by political subdivisions. Personnel actions taken by political subdivisions under contract with the Commission shall conform to the act, this part, and the contract, unless the action would have an impossible or unreasonable result, in which case the Director shall determine the appropriate action to be taken.

The provisions of this § 93.8 adopted October 18, 1961; amended October 15, 1964 and April 16, 1970; amended March 29, 1985, effective March 30, 1985, 15 Pa.B. 1151; amended November 15, 1991, effective November 16, 1991, 21 Pa.B. 5334. Immediately preceding text appears at serial pages (96743) to (96744).

Because a contract between a county and an agency specifically provided that the county should adhere to its prevailing practices as to retirement, the contract controls, pursuant to the provisions of 4 Pa. Code § 93.8(6), over the Commission’s interpretation of the Civil Service Act, and the county correctly adhered to its prevailing practice of requiring an employe to retire at age 65. Delaware County Child Care Services v. Goodley, 417 A.2d 868, 870 (Pa. Cmwlth. 1980).

History

Authority: The provisions of this § 93.6 amended under section 506 of The Administration Code of 1929 (71 P.S. § 186); and 71 Pa.C.S. Part III.
Source: The provisions of this § 93.8 adopted October 18, 1961; amended October 15, 1964 and April 16, 1970; amended March 29, 1985, effective March 30, 1985, 15 Pa.B. 1151; amended November 15, 1991, effective November 16, 1991, 21 Pa.B. 5334. Immediately preceding text appears at serial pages (96743) to (96744).

Chapter 105 Notice and Hearings

4 Pa. Code § 105.11 General.

Hearings granted to employees demoted under 71 Pa.C.S. § 2503 (relating to demotions), furloughed under 71 Pa.C.S. § 2602 (relating to furlough), resigned under 71 Pa.C.S. § 2606 (relating to resignation), removed under 71 Pa.C.S. § 2607 (relating to removal), suspended under 71 Pa.C.S. § 2603 (relating to suspension) or persons alleging discrimination under 71 Pa.C.S. § 2704 (relating to prohibition of discrimination) shall be public hearings. At least 10 working days notice in advance of the date of the hearing shall be tendered in writing to the employee affected and to the appointing authority and others interested in the case, informing them of the date, time and place of hearing. Notice of the hearings shall be posted on the bulletin board located in or near the principal office of the Commission. The Civil Service Commissioners may grant requests for continuances. The Commission, on its own motion, may grant a continuance if the scheduled hearing lasts longer than 2 hours.

The provisions of this § 105.11 adopted October 18, 1961; amended October 15, 1964 and April 16, 1970; amended March 29, 1985, effective March 30, 1985, 15 Pa.B. 1151; amended November 15, 1991, effective November 16, 1991, 21 Pa.B. 5334; amended March 12, 2004, effective March 13, 2004, 34 Pa.B. 1442. Immediately preceding text appears at serial page (292975).

The employee must actually receive the notice at least 10 days prior to the scheduled date of the hearing, and merely placing the notice in the mail at least 10 days prior to the hearing date is not sufficient. Courtney v. Civil Service Commission, 391 A.2d 6 (Pa. Cmwlth. 1978).

In an action which does not involve an allegation of discrimination, and is not pursuable under section 951(a) or (b) of the Civil Service Act (71 P.S. § 751.951(a) or (b)), the provisions of this section do not provide an employee with an adequate remedy; the employee is therefore not required to exhaust administrative remedies available. Magnelli v. Civil Service Commission, 383 A.2d 561 (Pa. Cmwlth. 1978).

History

Authority: The provisions of this § 105.18 deleted under section 506 of The Administration Code of 1929 (71 P.S. § 186); and 71 Pa.C.S. Part III.
Source: The provisions of this § 105.18 adopted November 15, 1991, effective November 16, 1991, 21 Pa.B. 5334; deleted June 9, 2023, effective June 10, 2023, 53 Pa.B. 3082. Immediately preceding text appears at serial page (336087).

4 Pa. Code § 105.12a Appeal requests.

(a) Place and manner. Requests for hearings shall be filed with the Commission on and in accordance with the Commission’s form, which may be obtained by contacting the Commission.

(b) Time limits. Appeals must be received by close of business or postmarked not more than 20 calendar days after the job seeker or civil service employee receives notice of the challenged action or becomes aware that discrimination has occurred.

(c) Receipt. If there is no postmark or the postmark is unreadable, the filing date shall be the date recorded by the Commission when it receives the document.

(d) Form. Requests for hearings shall be:

(1) Made in writing.

(2) Signed by the individual appealing.

(e) Contents.

(1) General requirements. Requests for hearings shall state clearly and concisely all of the following:

(i) Grounds of the interest of the person in the subject matter.

(ii) Facts relied upon.

(iii) Relief sought.

(2) Written notification.

(i) Requests for hearings shall include a copy of the written notice of the challenged actions.

(ii) If written notice was not received, a written explanation of why the appeal does not contain a written notification shall be included with the request for hearing.

(3) Discrimination claims.

(i) In addition to the requirements in paragraphs (1) and (2), requests for hearings which allege discrimination shall specify all of the following:

(A) The acts complained of.

(B) How the treatment differs from treatment of others similarly situated, if applicable.

(D) When and how the person appealing first became aware of the alleged discrimination.

(ii) Requests for hearings which allege discrimination and do not include specific facts relating to discrimination may be dismissed.

(f) Amendments. Acceptance of an amendment to an appeal is solely at the discretion of the Commissioners.

(g) Subsections (a)—(f) supplement 1 Pa. Code § § 35.9 and 35.10 (relating to formal complaints generally; and form and content of formal complaints).

The provisions of this § 105.12a added under 71 Pa.C.S. § 3003(1); and section 506 of The Administrative Code of 1929 (71 P.S. § 186).

The provisions of this § 105.12a added August 15, 2025, effective August 16, 2025, 55 Pa.B. 5862.

History

Authority: The provisions of this § 105.18 deleted under section 506 of The Administration Code of 1929 (71 P.S. § 186); and 71 Pa.C.S. Part III.
Source: The provisions of this § 105.18 adopted November 15, 1991, effective November 16, 1991, 21 Pa.B. 5334; deleted June 9, 2023, effective June 10, 2023, 53 Pa.B. 3082. Immediately preceding text appears at serial page (336087).

4 Pa. Code § 105.12b Signatures.

(a) General Rule. Signatures may be handwritten or electronic.

(b) Electronic Signature.

(1) The use of an electronic signature shall have the same force and effect as a handwritten signature.

(2) Electronic signatures shall comply with sections 303—312 of the Electronic Transactions Act (73 P.S. § § 2260.303—2260.312) and other laws governing electronic signatures.

The provisions of this § 105.12b added under 71 Pa.C.S. § 3003(1); and section 506 of The Administrative Code of 1929 (71 P.S. § 186).

The provisions of this § 105.12b added August 15, 2025, effective August 16, 2025, 55 Pa.B. 5862.

History

Authority: The provisions of this § 105.18 deleted under section 506 of The Administration Code of 1929 (71 P.S. § 186); and 71 Pa.C.S. Part III.
Source: The provisions of this § 105.18 adopted November 15, 1991, effective November 16, 1991, 21 Pa.B. 5334; deleted June 9, 2023, effective June 10, 2023, 53 Pa.B. 3082. Immediately preceding text appears at serial page (336087).

4 Pa. Code § 105.13 Form of hearing.

(a) The hearing shall be formal, but not all of the strict rules of evidence need be enforced. Evidence offered should be the best evidence available. Documents which constitute reliable evidence or whose contents or meaning are in dispute should be brought to hearing and entered into evidence. Whenever possible, the original document should be available to be offered into evidence.

(b) A complete stenographic, electronic or other exact record of the proceedings shall be made.

The provisions of this § 105.13 adopted October 18, 1961; amended October 15, 1964 and April 16, 1970; amended March 29, 1985, effective March 30, 1985, 15 Pa.B. 1151; amended March 12, 2004, effective March 13, 2004, 34 Pa.B. 1442. Immediately preceding text appears at serial pages (292977) to (292978).

This section requires that a complete stenographic record be made of the proceedings, nothing more. Section 105.13 does not require that a free copy of the notes of testimony be provided. Silvia v. Department of Public Welfare, 437 A.2d 535 (Pa. Cmwlth. 1981).

History

Authority: The provisions of this § 105.18 deleted under section 506 of The Administration Code of 1929 (71 P.S. § 186); and 71 Pa.C.S. Part III.
Source: The provisions of this § 105.18 adopted November 15, 1991, effective November 16, 1991, 21 Pa.B. 5334; deleted June 9, 2023, effective June 10, 2023, 53 Pa.B. 3082. Immediately preceding text appears at serial page (336087).

4 Pa. Code § 105.14 Legal representation.

(a) Appointing authorities shall be represented by counsel presently admitted to practice before the Supreme Court of Pennsylvania.

(b) Appellants may represent themselves, or may be represented by anyone presently admitted to practice before the Supreme Court of Pennsylvania. This does not prohibit representation on behalf of either an appointing authority or an appellant by a legal intern certified under the Pennsylvania Bar Admission Rules.

(c) A person other than one noted in subsection (b) will not be permitted to represent an appellant at a hearing of the Commission.

(d) In all cases, where a legal representative represents an appellant, notices of the date of hearing and of the decision, and other communication arising from the case, shall be directed to the legal representative. The communication shall have the same force and effect as though personally given to the appellant.

The provisions of this § 105.14 adopted October 18, 1961; amended October 15, 1964 and April 16, 1970; amended March 29, 1985, effective March 30, 1985, 15 Pa.B. 1151; amended November 15, 1991, effective November 16, 1991, 21 Pa.B. 5334; corrected June 19, 1992, effective April 4, 1992, 22 Pa.B. 3064. Immediately preceding text appears at serial pages (164782) to (164783).

History

Authority: The provisions of this § 105.18 deleted under section 506 of The Administration Code of 1929 (71 P.S. § 186); and 71 Pa.C.S. Part III.
Source: The provisions of this § 105.18 adopted November 15, 1991, effective November 16, 1991, 21 Pa.B. 5334; deleted June 9, 2023, effective June 10, 2023, 53 Pa.B. 3082. Immediately preceding text appears at serial page (336087).

4 Pa. Code § 105.14a Subpoenas.

(a) Procedure for requesting subpoenas.

(1) Subpoenas for the attendance of witnesses or for the production of documents will be issued only upon written application to the Chairperson of the Commission or the Commissioner presiding at hearing, with a copy to the opposing party.

(2) Written application shall specify as clearly as possible the relevance of the testimony or documentary evidence sought. As to documentary evidence, the request must specify to the extent possible the documents desired and the facts to be proved thereby.

(3) Failure to adhere to the requirements of this subsection may result in the refusal by the Commission to issue the requested subpoenas.

(4) Subpoenas for new or additional witnesses will not be issued after a hearing has been commenced and continued unless orally requested on the record at the hearing and approved by the Commission, except that subpoenas issued prior to the commencement and continuance of the hearing may be reissued upon written request.

(b) Service.

(1) A subpoena shall be served personally upon the witness.

(2) Subpoenas for the production of documents shall be served personally or by first-class mail upon the individual in possession of the documents, if known, or the agency head, who may designate a knowledgeable alternate as custodian of the documents, or the legal counsel for the appointing authority.

(3) Service of subpoenas for the attendance of witnesses shall be made at least 48 hours prior to hearing, unless the witness agrees to waive the 48-hour requirement. Subpoenas for the production of documents shall be served no later than 5 work days prior to hearing.

(4) Failure to adhere to the requirements of this subsection may result in a ruling by the Commission denying the enforceability of the subpoena.

(1) Witnesses subpoenaed to appear before the Commission shall be paid a witness fee at the rate specified for the courts of common pleas by the party requesting the subpoena.

(2) Witnesses subpoenaed to appear before the Commission shall be paid, by the party serving the subpoena, mileage at the rate specified for the courts of common pleas for each mile actually and necessarily traveled between the place named in the subpoena and either the place of residence of the witness or the work site, whichever distance is less.

(3) At the time a witness is served with a subpoena, the witness shall, upon demand, be paid the witness fee and travel expenses provided in this subsection by the party serving the subpoena. If no demand is made by the witness at the time of service, the fee shall be tendered to the witness prior to the start of the hearing.

(4) Paragraphs (1)—(3) supersede 1 Pa. Code § 35.139 (relating to fees of witnesses).

(d) Supplementation. Subsections (a)—(c) supplement 1 Pa. Code § 35.142 (relating to subpoenas).

The provisions of this § 105.14a adopted March 29, 1985, effective March 30, 1985, 15 Pa.B. 1151; amended November 15, 1991, effective November 16, 1991, 21 Pa.B. 5334; amended March 12, 2004, effective March 13, 2004, 34 Pa.B. 1442. Immediately preceding text appears at serial pages (292978) to (292979) and (228459).

History

Authority: The provisions of this § 105.18 deleted under section 506 of The Administration Code of 1929 (71 P.S. § 186); and 71 Pa.C.S. Part III.
Source: The provisions of this § 105.18 adopted November 15, 1991, effective November 16, 1991, 21 Pa.B. 5334; deleted June 9, 2023, effective June 10, 2023, 53 Pa.B. 3082. Immediately preceding text appears at serial page (336087).

4 Pa. Code § 105.14b Depositions and discovery.

(a) Depositions. At the discretion of the Commission, depositions—statements of witnesses under oath—may be transcribed and submitted in lieu of testimony at the hearing, where the witness will be unavailable to testify at hearing because of unavoidable absence from the jurisdiction, illness or other compelling reasons. The costs of depositions shall be borne by the requesting party.

(b) Discovery of documents. At the discretion of the Commission, relevant documents may be obtained from an opposing party prior to the hearing.

(1) Requests for discovery of documents shall be in writing and shall initially be served upon the opposing party or legal representative in sufficient time to allow completion of discovery prior to the hearing.

(2) If the parties are unable to agree upon a reasonable scope of discovery, requests for discovery may then be forwarded in writing to the Commission, which may, in its discretion, issue appropriate subpoenas under this title.

(c) Witness list. Each party shall attempt to determine the witnesses they intend to call at the hearing and the names shall be provided to the Commission no later than 3 work days in advance of the hearing, with a copy to the opposing party. Calling a witness whose name does not appear on the list may be permitted at the discretion of the Commission.

The provisions of this § 105.14b adopted March 29, 1985, effective March 30, 1985, 15 Pa.B. 1151; amended November 15, 1991, effective November 16, 1991, 21 Pa.B. 5334. Immediately preceding text appears at serial page (142737).

History

Authority: The provisions of this § 105.18 deleted under section 506 of The Administration Code of 1929 (71 P.S. § 186); and 71 Pa.C.S. Part III.
Source: The provisions of this § 105.18 adopted November 15, 1991, effective November 16, 1991, 21 Pa.B. 5334; deleted June 9, 2023, effective June 10, 2023, 53 Pa.B. 3082. Immediately preceding text appears at serial page (336087).

4 Pa. Code § 105.14c Settlement.

(a) Parties, at their discretion, may enter into agreements to settle or otherwise terminate a proceeding before the Commission at any point in the appeal process prior to adjudication. All parties shall notify the Commission in writing in a timely manner of a settlement agreement. Upon receipt of notice from the appellant or the appellant’s legal representative, an appeal shall be deemed withdrawn.

(b) Unless the Commission is requested to review and approve the settlement, the Commission will not be responsible for the enforcement of a settlement agreement.

(c) When the Commission finds in favor of the appellant and the appointing authority complies with the order, questions about the sufficiency of compliance shall be submitted to the Commission within 20 calendar days of the appointing authority’s action.

The provisions of this § 105.14c adopted November 15, 1991, effective November 16, 1991, 21 Pa.B. 5334.

History

Authority: The provisions of this § 105.18 deleted under section 506 of The Administration Code of 1929 (71 P.S. § 186); and 71 Pa.C.S. Part III.
Source: The provisions of this § 105.18 adopted November 15, 1991, effective November 16, 1991, 21 Pa.B. 5334; deleted June 9, 2023, effective June 10, 2023, 53 Pa.B. 3082. Immediately preceding text appears at serial page (336087).

4 Pa. Code § 105.14d Prehearing conferences.

(a) Prehearing conference. To facilitate the submission and consideration of issues and facts, the Commission may schedule a prehearing conference and request the parties to participate in the proceeding. The conference may be conducted by telephone or in person, either by a Commissioner or by an attorney employed by the Commission to consider the following:

(1) Simplification of the issues.

(2) Stipulations of fact and authenticity of documents.

(3) Admissibility and relevance of witness testimony.

(4) Admissibility and relevance of exhibits, which will be identified and exchanged at the conference.

(5) Subpoenas and all issues related to subpoenas.

(6) Offers of settlement or proposals for adjustment, if appropriate.

(7) Other matters that would facilitate the efficiency of the proceeding.

(b) Prehearing conference memorandum. No later than 3 work days in advance of the prehearing conference, the parties will submit to the Commission an original memorandum, plus three copies, that contains the following:

(1) Caption identifying the parties and the appeal by its assigned appeal number.

(2) Statement of issues to be decided by the Commission. If a party intends to move the Commission to dismiss the appeal, that issue should be noted, but a Motion to Dismiss must be filed separately.

(3) Statement of stipulations, or facts not in dispute, that includes requested stipulations of fact and any agreements already reached by the parties regarding undisputed facts.

(4) Witness list with brief description of testimony of each witness listed.

(5) Exhibit list with brief description of exhibits and a brief explanation of the relevance of each exhibit listed.

(6) Estimate of time anticipated to complete presentation of evidence to the Commission.

(7) Requests for subpoenas may be included with the memorandum.

(8) At the hearing, the parties may be limited to those witnesses and exhibits set forth in the memorandum unless one or more of the following apply:

(i) A supplemental memorandum is submitted to the Commission at least 1 business day prior to the hearing.

(ii) There has been proper notice to other parties and there is no showing of undue inconvenience or prejudice.

(iii) The parties have conferred and agree to the additional witnesses or exhibits, or both.

The provisions of this § 105.14d adopted March 12, 2004, effective March 13, 2004, 34 Pa.B. 1442.

History

Authority: The provisions of this § 105.18 deleted under section 506 of The Administration Code of 1929 (71 P.S. § 186); and 71 Pa.C.S. Part III.
Source: The provisions of this § 105.18 adopted November 15, 1991, effective November 16, 1991, 21 Pa.B. 5334; deleted June 9, 2023, effective June 10, 2023, 53 Pa.B. 3082. Immediately preceding text appears at serial page (336087).

4 Pa. Code § 105.15 Procedure under 71 Pa.C.S. § 3003(7)(i).

(a) The appointing authority shall go forward to establish the charge or charges on which the personnel action was based. If, at the conclusion of its presentation, the appointing authority has, in the opinion of the Commission, established a prima facie case, the employee shall then be afforded the opportunity of presenting his case.

(b) If, after due notice, the appellant fails to appear at the scheduled hearing, the appointing authority has no burden to go forward and the appeal may be dismissed without the presentation of evidence.

(c) While in each case the Commission may adapt the procedures and conduct of the hearing in accordance with the requirements of justice and due process, generally the routine shall follow the following order:

(1) The presiding commissioner shall open the hearing and shall enter as exhibits a copy of the letter initiating the action taken by the appointing authority, the written appeal of the appellant from the action, and evidence of proper notification to all parties in interest.

(2) The parties shall, subsequent to the presiding commissioner’s introduction of documents, present any preliminary motions.

(3) The appointing authority shall call witnesses to testify after being sworn by the presiding commissioner.

(4) The appointing authority may, through witnesses or by stipulation, offer any other relevant evidence for introduction into the record.

(5) The appointing authority shall cite all relevant provisions of law and all relevant rules and regulations.

(6) The appellant may object to questions directed to the witnesses and to the introduction of any evidence offered.

(7) The appellant shall be allowed reasonable opportunity to cross-examine the witnesses.

(8) At the conclusion of the appointing authority’s case, the appellant may move to dismiss on the ground that no prima facie case has been established.

(9) If no motion to dismiss is made, if the motion is denied, or if the Commission defers ruling on the motion, the appellant may present the defense by the testimony of witnesses, the introduction of relevant evidence, and the citation of relevant provisions of law, rules or regulations.

(10) The appointing authority may object to questions directed to the witnesses and to the introduction of any evidence offered.

(11) The appointing authority shall be allowed reasonable opportunity to cross-examine the witnesses.

(12) When all the evidence has been introduced, the Commission may hear oral argument.

(13) The transcript of the record will be prepared as soon as practicable after the hearing. A copy of the transcript shall be available at the Commission’s Harrisburg office for inspection, or upon request, at one of the other Commission offices.

(14) The parties may submit briefs within a period of time fixed by the Commission. Failure by either party to file its brief within the fixed time may lead to the refusal of the Commission to consider the brief in making its determination.

(15) The record shall be considered as closed upon receipt of transcripts, depositions and briefs and the hearing shall be deemed concluded at that time. The Commission will determine the facts upon the evidence of record and decide relevant questions of law within 90 calendar days after the conclusion of the hearing.

(16) A copy of the adjudication in writing, containing findings and reasons, as a result of a resolution adopted by a quorum at a meeting of the Commission, shall be prepared as a decision of the Commission, and, when signed by one of the members of the Commission under its seal, shall be final. A copy of adjudication shall be sent to the appellant and to the appointing authority.

The provisions of this § 105.15 adopted October 18, 1961; amended October 15, 1964 and April 16, 1970; amended March 29, 1985, effective March 30, 1985, 15 Pa.B. 1151; amended November 15, 1991, effective November 16, 1991, 21 Pa.B. 5334. Immediately preceding text appears at serial pages (142737) to (142740).

The civil service employe was properly furloughed by the Department of Public Welfare (Department) as according to the county furlough unit set up by Department of which only two people had the same job title and the furloughed employe’s performance evaluation review which was then ‘‘due’’ was the lower evaluation of the two. Valence v. Department of Public Welfare, 641 A.2d 644 (Pa. Cmwlth. 1994).

The Department of Environmental Resources proved that the furlough of a Civil Service employe was justified by showing that the furlough resulted from a lack of work as the employe’s main duty no longer existed. A noncivil service employe assumed only some of the employe’s duties, and that change was part of a reorganizational streamlining by the Department to achieve greater efficiency. Haskins v. Department of Environmental Resources, 636 A.2d 1228 (Pa. Cmwlth. 1994).

Where a corrections officer challenged his demotion which was based on alleged unsatisfactory performance under the Civil Service Act (71 P. S. § § 741.1—741.1005), the appointing authority of the State Correctional Institute at Muncy proved that the officer did not satisfactorily perform the duties of the position to which he was appointed by showing that the officer misused his authority, performed an inadequate investigation which constituted a negligent discharge of his duties and treated his superiors with disrespect. Bennett v. State Correctional Institution at Muncy, 637 A.2d 753 (Pa. Cmwlth. 1994).

A furlough, which was actually implemented prior to the date of approval for reorganization, entitled appellant to reimbursement of wages and emoluments for the period, but did not entitle him to have the furlough procedure declared void ab initio. Pronko v. Department of Revenue, 539 A.2d 456 (Pa. Cmwlth. 1988).

It is not necessary to prove intent in cases brought under section 951(b) of the Civil Service Act (71 P. S. § 741.951(b)) where a technical violation of the act constitutes the alleged discrimination. Pronko v. Department of Revenue, 539 A.2d 456 (Pa. Cmwlth. 1988).

Where a regular status employe appeals a furlough, alleging what is in essence a statutory violation of section 802 of the Civil Service Act (71 P. S. § 741.802) and where the employe is harmed or it is impossible to determine whether he could have been harmed, the violation is best analyzed under section 951(a) of the Civil Service Act (71 P. S. § 951(a)). Pronko v. Department of Revenue, 539 A.2d 456 (Pa. Cmwlth. 1988).

In appeals under section 951(a) of the Civil Service Act (71 P. S. § 741.951) the burden is on the appointing authority to set forth a prima facie case demonstrating compliance with the act, as opposed to section 951(b) which places the burden on the complaining individual. Pronko v. Department of Revenue, 539 A.2d 456 (Pa. Cmwlth. 1988).

A furlough of a State civil servant may only be validly implemented on the basis of a lack of work or a lack of funds and when the furlough is of a regular status employe, the Appointing Authority bears the burden of demonstrating the lack of work or lack of funds. Dougherty v. Department of Health, 538 A.2d 91 (Pa. Cmwlth. 1988).

The Commission must set forth its findings and reasons in an adjudication in order to conform with this section and the omission of findings and reasons is a denial of due process. Henderson v. Office of Budget, 537 A.2d 85 (Pa. Cmwlth. 1988); appeal denied 574 A.2d 73 (Pa. 1990).

The Commission is empowered to make a credibility determination regarding an appointing authority’s evidence of lack of work to support a furlough and may refuse to weigh evidence if it determines that no prima facie case exists. Pennsylvania Public Utility Commission v. Taylor, 537 A.2d 45 (Pa. Cmwlth. 1988).

Appointing authority bears the burden of establishing a prima facie case to support an action for dismissal of a civil service employe for just cause, after which the employe may present his case in rebuttal. Where an employe has failed to disclose his financial interests, as required by State Ethics Act and Governor’s Code of Conduct, and instructions for disclosure are unambiguously provided on Code of Conduct form, prima facie case has been established. Department of Community Affairs v. Colston, 521 A.2d 509 (Pa. Cmwlth. 1987); appeal denied 561 A.2d 743 (Pa. 1989).

Even though this section states that the Commission shall rule promptly on an oral motion to dismiss for failure to state a prima facie case, a ruling was properly deferred when only one of the three appointed Commissioners was present at the time the motion was made. Turzai v. Liquor Control Board, 495 A.2d 639 (Pa. Cmwlth. 1985); cert. denied 107 S. Ct. 315 (U. S. 1986).

Where county presented only general statements about the county’s prior-year deficit and testimony showing policy decision to limit personnel costs, the county failed to meet its burden of proof to present a prima facie case in establishing a lack of funds. Beaver County Children and Youth Services v. Funk, 492 A.2d 118 (Pa. Cmwlth. 1985).

When there has been called into question the validity of furlough, the appointing authority has the burden of going forward with proofs to establish a prima facie case justifying the furlough, viz. that the furlough resulted from a lack of funds or a lack of work. Department of State v. Stecher, 484 A.2d 755 (Pa. Cmwlth. 1984); 459 A.2d 851 (Pa. Cmwlth. 1983).

This section places the burden on the appointing authority to establish a prima facie case justifying employes’ furloughs. Pavia v. Department of Transportation, 466 A.2d 735 (Pa. Cmwlth. 1983).

The Insurance Department had the burden to go forward with evidence to show that a furlough was not in violation of the Civil Service Act, as charged under 71 P. S. § 951(a). Insurance Department v. Tracz, 466 A.2d 269 (Pa. Cmwlth. 1983).

In upholding a dismissal of a Health Department official for just cause, the Court noted that this section imposes a burden on the employing authority to establish a prima facie case to support its action with the burden of production then shifting to the employe to present his case to rebut the employer’s case. Hoffman v. Department of Health, 458 A.2d 303 (Pa. Cmwlth. 1983).

When someone other than the final decision maker conducts a hearing, due process is not breached as long as the decision maker appraises and considers the evidence prior to reaching a determination. Kakas v. Department of Public Welfare, 442 A.2d 1243 (Pa. Cmwlth. 1982).

The appointing authority has the duty to go forward in the establishment of the charges upon which its personnel action is based and in so doing establish a prima facie case in justification of that action, and if the party with the burden of proof prevails in a Commission hearing, the reviewing court is limited to a determination of whether constitutional rights were violated, an error of law was committed, or a necessary finding of fact was unsupported by substantial evidence. Laws v. Philadelphia County Board of Assistance, 412 A.2d 1377 (Pa. Cmwlth. 1980).

The Commission should be particularly astute to exclude hearsay evidence where the State is attempting to remove a veteran employe from a well-paid position of great responsibility requiring difficult decisions on sensitive public matters. Bleilevens v. Civil Service Commission, 312 A.2d 109 (Pa. Cmwlth. 1973).

Burden of Proof

The Commonwealth Court properly allocated the burden to the city employe to demonstrate that her termination was not for economic reasons, where the city had presented substantial evidence that the city employe’s dismissal had been based on economic considerations. Sadowski v. City of Pittsburgh, 741 A.2d 180 (Pa. 1999).

This section cited in 4 Pa. Code § 105.16 (relating to procedure under section 951(b) of the act (71 P. S. § 741.951(b)).

History

Authority: The provisions of this § 105.18 deleted under section 506 of The Administration Code of 1929 (71 P.S. § 186); and 71 Pa.C.S. Part III.
Source: The provisions of this § 105.18 adopted November 15, 1991, effective November 16, 1991, 21 Pa.B. 5334; deleted June 9, 2023, effective June 10, 2023, 53 Pa.B. 3082. Immediately preceding text appears at serial page (336087).

4 Pa. Code § 105.16 Procedure under 71 Pa.C.S. § 3003(7)(ii).

(a) The appellant shall go forward to establish the charge or charges of discrimination. If at the conclusion of this presentation, the appellant has, in the opinion of the Commission, established a prima facie case, the appointing authority shall then be afforded the opportunity to reply to the charges.

(b) Apart from the order of going forward, the remainder of the procedure shall follow that prescribed in § 105.15(c) (relating to procedure under 71 Pa.C.S. § 3003(7)(i). If an appellant fails to attend the hearing, the appeal may be immediately dismissed for failure to prosecute.

The provisions of this § 105.16 adopted October 18, 1961; amended October 15, 1964 and April 16, 1970; amended March 29, 1985, effective March 30, 1985, 15 Pa.B. 1151; amended November 15, 1991, effective November 16, 1991, 21 Pa.B. 5334. Immediately preceding text appears at serial pages (142740) and (153411).

Burden of Proceeding

An employe who appeals a nonselection for promotion may do so only on the basis of discrimination as provided by section 905.1 of the Civil Service Act (71 P. S. § 741.905.1). The burden of prosecuting a discrimination appeal under the Act rests with the employe and discrimination cannot be inferred. There must be affirmative factual support to sustain the allegations. Price v. Luzerne/Wyoming Counties Area Agency on Aging, 672 A.2d 409 (Pa. Cmwlth. 1996); appeal denied 688 A.2d 174 (Pa. 1997).

A correctional officer trainee met his burden of proving discrimination on the basis of a nonmerit factor by demonstrating the Department of Corrections’ mistake of fact which served as the grounds for his dismissal. Department of Corrections v. Morse, 596 A.2d 897 (Pa. Cmwlth. 1991).

Applicant, who claims his name was removed from the list of persons eligible for position of corrections officer trainee for discriminatory reasons due to family connections, carries the burden of presenting evidence to support the charge. Department of Corrections v. Colyer, 576 A.2d 416 (Pa. Cmwlth. 1990).

A probationary civil servant may appeal a personnel action before the Commission only by alleging discrimination and that employe bears the burden of proof. Department of Public Welfare v. Sanders, 518 A.2d 878 (Pa. Cmwlth. 1986).

A letter setting forth details of alleged discrimination following an appeal request from which lacked sufficient facts may provide information sufficient to entitle a civil service employe to a hearing. Pannacci v. Civil Service Commission, 516 A.2d 1327 (Pa. Cmwlth. 1986); appeal after remand 560 A.2d 288 (Pa. Cmwlth. 1989).

In any action challenging nonselection, the party seeking to prove discrimination has the burden of proof. Liquor Control Board v. Venesky, 516 A.2d 445 (Pa. Cmwlth. 1986).

Employe who presented evidence of county’s financial state and testimony to establish improper motive met burden to go forward in establishing discrimination. Beaver County Children and Youth Services, v. Funk, 492 A.2d 118 (Pa. Cmwlth. 1985).

Three instances of falsification of training records constituted substantial evidence in support of the Commission’s findings of good cause for suspension under this section. Wagner v. Department of Transportation, 463 A.2d 492 (Pa. Cmwlth. 1983).

The furloughed employe bears the burden of going forward and of proving a discriminatory basis for the furlough. Insurance Department v. Tracz, 466 A.2d 269 (Pa. Cmwlth. 1983).

If a petitioner fails to sustain her burden of proving charges of discrimination before the Commission, court review is limited to a determination of whether the Commission capriciously disregarded competent evidence in its resolution of that issue. The burden of proving a discriminatory basis for suspension and removal from employment rests with the petitioner. Laws v. Philadelphia County Board of Assistance, 412 A.2d 1377 (Pa. Cmwlth. 1980).

History

Authority: The provisions of this § 105.18 deleted under section 506 of The Administration Code of 1929 (71 P.S. § 186); and 71 Pa.C.S. Part III.
Source: The provisions of this § 105.18 adopted November 15, 1991, effective November 16, 1991, 21 Pa.B. 5334; deleted June 9, 2023, effective June 10, 2023, 53 Pa.B. 3082. Immediately preceding text appears at serial page (336087).

4 Pa. Code § 105.17 Petition for reconsideration.

(a) Form. Petitions for rescission or modification of an adjudication shall be in writing and shall set forth in numbered paragraphs the findings or orders alleged to be erroneous and the points relied upon by the petitioner, with appropriate record references and specific requests for the findings or orders desired.

(b) Specification of errors. Petitions for reconsideration shall state concisely the alleged errors in the adjudication or other order of the Commission. If an adjudication or other order of the Commission is sought to be vacated, reversed, or modified by reason of matters that have arisen since the hearing and decision or order, or by reason of a consequence that would result from compliance therewith, the matters relied upon by the petitioner shall be set forth in the petition.

(c) Filing and service. Every petition for reconsideration shall be filed within 15 calendar days after issuance of the Commission order involved.

(d) The requirements of this provision supersede those set forth in 1 Pa. Code § 35.241 (relating to application for rehearing or reconsideration).

(e) The procedure for reconsideration contained in this subsection does not alter or replace any procedures provided elsewhere for the timely filing of appeals of Commission adjudications to appellate courts.

The provisions of this § 105.17 adopted March 29, 1985, effective March 30, 1985, 15 Pa.B. 1151; amended November 15, 1991, effective November 16, 1991, 21 Pa.B. 5334. Immediately preceding text appears at serial pages (153411) to (153412).

The Commission lacks subject matter jurisdiction to consider a petition for reconsideration of its own decision where the Commission fails to file an order granting reconsideration within 30 days of its original decision. Pannacci v. Civil Service Commission, 516 A.2d 1327 (Pa. Cmwlth. 1986); appeal after remand 560 A.2d 288 (Pa. Cmwlth. 1989).

History

Authority: The provisions of this § 105.18 deleted under section 506 of The Administration Code of 1929 (71 P.S. § 186); and 71 Pa.C.S. Part III.
Source: The provisions of this § 105.18 adopted November 15, 1991, effective November 16, 1991, 21 Pa.B. 5334; deleted June 9, 2023, effective June 10, 2023, 53 Pa.B. 3082. Immediately preceding text appears at serial page (336087).

Subpart B Executive Director of Civil Service

Chapter 109 Proceedings

4 Pa. Code § 109.1 Mechanical and electronic records.

The Commission may prohibit the use of mechanical and electronic recording devices if the use of the devices will disrupt or otherwise interfere with the proceedings.

The provisions of this § 109.1 adopted November 14, 1975, effective November 15, 1975, 5 Pa.B. 2980; amended March 29, 1985, effective March 30, 1985, 15 Pa.B. 1151; amended November 15, 1991, effective November 16, 1991, 21 Pa.B. 5334. Immediately preceding text appears at serial page (96809).

History

Source: The provisions of this § 109.1 adopted November 14, 1975, effective November 15, 1975, 5 Pa.B. 2980; amended March 29, 1985, effective March 30, 1985, 15 Pa.B. 1151; amended November 15, 1991, effective November 16, 1991, 21 Pa.B. 5334. Immediately preceding text appears at serial page (96809).

Part V Emergency Management Agency

Chapter 111 Emergency Management Agency Lands and Buildings

4 Pa. Code § 111.1 Posting.

All lands and buildings under control of the Pennsylvania Emergency Management Agency and used for the storage of emergency equipment, materials and supplies shall be conspicuously marked with official posters designating them as restricted areas.

History

Authority: The provisions of this Chapter 111 issued under the Emergency Management Services Code, 35 Pa.C.S. § § 7313 and 7707, unless otherwise noted.
Source: The provisions of this Chapter 111 adopted October 28, 1953 and amended August 4, 1965.

4 Pa. Code § 111.2 Authorization for entry.

Entry upon or into all such designated lands and buildings shall be restricted to those persons specifically authorized to enter such properties by any of the following:

(1) The Pennsylvania Emergency Management Agency.

(2) The Department of Military Affairs.

(3) The Pennsylvania State Police.

This section cited in 4 Pa. Code § 111.3 (relating to penalty for unauthorized entry).

History

Authority: The provisions of this Chapter 111 issued under the Emergency Management Services Code, 35 Pa.C.S. § § 7313 and 7707, unless otherwise noted.
Source: The provisions of this Chapter 111 adopted October 28, 1953 and amended August 4, 1965.

4 Pa. Code § 111.3 Penalty for unauthorized entry.

Any person entering upon or into lands and buildings designated as restricted areas without specific authorization as provided in § 111.2 (relating to authorization for entry) shall be subject to arrest and penalty, as provided in 35 Pa.C.S. § 7707 (relating to penalties).

History

Authority: The provisions of this Chapter 111 issued under the Emergency Management Services Code, 35 Pa.C.S. § § 7313 and 7707, unless otherwise noted.
Source: The provisions of this Chapter 111 adopted October 28, 1953 and amended August 4, 1965.

Chapter 112 Natural Disaster Reimbursement Program for PoliticalSubdivisions

4 Pa. Code § 112.1 Scope.

(a) Whenever the Governor shall have proclaimed that conditions of disaster emergency exist throughout this Commonwealth or in one or more political subdivisions thereof due to a natural disaster including but not limited to floods, heavy snows, or prolonged periods of subfreezing weather, officials of any political subdivision affected by such conditions of disaster emergency shall have the authority to clear such roadways as are necessary for the health, safety and welfare of residents, even though such roadways are not officially the responsibility of such political subdivisions. In the event that a water system owned or operated by a political subdivision or municipal authority is damaged, destroyed, or made inoperable as a direct result of such conditions of disaster emergency, the political subdivision or municipal authority shall have the authority to lease or hire such personnel and equipment as may be needed to effect restoration of such water system.

(b) Whenever the Governor shall have proclaimed that conditions of disaster emergency exist throughout this Commonwealth or in one or more political subdivisions due to a natural disaster, he may direct funds to be made available for the reimbursement of political subdivisions and municipal authorities in accordance with the application procedures outlined in § 112.5 (relating to procedures). Reimbursement will be made only if the Governor makes available funds for that specific purpose. The total amount of reimbursement shall never exceed $1 million in any one year except by action of the General Assembly.

History

Authority: The provisions of this Chapter 112 issued under the Emergency Management Services Code, 35 Pa.C.S. § § 7313 and 7707, unless otherwise noted.
Source: The provisions of this Chapter 112 adopted June 25, 1982, effective June 26, 1982, 12 Pa.B. 1936, unless otherwise noted.

4 Pa. Code § 112.2 Policy.

(a) Section 4 of the act of July 6, 1961 (P. L. 515, No. 265) (71 P. S. § 1689.104) provides that political subdivisions and municipal authorities may be reimbursed for the costs of roadway clearance and repair of public water systems whenever the Governor proclaims that a disaster emergency exists in the affected area.

(b) The Governor has designated the Pennsylvania Emergency Management Agency to administer the reimbursement program.

History

Authority: The provisions of this Chapter 112 issued under the Emergency Management Services Code, 35 Pa.C.S. § § 7313 and 7707, unless otherwise noted.
Source: The provisions of this Chapter 112 adopted June 25, 1982, effective June 26, 1982, 12 Pa.B. 1936, unless otherwise noted.

4 Pa. Code § 112.3 Definitions.

The following words and terms, when used in this chapter, have the following meanings: Disaster emergency—Those conditions which:

(i) Seriously affect the safety, health or welfare of a substantial number of citizens of this Commonwealth or preclude the operation or use of essential public facilities.

(ii) Be of such magnitude or severity as to render essential State supplementation of county and local efforts or resources exerted or utilized in alleviating the danger, damage, suffering or hardship faced.

(iii) Have been caused by forces beyond the control of man by reason of civil disorder, riot, or disturbance, or by factors not foreseen and not known to exist when appropriation bills were enacted. Natural disaster—Any hurricane, tornado, storm, flood, high-water, wind-driven water, tidal wave, earthquake, landslide, mudslide, snowstorm, drought, fire, explosion or other catastrophe which results in damage to property, hardship, suffering or possible loss of life. Political subdivisions—Any county, city, borough, township, town or home rule community in this Commonwealth.

History

Authority: The provisions of this Chapter 112 issued under the Emergency Management Services Code, 35 Pa.C.S. § § 7313 and 7707, unless otherwise noted.
Source: The provisions of this Chapter 112 adopted June 25, 1982, effective June 26, 1982, 12 Pa.B. 1936, unless otherwise noted.

4 Pa. Code § 112.4 Responsibilities.

(a) Office of the Budget. The Office of the Budget shall have the following responsibilities:

(1) Review the request from the Pennsylvania Emergency Management Agency for transfer of funds for use in the emergency.

(2) Recommend to the Governor an amount of executive authorization for reimbursement programs and an existing appropriation from which funds may be transferred.

(3) Review the request from the Pennsylvania Emergency Management Agency for the allocation of available funds among supporting agencies and process the appropriate transfers of funds.

(4) Provide assistance to State agencies on financial and accounting matters.

(b) Pennsylvania Emergency Management Agency. The Pennsylvania Emergency Management Agency shall have the following responsibilities:

(1) Provide the Office of the Budget with an estimate of the funds to be recommended for transfer to deal with the emergency.

(2) Provide overall supervision of the reimbursement programs.

(3) Review and coordinate application procedures established by supporting State agencies.

(4) Recommend to the Office of the Budget the allocation of transferred funds to supporting agencies.

(1) Administer the reimbursement program as it relates to clearing roadways.

(2) Develop procedures whereby political subdivisions may make application for reimbursement for the costs of clearing roadways.

(3) Disburse allocated funds to eligible applicants based on the distribution system established in § 112.5 (relating to procedures) and on detailed implementing instructions to be published.

(4) Inform the Pennsylvania Emergency Management Agency and the Office of the Budget of the dollar amounts and number of claim application forms received.

(d) Department of Environmental Protection. The Department of Environmental Protection shall have the following responsibilities:

(1) Administer the reimbursement program as it relates to restoration of water systems.

(2) Develop the procedures whereby political subdivisions and municipal authorities may make application for reimbursement for the costs of restoring damaged or destroyed public water systems.

(3) Disburse allocated funds to eligible applicants based on the priority system established in § 112.5 and on detailed implementing instructions to be published.

(4) Inform the Pennsylvania Emergency Management Agency and the Office of the Budget of the dollar amount and number of claim application forms received.

History

Authority: The provisions of this Chapter 112 issued under the Emergency Management Services Code, 35 Pa.C.S. § § 7313 and 7707, unless otherwise noted.
Source: The provisions of this Chapter 112 adopted June 25, 1982, effective June 26, 1982, 12 Pa.B. 1936, unless otherwise noted.

4 Pa. Code § 112.5 Procedures.

(a) The following system is established for the disbursement of funds appropriated as the result of a Gubernatorial Proclamation of Disaster Emergency:

(1) The executive agency for each segment of the program, that is, Pennsylvania Department of Transportation, for clearing roadways and the Department of Environmental Protection for water systems, will make determinations and disbursements of eligible reimbursement costs under these procedures.

(2) When the Governor issues a Proclamation of Disaster Emergency and proclaims funds available, those political subdivisions within the designated extreme emergency area will be notified by the Department of Transportation or the Department of Environmental Protection or both that funds have been allocated for reimbursement assistance.

(3) A claim-application must be submitted to the appropriate Commonwealth agency, the Department of Transportation or the Department of Environmental Protection, within 60 days after the termination of the Gubernatorial Proclamation. The application must include the value of the claim.

(4) Application forms will be available from the responsible agency, the Department of Transportation, Bureau of Municipal Services, or the Department of Environmental Protection, Office of Environmental Protection.

(5) Within 90 days after the termination of the proclamation the Department of Transportation or the Department of Environmental Protection or both will provide the Pennsylvania Emergency Management Agency the total cost of damage claimed.

(6) The Pennsylvania Emergency Management Agency will determine, from the amount of reimbursement money made available by the Governor, and the total emergency related costs, the amount of such costs which may be reimbursed. Based upon this determination the Pennsylvania Emergency Management Agency will indicate to the Office of Budget the amount of the available reimbursement funds which should be allotted to the Department of Transportation and the Department of Environmental Protection.

(7) The Department of Transportation will determine the total mileage on the local highway system within the political subdivision. The Department of Transportation will then make a pro rata calculation by political subdivision of the funds to be made available. These funds will be distributed based on the percentage of each political subdivision’s local mileage to the total local mileage of all affected political subdivisions. The sole criteria for eligibility to receive reimbursement for clearing roadways shall be that the actual emergency related roadway clearance costs exceeded that particular activity’s current year’s total budgeted amount from all sources by 25% and that no net claim of less than $100 will be considered.

(8) Priorities for the allocation of funds by the Department of Environmental Protection for water systems will be determined by the following criteria:

(i) Severity and extent of disruption of water service in relationship to size of water supply.

(ii) Severity of public health hazard.

(iii) Relationship of the cost of correcting work to the annual revenue.

(9) Reimbursements shall not be made if the Commonwealth, a political subdivision or a municipal authority are eligible for assistance from the Federal government.

(b) Funds will be administered as follows:

(1) At the close of the fiscal year in which a disaster emergency occurred, a Certificate of Eligibility shall be completed and filed by the local elected or appointed auditors.

(2) Thirty days after the end of the fiscal year, the Department of Transportation and the Department of Environmental Protection will submit to the Pennsylvania Emergency Management Agency and the Governor’s Office of the Budget a complete accounting of all funds disbursed under this program chargeable to that fiscal year.

This section cited in 4 Pa. Code § 112.1 (relating to scope); and 4 Pa. Code § 112.4 (relating to responsibilities).

History

Authority: The provisions of this Chapter 112 issued under the Emergency Management Services Code, 35 Pa.C.S. § § 7313 and 7707, unless otherwise noted.
Source: The provisions of this Chapter 112 adopted June 25, 1982, effective June 26, 1982, 12 Pa.B. 1936, unless otherwise noted.

Chapter 113 Volunteer Fire Company, Ambulance Service and Rescue Squad Assistance

4 Pa. Code § 113.1 Definitions.

(a) The terms defined in the act have the same meanings when used in this chapter as are ascribed in them in the act.

(b) The following words and terms, when used in this chapter, have the following meanings, unless the context clearly indicates otherwise: Accessory equipment—Firefighting, ambulance and rescue equipment necessary to carry out the ordinary functions of supporting firefighting, medical, life support, hazardous materials response and rescue activities. Equipment shall comply with approved standards of the OSFC, the National Fire Protection Association, Underwriters Laboratories, Factory Mutual Laboratories, National Bureau of Standards or other Nationally recognized inspection or rating agency and shall include: ladders; hoses; self-contained breathing apparatus; generators; floodlights and cords; smoke ejectors; compressors; hydrant-thawing devices; hydrant wrenches; door openers; portable pump and hand suction hose; couplings; adaptors; connecting hose valves; gates and ropes; spanner wrenches; nozzles; fire extinguishers; axes; crow bars; ladder and cellar pipe; pike poles; hose clamps and bridges; wheel chocks; floor runners; circular metal saws; foam applicators or applicator equipment; portable resuscitators; first aid kits; power shears; life or safety belts; rescue tools; stretchers and blankets; ropes; deluge guns; winches; helmets; coats; boots; trousers; lanterns; ladder straps; wrenches; salvage covers; hand saws; power saws; pigtail ground adaptors; cable with locking connectors; playpipes; sprinkler stoppers or wedges; backpack-type pumps; bolts; portable suction apparatus; hand-operated bag masks; oropharyngeal airways; mouth-to-mouth airways—child and infant sizes; portable oxygen equipment; mouth gags; tongue blades; sterile intravenous agents; universal dressings; sterile gauze pads; self-adhering bandages; burn sheets; lower extremity traction splints; padded boards; inflatable splints; spine boards; triangular bandages; safety pins; shears; obstetrical kits; sterile gloves; umbilical cord clamps or tapes; dressings; towels; plastic bags; poison kits; blood pressure manometers; cuffs; stethoscopes; and other equipment for rescue, communications and hazardous materials activities as determined by the OSFC. Act—The Volunteer Fire Company, Ambulance Service and Rescue Squad Assistance Act (72 P. S. § § 3943.1—3943.19). Apparatus equipment—Aerial apparatus; pumpers; tankers; utility or special service vehicles; ambulances; rescue vehicles and other large equipment used for fighting fires and hazardous materials emergencies. This equipment is more specifically categorized as follows: (i) Aerial apparatus—A truck equipped with a metal elevating platform device consisting of two or more booms or sections with a passenger-carrying platform assembly, or a truck equipped with a permanently mounted, power-operated aerial ladder. It shall comply with basic performance and construction standards, acceptance tests and service tests as set forth in NFPA Standard No. 1904-91 or its successor. (ii) Pumper—A pumper with a permanently mounted fire pump with a rated discharge capacity of 750 gallons per minute or greater at 150 pounds per square inch net pumping pressure. It shall comply with basic performance and construction standards, and acceptance and service tests, as set forth in NFPA Standard No. 1901-91 or its successor. (iii) Tanker—A mobile water supply fire apparatus as specified in NFPA Standard No. 1903-91 or its successor with a water capacity of 1,000 gallons or more. The minimum flow rate specified for tank to pump connection is 500 gallons per minute to a fire pump or the capacity of a booster pump where provided. The truck shall include a pump and have a limited hose body capacity. (iv) Utility or special service vehicle—A vehicle carrying accessory equipment including ladders; oxygen equipment; communications equipment; generators and adaptors; floodlights; smoke ejectors, and other equipment necessary to perform the ordinary functions of supporting firefighting, rescue, emergency medical and hazardous materials activities. It shall comply with basic performance and construction standards and acceptance tests as set forth in the applicable NFPA Standard. (v) Ambulance—A vehicle which is specifically designed, constructed or modified and equipped, and is used or intended to be used, and is maintained or operated, for the purpose of providing emergency medical care to, and transportation of, patients. The term includes advanced or basic life support vehicles that may or may not transport patients. An ambulance shall comply with current National standards and any standards developed under the authority of the Emergency Medical Services Act (35 P. S. § § 6921—6938). (vi) Rescue vehicle—A vehicle, whether a motor vehicle or a watercraft, intended to be used exclusively for rescue services, not primarily to transport patients or have affixed stationary fire suppression equipment. It shall comply with basic performance and construction standards and acceptance tests as set forth in NFPA Standard No. 1901-91 or its successor. (A) Heavy duty rescue vehicle—A vehicle utilizing a chassis with a Gross Vehicle Weight Rating (GVWR) of 14,700 pounds or more which is used exclusively for rescue services. It shall comply with basic performance and construction standards and acceptance tests as set forth in NFPA Standard No. 1901-91 or its successor, if applicable. (B) Light duty rescue vehicle—A vehicle utilizing a chassis with a Gross Vehicle Weight Rating (GVWR) of less than 14,700 pounds which is used exclusively for rescue services. It shall comply with basic performance and construction standards and acceptance tests as set forth in NFPA Standard No. 1901-91 or its successor, if applicable. (C) Watercraft rescue vehicle—A vehicle or device used on the water or ice and intended to be used exclusively for rescue purposes. The term includes boats, motorboats, iceboats, all-terrain or amphibious vehicles capable of being operated on the water. The term does not include seaplanes. Communications equipment—Equipment or a system, or both, necessary for the transmission and reception of signals by voice required to support the operations of the volunteer company. Transmissions and communications equipment shall be licensed or authorized by the Federal Communications Commission, ‘‘Public Safety Radio Service,’’ 47 CFR Part 90 (relating to private land mobile radio services), meet the standards of the OSFC, as set forth in any directives or guidelines, and meet the applicable requirements of the Public Safety Emergency Telephone Act (35 P. S. § § 7011—7021). Facility—A structure or portion thereof intended for the purpose of storage or protection of firefighting apparatus, ambulances and rescue vehicles and related equipment and gear. The term does not include meeting halls, social rooms, lounges, cloakrooms, bunkrooms, bathrooms, kitchens or any other facilities not directly related to firefighting or the furnishing of ambulance or rescue services. Lending institution—A savings bank, bank and trust company, savings and loan association, credit union, financial leasing corporation, independently chartered relief association, local unit of government (city, borough, township, county) or a private individual, if a signed lending agreement is in effect with the private individual which states the amount, term, interest rate and the specific project for which the money is being loaned. NFPA—The National Fire Protection Association. New apparatus equipment—The term includes apparatus equipment that is titled using a manufacturer’s certificate of origin and where all essential parts as defined in 75 Pa.C.S. § 102 (relating to definitions) are new. OSFC—The Office of the State Fire Commissioner. Protective equipment—Clothing or equipment used by volunteer firefighters, volunteer ambulance service personnel or volunteer rescue service personnel which affords protection from injury to the wearer or user, including fire coats, boots, helmets, turnout pants, gloves, eyeshields, chemical protection suites and self-contained respiratory protection units. UL—Underwriters Laboratories. Used apparatus equipment—Apparatus equipment that has been previously titled in this Commonwealth or another state. The term also includes a vehicle which consists of taking a new or used truck chassis of any kind and then fabricating or constructing used essential parts as defined by 75 Pa.C.S. § 102 onto the chassis to create the apparatus equipment. Volunteer Companies Loan Fund—The fund established under section 5 of the act (72 P. S. § 3943.5). Volunteer company—A volunteer fire company, volunteer ambulance service or volunteer rescue service as defined by the act.

The provisions of this § 113.1 adopted December 23, 1982, effective December 25, 1982, 12 Pa.B. 4333; amended December 18, 1992, effective December 19, 1992, 22 Pa.B. 6019. Immediately preceding text appears at serial pages (153416) to (153418).

History

Authority: The provisions of this Chapter 113 issued under the Volunteer Fire Company, Ambulance Service and Rescue Squad Assistance Act (72 P. S. § § 3943.1—3944.5); and Reorganization Plan No. 7, effective July 1, 1981; references to Pennsylvania Emergency Management Agency replaced with references to the Office of the Stare Fire Commissioner under section 6 of the act of December 23, 2013 (P. L. 1256, No. 129), unless otherwise noted.
Source: The provisions of this § 113.307 adopted December 23, 1982, effective December 25, 1982, 12 Pa.B. 4333; amended December 18, 1992, effective December 19, 1992, 22 Pa.B. 6019. Immediately preceding text appears at serial page (153429).

4 Pa. Code § 113.2 General provisions for assistance to volunteer companies.

(a) The OSFC will accept applications from a volunteer fire company, volunteer ambulance service and volunteer rescue service, as authorized under the act, on forms provided and authorized by the OSFC.

(b) The General Assembly has determined that volunteer fire companies are most in need of loans and intends that, to the extent possible, a significant portion of the Volunteer Companies Loan Fund be used to provide loans to volunteer fire companies and that the balance be allocated to provide loans to volunteer ambulance services and volunteer rescue squads.

The provisions of this § 113.2 adopted December 23, 1982, effective December 25, 1982, 12 Pa.B. 4333; amended December 18, 1992, effective December 19, 1992, 22 Pa.B. 6019. Immediately preceding text appears at serial page (153418).

History

Authority: The provisions of this Chapter 113 issued under the Volunteer Fire Company, Ambulance Service and Rescue Squad Assistance Act (72 P. S. § § 3943.1—3944.5); and Reorganization Plan No. 7, effective July 1, 1981; references to Pennsylvania Emergency Management Agency replaced with references to the Office of the Stare Fire Commissioner under section 6 of the act of December 23, 2013 (P. L. 1256, No. 129), unless otherwise noted.
Source: The provisions of this § 113.307 adopted December 23, 1982, effective December 25, 1982, 12 Pa.B. 4333; amended December 18, 1992, effective December 19, 1992, 22 Pa.B. 6019. Immediately preceding text appears at serial page (153429).

4 Pa. Code § 113.3 Initial application procedure.

(a) Part I. As its initial step in applying for a loan, the volunteer company shall submit the following documentation:

(1) A copy of the bylaws which provide that the applicant does not discriminate on the basis of race, creed, religion, sex, age, National origin or disability.

(2) A copy of the charter or certificate of incorporation that establishes its status as a volunteer or nonprofit corporation, association or organization.

(3) A notarized loan application and letter of intent, OSFC-VL-1.

(4) Proof of publication of the nondiscrimination clause as recommended by OSFC-VL-4. In the publication of intention to apply for a loan and statement of nondiscrimination against applicants for membership, the volunteer company shall convenant with the OSFC that it has not, does not and will not discriminate on the basis of race, creed, religion, sex, age, National origin or disability and that the volunteer company is and shall remain in compliance with the Pennsylvania Human Relations Act (43 P. S. § § 951—962.2), Title VI of the Civil Rights Act of 1964 (42 U.S.C.A. § § 2000d—2000d-4a) and the Americans with Disabilities Act of 1990 (42 U.S.C.A. § § 12101—12514). Every volunteer company requesting a loan from the OSFC shall, at its own expense, publish its intentions to apply for funds from the OSFC at least once in a newspaper of general circulation within 30 days prior to submission of the loan application. A newspaper of general circulation shall be a newspaper that is circulated on a daily or weekly basis within the volunteer company’s service area.

(5) The resolution to borrow, OSFC-VL-2, either affixed with the volunteer company’s seal or notorized.

(6) An Emergency Management Planning Resolution, OSFC-VL-20, if applicable.

(7) A Certification of Hazardous Materials Response Training, OSFC-VL-21, if applicable.

(b) Part II. If the documentation required under subsection (a) is complete and accurate, the OSFC will notify the volunteer company of its eligibility to submit the final application forms listed in § 113.5 (relating to final application procedure) and will forward those forms to the applicant. When the loan applicant is determined to be ineligible for further loan consideration or its application is considered to be unsatisfactory or incomplete, the OSFC will notify the loan applicant in writing of the reason for its ineligibility or sections of the application that need to be completed or corrected.

The provisions of this § 113.3 adopted December 23, 1982, effective December 25, 1982, 12 Pa.B. 4333; amended December 18, 1992, effective December 19, 1992, 22 Pa.B. 6019. Immediately preceding text appears at serial page (153419).

This section cited in 4 Pa. Code § 113.4 (relating to loan priorities and eligibility standards); and 4 Pa. Code § 113.5 (relating to final application procedure).

History

Authority: The provisions of this Chapter 113 issued under the Volunteer Fire Company, Ambulance Service and Rescue Squad Assistance Act (72 P. S. § § 3943.1—3944.5); and Reorganization Plan No. 7, effective July 1, 1981; references to Pennsylvania Emergency Management Agency replaced with references to the Office of the Stare Fire Commissioner under section 6 of the act of December 23, 2013 (P. L. 1256, No. 129), unless otherwise noted.
Source: The provisions of this § 113.307 adopted December 23, 1982, effective December 25, 1982, 12 Pa.B. 4333; amended December 18, 1992, effective December 19, 1992, 22 Pa.B. 6019. Immediately preceding text appears at serial page (153429).

4 Pa. Code § 113.4 Loan priorities and eligibility standards.

(a) A volunteer company that has met the requirements of § § 113.3 and 113.5(a) and (b) (relating to initial application procedure; and final application procedure) shall have its loan application classified within each category according to its status as a volunteer fire company, a volunteer ambulance service or a volunteer rescue service.

(b) A loan application which meets two of the following requirements of the act shall be given first priority:

(1) Replacement of apparatus equipment not in compliance with NFPA standards or facilities not meeting State or local building codes or fire prevention codes, Federal regulations or OSFC directives.

(2) Replacement of unsafe fire apparatus equipment or facilities, or both.

(3) Provision of additional equipment or facilities, or both, because of unusual demand on present service.

(c) If the volunteer company meets only one of the requirements in subsection (b), its loan application shall be given second priority and shall be processed in the order of its receipt.

(d) A volunteer company, whether its loan application is given first or second priority, shall have its eligibility for a loan based upon the following standards which are listed in the order of their importance:

(1) The financial need of the volunteer company.

(2) The volunteer company’s ability to repay the loan.

(3) The financial assets of the volunteer company and its ability to obtain revenue, income and financial support and resources from outside sources. Revenue sources shall include bank accounts, investment accounts with other types of financial investment institutions, income received from support groups of the volunteer company, membership fees or dues collected, income received from service billing activities, gifts, donations or contributions received from governmental and nongovernmental entities and other sources of income.

(4) The volunteer company’s prior loan repayment history to the Volunteer Companies Loan Fund. This standard shall include prior loan defaults, late payments, bankruptcies and related financial difficulties.

(5) The age and existing condition of the volunteer company’s apparatus equipment or facilities and the age of the apparatus equipment that is intended to replace the existing apparatus equipment.

(6) The geographic and demographic conditions that exist within the volunteer company’s service area. This standard includes unusual fire hazards, including the lack of an adequate water supply, the potential for and the incidence of natural and manmade disasters, the size of the population, the number of aged and disabled residents, and the growth or decline of the population within the service area, the amount of new home and business construction and expansion, the geographic size of the service area and the resulting amount of mileage and incidence of use incurred by the volunteer company’s apparatus equipment.

(7) The number and type of signed mutual aid agreements that the volunteer company maintains with other volunteer companies and political subdivisions located within or adjacent to the county where the volunteer company’s apparatus equipment and its supporting facility are located.

(8) The volunteer company’s training, certification and fire prevention program.

(e) The Commissioner of the OSFC has the authority to waive any of the loan priorities or standards established in this section whenever the applicant presents substantial evidence of potential hardship or other justification for the granting of a waiver.

The provisions of this § 113.4 adopted December 23, 1982, effective December 25, 1982, 12 Pa.B. 4333; amended December 18, 1992, effective December 19, 1992, 22 Pa.B. 6019. Immediately preceding text appears at serial pages (153419) to (153420).

This section cited in 4 Pa. Code § 113.5 (relating to final application procedure).

History

Authority: The provisions of this Chapter 113 issued under the Volunteer Fire Company, Ambulance Service and Rescue Squad Assistance Act (72 P. S. § § 3943.1—3944.5); and Reorganization Plan No. 7, effective July 1, 1981; references to Pennsylvania Emergency Management Agency replaced with references to the Office of the Stare Fire Commissioner under section 6 of the act of December 23, 2013 (P. L. 1256, No. 129), unless otherwise noted.
Source: The provisions of this § 113.307 adopted December 23, 1982, effective December 25, 1982, 12 Pa.B. 4333; amended December 18, 1992, effective December 19, 1992, 22 Pa.B. 6019. Immediately preceding text appears at serial page (153429).

4 Pa. Code § 113.5 Final application procedure.

(a) The final application forms shall be submitted by a volunteer company within 9 months after it receives written notice from the OSFC in accordance with § 113.3(b) (relating to initial application procedure) that it is eligible to submit the final application forms to the OSFC or the application file will be closed by the OSFC. The final forms required include the following:

(1) A notarized financial statement and plan certification, PEMA-VL-5.

(2) A letter of responsibility, PEMA-VL-10.

(b) In addition, the volunteer company shall submit the following, if applicable:

(1) A statement from the vendor, contractor or testing agency as to why the existing facility or apparatus equipment is outmoded or unsafe.

(2) Plans and specifications for the apparatus equipment, facility, or both.

(3) A legal description of real property upon which the facility is being constructed or modernized.

(4) A signed copy of any agreement or contract with a manufacturer or contractor.

(5) A signed copy of a loan agreement with a lending institution when refinancing a debt. The date of the loan agreement shall precede the date of the vehicle or equipment delivery or the completion of the facility project.

(6) A signed copy of bids or estimates for repair or rehabilitation of apparatus equipment.

(7) The names, addresses and home and work telephone numbers of board members or trustees and officers.

(8) Other required documents as determined by the OSFC when borrowing for used apparatus equipment, accessory equipment, communications equipment or protective equipment.

(c) The evaluation of a volunteer company’s initial and final application forms shall be performed by the staff of the Volunteer Loan Assistance Program.

(d) After the staff has completed its final evaluation, the State Fire Commissioner or the Administrator of the Volunteer Loan Assistance Program will recommend disposition of the completed loan application to an application review committee within the OSFC which will make the final decision on the loan application. A volunteer company’s loan application will not be complete unless the OSFC has received the required application forms and other documentation from the volunteer company at least 7-calendar days prior to a scheduled application review committee meeting.

(e) The application review committee will meet once a month as scheduled by the OSFC and will consist of at least ten members. The committee will be composed of representatives from the OSFC; other State agencies or departments with fire, ambulance or rescue service-related interests; the volunteer fire, ambulance and emergency service community; and other appropriate parties as selected by the OSFC. Members will serve without compensation but will be reimbursed for travel expenses incurred in connection with attendance at committee meetings. Six members shall constitute a quorum. The State Fire Commissioner will coordinate and chair the committee meeting. If the State Fire Commissioner is unable to attend the meeting, the Administrator of the Volunteer Loan Assistance Program will coordinate and chair the meeting. Neither the State Fire Commissioner nor the Loan Administrator will have a vote unless the vote is needed to break a tie vote between the committee members present at the meeting.

(f) The State Fire Commissioner, Loan Administrator and the application review committee will apply the loan priorities and loan eligibility standards in § 113.4 (relating to loan priorities and eligibility standards) to their final decision on the volunteer company’s loan application.

(g) A volunteer company aggrieved by a decision of the application review committee has the right to appeal the committee’s decision to the OSFC’s Commissioner or a designee within 30 days as provided by 1 Pa. Code Part II (relating to the general rules of administrative practice and procedure).

The provisions of this § 113.5 adopted December 23, 1982, effective December 25, 1982, 12 Pa.B. 4333; amended December 18, 1992, effective December 19, 1992, 22 Pa.B. 6019. Immediately preceding text appears at serial pages (153420) to (153421).

This section cited in 4 Pa. Code § 113.4 (relating to loan priorities and eligibility standards); and 4 Pa. Code § 113.202 (relating to loan amounts).

History

Authority: The provisions of this Chapter 113 issued under the Volunteer Fire Company, Ambulance Service and Rescue Squad Assistance Act (72 P. S. § § 3943.1—3944.5); and Reorganization Plan No. 7, effective July 1, 1981; references to Pennsylvania Emergency Management Agency replaced with references to the Office of the Stare Fire Commissioner under section 6 of the act of December 23, 2013 (P. L. 1256, No. 129), unless otherwise noted.
Source: The provisions of this § 113.307 adopted December 23, 1982, effective December 25, 1982, 12 Pa.B. 4333; amended December 18, 1992, effective December 19, 1992, 22 Pa.B. 6019. Immediately preceding text appears at serial page (153429).

4 Pa. Code § 113.6 Loan limitations.

(a) The OSFC is authorized to make loans for the following:

(1) Acquisition of apparatus equipment, ambulances, rescue vehicles, utility or special service vehicles, communication equipment, accessory equipment or protective equipment; construction of new facilities; and modernization of existing facilities.

(2) Repair or rehabilitation of apparatus equipment when it has been determined that existing apparatus equipment no longer meets the current standards of the NFPA and when the repair or rehabilitation, or both, of the apparatus equipment will bring it in compliance with NFPA standards in existence at the time of the application.

(3) Refinancing a debt incurred through other lending institutions for contracts entered into after November 4, 1975 and used for the purchase of apparatus equipment, for the construction or modernization of facilities, or for the modification of apparatus equipment in order to comply with NFPA standards.

(b) A loan provided under this chapter may not be used for the acquisition of existing facilities. A loan may not be used for operating expenses, nor may it be used to reduce a debt or other obligation issued prior to November 4, 1975. A loan may not be used for payment of fees for the designing or planning of facilities or preparation of application. A loan may not be used for the purpose of investment, reinvestment, or for a purpose other than that which is expressly stated on the loan application, OSFC-VL-1.

(c) The OSFC has the authority to verify the company’s volunteer or nonprofit status during the application process or at any time during the term of the loan.

(d) The OSFC may declare an ‘‘event of default’’ against a volunteer company that has received a loan from the OSFC. For the purposes of this subsection, an ‘‘event of default’’ means an act committed by a volunteer company that diverts, misapplies or distributes all or a portion of its loan proceeds to a use, purpose or party not authorized by the OSFC. An ‘‘event of default’’ also consists of events listed in Article VII (Default) of the Agreement for Act 208 Loan Assistance, OSFC-VL-17 and an act which changes or eliminates a volunteer company’s volunteer or nonprofit status.

(e) When the OSFC declares an ‘‘event of default,’’ it may proceed against the volunteer company in accordance with the default procedures in the Promissory Note, Mortgage, Guarantee or Loan Agreement (OSFC-VL-17) that was executed between the OSFC and the volunteer company.

(f) In addition to the other provisions of this section, a volunteer company is not eligible for a future loan from the OSFC until that volunteer company takes actions or measures deemed necessary by the OSFC to terminate an event of default that the OSFC has declared against it and receives a written notice from the OSFC that the event of default has been terminated.

(g) A volunteer company may have no more than three outstanding loans with the OSFC at a given time. The OSFC may reduce this loan limit if the balance of funds in the Volunteer Loan Companies Fund warrants a reduction.

The provisions of this § 113.6 adopted December 23, 1982, effective December 25, 1982, 12 Pa.B. 4333; amended December 18, 1992, effective December 19, 1992, 22 Pa.B. 6019. Immediately preceding text appears at serial page (153421).

The Pennsylvania Emergency Management Agency too narrowly defined ‘‘debt’’ and erroneously denied an application on the ground that borrowed funds to restore sinking fund capital account, would be used for operating expenses and that debt was not ‘‘incurred through other lending institutions.’’ Abington Fire Company v. Pennsylvania Emergency Management Agency, 132 Pa. Cmwlth. 119, 572 A.2d 44 (1990); appeal dismissed 612 A.2d 1353 (Pa. 1992).

History

Authority: The provisions of this Chapter 113 issued under the Volunteer Fire Company, Ambulance Service and Rescue Squad Assistance Act (72 P. S. § § 3943.1—3944.5); and Reorganization Plan No. 7, effective July 1, 1981; references to Pennsylvania Emergency Management Agency replaced with references to the Office of the Stare Fire Commissioner under section 6 of the act of December 23, 2013 (P. L. 1256, No. 129), unless otherwise noted.
Source: The provisions of this § 113.307 adopted December 23, 1982, effective December 25, 1982, 12 Pa.B. 4333; amended December 18, 1992, effective December 19, 1992, 22 Pa.B. 6019. Immediately preceding text appears at serial page (153429).

4 Pa. Code § 113.7 Effective date.

Loans may be made for purposes of the act undertaken by a volunteer company after November 4, 1975.

History

Authority: The provisions of this Chapter 113 issued under the Volunteer Fire Company, Ambulance Service and Rescue Squad Assistance Act (72 P. S. § § 3943.1—3944.5); and Reorganization Plan No. 7, effective July 1, 1981; references to Pennsylvania Emergency Management Agency replaced with references to the Office of the Stare Fire Commissioner under section 6 of the act of December 23, 2013 (P. L. 1256, No. 129), unless otherwise noted.
Source: The provisions of this § 113.307 adopted December 23, 1982, effective December 25, 1982, 12 Pa.B. 4333; amended December 18, 1992, effective December 19, 1992, 22 Pa.B. 6019. Immediately preceding text appears at serial page (153429).

4 Pa. Code § 113.8 Political subdivision.

(a) A volunteer company is eligible for a loan regardless of legal ownership in whole or part by a political subdivision of facilities, apparatus equipment or other equipment used by the volunteer company. Title to the real personal property so financed shall vest in either the volunteer company or the political subdivision during the period of the loan. When the title to the real or personal property vests in the political subdivision, the political subdivision and the volunteer company shall cosign the mortgage, promissory note and security agreement for the real property loan (such as facilities) or the promissory note, security agreement and financing statements for the personal property loan (such as apparatus equipment or protective, accessory or communications equipment).

(b) Apparatus equipment or facilities financed under the act may be transferred to a political subdivision served by the volunteer fire company, volunteer ambulance or volunteer rescue service if the OSFC receives 30 days written notice of the transfer. In this situation, the OSFC will determine the type of security required.

The provisions of this § 113.8 adopted December 23, 1982, effective December 25, 1982, 12 Pa.B. 4333; amended December 18, 1992, effective December 19, 1992, 22 Pa.B. 6019. Immediately preceding text appears at serial page (153422).

History

Authority: The provisions of this Chapter 113 issued under the Volunteer Fire Company, Ambulance Service and Rescue Squad Assistance Act (72 P. S. § § 3943.1—3944.5); and Reorganization Plan No. 7, effective July 1, 1981; references to Pennsylvania Emergency Management Agency replaced with references to the Office of the Stare Fire Commissioner under section 6 of the act of December 23, 2013 (P. L. 1256, No. 129), unless otherwise noted.
Source: The provisions of this § 113.307 adopted December 23, 1982, effective December 25, 1982, 12 Pa.B. 4333; amended December 18, 1992, effective December 19, 1992, 22 Pa.B. 6019. Immediately preceding text appears at serial page (153429).

4 Pa. Code § 113.9 Twenty percent requirement.

(a) The volunteer company shall be required to show that it has available 20% of the total cost of the facility, apparatus equipment or vehicle procurement or rehabilitation in unobligated funds at the time its initial application forms are submitted to the OSFC. The OSFC has the authority to confirm the existence of a volunteer company’s invested or unobligated funds at any time during the loan review process.

(b) If the volunteer company is unable to meet the 20% requirement of subsection (a), a political subdivision served by the volunteer company may pledge funds necessary to satisfy the 20% requirement and, if it does so, shall cosign the application submitted by the volunteer company and provide the OSFC with a copy of an ordinance adopted by the governing body of the political subdivision which guarantees the loan amount or authorizes the issuance of a general obligation note in the amount of the loan under the Local Government Unit Debt Act (53 P. S. § § 6780-1—6780-609). A copy of the ordinance and a copy of the Department of Community Affairs Certificate of Approval shall be provided to the OSFC at least 30 days prior to final settlement of the loan.

The provisions of this § 113.9 adopted December 23, 1982, effective December 24, 1982, 12 Pa.B. 4333; amended December 18, 1992, effective December 19, 1992, 22 Pa.B. 6019; corrected February 12, 1993, effective December 19, 1992, 23 Pa.B. 738. Immediately preceding text appears at serial page (175807).

History

Authority: The provisions of this Chapter 113 issued under the Volunteer Fire Company, Ambulance Service and Rescue Squad Assistance Act (72 P. S. § § 3943.1—3944.5); and Reorganization Plan No. 7, effective July 1, 1981; references to Pennsylvania Emergency Management Agency replaced with references to the Office of the Stare Fire Commissioner under section 6 of the act of December 23, 2013 (P. L. 1256, No. 129), unless otherwise noted.
Source: The provisions of this § 113.307 adopted December 23, 1982, effective December 25, 1982, 12 Pa.B. 4333; amended December 18, 1992, effective December 19, 1992, 22 Pa.B. 6019. Immediately preceding text appears at serial page (153429).

4 Pa. Code § 113.10 Loan period.

The loans granted under the act may not exceed 15 years, and any loan in the amount of $15,000 or less shall be for not more than 5 years. The minimum amount of a loan is $5,000.

The provisions of this § 113.10 adopted December 23, 1982, effective December 24, 1982, 12 Pa.B. 4333; amended December 18, 1992, effective December 19, 1992, 22 Pa.B. 6019. Immediately preceding text appears at serial page (153422).

History

Authority: The provisions of this Chapter 113 issued under the Volunteer Fire Company, Ambulance Service and Rescue Squad Assistance Act (72 P. S. § § 3943.1—3944.5); and Reorganization Plan No. 7, effective July 1, 1981; references to Pennsylvania Emergency Management Agency replaced with references to the Office of the Stare Fire Commissioner under section 6 of the act of December 23, 2013 (P. L. 1256, No. 129), unless otherwise noted.
Source: The provisions of this § 113.307 adopted December 23, 1982, effective December 25, 1982, 12 Pa.B. 4333; amended December 18, 1992, effective December 19, 1992, 22 Pa.B. 6019. Immediately preceding text appears at serial page (153429).

4 Pa. Code § 113.11 Loan repayment.

(a) The loan shall be repaid at the rate of interest of 2% per annum payable monthly on the unpaid balance of the loan commencing not later than 2 months after the date of the loan and payable on the first day of every month thereafter during the term of the loan until paid. There shall be a delinquent charge of 6% per annum for a loan repayment that is 30 or more days late of the original due date.

(b) The volunteer company may anticipate installments of principal or any payments of interest at any time prior to the respective payment date without notice or penalty.

(c) The principal and interest of the loan shall be payable at the office designated for these purposes. The check or money order shall be made payable to the Volunteer Companies Loan Fund and shall be delivered to the OSFC comptroller’s office before the close of business on the due date.

The provisions of this § 113.11 adopted December 23, 1982, effective December 25, 1982, 12 Pa.B. 4333; amended December 18, 1992, effective December 19, 1992, 22 Pa.B. 6019. Immediately preceding text appears at serial page (153422).

History

Authority: The provisions of this Chapter 113 issued under the Volunteer Fire Company, Ambulance Service and Rescue Squad Assistance Act (72 P. S. § § 3943.1—3944.5); and Reorganization Plan No. 7, effective July 1, 1981; references to Pennsylvania Emergency Management Agency replaced with references to the Office of the Stare Fire Commissioner under section 6 of the act of December 23, 2013 (P. L. 1256, No. 129), unless otherwise noted.
Source: The provisions of this § 113.307 adopted December 23, 1982, effective December 25, 1982, 12 Pa.B. 4333; amended December 18, 1992, effective December 19, 1992, 22 Pa.B. 6019. Immediately preceding text appears at serial page (153429).

4 Pa. Code § 113.12 Loan procedures.

(a) In advance of a loan settlement, the OSFC’s comptroller shall issue two-party checks which shall list the volunteer company and a lending institution, apparatus equipment manufacturer or dealer, construction company or other interested party, as identified by the OSFC, as the payees of the loan check.

(b) Loan settlements will be conducted at either the OSFC’s Harrisburg office or area offices or at another location as determined at the sole discretion of the OSFC. The OSFC will set the dates and times for loan settlements.

The provisions of this § 113.12 adopted December 18, 1992, effective December 19, 1992, 22 Pa.B. 6019.

History

Authority: The provisions of this Chapter 113 issued under the Volunteer Fire Company, Ambulance Service and Rescue Squad Assistance Act (72 P. S. § § 3943.1—3944.5); and Reorganization Plan No. 7, effective July 1, 1981; references to Pennsylvania Emergency Management Agency replaced with references to the Office of the Stare Fire Commissioner under section 6 of the act of December 23, 2013 (P. L. 1256, No. 129), unless otherwise noted.
Source: The provisions of this § 113.307 adopted December 23, 1982, effective December 25, 1982, 12 Pa.B. 4333; amended December 18, 1992, effective December 19, 1992, 22 Pa.B. 6019. Immediately preceding text appears at serial page (153429).

4 Pa. Code § 113.101 Loan authorization.

The OSFC is authorized to make loans which will assist in establishing or modernizing facilities that house apparatus equipment, accessory equipment, communications equipment and protective equipment.

The provisions of this § 113.101 adopted December 23, 1982, effective December 25, 1982, 12 Pa.B. 4333; amended December 18, 1992, effective December 19, 1992, 22 Pa.B. 6019. Immediately preceding text appears at serial page (153423).

History

Authority: The provisions of this Chapter 113 issued under the Volunteer Fire Company, Ambulance Service and Rescue Squad Assistance Act (72 P. S. § § 3943.1—3944.5); and Reorganization Plan No. 7, effective July 1, 1981; references to Pennsylvania Emergency Management Agency replaced with references to the Office of the Stare Fire Commissioner under section 6 of the act of December 23, 2013 (P. L. 1256, No. 129), unless otherwise noted.
Source: The provisions of this § 113.307 adopted December 23, 1982, effective December 25, 1982, 12 Pa.B. 4333; amended December 18, 1992, effective December 19, 1992, 22 Pa.B. 6019. Immediately preceding text appears at serial page (153429).

4 Pa. Code § 113.102 Loan.

The loan for acquisition of land or construction of a new facility or renovation of an existing facility to any volunteer fire company, ambulance service or rescue squad for a specified project may not exceed 50% of the total cost of the facility or modernization or $200,000, whichever is less.

The provisions of this § 113.102 adopted December 23, 1982, effective December 25, 1982, 12 Pa.B. 4333; amended December 18, 1992, effective December 19, 1992, 22 Pa.B. 6019. Immediately preceding text appears at serial page (153423).

History

Authority: The provisions of this Chapter 113 issued under the Volunteer Fire Company, Ambulance Service and Rescue Squad Assistance Act (72 P. S. § § 3943.1—3944.5); and Reorganization Plan No. 7, effective July 1, 1981; references to Pennsylvania Emergency Management Agency replaced with references to the Office of the Stare Fire Commissioner under section 6 of the act of December 23, 2013 (P. L. 1256, No. 129), unless otherwise noted.
Source: The provisions of this § 113.307 adopted December 23, 1982, effective December 25, 1982, 12 Pa.B. 4333; amended December 18, 1992, effective December 19, 1992, 22 Pa.B. 6019. Immediately preceding text appears at serial page (153429).

4 Pa. Code § 113.103 Proceeds of loan.

(a) Proceeds of the loan may be used for land acquisition, or facility construction and modernization specifically described on the loan application and loan agreement. If proceeds of the loan are to be used for land acquisition, approval will be granted only under the condition that construction begins within 6 months.

(b) Proceeds of the loan may be used for the refinancing of debts incurred with a lending institution or contracts entered into after November 4, 1975 and shall be used for the construction or modernization of facilities.

The provisions of this § 113.103 adopted December 23, 1982, effective December 25, 1982, 12 Pa.B. 4333; amended December 18, 1992, effective December 19, 1992, 22 Pa.B. 6019. Immediately preceding text appears at serial page (153423).

History

Authority: The provisions of this Chapter 113 issued under the Volunteer Fire Company, Ambulance Service and Rescue Squad Assistance Act (72 P. S. § § 3943.1—3944.5); and Reorganization Plan No. 7, effective July 1, 1981; references to Pennsylvania Emergency Management Agency replaced with references to the Office of the Stare Fire Commissioner under section 6 of the act of December 23, 2013 (P. L. 1256, No. 129), unless otherwise noted.
Source: The provisions of this § 113.307 adopted December 23, 1982, effective December 25, 1982, 12 Pa.B. 4333; amended December 18, 1992, effective December 19, 1992, 22 Pa.B. 6019. Immediately preceding text appears at serial page (153429).

4 Pa. Code § 113.104 Prerequisite materials to final settlement.

As a prerequisite to final settlement, the volunteer company shall deliver the loan agreement, the promissory note and mortgage, with the real property description set forth in Exhibit A of the mortgage and other security documents that may be required by the OSFC, all having been authorized by the volunteer company, which when executed shall be the valid and legally binding obligations of the volunteer company enforceable in accordance with the respective terms of each.

The provisions of this § 113.104 adopted December 23, 1982, effective December 25, 1982, 12 Pa.B. 4333; amended December 18, 1992, effective December 19, 1992, 22 Pa.B. 6019. Immediately preceding text appears at serial page (153423).

History

Authority: The provisions of this Chapter 113 issued under the Volunteer Fire Company, Ambulance Service and Rescue Squad Assistance Act (72 P. S. § § 3943.1—3944.5); and Reorganization Plan No. 7, effective July 1, 1981; references to Pennsylvania Emergency Management Agency replaced with references to the Office of the Stare Fire Commissioner under section 6 of the act of December 23, 2013 (P. L. 1256, No. 129), unless otherwise noted.
Source: The provisions of this § 113.307 adopted December 23, 1982, effective December 25, 1982, 12 Pa.B. 4333; amended December 18, 1992, effective December 19, 1992, 22 Pa.B. 6019. Immediately preceding text appears at serial page (153429).

4 Pa. Code § 113.105 Mortgage.

(a) The mortgage shall be recorded by the volunteer company, at its own expense, in the office of the recorder of deeds in the county in which the land is located.

(b) Whenever a volunteer company has obtained a previous mortgage for land acquisition or construction or modernization of a facility, the OSFC is authorized to provide an additional mortgage for land acquisition or construction or modernization of a facility. The OSFC will insure that loan safeguards are initiated to protect the Commonwealth’s investment.

The provisions of this § 113.105 adopted December 23, 1982, effective December 25, 1982, 12 Pa.B. 4333; amended December 18, 1992, effective December 19, 1992, 22 Pa.B. 6019. Immediately preceding text appears at serial page (153423).

History

Authority: The provisions of this Chapter 113 issued under the Volunteer Fire Company, Ambulance Service and Rescue Squad Assistance Act (72 P. S. § § 3943.1—3944.5); and Reorganization Plan No. 7, effective July 1, 1981; references to Pennsylvania Emergency Management Agency replaced with references to the Office of the Stare Fire Commissioner under section 6 of the act of December 23, 2013 (P. L. 1256, No. 129), unless otherwise noted.
Source: The provisions of this § 113.307 adopted December 23, 1982, effective December 25, 1982, 12 Pa.B. 4333; amended December 18, 1992, effective December 19, 1992, 22 Pa.B. 6019. Immediately preceding text appears at serial page (153429).

4 Pa. Code § 113.106 Insurance and surveys.

(a) Mortgage. The volunteer company shall procure, pay for and deliver to the OSFC a mortgagee’s title insurance policy in the aggregate amount of the loan, insuring the interest of the OSFC as the mortgagee under the mortgage as a lien or charge upon the mortgage property, subject only to exceptions that have been approved by the OSFC.

(b) Insurance. The volunteer company shall maintain the following insurance in form and substance satisfactory to and in amounts required by the OSFC, with evidence of the payment of premiums for the benefit of the OSFC and the volunteer company:

(1) Construction coverage:

(i) Workmens compensation insurance and employers liability insurance.

(ii) Combined coverage, comprehensive general liability insurance and owner’s protective liability insurance.

(iii) Builder’s risk on the project and the improvements, including the materials, equipment and other personal property located on the mortgaged property which are used or intended to be used in the project and the improvements; with extended coverage, vandalism and malicious mischief; and with no more than a $100 deductible provision for losses.

(2) Flood coverage.

(3) Fire coverage.

(4) Liability coverage.

(5) Boiler coverage.

(c) Endorsements. Policies issued shall contain standard mortgagee clauses making losses thereunder payable to the OSFC, the volunteer company and other mortgage holder. Policies or copies shall be deposited with the OSFC. Not later than 30 days prior to the expiration date of each of the policies, the volunteer company shall deliver to the OSFC satisfactory evidence of the renewal of each of the policies.

(d) Assignment of insurance policies. The volunteer company shall assign and deliver the required certificates of the insurance to the OSFC at the time of final settlement. In the event of the OSFC’s foreclosure of the mortgage or of the transfer of title to the mortgaged property to the OSFC in extinguishment of the indebtedness secured by the mortgage, all right, title and interest of the OSFC in and to policies then in force shall be reassigned to the volunteer company.

(e) Event of loss. In the event of loss or damage to the mortgage property, the volunteer company shall give immediate notice to the OSFC and of the estimated monetary amount of the loss; and the volunteer company shall make prompt proof of loss and furnish copies to the OSFC. The OSFC may make proof of loss if not made promptly by the volunteer company. An insurer concerned shall be authorized and directed by the volunteer company to make payment for the loss or injury to the OSFC and any mortgage holder jointly. The insurance proceeds or any part may be retained and applied by the OSFC toward payment of a loan outstanding to the OSFC by the volunteer company in priority and proportions the OSFC deems proper; or, at the option of the OSFC, the proceeds may be applied or paid in whole or in part toward the restoration or repair of the damaged property or for other purposes and upon conditions the OSFC designates.

The provisions of this § 113.106 adopted December 23, 1982, effective December 25, 1982, 12 Pa.B. 4333; amended December 18, 1992, effective December 19, 1992, 22 Pa.B. 6019. Immediately preceding text appears at serial pages (153424) to (153425).

History

Authority: The provisions of this Chapter 113 issued under the Volunteer Fire Company, Ambulance Service and Rescue Squad Assistance Act (72 P. S. § § 3943.1—3944.5); and Reorganization Plan No. 7, effective July 1, 1981; references to Pennsylvania Emergency Management Agency replaced with references to the Office of the Stare Fire Commissioner under section 6 of the act of December 23, 2013 (P. L. 1256, No. 129), unless otherwise noted.
Source: The provisions of this § 113.307 adopted December 23, 1982, effective December 25, 1982, 12 Pa.B. 4333; amended December 18, 1992, effective December 19, 1992, 22 Pa.B. 6019. Immediately preceding text appears at serial page (153429).

4 Pa. Code § 113.107 Approved plans and specifications.

(a) A copy of the approved plans and specifications for the construction or modernization project shall be submitted to and will be retained by the OSFC. The volunteer company is responsible for complying with applicable Federal, State and local laws that concern the construction or modernization project. If a change to the plans or specifications is required by a governmental agency or licensing body, the volunteer company shall furnish additional labor and materials necessary to complete the project and the improvements in compliance with the changes to the plans and specifications. The volunteer company shall complete the project and the improvements inside and outside on or before the completion date as specified in the loan agreement unless an unforeseen condition occurs that prevents completion on the specified date. In such event the volunteer company shall notify the OSFC of the reason for the delay.

(b) Additions or changes may not be made to the plans and specifications nor to a construction contract without the prior written approval of the original approving agency. Written notification of these approvals, additions or changes shall be submitted to the OSFC.

The provisions of this § 113.107 adopted December 23, 1982, effective December 25, 1982, 12 Pa.B. 4333; amended December 18, 1992, effective December 19, 1992, 22 Pa.B. 6019. Immediately preceding text appears at serial page (153425).

History

Authority: The provisions of this Chapter 113 issued under the Volunteer Fire Company, Ambulance Service and Rescue Squad Assistance Act (72 P. S. § § 3943.1—3944.5); and Reorganization Plan No. 7, effective July 1, 1981; references to Pennsylvania Emergency Management Agency replaced with references to the Office of the Stare Fire Commissioner under section 6 of the act of December 23, 2013 (P. L. 1256, No. 129), unless otherwise noted.
Source: The provisions of this § 113.307 adopted December 23, 1982, effective December 25, 1982, 12 Pa.B. 4333; amended December 18, 1992, effective December 19, 1992, 22 Pa.B. 6019. Immediately preceding text appears at serial page (153429).

4 Pa. Code § 113.108 Inspections.

(a) The OSFC may conduct periodic inspections during construction or modernization.

(b) The OSFC will conduct the final inspection after completion to determine full compliance prior to issuance of the final payment from the loan proceeds. In lieu of the final inspection by its representative, the OSFC may accept a copy of the official Department of Labor and Industry inspection letter or a copy of the official Certificate of Occupancy, or both, or documentation of completion from a local authority or contractor.

The provisions of this § 113.108 adopted December 23, 1982, effective December 25, 1982, 12 Pa.B. 4333; amended December 18, 1992, effective December 19, 1992, 22 Pa.B. 6019. Immediately preceding text appears at serial page (153425).

History

Authority: The provisions of this Chapter 113 issued under the Volunteer Fire Company, Ambulance Service and Rescue Squad Assistance Act (72 P. S. § § 3943.1—3944.5); and Reorganization Plan No. 7, effective July 1, 1981; references to Pennsylvania Emergency Management Agency replaced with references to the Office of the Stare Fire Commissioner under section 6 of the act of December 23, 2013 (P. L. 1256, No. 129), unless otherwise noted.
Source: The provisions of this § 113.307 adopted December 23, 1982, effective December 25, 1982, 12 Pa.B. 4333; amended December 18, 1992, effective December 19, 1992, 22 Pa.B. 6019. Immediately preceding text appears at serial page (153429).

4 Pa. Code § 113.109 Loan advances.

Loan advances will be made as follows for construction or modernization loans:

(1) At the time of settlement, 30% of the total loan will be paid to the volunteer company.

(2) When the facility construction or improvements are 50% complete and substantiated on a signed requisition and certificate form provided by the OSFC, an additional 50% of the loan balance will be issued to the volunteer company.

(3) When the facility construction or improvements are 100%, the volunteer company shall document the facility’s completion on a signed requisition and certificate form provided by the OSFC. Within 30 days of the receipt of the form, an OSFC representative either conducts a final inspection of the facility or the OSFC may accept a copy of the official Department of Labor and Industry inspection letter or a copy of the official certificate of occupancy if applicable, or documentation of completion from a local authority or contractor. After the necessary documentation is received and the final inspection is made or the certificate of occupancy is received, the OSFC will release the remaining balance of the loan to the volunteer company.

The provisions of this § 113.109 adopted December 23, 1982, effective December 25, 1982, 12 Pa.B. 4333; amended December 18, 1992, effective December 19, 1992, 22 Pa.B. 6019. Immediately preceding text appears at serial page (153426).

History

Authority: The provisions of this Chapter 113 issued under the Volunteer Fire Company, Ambulance Service and Rescue Squad Assistance Act (72 P. S. § § 3943.1—3944.5); and Reorganization Plan No. 7, effective July 1, 1981; references to Pennsylvania Emergency Management Agency replaced with references to the Office of the Stare Fire Commissioner under section 6 of the act of December 23, 2013 (P. L. 1256, No. 129), unless otherwise noted.
Source: The provisions of this § 113.307 adopted December 23, 1982, effective December 25, 1982, 12 Pa.B. 4333; amended December 18, 1992, effective December 19, 1992, 22 Pa.B. 6019. Immediately preceding text appears at serial page (153429).

4 Pa. Code § 113.110 Conditions precedent to final payment.

(a) The volunteer company shall procure and retain in its possession necessary certificates, opinions of counsel, permits, letters, grants, authorizations and resolutions, loan guarantees and approvals from governmental authorities relating to the construction of the project and the improvements. The OSFC may require copies of certificates, opinions of counsel, permits, letters, grants, authorizations, and resolutions, loan guarantees and approvals from governmental authorities before the final payment is made.

(b) The construction or improvement project shall comply with applicable building, zoning, floodplain and planning statutes, ordinances, regulations and restrictions.

(c) The construction or improvement project shall be completed in accordance with the plans and specifications and shall be ready for occupancy before final payment.

The provisions of this § 113.110 adopted December 23, 1982, effective December 25, 1982, 12 Pa.B. 4333; amended December 18, 1992, effective December 19, 1992, 22 Pa.B. 6019; corrected February 12, 1993, effective December 19, 1992, 23 Pa.B. 738. Immediately preceding text appears at serial page (175813).

History

Authority: The provisions of this Chapter 113 issued under the Volunteer Fire Company, Ambulance Service and Rescue Squad Assistance Act (72 P. S. § § 3943.1—3944.5); and Reorganization Plan No. 7, effective July 1, 1981; references to Pennsylvania Emergency Management Agency replaced with references to the Office of the Stare Fire Commissioner under section 6 of the act of December 23, 2013 (P. L. 1256, No. 129), unless otherwise noted.
Source: The provisions of this § 113.307 adopted December 23, 1982, effective December 25, 1982, 12 Pa.B. 4333; amended December 18, 1992, effective December 19, 1992, 22 Pa.B. 6019. Immediately preceding text appears at serial page (153429).

4 Pa. Code § 113.201 Loan authorization.

The OSFC is authorized to make loans which will assist in the purchase of fire fighting apparatus equipment, ambulances, rescue vehicles, utility vehicles and special service vehicles.

History

Authority: The provisions of this Chapter 113 issued under the Volunteer Fire Company, Ambulance Service and Rescue Squad Assistance Act (72 P. S. § § 3943.1—3944.5); and Reorganization Plan No. 7, effective July 1, 1981; references to Pennsylvania Emergency Management Agency replaced with references to the Office of the Stare Fire Commissioner under section 6 of the act of December 23, 2013 (P. L. 1256, No. 129), unless otherwise noted.
Source: The provisions of this § 113.307 adopted December 23, 1982, effective December 25, 1982, 12 Pa.B. 4333; amended December 18, 1992, effective December 19, 1992, 22 Pa.B. 6019. Immediately preceding text appears at serial page (153429).

4 Pa. Code § 113.202 Loan amounts.

(a) The amount of a loan for the purchase of a new aerial apparatus will not exceed $150,000 or 50% of the total cost of the aerial apparatus, whichever is less.

(b) The amount of a loan for the purchase of a single new firefighting apparatus equipment, except for an aerial apparatus, or for the purchase of a utility or special service vehicle, or a heavy duty rescue vehicle, will not exceed $100,000 or 50% of the total cost, whichever is less.

(c) The amount of a loan for the purchase of a used firefighting apparatus equipment will not exceed $60,000 or 80% of the total cost of the equipment, whichever is less.

(d) The amount of a loan for the purchase of a new or used ambulance or a new or used rescue vehicle will not exceed $50,000 or 50% of the total cost of the equipment, whichever is less.

(e) The amount of a loan for the repair or rehabilitation for a single existing apparatus equipment will not exceed $35,000 or 80% of the cost of repair or rehabilitation, whichever is less. The volunteer company shall return the rehabilitated apparatus equipment to first line status and shall retain it in that status for the period of the loan.

(f) The amount of a loan for the purchase of a new or used watercraft rescue vehicle will not exceed $15,000 or 50% of the total cost of the watercraft rescue vehicle, whichever is less.

(g) Notwithstanding other provisions of this section to the contrary, the maximum amount of a loan to a volunteer fire company, volunteer ambulance service and volunteer rescue service for the purchase of firefighting apparatus, ambulances or rescue vehicles manufactured or assembled in this Commonwealth may exceed the loan limits in this section by $10,000. For the purposes of this subsection, ‘‘manufactured or assembled in this Commonwealth’’ means firefighting apparatus, an ambulance or rescue vehicle that has at least 75% of the cost of its chassis, frame and other component parts, including permanently attached equipment or apparatus parts, in the aggregate, either manufactured or assembled by a person doing business solely in this Commonwealth, or by a business or corporation which is located in this Commonwealth.

(h) To determine the applicability of subsection (g) to a loan application, the volunteer company will be required to provide documentation, when it submits its final application forms as listed in § 113.5 (relating to final application procedure), that 75% of the cost of the manufacture or assembly of the firefighting apparatus, ambulance or rescue vehicle occurred in this Commonwealth. Each manufacture or assembly project, together with contract specifications and cost invoices, will be reviewed by the OSFC to determine whether the project is entitled to the additional $10,000 loan amount.

The provisions of this § 113.202 adopted December 23, 1982, effective December 25, 1982, 12 Pa.B. 4333; amended December 18, 1992, effective December 19, 1992, 22 Pa.B. 6019. Immediatley preceding text appears at serial page (153426).

History

Authority: The provisions of this Chapter 113 issued under the Volunteer Fire Company, Ambulance Service and Rescue Squad Assistance Act (72 P. S. § § 3943.1—3944.5); and Reorganization Plan No. 7, effective July 1, 1981; references to Pennsylvania Emergency Management Agency replaced with references to the Office of the Stare Fire Commissioner under section 6 of the act of December 23, 2013 (P. L. 1256, No. 129), unless otherwise noted.
Source: The provisions of this § 113.307 adopted December 23, 1982, effective December 25, 1982, 12 Pa.B. 4333; amended December 18, 1992, effective December 19, 1992, 22 Pa.B. 6019. Immediately preceding text appears at serial page (153429).

4 Pa. Code § 113.203 Proceeds of loan.

(a) Proceeds of the loan may be used for the purchase of firefighting apparatus equipment, ambulances, rescue vehicles, utility vehicles and special service vehicles as specifically described on the loan application and loan agreement.

(b) Proceeds of the loan may be used for the refinancing of debts incurred with a lending institution or contracts entered into after November 4, 1975, and used for the purchase of firefighting apparatus equipment, ambulances, rescue vehicles, utility vehicles and special service vehicles or for modification of apparatus equipment to comply with NFPA standards.

(c) Proceeds of the loan may be used for the repair or rehabilitation of existing apparatus equipment, ambulances, rescue vehicles, utility vehicles and special service vehicles if it has been determined in writing by an authorized representative of the repair or rehabilitation facility that the existing apparatus no longer meets the standards of the NFPA and that the repair or rehabilitation, or both, of the equipment will bring it into compliance with NFPA standards.

(d) Proceeds of the loan may be used for the purchase of a used firefighting apparatus equipment, a used ambulance or a used rescue vehicle if the used apparatus equipment or vehicle meets applicable NFPA standards before it is purchased by the volunteer company. A volunteer company that purchases a used apparatus equipment or vehicle and then either plans to repair or rehabilitate the used apparatus equipment or vehicle or has the used apparatus equipment or vehicle repaired or rehabilitated to bring it into compliance with NFPA standards is not eligible for a loan to purchase the used apparatus equipment or vehicle. The volunteer company may only apply for a loan to repair or rehabilitate the used apparatus equipment or vehicle.

The provisions of this § 113.203 adopted December 23, 1982, effective December 25, 1982, 12 Pa.B. 4333; amended December 18, 1992, effective December 19, 1992, 22 Pa.B. 6019. Immediately preceding text appears at serial pages (153426) to (153427).

History

Authority: The provisions of this Chapter 113 issued under the Volunteer Fire Company, Ambulance Service and Rescue Squad Assistance Act (72 P. S. § § 3943.1—3944.5); and Reorganization Plan No. 7, effective July 1, 1981; references to Pennsylvania Emergency Management Agency replaced with references to the Office of the Stare Fire Commissioner under section 6 of the act of December 23, 2013 (P. L. 1256, No. 129), unless otherwise noted.
Source: The provisions of this § 113.307 adopted December 23, 1982, effective December 25, 1982, 12 Pa.B. 4333; amended December 18, 1992, effective December 19, 1992, 22 Pa.B. 6019. Immediately preceding text appears at serial page (153429).

4 Pa. Code § 113.204 Specifications.

(a) The volunteer company shall submit one complete set of specifications of the new firefighting apparatus equipment, new ambulance, new rescue vehicle, new utility vehicle or new special service vehicle.

(b) For the repair or rehabilitation of existing apparatus equipment, ambulance, rescue vehicle, utility vehicle or special service vehicle, the volunteer company shall submit one complete set of specifications along with three estimates from qualified manufacturers for the repair or rehabilitation. If less than three estimates are available, a statement shall be submitted explaining the reason why there are less than three.

(c) For used apparatus equipment, ambulance, rescue vehicle, utility vehicle or special service vehicle, the volunteer company shall submit one complete set of specifications or other documents which indicates that the vehicle has a sufficient number of seats in an enclosed area for the maximum number of persons who may ride on the vehicle at any time.

The provisions of this § 113.204 adopted December 23, 1982, effective December 25, 1982, 12 Pa.B. 4333; amended December 18, 1992, effective December 19, 1992, 22 Pa.B. 6019; corrected February 12, 1993, effective December 19, 1992, 23 Pa.B. 738. Immediately preceding text appears at serial page (175816).

History

Authority: The provisions of this Chapter 113 issued under the Volunteer Fire Company, Ambulance Service and Rescue Squad Assistance Act (72 P. S. § § 3943.1—3944.5); and Reorganization Plan No. 7, effective July 1, 1981; references to Pennsylvania Emergency Management Agency replaced with references to the Office of the Stare Fire Commissioner under section 6 of the act of December 23, 2013 (P. L. 1256, No. 129), unless otherwise noted.
Source: The provisions of this § 113.307 adopted December 23, 1982, effective December 25, 1982, 12 Pa.B. 4333; amended December 18, 1992, effective December 19, 1992, 22 Pa.B. 6019. Immediately preceding text appears at serial page (153429).

4 Pa. Code § 113.205 Compliance.

(a) Firefighting apparatus equipment to be purchased shall comply with the applicable NFPA Standard. The volunteer company shall provide to the OSFC, either prior to or at the loan settlement, a factory certification or the written results of any pump or aerial test conducted by the manufacturer of the apparatus equipment or by an independent testing organization at the time that the volunteer company accepts delivery of the new, used or rehabilitated apparatus equipment from the manufacturer or other party. If more than 1 year has transpired between the date of acceptance of a used or rehabilitated apparatus equipment and the date of the loan settlement, the pump or aerial test shall be conducted by an independent testing organization not more than 90 days prior to the date of settlement.

(b) A volunteer company requesting a loan for the purchase of an ambulance shall select a vehicle which substantially complies with the requirements of the United States Department of Transportation/National Highways Traffic Safety Administration as described in ‘‘Federal Specifications—Ambulances; KKK-A-1822A,’’ issued April 1980, and amendments thereto, except when the specifications are contrary to 75 Pa.C.S. § § 101—9701 (relating to the Vehicle Code).

(c) On forms provided by the OSFC, the volunteer company shall supply information concerning the purchase of the ambulance to the OSFC. The OSFC may forward this information to an Emergency Health Service Council having jurisdiction in the service area of the volunteer company.

The provisions of this § 113.205 adopted December 23, 1982, effective December 25, 1982, 12 Pa.B. 4333; amended December 18, 1992, effective December 19, 1992, 22 Pa.B. 6019; corrected February 12, 1993, effective December 19, 1992, 23 Pa.B. 738. Immediately preceding text appears at serial pages (175816) to (175817).

History

Authority: The provisions of this Chapter 113 issued under the Volunteer Fire Company, Ambulance Service and Rescue Squad Assistance Act (72 P. S. § § 3943.1—3944.5); and Reorganization Plan No. 7, effective July 1, 1981; references to Pennsylvania Emergency Management Agency replaced with references to the Office of the Stare Fire Commissioner under section 6 of the act of December 23, 2013 (P. L. 1256, No. 129), unless otherwise noted.
Source: The provisions of this § 113.307 adopted December 23, 1982, effective December 25, 1982, 12 Pa.B. 4333; amended December 18, 1992, effective December 19, 1992, 22 Pa.B. 6019. Immediately preceding text appears at serial page (153429).

4 Pa. Code § 113.206 Prerequisite materials.

(a) As a prerequisite to final settlement, the volunteer company shall deliver the promissory note, security agreement and financing statements describing the specific equipment, which shall be filed with the Corporation Bureau, Department of State and the prothonotary’s office in the county where the equipment is physically housed or used, and other documents in conformity with 13 Pa.C.S. Division 9 (relating to secured transactions; sales of accounts, contract rights and chattel paper) necessary to create and perfect a security interest in favor of the OSFC in all personalty acquired in whole or in part by the volunteer company with proceeds from the OSFC loan.

(b) If a portion of the proceeds of an OSFC loan is used by the volunteer company for the purchase or rehabilitation of a motor vehicle, the volunteer company shall supply to the OSFC the title to the vehicle being purchased or rehabilitated and the document necessary to record a valid lien encumbrance in favor of the OSFC. If the OSFC is supplying secondary and minority funding, the OSFC will become holder of a second encumbrance. When the OSFC is providing primary and majority or equal funding, the OSFC will become the holder of a first lien encumbrance.

The provisions of this § 113.206 adopted December 23, 1982, effective December 25, 1982, 12 Pa.B. 4333; amended December 18, 1992, effective December 19, 1992, 22 Pa.B. 6019. Immediately preceding text appears at serial page (153428).

History

Authority: The provisions of this Chapter 113 issued under the Volunteer Fire Company, Ambulance Service and Rescue Squad Assistance Act (72 P. S. § § 3943.1—3944.5); and Reorganization Plan No. 7, effective July 1, 1981; references to Pennsylvania Emergency Management Agency replaced with references to the Office of the Stare Fire Commissioner under section 6 of the act of December 23, 2013 (P. L. 1256, No. 129), unless otherwise noted.
Source: The provisions of this § 113.307 adopted December 23, 1982, effective December 25, 1982, 12 Pa.B. 4333; amended December 18, 1992, effective December 19, 1992, 22 Pa.B. 6019. Immediately preceding text appears at serial page (153429).

4 Pa. Code § 113.207 Insurance.

The volunteer company shall maintain insurance in form and substance satisfactory to and in amounts required by the OSFC, evidenced by a certificate of insurance furnished by the volunteer company for the benefit of the OSFC, other encumbrance holders and the volunteer company, including a representation without limitation that, if a portion of the proceeds of the loan is used by the volunteer company for the purchase or rehabilitation of a motor vehicle, the volunteer company shall maintain liability insurance under the laws of the Commonwealth and collision insurance designating the OSFC and any other encumbrance holder as loss payee on the policy. The certificate of insurance shall contain a statement or rider that the insurance company shall give the OSFC 30 days advance notice whenever the amount of insurance coverage or other terms of the insurance are modified or cancelled.

The provisions of this § 113.207 adopted December 23, 1982, effective December 25, 1982, 12 Pa.B. 4333; amended December 18, 1992, effective December 19, 1992, 22 Pa.B. 6019. Immediately preceding text appears at serial page (153428).

History

Authority: The provisions of this Chapter 113 issued under the Volunteer Fire Company, Ambulance Service and Rescue Squad Assistance Act (72 P. S. § § 3943.1—3944.5); and Reorganization Plan No. 7, effective July 1, 1981; references to Pennsylvania Emergency Management Agency replaced with references to the Office of the Stare Fire Commissioner under section 6 of the act of December 23, 2013 (P. L. 1256, No. 129), unless otherwise noted.
Source: The provisions of this § 113.307 adopted December 23, 1982, effective December 25, 1982, 12 Pa.B. 4333; amended December 18, 1992, effective December 19, 1992, 22 Pa.B. 6019. Immediately preceding text appears at serial page (153429).

4 Pa. Code § 113.301 Loan authorization.

The OSFC is authorized to make loans which will assist in the purchase of protective, accessory and communication equipment.

History

Authority: The provisions of this Chapter 113 issued under the Volunteer Fire Company, Ambulance Service and Rescue Squad Assistance Act (72 P. S. § § 3943.1—3944.5); and Reorganization Plan No. 7, effective July 1, 1981; references to Pennsylvania Emergency Management Agency replaced with references to the Office of the Stare Fire Commissioner under section 6 of the act of December 23, 2013 (P. L. 1256, No. 129), unless otherwise noted.
Source: The provisions of this § 113.307 adopted December 23, 1982, effective December 25, 1982, 12 Pa.B. 4333; amended December 18, 1992, effective December 19, 1992, 22 Pa.B. 6019. Immediately preceding text appears at serial page (153429).

4 Pa. Code § 113.302 Loan.

Loans for protective, accessory and communication equipment may not exceed $10,000 and shall be for a period not to exceed 5 years.

History

Authority: The provisions of this Chapter 113 issued under the Volunteer Fire Company, Ambulance Service and Rescue Squad Assistance Act (72 P. S. § § 3943.1—3944.5); and Reorganization Plan No. 7, effective July 1, 1981; references to Pennsylvania Emergency Management Agency replaced with references to the Office of the Stare Fire Commissioner under section 6 of the act of December 23, 2013 (P. L. 1256, No. 129), unless otherwise noted.
Source: The provisions of this § 113.307 adopted December 23, 1982, effective December 25, 1982, 12 Pa.B. 4333; amended December 18, 1992, effective December 19, 1992, 22 Pa.B. 6019. Immediately preceding text appears at serial page (153429).

4 Pa. Code § 113.303 Proceeds of loan.

Proceeds of the loan shall be used for the purchase of protective, accessory and communication equipment as specifically described in the loan application and loan agreement.

The provisions of this § 113.303 adopted December 23, 1982, effective December 25, 1982, 12 Pa.B. 4333; amended December 18, 1992, effective December 19, 1992, 22 Pa.B. 6019. Immediately preceding text appears at serial page (153429).

History

Authority: The provisions of this Chapter 113 issued under the Volunteer Fire Company, Ambulance Service and Rescue Squad Assistance Act (72 P. S. § § 3943.1—3944.5); and Reorganization Plan No. 7, effective July 1, 1981; references to Pennsylvania Emergency Management Agency replaced with references to the Office of the Stare Fire Commissioner under section 6 of the act of December 23, 2013 (P. L. 1256, No. 129), unless otherwise noted.
Source: The provisions of this § 113.307 adopted December 23, 1982, effective December 25, 1982, 12 Pa.B. 4333; amended December 18, 1992, effective December 19, 1992, 22 Pa.B. 6019. Immediately preceding text appears at serial page (153429).

4 Pa. Code § 113.304 Application limitations.

A volunteer company may not receive a loan for protective, accessory or communication equipment more than once in a 5-year period.

History

Authority: The provisions of this Chapter 113 issued under the Volunteer Fire Company, Ambulance Service and Rescue Squad Assistance Act (72 P. S. § § 3943.1—3944.5); and Reorganization Plan No. 7, effective July 1, 1981; references to Pennsylvania Emergency Management Agency replaced with references to the Office of the Stare Fire Commissioner under section 6 of the act of December 23, 2013 (P. L. 1256, No. 129), unless otherwise noted.
Source: The provisions of this § 113.307 adopted December 23, 1982, effective December 25, 1982, 12 Pa.B. 4333; amended December 18, 1992, effective December 19, 1992, 22 Pa.B. 6019. Immediately preceding text appears at serial page (153429).

4 Pa. Code § 113.305 Equipment compliance.

(a) A volunteer company shall select protective and accessory equipment that meets the standards of the NFPA or a Federal agency or the requirements of one of the Nationally recognized testing organizations, in particular Underwriters Laboratories. This equipment may be used for the protection of hazardous material response team members if the equipment meets standards developed under the authority of the Hazardous Material Emergency Planning and Response Act (35 P. S. § § 6022.101—6022.307).

(b) A volunteer company shall select communications equipment that complies with the Federal Communications Commission regulations, 47 CFR Part 90 (relating to private land mobile radio services) or its successor, or applicable requirements developed under the authority of the Public Safety Emergency Telephone Act (35 P. S. § § 7011—7021) or OSFC directives or guidelines.

(c) A volunteer company shall select communications equipment, in particular radio receivers and transmission equipment, that has the standard approved dispatch frequencies and the countywide fire coordination or dispatch frequency that is used within the volunteer company’s area of operations.

The provisions of this § 113.305 adopted December 23, 1982, effective December 25, 1982, 12 Pa.B. 4333; amended December 18, 1992, effective December 19, 1992, 22 Pa.B. 6019. Immediately preceding text appears at serial page (153429).

History

Authority: The provisions of this Chapter 113 issued under the Volunteer Fire Company, Ambulance Service and Rescue Squad Assistance Act (72 P. S. § § 3943.1—3944.5); and Reorganization Plan No. 7, effective July 1, 1981; references to Pennsylvania Emergency Management Agency replaced with references to the Office of the Stare Fire Commissioner under section 6 of the act of December 23, 2013 (P. L. 1256, No. 129), unless otherwise noted.
Source: The provisions of this § 113.307 adopted December 23, 1982, effective December 25, 1982, 12 Pa.B. 4333; amended December 18, 1992, effective December 19, 1992, 22 Pa.B. 6019. Immediately preceding text appears at serial page (153429).

4 Pa. Code § 113.306 Prerequisite materials.

As a prerequisite to final settlement, the volunteer company shall deliver the promissory note, security agreement and financing statements describing the specific equipment, which shall be filed with the Corporation Bureau, Department of State, and the prothonotary’s office in the county where the equipment is physically housed or used, and other documents in conformity with 13 Pa.C.S. Division 9 (relating to secured transactions, sales of accounts, contract rights and chattel paper) necessary to create and perfect a security interest in favor of the OSFC in all personalty acquired either in whole or in part by the volunteer company with proceeds from the OSFC loan.

The provisions of this § 113.306 adopted December 23, 1982, effective December 25, 1982, 12 Pa.B. 4333; amended December 18, 1992, effective December 19, 1992, 22 Pa.B. 6019. Immediately preceding text appears at serial page (153429).

History

Authority: The provisions of this Chapter 113 issued under the Volunteer Fire Company, Ambulance Service and Rescue Squad Assistance Act (72 P. S. § § 3943.1—3944.5); and Reorganization Plan No. 7, effective July 1, 1981; references to Pennsylvania Emergency Management Agency replaced with references to the Office of the Stare Fire Commissioner under section 6 of the act of December 23, 2013 (P. L. 1256, No. 129), unless otherwise noted.
Source: The provisions of this § 113.307 adopted December 23, 1982, effective December 25, 1982, 12 Pa.B. 4333; amended December 18, 1992, effective December 19, 1992, 22 Pa.B. 6019. Immediately preceding text appears at serial page (153429).

4 Pa. Code § 113.307 Insurance.

The volunteer company shall maintain insurance in form and substance satisfactory to, and in amounts required by, the OSFC, evidenced by a certificate of insurance furnished by the volunteer company for the benefit of the OSFC, other encumbrance holders and the volunteer company. The OSFC shall be listed as loss payee on the policy or certificate of insurance. The certificate of insurance shall contain a statement or rider that the insurance company shall give the OSFC 30 days advance notice whenever the amount of insurance coverage or other terms of the insurance are modified or cancelled.

The provisions of this § 113.307 adopted December 23, 1982, effective December 25, 1982, 12 Pa.B. 4333; amended December 18, 1992, effective December 19, 1992, 22 Pa.B. 6019. Immediately preceding text appears at serial page (153429).

History

Authority: The provisions of this Chapter 113 issued under the Volunteer Fire Company, Ambulance Service and Rescue Squad Assistance Act (72 P. S. § § 3943.1—3944.5); and Reorganization Plan No. 7, effective July 1, 1981; references to Pennsylvania Emergency Management Agency replaced with references to the Office of the Stare Fire Commissioner under section 6 of the act of December 23, 2013 (P. L. 1256, No. 129), unless otherwise noted.
Source: The provisions of this § 113.307 adopted December 23, 1982, effective December 25, 1982, 12 Pa.B. 4333; amended December 18, 1992, effective December 19, 1992, 22 Pa.B. 6019. Immediately preceding text appears at serial page (153429).

Chapter 114 Voluntary Fire Company and Volunteer Ambulance Service Grant Program—Statement of Policy

4 Pa. Code § 114.1 Introduction.

(a) The Grant Program provides grants to improve and enhance the capabilities of volunteer fire companies and volunteer ambulance services throughout this Commonwealth to provide firefighting, ambulance and rescue services. Grant Program funds may be used for projects that are in accordance with the act. Eligible projects are defined in § 114.3(a)(2) and (b)(2) (relating to eligibility).

(b) Assistance from the Grant Program is in the form of grants from the Commonwealth to eligible volunteer fire companies and volunteer ambulance services for projects which, in the judgment of the Agency, comply with the act and are in accordance with the Grant Program guidelines in this chapter and meet the Volunteer Fire Company-Volunteer Ambulance Service Grant Application criteria found in the application.

(c) Grants will be not less than $2,500 and not more than $15,000 per applicant volunteer fire company nor more than $10,000 per applicant volunteer ambulance service, except as noted in § 114.3(a)(3).

(d) Applicants should be aware that the Grant Program expects to receive a large number of applications for the limited appropriation from the General Assembly. As such, it is possible that not every application can be fully funded, in which case grants will be awarded on a prorata basis.

(e) The Grant Program expenditures will be charged to the State fiscal year July 1, 2005 to June 30, 2006.

History

Source: The provisions of this Chapter 114 adopted August 11, 2000, effective August 12, 2000; amended January 2, 2004, effective January 3, 2004, 34 Pa.B. 63; amended March 11, 2005, effective March 12, 2005, 35 Pa.B. 1669; amended April 28, 2006, effective April 29, 2006, 36 Pa.B. 2017, unless otherwise noted. Immediately preceding text appears at serial pages (310077) to (310084).

4 Pa. Code § 114.2 Definitions.

The following words and terms, when used in this chapter, have the following meanings, unless the context clearly indicates otherwise: Act—The Volunteer Fire Company and Volunteer Ambulance Service Act (35 P. S. § § 6942.101—6942.902), as amended by Act 80 of 2004. Advanced life support—The advanced prehospital and interhospital emergency medical care of serious illness or injury by appropriately trained health professionals and by certified EMT-paramedics. Agency—The Pennsylvania Emergency Management Agency. Application—The Volunteer Fire Company-Volunteer Ambulance Service Grant Program Application. Basic life support services—Prehospital or interhospital emergency medical care and management of illness or injury performed by specially trained and certified or licensed personnel. Certification—Any class of instruction or test that will provide certification at any level that is currently offered in this Commonwealth through the Voluntary Fire Fighter Certification program administered by the State Fire Academy. Certified personnel—Any member of the fire or rescue company who is certified at a minimum level of Fire Fighter 1 on or before March 1, 2006, by the National Professional Qualifications Board or by the International Fire Service Accreditation Congress and verified by the Pennsylvania State Fire Academy. Commissioner—The State Fire Commissioner. Equipment—Any apparatus, equipment or tools ordinarily used by a fire, rescue or ambulance service in the performance of their duties. Facility—

(i) A structure or portion thereof intended for the purpose of storage or protection of firefighting apparatus, ambulances or rescue vehicles and related equipment and gear. The repair, renovation or construction of sleeping quarters (bunk rooms) is also included as an authorized expenditure.

(ii) The term does not include meeting halls, social halls, social rooms, lounges or any other facility not directly related to firefighting or the furnishing of ambulance or rescue services. Final report—The report to be filed as provided in § 114.6 (relating to grant award reporting procedures) by the volunteer fire company or volunteer ambulance services detailing the expenditure of the funds granted. Grant Program—The Volunteer Fire Company Grant Program and the Volunteer Ambulance Service Grant Program. Invalid coach—A vehicle which is primarily maintained, operated and intended to be used for routine transport of persons who are convalescent or otherwise nonambulatory and do not ordinarily require emergency medical treatment while in transit. The vehicles will not be considered ambulance or emergency medical service vehicles. OSFC—Office of the State Fire Commissioner. Regional or joint project—A cooperative agreement wherein any combination of three or more separately chartered fire or rescue companies agree to use all, or any portion of their respective grant request to jointly complete any project that qualifies under the act. Volunteer ambulance service—

(i) Any nonprofit chartered corporation, association or organization located in this Commonwealth, which is licensed by the Department of Health and is not associated or affiliated with any hospital and which is regularly engaged in the provision of emergency medical services, including basic life support or advanced life support services and the transportation of patients.

(ii) The term does not include any corporation, association or organization that is primarily engaged in the operation of invalid coaches which are intended for the routine transport of persons who are convalescent or otherwise nonambulatory and do not ordinarily require emergency medical treatment while in transit. Volunteer fire company—A nonprofit chartered corporation, association or organization located in this Commonwealth which provides fire protection services and which may offer other voluntary emergency services within this Commonwealth. Voluntary emergency services provided by a volunteer fire company may include voluntary ambulance and voluntary rescue services. Volunteer rescue company—A nonprofit chartered corporation, association or organization located in this Commonwealth that provides rescue services as part of the response to fires or vehicle accidents, or both, within this Commonwealth.

This section cited in 4 Pa. Code § 114.3 (relating to eligibility); and 4 Pa. Code § 114.5 (relating to application submission and approval procedure).

History

Source: The provisions of this Chapter 114 adopted August 11, 2000, effective August 12, 2000; amended January 2, 2004, effective January 3, 2004, 34 Pa.B. 63; amended March 11, 2005, effective March 12, 2005, 35 Pa.B. 1669; amended April 28, 2006, effective April 29, 2006, 36 Pa.B. 2017, unless otherwise noted. Immediately preceding text appears at serial pages (310077) to (310084).

4 Pa. Code § 114.3 Eligibility.

(a) Volunteer Fire Company Grant.

(1) Eligible applicants. A volunteer fire company as defined in § 114.2 (relating to definitions). To receive grant funds under this act a volunteer fire company shall have actively responded to one or more fire or rescue emergencies since July 1, 2005. The volunteer fire company shall also sign a written agreement to participate in and report information using the Pennsylvania Fire Information Reporting System.

(2) Eligible projects.

(i) Program funds may be used for projects that are consistent with the act. Eligible projects must improve and enhance the capabilities of the volunteer fire company to provide firefighting, ambulance or rescue services. Eligible projects include any of the following:

(A) Construction or renovation, or both, of the fire company’s primary structure facility and purchase or repair of fixtures and furnishings necessary to maintain or improve the capability of the company to provide fire, ambulance and rescue services.

(B) Purchase of firefighting, ambulance or rescue equipment or repair thereof.

(D) Training and certification of members.

(ii) Projects initiated after July 1, 2005, and completed prior to disbursement of Grant Program funds may be considered as eligible projects for the current grant year.

(3) When two or more fire companies have consolidated their use of equipment, firefighters and services after July 1, 1998, the consolidated entity may be deemed eligible to receive a grant not to exceed the amount of the combined total for which the individual companies would have been eligible had they not consolidated.

(b) Volunteer Ambulance Service Grant.

(1) Eligible applicants. A volunteer ambulance service as defined in § 114.2.

(2) Eligible projects.

(i) Program funds may be used for projects that are consistent with the act. Eligible projects must improve and enhance the capability of the ambulance service to provide ambulance, emergency medical, basic life support or advanced life support services. Eligible projects include any of the following:

(A) Construction or renovation, or both, of the volunteer ambulance service’s primary structure facility and purchase or repair of fixtures and furnishings necessary to maintain or improve the capability of the company to provide ambulance, emergency medical, basic life support and advanced life support services.

(B) Purchase of ambulance or rescue equipment or repair thereof.

(D) Training and certification of members.

(ii) Projects initiated after July 1, 2005, and completed prior to disbursement of Grant Program funds may be considered as eligible projects for the current grant year.

(3) When two or more ambulance services have consolidated their use of equipment, emergency medical technicians, paramedics and services after July 1, 1998, the consolidated entity may be deemed eligible to receive a grant not to exceed the amount of the combined total for which the individual services (companies) would have been eligible had they not consolidated.

This section cited in 4 Pa. Code § 114.1 (relating to introduction).

History

Source: The provisions of this Chapter 114 adopted August 11, 2000, effective August 12, 2000; amended January 2, 2004, effective January 3, 2004, 34 Pa.B. 63; amended March 11, 2005, effective March 12, 2005, 35 Pa.B. 1669; amended April 28, 2006, effective April 29, 2006, 36 Pa.B. 2017, unless otherwise noted. Immediately preceding text appears at serial pages (310077) to (310084).

4 Pa. Code § 114.4 Program requirements and instructions.

(a) The following requirements apply to the Grant Program:

(1) Project applications for the grants shall be submitted using either the online web based application process or the paper forms provided by the Agency. The Agency will provide information about the application process for grants under this act to every volunteer fire company and every volunteer ambulance service in this Commonwealth. Applications will also be available from the OSFC and on the OSFC’s website. Addresses and phone numbers are listed in § 114.5 (relating to application submission and approval procedure).

(2) The Agency reserves the right to:

(i) Request additional information regarding an organization’s eligibility.

(ii) Request additional information regarding proposed use of funds.

(iii) Require explanation or revision of the applicant’s project budget.

(iv) Require clarification of the applicant’s project narrative.

(3) Incomplete applications will be rejected. An applicant shall carefully follow the instructions for completing either the online or the paper form of the application. Specific information is required as indicated on both the online application and the paper form. Applications not containing required information will be considered incomplete.

(4) The project narrative must provide a detailed and comprehensive description of the project and include:

(i) A description of the projects.

(ii) The benefits to be realized from the project.

(iii) The grant funds to be expended on the project.

History

Source: The provisions of this Chapter 114 adopted August 11, 2000, effective August 12, 2000; amended January 2, 2004, effective January 3, 2004, 34 Pa.B. 63; amended March 11, 2005, effective March 12, 2005, 35 Pa.B. 1669; amended April 28, 2006, effective April 29, 2006, 36 Pa.B. 2017, unless otherwise noted. Immediately preceding text appears at serial pages (310077) to (310084).

4 Pa. Code § 114.5 Application submission and approval procedure.

(a) The Agency will mail information detailing the grant application process to volunteer fire companies and volunteer ambulance services throughout this Commonwealth. The application will also be available by calling the OSFC at (800) 670-3473, or on the OSFC’s website at www.osfc.state.pa.us. Applications shall be submitted to the OSFC, either online at www.osfc.state.pa.us or in the case of paper forms, at 2605 Interstate Drive, Harrisburg, PA 17110-9364.

(1) The application process involves gathering applicant information and verifying that applicant projects are eligible for grant funding. The agency will provide an online Web based process to gather the additional applicant information and verify project eligibility. The agency will provide written information to every volunteer fire company and ambulance service regarding the Grant Program guidelines and the availability of the online applicant information/project eligibility verification process.

(2) Paper submissions will be accepted. At the time the availability of the online grant application process is announced, the OSFC will provide information about how to obtain a paper form to submit the required applicant and project eligibility information. Information will also be available from the OSFC and on the OSFC’s website.

(b) A volunteer fire company or a volunteer ambulance service seeking a grant under this Grant Program shall submit a completed online or paper form of the grant application to the OSFC.

(d) The Agency will act to approve or disapprove the applications by June 30, 2006. Applications received by the Agency which have not been approved or disapproved by the Agency by June 30, 2006, will be deemed approved, subject to the act.

(e) Grant award determinations are as follows:

(1) Volunteer Fire Company Grants.

(i) A volunteer fire company as defined in § 114.2 (relating to definitions), that actively responded to one or more fire or rescue emergencies since July 1, 2003, and agrees to actively participate in the Pennsylvania Fire Information Reporting System will be eligible for a base award of the first $7,000 of the applicant’s grant request.

(ii) Additional grant funds not exceeding $8,000 will be awarded to eligible applicants by applying an award factor to that portion of the applicant’s grant request which exceeds $7,000.

(A) The award factor is determined by dividing the applicant’s bonus points by 15, the highest possible number of points.

(B) Award factor points are as follows:

(I) Five points will be awarded to an eligible fire or rescue service who uses the grant funding to perform a regional/joint project as found in the definitions.

(II) One point will be awarded for each person currently certified in accordance with the definitions in § 114.2, to a maximum of 10 points.

(iii) If necessary, the resultant additional award will be pro rated by a factor determined by dividing the total program funds remaining after the base awards have been determined by the total amount of funds requested in excess of the base awards so that all grant awards do not exceed the total grant funds available.

(iv) If funding is not fully distributed after this award factor calculation, the Agency reserves the right to adjust the award factor formula so that all grant funds available are distributed, subject to the act.

(v) Volunteer fire company grants to individual volunteer fire companies will not exceed $15,000.

(2) Volunteer Ambulance Service Grant. A volunteer ambulance service as defined in § 114.2 will be eligible for a grant, not to exceed $10,000, and pro rated by a factor determined by dividing the total funds available by the total amount of funds requested so that all grant awards do not exceed the total grant funds available.

This section cited in 4 Pa. Code § 114.4 (relating to program requirements and instructions).

History

Source: The provisions of this Chapter 114 adopted August 11, 2000, effective August 12, 2000; amended January 2, 2004, effective January 3, 2004, 34 Pa.B. 63; amended March 11, 2005, effective March 12, 2005, 35 Pa.B. 1669; amended April 28, 2006, effective April 29, 2006, 36 Pa.B. 2017, unless otherwise noted. Immediately preceding text appears at serial pages (310077) to (310084).

4 Pa. Code § 114.6 Grant award and reporting procedures.

(a) Grant award notifications will be made as follows:

(1) Applicants that apply for the grant using the online application process will be notified by e-mail.

(2) Applicants that apply for the grant using the paper form will be notified by letter.

(b) At the time grant recipients are notified of their award, and in the same manner, they will be presented with a grant agreement. This grant agreement will contain the details of the grant, including name of recipient, amount of award, project description and terms of the agreement. In the case of volunteer fire company grant recipients it will also include an agreement that they participate in PennFIRS. The grant agreement shall be signed by an officer of the organization authorized to commit the recipient organization to the terms of the agreement and returned to the OSFC for execution by the Commonwealth before grant funds can be released.

(c) The applicant shall maintain full and accurate records with respect to the project. The Agency will have free access to these records, including invoices of material and services, and other relative data and records, as well as the right to inspect all project work. The applicant shall furnish upon request of the Agency all data, reports, contracts, documents and other information relevant to the project.

(d) The applicant shall, upon completion of the project, but no later than December 1, 2006, file a final report with the Agency in a manner and form prescribed by the OSFC. Any grant funds not expended by the applicant for the project shall be returned to the Agency prior to or with the filing of the final report. Failure to file a final report will be grounds for the Agency to seek the return of all grant funds awarded.

(e) Funds from this and successive Grant Programs, even though approved by the agency, will not be released to any recipient organization until that organization has fulfilled its obligation to submit a final report to the Agency documenting the expenditure of all grant funds previously received.

This section cited in 4 Pa. Code § 114.2 (relating to definitions).

History

Source: The provisions of this Chapter 114 adopted August 11, 2000, effective August 12, 2000; amended January 2, 2004, effective January 3, 2004, 34 Pa.B. 63; amended March 11, 2005, effective March 12, 2005, 35 Pa.B. 1669; amended April 28, 2006, effective April 29, 2006, 36 Pa.B. 2017, unless otherwise noted. Immediately preceding text appears at serial pages (310077) to (310084).

4 Pa. Code § 114.7 Program limitations.

(a) This section identifies Grant Program limitations that may result from the misuse of the grant funds.

(b) An applicant may not make or authorize changes exceeding 10% of the total project cost to an approved project without first obtaining consent of the Agency in writing.

(c) The applicant agrees that noncompliance with the conditions of this grant shall be grounds for the recapture of funds provided to the applicant. If the applicant fails to refund the monies, the Commonwealth, in addition to any rights or remedies it may have at law or in equity, reserves the right to offset the amount due against any existing or future sums of money owed the applicant by any Commonwealth agency or department, including the Agency.

(d) The Agency, or its authorized representative, will have access to the records of the applicant for the purpose of auditing financial transactions, determination of compliance with grant terms and an evaluation of project performance.

(e) The applicant agrees to retain all cost supporting records and documentation for 3 years from the date that it receives its final grant payment from the Agency.

History

Source: The provisions of this Chapter 114 adopted August 11, 2000, effective August 12, 2000; amended January 2, 2004, effective January 3, 2004, 34 Pa.B. 63; amended March 11, 2005, effective March 12, 2005, 35 Pa.B. 1669; amended April 28, 2006, effective April 29, 2006, 36 Pa.B. 2017, unless otherwise noted. Immediately preceding text appears at serial pages (310077) to (310084).

4 Pa. Code § 114.8 Contact information.

All applicant inquires should be directed to:

Office of the State Fire Commissioner 2605 Interstate Drive Harrisburg, PA 17110-9364 Toll free—(800) 670-3473 E-mail—ra-vfcvasgp@state.pa.us

History

Source: The provisions of this Chapter 114 adopted August 11, 2000, effective August 12, 2000; amended January 2, 2004, effective January 3, 2004, 34 Pa.B. 63; amended March 11, 2005, effective March 12, 2005, 35 Pa.B. 1669; amended April 28, 2006, effective April 29, 2006, 36 Pa.B. 2017, unless otherwise noted. Immediately preceding text appears at serial pages (310077) to (310084).

Chapter 115 Compensation Benefits for Accidental Injuries

4 Pa. Code § 115.1 Definitions.

The following words and terms, when used in this chapter, have the following meanings, unless the context clearly indicates otherwise: Authorized—Specifically ordered, called or approved by the State Council of Civil Defense. Benefits relating to injuries sustained—Those specific benefits prescribed by law, namely the following:

(i) $1500 for accidental injury directly causing or leading to death.

(ii) Not more than $750 for reimbursement for medical and hospital expenses associated with accidental injury.

(iii) Weekly payments of $25, beginning on the eighth day of disability and continuing for not more than 26 weeks, for disability directly arising from accidental injury rendering the individual totally incapable of following his normal gainful pursuits. Duly enrolled civil defense volunteer—Any person who, prior to the time of injury, shall have:

(i) Taken a loyalty oath of the type prescribed by section 12 of the State Council of Civil Defense Act of 1951 (71 P. S. § 1689.12), and by section 403(b) of the Federal Civil Defense Act of 1950, 64 Stat. 1245, 50 U.S.C.A. § 2251, which oath shall have been filed in accordance with instructions prescribed by the State Director of Civil Defense.

(ii) Been issued an official civil defense personal identification card furnished by the State Council of Civil Defense in accordance with instructions prescribed by the State Director of Civil Defense.

(iii) Had his name entered on an official list of duly enrolled civil defense volunteers (Form SCCD-OEL-1), which list shall have been prepared and filed in accordance with instructions prescribed by the State Director of Civil Defense. Not eligible to receive benefits under the Workmen’s Compensation Law—Any duly enrolled civil defense volunteer who is for any reason ineligible to receive benefits under the Workmen’s Compensation Law for accidental injuries sustained while engaged in civil defense or disaster training, test or operational activities. Operations—Emergency action aimed at the protection of life and property. Period of armed conflict—Any period during which the military forces or the people of the United States are engaged in armed conflict with, or subjected to actual attack by, representatives of any other nation. State of war—Any period during which a formal declaration of war is in effect between the United States and any other nation. Tests—Any drill and exercise designed to test the ability of civil defense volunteers and organizations to carry out their assigned duties and responsibilities. While actually engaged in civil defense or disaster training activities—Any period during which duly enrolled civil defense volunteers are actually engaged in authorized classroom, laboratory or field training activities carried out under the immediate supervision of a formally designated instructor. This term shall not include routine ‘‘in service’’ or ‘‘on the job’’ activities, such as school traffic direction or attendance of fires, nor shall it include periods during which volunteers may be preparing to undergo training, are en route to or from training sites or areas, are billeted for training, or are not otherwise actually engaged in classroom, laboratory or field training activities.

History

Authority: The provisions of this Chapter 115 issued under the Emergency Management Services Code, 35 Pa.C.S. § 7706, unless otherwise noted.
Source: The provisions of this Chapter 115 adopted April 2, 1957 and amended August 4, 1965, unless otherwise noted.

4 Pa. Code § 115.2 Authorization requirements.

The required authorization of civil defense and disaster training, test or operational activities by the State Council of Civil Defense shall be governed by the following provisions:

(1) Compensation benefits shall be paid only to duly enrolled civil defense volunteers accidentally injured while engaged in civil defense or disaster training, test or operational activities specifically authorized by the State Council of Civil Defense.

(2) Civil defense and disaster training activities shall be deemed to be authorized only when one of the following occurs:

(i) A qualified employe of the State Council of Civil Defense, or of any other Federal or State department or agency cooperating in a program specifically approved by the Council, has been designated and is actively serving as instructor of the activities; or

(ii) An official Training or Test Authorization Request (Form SCCD TAR, Rev. 3/63), covering each specific course, or series of similar courses or activity programs to be carried out during a single calendar year, has been prepared and submitted to and approved by the State Council of Civil Defense prior to initiation of the course or programs, in accordance with instructions prescribed by the State Director of Civil Defense.

(3) Civil defense and disaster tests shall be deemed to be authorized only in the event that if one of the following:

(i) The tests shall be ordered, or called, by the State Council of Civil Defense.

(ii) An official Training or Test Authorization Request (Form SCCD TAR, Rev. 3/63), covering each specific test shall be prepared, submitted to and approved by the State Council of Civil Defense prior to initiation of the said test, in accordance with instructions prescribed by the State Director of Civil Defense.

(4) Civil defense and disaster operations shall be deemed to be authorized only when duly enrolled civil defense volunteers have been one of the following:

(i) Officially ordered or called to emergency duty by the State Director of Civil Defense.

(ii) Officially ordered or called to duty by the executive officer or governing body of their respective political subdivisions to meet the threat of an emergency which shall be specifically deemed by the executive officer or governing body to be of such severity or magnitude as to warrant the use of civil defense personnel.

History

Authority: The provisions of this Chapter 115 issued under the Emergency Management Services Code, 35 Pa.C.S. § 7706, unless otherwise noted.
Source: The provisions of this Chapter 115 adopted April 2, 1957 and amended August 4, 1965, unless otherwise noted.

4 Pa. Code § 115.3 Filing of accident reports; submission of claims.

Any duly enrolled civil defense volunteer who elects to make claim for compensation for accidental injury sustained while engaged in authorized civil defense or disaster training, test or operational activities shall, if physically able to do so:

(1) Notify the State Director of Civil Defense of the date, place, manner and nature of injury and request official forms and instructions relating to the filing of formal claim for compensation. The notice and request shall be submitted in letter form within 30 days immediately following the injury.

(2) File with the State Emergency Management Director a formal, notarized Compensation Claim—Accidental Injury Sustained by Duly Enrolled Volunteer Emergency Management (Form PEMA-A-CC-1, together with all required supporting documents. The claim shall be filed within eight months immediately following the injury.

This section cited in 4 Pa. Code § 115.4 (relating to incapacity of volunteer; Director to file accident report).

History

Authority: The provisions of this Chapter 115 issued under the Emergency Management Services Code, 35 Pa.C.S. § 7706, unless otherwise noted.
Source: The provisions of this Chapter 115 adopted April 2, 1957 and amended August 4, 1965, unless otherwise noted.

4 Pa. Code § 115.4 Incapacity of volunteer; Director to file accident report.

Whenever any duly enrolled emergency management volunteer engaged in authorized civil defense or disaster training, test or operational activities shall sustain accidental injury directly causing or leading to death, or otherwise rendering the volunteer physically incapable of filing an accident report and compensation claim, the Coordinator of that emergency management organization in which the injured volunteer was enrolled shall act on behalf of the injured volunteer and shall be responsible for notifying the State Director of the injury sustained and for filing a formal claim for compensation in the general manner prescribed in § 115.3 (relating to filing of accident reports; submission of claims).

History

Authority: The provisions of this Chapter 115 issued under the Emergency Management Services Code, 35 Pa.C.S. § 7706, unless otherwise noted.
Source: The provisions of this Chapter 115 adopted April 2, 1957 and amended August 4, 1965, unless otherwise noted.

4 Pa. Code § 115.5 Failure to file written notice of injury.

Failure to file written notice of injury and formal claim for compensation in the manner and within the time limits set forth in this chapter shall be deemed sufficient cause for refusal to pay compensation benefits to duly enrolled civil defense volunteers accidentally injured in authorized emergency management or disaster training, test or operational activities.

History

Authority: The provisions of this Chapter 115 issued under the Emergency Management Services Code, 35 Pa.C.S. § 7706, unless otherwise noted.
Source: The provisions of this Chapter 115 adopted April 2, 1957 and amended August 4, 1965, unless otherwise noted.

4 Pa. Code § 115.6 Processing of claims and payment of benefits.

The processing of claims for compensation and the payment of benefits shall be governed by the following provisions:

(1) The State Director shall submit all claims formally filed on Compensation Claims—Accidental Injury Sustained by Duly Enrolled Emergency Management Volunteer [Form PEMA-A-CC-1, together with supporting documents, to the Bureau of Workman’s Compensation of the Department of Labor and Industry for review and recommendation. The Bureau shall then make a formal report of its findings on Review of Compensation Claim—Accidental Injury Sustained by Duly Enrolled Emergency Management Volunteer (Form PEMA-A-CC-2).

(2) The Pennsylvania Emergency Management Agency shall fix the total amount of the due, just and legally permissible benefits to be paid to each duly enrolled civil defense volunteer as compensation for accidental injury sustained while engaged in authorized civil defense or disaster training, test or operational activities. Such amount shall be based upon a detailed examination of each formally filed Compensation Claim, Form PEMA-A- CC-1, together with due consideration of pertinent recommendations made by the Bureau of Workman’s Compensation.

(3) The Pennsylvania Emergency Management Agency shall pay the amount of due, just and legally permissible compensation benefits directly to the injured volunteer, or to his estate, in the case of fatal injury.

(4) Upon receipt of benefits paid under the provisions of this chapter, the volunteer, or the executor or other authorized representative of his estate, shall execute an official Receipt for Compensation Benefits Paid (Form PEMA-A-CC-4 to the Pennsylvania Emergency Management Agency. The receipt shall indicate whether the payment received is partial, partial and final, or full and final settlement on the claim filed.

(5) Persons receiving benefits under the provisions of this chapter shall be responsible for the settlement of all obligations for medical, hospital and other expenses which may be incurred in connection with the treatment of injuries sustained.

History

Authority: The provisions of this Chapter 115 issued under the Emergency Management Services Code, 35 Pa.C.S. § 7706, unless otherwise noted.
Source: The provisions of this Chapter 115 adopted April 2, 1957 and amended August 4, 1965, unless otherwise noted.

Chapter 116 Radiation Emergency Response Fund

4 Pa. Code § 116.1 Definitions.

The following words and terms, when used in this chapter, have the following meanings, unless the context clearly indicates otherwise: Act—The Radiation Protection Act (35 P. S. § § 7110.101—7110.703). Agency—The Pennsylvania Emergency Management Agency. County—An all inclusive term in that it also refers to all risk and support counties located in this Commonwealth together with all risk municipalities, school districts and volunteer organizations located within those risk and support counties. All of the functions, duties, responsibilities and requirements of this chapter—except for the reporting requirements of § 116.7 (relating to reporting requirements and disbursement funds)—that apply to a risk or support county also apply in like manner to that county’s risk municipalities, school districts and volunteer organizations. EPZ—Emergency Planning Zone—A designated area surrounding a nuclear facility to facilitate offsite emergency planning and develop a significant response base. FEMA—Federal Emergency Management Agency. NRC—Nuclear Regulatory Commission. Person—An individual, corporation, firm, association, public utility, trust, estate, public or private institution, group, agency, political subdivision of this Commonwealth, another state or political subdivision or agency thereof and a legal successor, representative, agent or agency of the foregoing, other than the NRC or a successor thereto. RERF—Radiation Emergency Response Fund—A restricted account created in the General Fund of the Commonwealth for the deposit of fees received from the nuclear industry under sections 402(c)(1)—(3) of the act (35 P. S. § 7110.402(c)(1)—(3)). Radiation Emergency Response Program—The development of a detailed fixed nuclear emergency response plan for areas surrounding each nuclear electrical generation facility, nuclear fabrication and away-from-reactor storage facility located in this Commonwealth, the training and equipping of State and local emergency response personnel, the periodic exercise of the accident scenarios designated in the NRC emergency response plan applicable to each fixed nuclear facility, the procurement of specialized supplies and equipment, and the provisions for providing financial assistance to counties, risk municipalities, school districts, volunteer organizations and State agencies to carry out the purposes of this program. Risk county—A county partially or wholly within the plume exposure pathway EPZ of a fixed nuclear facility. Risk municipality—A municipality partially or wholly within the plume exposure pathway EPZ of a fixed nuclear facility. School district—A school district located within either a risk county or a support county. State agency—A department or agency of the Commonwealth government other than the Agency that has a health, safety or emergency response function assigned to it by statute or by the Commonwealth’s Radiation Emergency Response Program. Support county—The county outside the plume exposure pathway EPZ of a fixed nuclear facility that, through prior agreement, will provide support to a risk county in the event of an incident. Depending on size and location, the same county may be both a risk and support county. Volunteer organization—An emergency services organization that has an emergency response mission assigned to it by either its articles of incorporation or by the county Radiation Emergency Response Plan in the county where the volunteer organization is located. Work plan—A written narrative explaining how the recipient will use funds received under the Radiation Emergency Response Program. It shall comply with the guidelines in the Agency’s program requirements and will become part of a grant agreement.

The provisions of this § 116.1 amended June 25, 1999, effective June 26, 1999, 29 Pa.B. 3201. Immediately preceding text appears at serial pages (229865) to (229866).

History

Authority: The provisions of this Chapter 116 issued under the Emergency Management Services Code, 35 Pa.C.S. § § 7101—7707, unless otherwise noted.
Source: The provisions of this § 116.10 amended June 25, 1999, effective June 26, 1999, 29 Pa.B. 3201. Immediately preceding text appears at serial pages (229877) to (229878).

4 Pa. Code § 116.2 Purpose.

The purpose of this chapter is:

(1) To establish within the Agency a program for administering the RERF under section 503(a) of the act (35 P. S. § 7110.503(a)).

(2) To establish within the Agency a financial assistance program that will provide for the payment of expenses incurred by eligible risk and support counties, risk municipalities, school districts, volunteer organizations, and State agencies as a result of their direct participation in the development and implementation of the Agency’s Radiation Emergency Response Program.

The provisions of this § 116.2 corrected August 13, 1999, effective June 26, 1999, 29 Pa.B. 4350. Immediately preceding text appears at serial pages (257156) to (257157).

History

Authority: The provisions of this Chapter 116 issued under the Emergency Management Services Code, 35 Pa.C.S. § § 7101—7707, unless otherwise noted.
Source: The provisions of this § 116.10 amended June 25, 1999, effective June 26, 1999, 29 Pa.B. 3201. Immediately preceding text appears at serial pages (229877) to (229878).

4 Pa. Code § 116.3 Operation of the RERF.

(a) This fund is a restricted account that is created within the General Fund of the Commonwealth.

(b) The fund shall consist of fees paid to the Agency by the following persons:

(1) A person who has received or has applied for a nuclear power reactor facility operating license from the NRC shall pay to the agency a one-time fee of $200,000 per site in the initial year, July 1984 through June 1985, and an annual fee of $100,000 per site payable by July 1 of each succeeding year.

(2) A person who has applied for or received a valid license from the NRC to operate an away-from reactor spent fuel storage facility shall pay to the Agency an annual fee of $50,000 per site payable by July 1 of each year.

(3) A person who has applied for or received a valid license from the NRC to operate a reactor fuel fabrication facility shall pay to the Agency an annual fee of $50,000 per site payable by July 1 of each year.

History

Authority: The provisions of this Chapter 116 issued under the Emergency Management Services Code, 35 Pa.C.S. § § 7101—7707, unless otherwise noted.
Source: The provisions of this § 116.10 amended June 25, 1999, effective June 26, 1999, 29 Pa.B. 3201. Immediately preceding text appears at serial pages (229877) to (229878).

4 Pa. Code § 116.4 Allocation of funds.

Allocation of funds from annual fees.

(1) On or before August 1 of each funding year, the Agency will obtain a fiscal year-end balance report concerning the total amount of the RERF. The total amount of the RERF as stated in that report shall represent the disbursement ceiling for the amount of funds that may be available for distribution to all eligible applicants, excluding the Agency, during the current funding year of July 1 to June 30. The eligibility of an applicant, whether a county or State agency, is determined by the requirements in § 116.5 (relating to program requirements and eligible expenditures).

(2) Each year, the total amount of RERF as established in paragraph (1) will be disbursed and expended in accordance with the following schedule:

(i) Ten percent to the Agency for the purposes of administering the RERF and for training and other needs related to carrying out the goals and objectives of the Radiation Emergency Response Program.

(ii) Five percent to eligible State agencies that directly participate in the development or implementation of the Agency’s Radiation Emergency Response Program.

(iii) The total remaining amount of the RERF will be disbursed to the eligible risk and support counties.

(3) An eligible risk and support county will receive its approved funding allocation in one advance payment during the funding year.

(4) An eligible State agency will receive its approved funding allocation in one advance payment during a funding year.

(5) Funds not disbursed or obligated by an eligible applicant in the fiscal year in which they were allocated shall revert to the RERF. These revertible funds will then be applied to those allocations approved for eligible applicants for the subsequent funding year.

The provisions of this § 116.4 amended June 25, 1999, effective June 26, 1999, 29 Pa.B. 3201. Immediately preceding text appears at serial pages (229867) to (229868).

History

Authority: The provisions of this Chapter 116 issued under the Emergency Management Services Code, 35 Pa.C.S. § § 7101—7707, unless otherwise noted.
Source: The provisions of this § 116.10 amended June 25, 1999, effective June 26, 1999, 29 Pa.B. 3201. Immediately preceding text appears at serial pages (229877) to (229878).

4 Pa. Code § 116.5 Program requirements and eligible expenditures.

(a) Program requirements.

(1) To maintain eligibility for funding, each county, risk municipality, school district, volunteer organization and State agency shall meet the requirements of the Agency’s Radiation Emergency Response Program.

(2) The requirements of the Radiation Emergency Response Program shall include the following:

(i) The participation of each county and State agency in required radiation emergency response exercises and drills, including remedial exercises and drills.

(ii) The development and maintenance of a county or State agency radiological emergency response plan for each appropriate emergency planning zone.

(iii) The development of a primary and secondary communications system between each county and its municipalities, school districts and volunteer organizations.

(iv) The development of a communications system between each county’s emergency operations center and its reception and mass care centers.

(v) The development and maintenance of a current list of handicapped persons requiring special assistance. This special assistance is to include life-saving or life support equipment and special transportation.

(vi) The development of a program to recruit and train volunteers such as bus drivers, emergency operations center staffs and decontamination teams needed to maintain the response capability of each county’s radiation emergency response plan.

(3) Detailed requirements for compliance with paragraph (2) may be provided through directives or instructions on the application forms used to administer the Radiation Emergency Response Program.

(b) Eligible expenditures.

(1) County and State agency expenditures shall contribute to the development of a radiation emergency response capability in conformity with the standards and criteria established by the NRC, FEMA and Annex E to the Commonwealth of Pennsylvania’s Emergency Operations Plan (EOP).

(2) The following list of activities are appropriate uses of grant funds by risk counties. If a grant applicant wishes to use grant funds for a purpose other than those listed in subparagraphs (i)—(ix), the applicant shall secure the Agency’s prior written approval for the use or activity.

(i) Develop, revise, upgrade and test the radiological emergency response plans of the county, its municipalities, hospitals, nursing homes, prisons and schools located within the EPZ.

(ii) Participate in drills and exercises, including remedial drills and exercises, scheduled by the Agency or by the Federal government.

(iii) Conduct a countywide public information and education program concerning the health aspects, hazards and effect of radioactive releases that may be associated with a fixed nuclear facility incident, proper response action for an individual’s protection and preparations that have been made for the protection of the public.

(iv) Procure essential equipment, such as communications equipment for two-way communications between each county and its municipalities for traffic control, miscellaneous supplies such as bullhorns, batons, traffic barriers, generators, citizens band radios for route alerting, and other appropriate supplies needed for the direction and control of operations.

(v) Conduct a countywide program to identify and maintain a list of nonambulatory, deaf or otherwise handicapped persons who may need some form of special assistance, including lifesaving or life support equipment or special transportation in the event of a radiation emergency.

(vi) Conduct a program that recruits and trains volunteers for emergency functions such as the replacement of bus drivers—normally bus drivers will be provided with the buses, however, volunteer drivers should also be included in contingency plans—county and municipal emergency operations center staff and decontamination monitoring teams.

(vii) Pay the personnel costs directly involved in the development or implementation of the Radiation Emergency Response Program. Detailed justification of personnel costs shall be included in the application work plan.

(viii) Procure construction or remodeling supplies for an emergency operations center or purchase equipment for an emergency operations center.

(ix) Provide maintenance services for equipment purchased for radiation emergency response functions.

(3) The following list of activities are appropriate uses of grant funds by support counties. If a grant applicant wishes to use grant funds for a purpose other than those listed in this paragraph, the applicant shall secure the Agency’s prior written approval for the use or activity.

(i) Develop, revise, upgrade and test the radiological emergency response plans of the county.

(ii) Participate in drills and exercises, including remedial drills and exercises, scheduled by the Agency or by the Federal government.

(iii) Conduct a countywide public information and education program concerning the county’s support role in a radiological emergency and the public safety measures to be implemented as part of its support mission.

(iv) Procure essential equipment such as two-way radios for communications between the county, its reception centers and its mass care centers, equipment needed for traffic control such as bullhorns, batons, traffic barriers, generators, citizens band radios and other equipment or supplies needed for the direction and control of support operations.

(v) Conduct a program that recruits and trains volunteers for the county emergency operations center staff and for decontamination monitoring teams.

(vi) Pay the personnel costs directly involved in the development or implementation of the Radiation Emergency Response Program. Detailed justification of personnel costs shall be included in the application work plan.

(vii) Procure construction or remodeling supplies for an emergency operations center or purchase equipment for an emergency operations center.

(viii) Provide maintenance services for all equipment purchased for radiation emergency response functions.

(4) The following list of activities are appropriate uses of grant funds by State agencies. If a grant applicant wishes to use grant funds for a purpose other than those listed in this paragraph, the applicant shall secure the Agency’s prior written approval for the use or activity.

(i) Develop, revise, upgrade and test the radiological emergency response plan of the State agency.

(ii) Participate in drills and exercises, including remedial drills and exercises, scheduled by the Agency or by the Federal government.

(iii) Conduct training programs related to the State agency’s assigned functions and missions under the Radiation Emergency Response Program.

(iv) Procure essential protective supplies and equipment and communications equipment. The State agency will dedicate this equipment to the use of the Radiation Emergency Response Program.

(v) Pay the personnel costs directly involved in the development or implementation of the Radiation Emergency Response Program. Detailed justification of personnel costs shall be included in the application work plan.

(vi) Provide maintenance services for equipment purchased for radiation emergency response functions.

The provisions of this § 116.5 amended June 25, 1999, effective June 26, 1999, 29 Pa.B. 3201. Immediately preceding text appears at serial pages (229868) to (229871).

This section cited in 4 Pa. Code § 116.4 (relating to allocation of funds); and 4 Pa. Code § 116.6 (relating to application and review procedures for funding).

History

Authority: The provisions of this Chapter 116 issued under the Emergency Management Services Code, 35 Pa.C.S. § § 7101—7707, unless otherwise noted.
Source: The provisions of this § 116.10 amended June 25, 1999, effective June 26, 1999, 29 Pa.B. 3201. Immediately preceding text appears at serial pages (229877) to (229878).

4 Pa. Code § 116.6 Application and review procedures for funding.

(a) The application procedures in this section apply to risk and support counties, risk municipalities, school districts, volunteer organizations and State agencies that seek funding from the RERF. The Agency will provide each applicant with the requisite application form.

(b) Applicants, except State agencies, shall submit their funding requests to the appropriate county emergency management agency. The county emergency management agency shall review the request in terms of its compliance with and advancement of the county’s emergency preparedness plan. Upon approval by the county emergency management agency, the individual funding requests of a risk municipality, school district or volunteer organization shall be incorporated into the county’s application for funding from the RERF. State agencies shall submit their funding requests directly to the Agency. The request shall be submitted under the signature of the State agency’s secretary/director or designee.

(c) To be eligible for funding, a county or State agency shall submit its funding application to the Agency by June 1 preceding each applicable funding year—July 1 to June 30.

(d) A county funding application shall also include the individual funding requests of a risk municipality, school district or volunteer organization submitted to the county for review, whether or not those requests were incorporated into the county’s funding budget.

(e) Upon receipt of a funding application, the Agency will review the application for accuracy and completeness. The Agency will apply the following standards to its application review process:

(1) The work plan will be evaluated on its feasibility and adequacy to support both the county’s comprehensive radiation emergency response plan and the Agency’s Radiation Emergency Response Program.

(2) The work plan will be evaluated on its ability to advance radiation emergency coordination efforts within the county and with other counties, volunteer organizations and State agencies.

(3) The work plan will be reviewed to determine its compliance with the eligible expenditures and priorities established in § 116.5 (relating to program requirements and eligible expenditures).

(4) The budget will be reviewed to determine the cost-effectiveness of the planned expenditures, taking into account the applicants’ specific needs.

(f) During the review of the work plan and budget, the Agency may involve the county, its risk municipalities, school districts, volunteer organizations or a State agency in negotiations and revisions of part of the work plan or budget, or both, so that the goals and objectives established for the applicant’s participation in the Radiation Emergency Response Program can be met. It shall be the obligation of the county to participate in negotiations and revisions concerning its work plan and budget. The county shall attempt to resolve disputes that arise between the county and its risk municipalities, school districts or volunteer organizations concerning the inclusion of their individual funding requests in the county’s application. Disputes that cannot be resolved at the county level through negotiations will be resolved by the Agency during its review of the county’s funding application.

(g) Upon completion of the Agency’s application review process, the Agency will approve those work plans and budgets that are determined to be eligible for funding. The Agency will then approve a recommended funding allocation for an eligible applicant.

(h) After the Agency’s approval of a funding allocation, the Agency will forward the payment of the allocation to an eligible applicant. This payment will be dependent upon the availability of funds being present in the RERF at the time of their intended disbursement.

The provisions of this § 116.6 amended June 25, 1999, effective June 26, 1999, 29 Pa.B. 3201. Immediately preceding text appears at serial pages (229871) to (229873).

History

Authority: The provisions of this Chapter 116 issued under the Emergency Management Services Code, 35 Pa.C.S. § § 7101—7707, unless otherwise noted.
Source: The provisions of this § 116.10 amended June 25, 1999, effective June 26, 1999, 29 Pa.B. 3201. Immediately preceding text appears at serial pages (229877) to (229878).

4 Pa. Code § 116.7 Reporting requirements and disbursement of funds.

(a) Required report. During a funding year, a final performance report shall be submitted by a county and a State agency. The requirements for this final performance report are listed as follows:

(1) A county and State agency that has received a funding allocation shall submit a final performance report to the Agency by July 30 following the funding year. The report shall cover the period from July 1 through June 30.

(2) The final performance report shall contain the following information:

(i) A complete description of the work plan goals and objectives accomplished during the reporting period.

(ii) A description of those goals and objectives not accomplished during the reporting period, together with a statement of the reasons that led to this result.

(iii) A list of recommendations or suggestions for improving or expanding the effectiveness of the county or State agency Radiation Emergency Response Program, as based upon the lessons learned during the reporting period.

(iv) A list of expenditures made during the reporting period, together with a brief explanation of those expenditures.

(v) A copy of receipts or other financial documentation that verifies the payment of expenditures made during the reporting period.

(3) The Agency will review the final performance report for accuracy and completeness. The Agency will then make a determination, based upon the report, that the county or State agency has or has not satisfactorily performed the goals and objectives of its work plan. A county or State agency will be notified of this determination in writing. The notification will state reasons for disapproving the report and will provide suggested corrective actions to be taken by counties or State agencies determined to be in unsatisfactory performance of their goals and objectives.

(4) A county or State agency that has not satisfactorily performed its work plan will be required to return the funds provided under its grant agreement.

(b) Eligibility for future funding allocations.

(1) The Agency will review the final performance report of each county and State agency to verify satisfactory participation in the further development, improvement and implementation of the Agency’s Radiation Emergency Response Program.

(2) A county or State agency that satisfactorily met this performance standard will be eligible to submit a funding application for the subsequent funding year.

(3) A county or State agency that has not satisfactorily met this performance standard may have its eligibility to submit a funding application for the subsequent funding year withheld by the Agency.

The provisions of this § 116.7 amended June 25, 1999, effective June 26, 1999, 29 Pa.B. 3201. Immediately preceding text appears at serial pages (229873) to (229875).

This section cited in 4 Pa. Code § 116.1 (relating to definitions).

History

Authority: The provisions of this Chapter 116 issued under the Emergency Management Services Code, 35 Pa.C.S. § § 7101—7707, unless otherwise noted.
Source: The provisions of this § 116.10 amended June 25, 1999, effective June 26, 1999, 29 Pa.B. 3201. Immediately preceding text appears at serial pages (229877) to (229878).

4 Pa. Code § 116.9 Retention of records for audit.

(a) Records and supporting documents—that is, receipts, invoices, vouchers, and the like—related to grant funds shall be retained for 3 years. The retention period starts at the end of the funding year—June 30—in which the funding allocation was made.

(b) A county and State agency shall make the records described in subsection (a) available for audit by Commonwealth and Agency officials within 10 days after receiving a written request that those records be made available for audit. The audit request may be made at any time during the 3 year record retention period.

The provisions of this § 116.9 amended June 25, 1999, effective June 26, 1999, 29 Pa.B. 3201. Immediately preceding text appears at serial page (229877).

History

Authority: The provisions of this Chapter 116 issued under the Emergency Management Services Code, 35 Pa.C.S. § § 7101—7707, unless otherwise noted.
Source: The provisions of this § 116.10 amended June 25, 1999, effective June 26, 1999, 29 Pa.B. 3201. Immediately preceding text appears at serial pages (229877) to (229878).

4 Pa. Code § 116.10 Agency report.

On September 1 of each year, the Agency will submit a report on its operation of the RERF for the preceding funding year to the Governor, the General Assembly and the Pennsylvania Emergency Management Council. The report will include a summary of the activities of the Radiation Emergency Response Program as provided for in Chapter 5 of the act (35 P. S. § § 7110.501—7110.503). The report will also include a proposed operating budget, a financial statement, a list of applications received and the disbursements or reimbursements made to the eligible counties, risk municipalities, school districts, volunteer organizations and State agencies. An analysis of the adequacy of the fees established under section 402(c) of the act (35 P. S. § 7110.402(c)) will also be included in the report. The proposed funding formula for each subsequent funding year will be included in either an annual or a special report to the Governor, the General Assembly and the Pennsylvania Emergency Management Council.

The provisions of this § 116.10 amended June 25, 1999, effective June 26, 1999, 29 Pa.B. 3201. Immediately preceding text appears at serial pages (229877) to (229878).

History

Authority: The provisions of this Chapter 116 issued under the Emergency Management Services Code, 35 Pa.C.S. § § 7101—7707, unless otherwise noted.
Source: The provisions of this § 116.10 amended June 25, 1999, effective June 26, 1999, 29 Pa.B. 3201. Immediately preceding text appears at serial pages (229877) to (229878).

Chapter 117 Radiation Transportation Emergency Response Fund

4 Pa. Code § 117.1 Definitions.

The provisions of this § 171.1 adopted August 2, 1985, effective August 3, 1985, 15 Pa.B. 2802; amended May 15, 1992, effective May 16, 1992, 22 Pa.B. 2532; amended June 25, 1999, effective June 26, 1999, 29 Pa.B. 3205. Immediately preceding text appears at serial pages (229879) to (229880).

History

Authority: The provisions of this Chapter 117 issued under the Emergency Management Services Code, 35 Pa.C.S. § § 7101—7707, unless otherwise noted.
Source: The provisions of this § 117.9 adopted August 2, 1985, effective August 3, 1985, 15 Pa.B. 2802; amended June 25, 1999, effective June 26, 1999, 29 Pa.B. 3205. Immediately preceding text appears at serial page (229884).

4 Pa. Code § 117.2 Purpose.

The purpose of this chapter is to accomplish the following:

(l) Establish within the Agency a program for administering the RTERF under section 604(b) of the act (35 P. S. § 7110.604(b)).

(2) Establish within the Agency a financial assistance program that will provide for the payment of costs incurred by an eligible applicant for the procurement of equipment and the training and employment of personnel as a result of direct participation in the development and implementation, or both, of the EOP, Hazardous Materials Annex F. Information about the EOP may be obtained from the Agency or the county emergency management office.

The provisions of this § 117.2 adopted August 2, 1985, effective August 3, 1985, 15 Pa.B. 2802; amended May 15, 1992, effective May 16, 1992, 22 Pa.B. 2532; amended June 25, 1999, effective June 26, 1999, 29 Pa.B. 3205. Immediately preceding text appears at serial page (229880).

History

Authority: The provisions of this Chapter 117 issued under the Emergency Management Services Code, 35 Pa.C.S. § § 7101—7707, unless otherwise noted.
Source: The provisions of this § 117.9 adopted August 2, 1985, effective August 3, 1985, 15 Pa.B. 2802; amended June 25, 1999, effective June 26, 1999, 29 Pa.B. 3205. Immediately preceding text appears at serial page (229884).

4 Pa. Code § 117.3 Operation of the RTERF.

(a) The RTERF is a restricted account that is created within the General Fund of the Commonwealth.

(b) The RTERF shall consist of fees paid to the Agency by shippers of spent nuclear fuel to, within, through or across the boundaries of this Commonwealth who shall pay to the Agency a fee of $1,000 per shipment, payable prior to the proposed date of the shipment.

The provisions of this § 117.3 adopted August 2, 1985, effective August 3, 1985, 15 Pa.B. 2802.

History

Authority: The provisions of this Chapter 117 issued under the Emergency Management Services Code, 35 Pa.C.S. § § 7101—7707, unless otherwise noted.
Source: The provisions of this § 117.9 adopted August 2, 1985, effective August 3, 1985, 15 Pa.B. 2802; amended June 25, 1999, effective June 26, 1999, 29 Pa.B. 3205. Immediately preceding text appears at serial page (229884).

4 Pa. Code § 117.4 Allocation of funds.

(a) Because the number of spent nuclear fuel shipments and the resulting revenue fees generated from those shipments will vary from year to year, no predetermined annual fund amount can be established for the RTERF.

(b) An application from an eligible county or State agency will be processed by the Agency on an individual basis in the order that the application is received during a funding year—July 1 to June 30. The eligibility of an applicant, whether a county or State agency, is determined by the requirements in § 117.5 (relating to eligible expenditures).

(c) The allocation of funds to an eligible applicant will be determined as the result of the application review process described in § 117.6 (relating to application and review procedures for funding) and by the availability of funds being present in the RTERF at the time of the intended disbursement.

(d) The RTERF will not contain funds for discretionary use by an eligible applicant. Funding allocations will only be for the approved eligible expenditures.

(e) Funds that remain in the RTERF at the termination of the funding year—June 30—will be automatically placed in the RTERF of the succeeding funding year. That sum will be applied to only those funding requests submitted during that succeeding funding year.

The provisions of this § 117.4 adopted August 2, 1985, effective August 3, 1985, 15 Pa.B. 2802; amended May 15, 1992, effective May 16, 1992, 22 Pa.B. 2532; amended June 25, 1999, effective June 26, 1999, 29 Pa.B. 3205. Immediately preceding text appears at serial pages (229880) to (229881).

History

Authority: The provisions of this Chapter 117 issued under the Emergency Management Services Code, 35 Pa.C.S. § § 7101—7707, unless otherwise noted.
Source: The provisions of this § 117.9 adopted August 2, 1985, effective August 3, 1985, 15 Pa.B. 2802; amended June 25, 1999, effective June 26, 1999, 29 Pa.B. 3205. Immediately preceding text appears at serial page (229884).

4 Pa. Code § 117.5 Eligible expenditures.

(a) To be eligible for payment, an expenditure made by an eligible county, municipality, volunteer organization and State agency shall contribute to the development of a radiation transportation emergency response capability that is in compliance with the standards and criteria established by the EOP, Hazardous Materials Annex F and appropriate county Hazardous Materials Program.

(b) The following expenditures are eligible for payments from the RTERF:

(1) The cost of education, program management and training of State, county, municipal and volunteer organization personnel in the proper response techniques and methods to be used in the event of an accident involving the shipment of spent nuclear fuel.

(2) The purchase of protective supplies and equipment needed for response purposes in the event of an accident involving the shipment of spent nuclear fuel.

(c) The proper education and training of response personnel is a primary objective and requirement of the EOP, Hazardous Materials Annex F. For this reason, the payment of response education and training expenditures will be given priority over the payment of response equipment expenditures.

(d) To manage and meet the changing policy requirements and technological advancements developed in the areas of radiological response training and equipment, the Agency will periodically issue directives or instructions on the application form concerning the type of training, program management and equipment expenditures that will be eligible for payments from the RTERF. These directives or instructions will state the specific areas of education and training emphasis or the specific items of response equipment that will be eligible for a payment.

The provisions of this § 117.5 adopted August 2, 1985, effective August 3, 1985, 15 Pa.B. 2802; amended May 15, 1992, effective May 16, 1992, 22 Pa.B. 2532. Immediately preceding text appears at serial page (100403).

This section cited in 4 Pa. Code § 117.4 (relating to allocation of funds).

History

Authority: The provisions of this Chapter 117 issued under the Emergency Management Services Code, 35 Pa.C.S. § § 7101—7707, unless otherwise noted.
Source: The provisions of this § 117.9 adopted August 2, 1985, effective August 3, 1985, 15 Pa.B. 2802; amended June 25, 1999, effective June 26, 1999, 29 Pa.B. 3205. Immediately preceding text appears at serial page (229884).

4 Pa. Code § 117.6 Application and review procedures for funding.

(a) The application procedures in this section apply to eligible applicants that seek funding from the RTERF. The Agency will provide each applicant with the requisite application form.

(b) Applicants, except for State agencies, shall submit a funding application to the appropriate county emergency management agency. The county emergency management agency shall review the application in terms of its compliance with and advancement of the county’s Radiation Emergency Response Plan. Upon approval by the county emergency management agency, the individual funding application of the eligible municipality or volunteer organization shall be incorporated into the county’s application for funding from the RTERF. State agencies shall submit funding applications directly to the Agency. That application shall be submitted under the signature of the State agency’s secretary/director or a designee.

(c) It is the obligation of the county to participate in negotiations and revisions concerning its funding application. In particular, the county shall attempt to resolve disputes that arise between the county and its municipalities and volunteer organization, or both, concerning the inclusion of individual funding requests into the county’s application. Disputes that cannot be resolved at the county level through negotiations will be resolved by the Agency during its review of the county’s funding application.

(d) Upon receipt of a funding application, the Agency will review the application for accuracy and completeness. The Agency will apply the following standards to its application review process:

(1) The expenditure will be incurred during the applicable funding year—July 1 to June 30.

(2) The expenditure was not previously recouped or reimbursed from other sources.

(3) The expenditure will be required as a direct result of the applicant’s participation in a radiation transportation emergency response program.

(4) The expenditure will be required for the payment of education, management and training or for the purchase of protective supplies and equipment needed to respond to a potential accident involving the shipment of spent nuclear fuel.

(5) The expenditure shall be verifiable.

(e) Upon the completion of the application review process, the agency will approve a funding allocation for the eligible applicant.

(f) After the Agency’s approval of a funding allocation, the Agency will forward the payment to an eligible applicant.

The provisions of this § 117.6 adopted August 2, 1985, effective August 3, 1985, 15 Pa.B. 2802; amended May 15, 1992, effective May 16, 1992, 22 Pa.B. 2532; amended June 25, 1999, effective June 26, 1999, 29 Pa.B. 3205. Immediately preceding text appears at serial pages (229882) to (229883).

This section cited in 4 Pa. Code § 117.4 (relating to allocation of funds).

History

Authority: The provisions of this Chapter 117 issued under the Emergency Management Services Code, 35 Pa.C.S. § § 7101—7707, unless otherwise noted.
Source: The provisions of this § 117.9 adopted August 2, 1985, effective August 3, 1985, 15 Pa.B. 2802; amended June 25, 1999, effective June 26, 1999, 29 Pa.B. 3205. Immediately preceding text appears at serial page (229884).

4 Pa. Code § 117.8 Retention of records for audit.

The provisions of this § 117.8 adopted August 2, 1985, effective August 3, 1985, 15 Pa.B. 2802; amended May 15, 1992, effective May 16, 1992, 22 Pa.B. 2532; amended June 25, 1999, effective June 26, 1999, 29 Pa.B. 3205. Immediately preceding text appears at serial pages (229883) to (229884).

History

Authority: The provisions of this Chapter 117 issued under the Emergency Management Services Code, 35 Pa.C.S. § § 7101—7707, unless otherwise noted.
Source: The provisions of this § 117.9 adopted August 2, 1985, effective August 3, 1985, 15 Pa.B. 2802; amended June 25, 1999, effective June 26, 1999, 29 Pa.B. 3205. Immediately preceding text appears at serial page (229884).

4 Pa. Code § 117.9 Agency report.

On September 1 of a year, the Agency will submit a report on its operation of the RTERF for the preceding fiscal year to the Governor, the General Assembly and the Pennsylvania Emergency Management Council. The report will include a summary of the activities of the Radiation Transportation Emergency Response Program. The report will include a list of the applications received and the amounts allocated to eligible applicants. An analysis of the adequacy of the fee established for the shipment of spent nuclear fuel will also be included in the report.

The provisions of this § 117.9 adopted August 2, 1985, effective August 3, 1985, 15 Pa.B. 2802; amended June 25, 1999, effective June 26, 1999, 29 Pa.B. 3205. Immediately preceding text appears at serial page (229884).

History

Authority: The provisions of this Chapter 117 issued under the Emergency Management Services Code, 35 Pa.C.S. § § 7101—7707, unless otherwise noted.
Source: The provisions of this § 117.9 adopted August 2, 1985, effective August 3, 1985, 15 Pa.B. 2802; amended June 25, 1999, effective June 26, 1999, 29 Pa.B. 3205. Immediately preceding text appears at serial page (229884).

Chapter 118 Reductions of Major Water Use in a Commonwealth Drought Emergency Area

4 Pa. Code § 118.1 Definitions.

The following words and terms, when used in this chapter, have the following meanings, unless the context clearly indicates otherwise: Commonwealth Drought Coordinator—An officer of the Department appointed by the Secretary of the Department to carry out responsibilities established in the Pennsylvania Drought Contingency Plan to coordinate Commonwealth planning, preparedness and response action to a drought or water shortage emergency. Consumptive water—Water that in the process of being used is evaporated, transpired or incorporated into a product. Department—The Department of Environmental Protection of the Commonwealth. Designated drought emergency area—The area of this Commonwealth described in the Governor’s proclamation or executive order declaring a state of drought or water shortage emergency. PEMA—The Pennsylvania Emergency Management Agency. Public water supply agency—A “community water system” as that term is defined in section 3 of the Pennsylvania Safe Drinking Water Act (35 P. S. § 721.3). Water user—

(i) An individual, partnership, association, company, corporation, municipality, municipal authority, political subdivision or an agency of Federal, State, county or municipal government.

The provisions of this § 118.1 amended July 6, 2001, effective July 7, 2001, 31 Pa.B. 3520. Immediately preceding text appears at serial pages (229885) to (229886).

History

Authority: The provisions of this Chapter 118 issued under the Emergency Management Services Code, 35 Pa.C.S. § § 7101—7707; amended under the Emergency Management Services Code, 35 Pa.C.S. § 7313, unless otherwise noted.
Source: The provisions of this § 118.10 amended July 6, 2001, effective July 7, 2001, 31 Pa.B. 3520. Immediately preceding text appears at serial page (229891).

4 Pa. Code § 118.2 Purpose.

This chapter provides for the preparation and implementation of contingency plans by public water supply agencies providing service to 50 or more customer connections, and by major commercial and industrial water users, to reduce water use in response to a state of drought or water shortage emergency within specified areas of this Commonwealth. The objective of this chapter is to conserve water, to balance demand with limited available supplies and to assure that sufficient water is available to serve essential health, safety and economic needs. This chapter is intended to implement the Pennsylvania Drought Contingency Plan, and a Governor’s proclamation of drought emergency or order issued during an emergency by the Commonwealth Drought Coordinator that directs the preparation of contingency plans and implementation of water use reductions.

The provisions of this § 118.2 amended July 6, 2001, effective July 7, 2001, 31 Pa.B. 3520. Immediately preceding text appears at serial page (229886).

History

Authority: The provisions of this Chapter 118 issued under the Emergency Management Services Code, 35 Pa.C.S. § § 7101—7707; amended under the Emergency Management Services Code, 35 Pa.C.S. § 7313, unless otherwise noted.
Source: The provisions of this § 118.10 amended July 6, 2001, effective July 7, 2001, 31 Pa.B. 3520. Immediately preceding text appears at serial page (229891).

4 Pa. Code § 118.3 Scope.

This chapter applies to all water uses within this Commonwealth.

The provisions of this § 118.3 amended July 6, 2001, effective July 7, 2001, 31 Pa.B. 3520. Immediately preceding text appears at serial pages (229886) to (229887).

History

Authority: The provisions of this Chapter 118 issued under the Emergency Management Services Code, 35 Pa.C.S. § § 7101—7707; amended under the Emergency Management Services Code, 35 Pa.C.S. § 7313, unless otherwise noted.
Source: The provisions of this § 118.10 amended July 6, 2001, effective July 7, 2001, 31 Pa.B. 3520. Immediately preceding text appears at serial page (229891).

4 Pa. Code § 118.4 Contingency plans—public water supply agencies.

(a) Preparation and submission.

(1) Within the time frame specified in the Governor’s proclamation of drought emergency or order issued during an emergency by the Commonwealth Drought Coordinator, each public water supply agency which provides service to 50 or more customer connections and which has either a source of water or a service area within the designated drought emergency area shall develop, adopt and submit a drought contingency plan meeting the requirements set forth in this section.

(2) Each public water supply agency shall submit three copies of the drought contingency plan to the Commonwealth Drought Coordinator, for distribution to PEMA, the Department and other interested Commonwealth agencies, including the Pennsylvania Public Utility Commission if applicable. Each public water supply agency shall submit a copy of the drought contingency plan to the counties in which the public water supply agency serves water.

(3) If a public water supply agency has previously prepared and submitted to the Commonwealth Drought Coordinator a drought contingency plan containing the information required by this section and the plan was approved by the Commonwealth Drought Coordinator, or a designee, not more than 3 years prior to the Governor’s proclamation of drought emergency, the plan may be deemed to satisfy the requirements of this section; however, the public water supply agency may affirm, modify or amend the plan as it deems appropriate, through submittal of a modified or amended plan to the Commonwealth Drought Coordinator for approval.

(b) Contents. Drought contingency plans for public water supply agencies shall, at a minimum, contain the following:

(1) The name, address and telephone number of the public water supply agency, and the names of officers or other persons responsible for directing operations during a drought emergency.

(2) A description of the ground and surface water sources utilized by the system, including all interconnections, and the locations and yields of the sources.

(3) Data indicating the monthly average and peak day rates of withdrawal from each source for each calendar month during the previous calendar year, or most recent 12 month period for which the data is available.

(4) Data indicating the monthly average and peak day rates of water use in the system for each calendar month during the previous calendar year, or the most recent 12 month period for which data is available.

(5) A description of criteria to be used by the agency in identifying the onset of water shortage problems in the system.

(6) A plan of actions which will be taken by the public water supply agency to respond to drought or water shortage conditions, including public notice such as newspaper, radio or television notice, a water conservation program, development of emergency supplies, and rationing. The plan shall provide for actions to be taken to achieve a phased reduction of total system withdrawal and use.

(7) A procedure for the granting of variances or exemptions to the provisions of a plan to address extraordinary hardships which may exist as a result of a plan, including a provision for appeal as specified in § 120.9(e) (relating to excess use charges). For purposes of this section, “extraordinary hardship” means a permanent damage to property, including perishable raw or processed products, or other personal or economic loss which is substantially more severe than the sacrifices borne by other water users subject to a public water supply agency’s drought contingency plan. The procedure shall include, when appropriate, consideration of:

(i) Impact of water use reductions upon:

(A) Public health and safety, including pharmaceutical processes.

(B) Food and raw fiber production, including protection of perishable raw or processed products.

(D) The maintenance of employment.

(ii) The measures and efforts previously undertaken to conserve water or to provide for water storage and releases, and the ability of users to implement additional conservation measures.

(c) Implementation of contingency plans by public water supply agencies. Each public water supply agency which has either a source of water or a service area within the designated drought emergency area shall implement its approved drought contingency plan during the effective period of the Governor’s proclamation of drought emergency.

The provisions of this § 118.4 amended July 6, 2001, effective July 7, 2001, 31 Pa.B. 3520. Immediately preceding text appears at serial pages (229887) to (229888).

This section cited in 4 Pa. Code § 119.6 (relating to procedure for exemptions or variance from the prohibition of nonessential uses of water).

History

Authority: The provisions of this Chapter 118 issued under the Emergency Management Services Code, 35 Pa.C.S. § § 7101—7707; amended under the Emergency Management Services Code, 35 Pa.C.S. § 7313, unless otherwise noted.
Source: The provisions of this § 118.10 amended July 6, 2001, effective July 7, 2001, 31 Pa.B. 3520. Immediately preceding text appears at serial page (229891).

4 Pa. Code § 118.5 Contingency plans—self supplied commercial and industrial water users.

(a) Preparation and submission.

(1) Within the time frame specified in the Governor’s proclamation of drought emergency or order issued during an emergency by the Commonwealth Drought Coordinator, the owner or operator of a commercial or industrial facility which withdraws ground or surface water within the designated drought emergency area in excess of an average of 100,000 gallons per day in any 30 day period shall develop and adopt, and have available for inspection at the facility, a drought contingency plan under this section.

(2) Within the time frame specified in the Governor’s proclamation of drought emergency or order issued during an emergency by the Commonwealth Drought Coordinator, the owner or operator of a commercial or industrial facility which withdraws ground or surface water within the designated drought emergency area in excess of an average of 500,000 gallons per day in any 30 day period shall develop, adopt and submit a drought contingency plan to the Commonwealth Drought Coordinator.

(3) During the effective period of the Governor’s proclamation of drought emergency, the Commonwealth Drought Coordinator may order the owner or operator of any commercial or industrial facility not included in paragraph (2) whose source of water is located within the designated drought emergency area, to develop, adopt and submit a drought contingency plan to the Commonwealth Drought Coordinator within the time frame specified in the order.

(b) Contents. Drought contingency plans for self-supplied commercial and industrial facilities shall, at a minimum, contain the following:

(1) The name, address and telephone number of the owner or operator of the facility and officers or other persons responsible for directing actions undertaken under the drought contingency plan.

(2) A description of the ground and surface water sources utilized by the facility, including interconnections with public water supply agencies, and the locations and yields of those sources.

(3) A description of the processes utilizing water at the facility.

(4) Data regarding the monthly average and peak day rate of total withdrawal and use and the monthly average and peak day rate of consumptive water use at the facility during the previous calendar year or most recent 12 month period for which the data is available.

(5) A description of the method, location and rates of waste water disposal from the facility.

(6) A description of measures previously undertaken to conserve water at the facility or to provide for water storage and releases, and potential measures which could be implemented to reduce water use under emergency conditions. The descriptions should include information regarding the impacts of the measures on the production, employment and economics of the facility, including consideration for protection of perishable raw or processed products.

(7) A plan of actions which can be undertaken at the facility in response to drought or water shortage conditions to achieve a phased reduction of total withdrawal and use by amounts of 5%, 15%, 25%, 35% and 50% of the rates of water withdrawal and use existing during nondrought periods.

The provisions of this § 118.5 amended May 17, 1985, effective May 10, 1985, 15 Pa.B. 1825; amended July 6, 2001, effective July 7, 2001, 31 Pa.B. 3520. Immediately preceding text appears at serial pages (229888) to (229889).

This section cited in 4 Pa. Code § 118.6 (relating to implementation of reductions by self-supplied industrial and commercial water users).

History

Authority: The provisions of this Chapter 118 issued under the Emergency Management Services Code, 35 Pa.C.S. § § 7101—7707; amended under the Emergency Management Services Code, 35 Pa.C.S. § 7313, unless otherwise noted.
Source: The provisions of this § 118.10 amended July 6, 2001, effective July 7, 2001, 31 Pa.B. 3520. Immediately preceding text appears at serial page (229891).

4 Pa. Code § 118.6 Implementation of reductions by self-supplied industrial and commercial water users.

(a) As necessary to respond to drought or water shortage conditions, during the effective period of the Governor’s proclamation of drought emergency, the Commonwealth Drought Coordinator may order equitable reductions of water withdrawal and use by self-supplied industrial and commercial facilities within the designated drought emergency area. In determining the amount of equitable reductions, the Commonwealth Drought Coordinator will consider the following, in priority order:

(1) The relative impact of water use reductions upon:

(i) Public health and safety, including pharmaceutical processes.

(ii) Food and raw fiber production, including protection of perishable raw or processed products.

(iii) Delivery of electric generation services.

(iv) Maintenance of employment.

(2) The measures and efforts previously undertaken by self-supplied industrial and commercial facilities to conserve water or to provide for water storage and releases, and the ability of users to implement additional conservation measures.

(b) Each owner or operator of each self-supplied commercial or industrial facility shall implement, under the contingency plans required under § 118.5 (relating to contingency plans—self supplied commercial and industrial users) measures that are necessary to achieve the withdrawal and use reductions ordered by the Commonwealth Drought Coordinator.

(c) Notice of orders issued by the Commonwealth Drought Coordinator to implement reductions will be provided to affected users by notice published in the Pennsylvania Bulletin and in newspapers of general circulation in the affected area and by service of the notice by mail or other means within 48 hours of issuance of the order.

The provisions of this § 118.6 amended May 17, 1985, effective May 10, 1985, 15 Pa.B. 1825; amended July 6, 2001, effective July 7, 2001, 31 Pa.B. 3520. Immediately preceding text appears at serial page (229889).

History

Authority: The provisions of this Chapter 118 issued under the Emergency Management Services Code, 35 Pa.C.S. § § 7101—7707; amended under the Emergency Management Services Code, 35 Pa.C.S. § 7313, unless otherwise noted.
Source: The provisions of this § 118.10 amended July 6, 2001, effective July 7, 2001, 31 Pa.B. 3520. Immediately preceding text appears at serial page (229891).

4 Pa. Code § 118.8 Procedure for exemptions or variance from water use reductions by self-supplied industrial or commercial water users.

(a) If compliance with water use reductions ordered under this chapter would result in extraordinary hardship upon a self-supplied industrial or commercial water user, the water user may apply for an exemption or variance.

(b) For purposes of this section, extraordinary hardship means a permanent damage to property, including perishable raw or processed product, or other personal or economic loss which is substantially more severe than the sacrifices borne by other water users subject to this chapter.

(c) A self-supplied industrial or commercial water user who believes he suffers an extraordinary hardship and desires to be wholly or partially exempt from the reductions ordered under this chapter may apply for an exemption or variance under the following procedures:

(1) The applicant shall submit a written request with full documentation supporting the need for the requested relief to:

Commonwealth Drought Coordinator c/o Department of Environmental Protection P. O. Box 8555 Harrisburg, Pennsylvania 17105-8555

(2) The application shall contain information specifying:

(i) The nature of the hardship claimed, and reason for the requested exemption or variance.

(ii) The efforts taken by the applicant to conserve water and the extent to which water use may be reduced by the applicant without extraordinary hardship.

(3) The Commonwealth Drought Coordinator or a designee will review the application in consultation with other appropriate Commonwealth agencies, and may request the applicant to provide additional information as necessary to review the application.

(4) The Commonwealth Drought Coordinator or a designee is authorized to render a decision regarding applications received for exemption or variance. The Commonwealth Drought Coordinator or a designee will provide the applicant notice in writing of the decision and the reasons for the decision. When possible, the Commonwealth Drought Coordinator or a designee will provide a written decision within 7 working days, or if perishable products are involved, within 1 working day of submission of an application or will request additional information as necessary to review the application. When appropriate, the Commonwealth Drought Coordinator may issue a Statewide exemption or variance to similarly situated water users. A notice of the decision will be published in the Pennsylvania Bulletin. Unless appealed under this section, the decision of the Commonwealth Drought Coordinator or a designee shall be considered a final action on the application.

(5) A person aggrieved by a decision of the Commonwealth Drought Coordinator or a designee may, within 30 days of written notice of the decision or publication of notice of the decision in the Pennsylvania Bulletin, appeal the decision to PEMA.

(6) An appeal from an initial decision of the Commonwealth Drought Coordinator or a designee will not act as an automatic supersedeas, but, upon cause shown and when the circumstances require it, PEMA will have the power to grant a supersedeas.

(7) When an initial decision is appealed, PEMA will provide the applicant with an opportunity for a hearing not later than 7 business days after PEMA has received the appeal request. PEMA may appoint a hearing examiner who may be an administrative law judge of the Pennsylvania Public Utility Commission. Hearings may be held telephonically.

(8) The hearing examiner will provide the record of the hearing, if any, and a recommendation to PEMA for review and adoption.

(9) PEMA will notify the applicant in writing of its final decision and the reasons for the decision regarding the appeal within 2 business days after PEMA has received a written recommendation from the hearing examiner.

(d) An exemption or variance will be granted only to the extent necessary to relieve extraordinary hardship and will require and be conditioned upon compliance with all reasonable conservation measures required by this chapter or the variance or exemption.

(e) An exemption or variance may be modified or rescinded by the Commonwealth Drought Coordinator if public health, safety and welfare require further reduction in water use.

(f) An exemption or variance granted to a water user for a specific property, purpose or person is not transferable to another property, purpose or person without prior written approval from the Commonwealth Drought Coordinator.

The provisions of this § 118.8 amended May 17, 1985, effective May 10, 1985, 15 Pa.B. 1825; amended July 6, 2001, effective July 7, 2001, 31 Pa.B. 3520. Immediately preceding text appears at serial pages (229890) to (229891).

History

Authority: The provisions of this Chapter 118 issued under the Emergency Management Services Code, 35 Pa.C.S. § § 7101—7707; amended under the Emergency Management Services Code, 35 Pa.C.S. § 7313, unless otherwise noted.
Source: The provisions of this § 118.10 amended July 6, 2001, effective July 7, 2001, 31 Pa.B. 3520. Immediately preceding text appears at serial page (229891).

4 Pa. Code § 118.9 County drought management task force.

(a) Within the time frame specified in the Governor’s proclamation of drought emergency, the county commissioners of all counties located within the designated drought emergency area shall establish a drought management task force within their county.

(1) The county task force shall coordinate and monitor all drought reporting and water conservation measures undertaken within their county as necessary to ensure the provision of safe and reliable drinking water sources.

(2) The county task forces shall be comprised of county emergency management officials, public water supply agency representatives, elected officials, health officials, fire officials, law enforcement officials, affected business and industry representatives, and other interested parties. Each county may determine the number and composition of representatives from each group that will sit on the task force.

(3) The county commissioners will coordinate, and report to the Commonwealth Drought Coordinator on, county task force activities to include, but not limited to, public information, planning, water system vulnerabilities, enforcement coordination, fire protection and other areas of public concern. The report shall be submitted either monthly or within a shorter time frame as determined by the Commonwealth Drought Coordinator.

(b) For the duration of the drought emergency, each county drought management task force shall prepare and submit to the Commonwealth Drought Coordinator a monthly report describing the severity and impact of drought conditions. The report is due the first day of each month and shall describe the drought impact on the public, business and industry and the agriculture community. The report will identify steps taken to implement water conservation and public education.

(c) The county drought management task force meetings shall be open to the public and shall comply with state public meeting sunshine requirements.

The provisions of this § 118.9 amended July 6, 2001, effective July 7, 2001, 31 Pa.B. 3520. Immediately preceding text appears at serial pages (229890) to (229891).

History

Authority: The provisions of this Chapter 118 issued under the Emergency Management Services Code, 35 Pa.C.S. § § 7101—7707; amended under the Emergency Management Services Code, 35 Pa.C.S. § 7313, unless otherwise noted.
Source: The provisions of this § 118.10 amended July 6, 2001, effective July 7, 2001, 31 Pa.B. 3520. Immediately preceding text appears at serial page (229891).

4 Pa. Code § 118.10 Penalties and enforcement.

A person who violates this chapter, fails to carry out duties and responsibilities imposed by this chapter, or impedes or interferes with actions undertaken or ordered under this chapter shall be subject to the penalties under 35 Pa.C.S. § 7707. Violation of any provision of this chapter is a summary offense enforceable by proper law enforcement authorities or private citizens in accordance with Pa.R. Crim.P. Nos. 400—471 and 1000—1013 (relating to summary cases; and rules of criminal procedure for the Municipal Court of Philadelphia).

The provisions of this § 118.10 amended July 6, 2001, effective July 7, 2001, 31 Pa.B. 3520. Immediately preceding text appears at serial page (229891).

History

Authority: The provisions of this Chapter 118 issued under the Emergency Management Services Code, 35 Pa.C.S. § § 7101—7707; amended under the Emergency Management Services Code, 35 Pa.C.S. § 7313, unless otherwise noted.
Source: The provisions of this § 118.10 amended July 6, 2001, effective July 7, 2001, 31 Pa.B. 3520. Immediately preceding text appears at serial page (229891).

Chapter 119 Prohibition of Nonessential Water Uses in a Commonwealth Drought Emergency Area

4 Pa. Code § 119.1 Definitions.

The following words and terms, when used in this chapter, have the following meanings, unless the context clearly indicates otherwise: Any water—Water from any source including publicly or privately owned surface or groundwater sources such as springs, wells, streams, or ponds, including fresh water, brackish water, wastewater and water collected directly from precipitation in rain barrels, cisterns or similar containers. Arboretum—A place where trees, shrubs and plants are cultivated for scientific and educational purposes. Athletic field—A surface used for organized professional or amateur sports, including racing, contained within marked boundary lines or barriers. The term does not include foul, out-of-bounds or out-of-play areas. Beneficial use—Use of any water that is necessary to serve essential health, safety and economic needs, including the maintenance of human, animal and plant life. Brackish water—Water containing more than 1,000 parts per million of dissolved salts. Commonwealth Drought Coordinator—An officer of the Department appointed by the Secretary of the Department, to carry out responsibilities established in the Pennsylvania Drought Contingency Plan to coordinate Commonwealth planning, preparedness and response action to a drought or water shortage emergency. Department—The Department of Environmental Protection of the Commonwealth. Designated drought emergency area—The area of this Commonwealth described in the Governor’s proclamation or executive order declaring a state of drought or water shortage emergency. Effective conservation—Use of water at the minimum rate necessary for the intended purpose, in a manner that does not result in the use of water for purposes that are prohibited by this chapter and in a manner that does not allow application or runoff of water onto areas that are prohibited by this chapter. Fresh water—Water withdrawn from a surface water or groundwater source, or from a public water supply system, located within this Commonwealth other than wastewater or brackish water. The term does not include water collected directly from precipitation in rain barrels, cisterns or similar containers. Irrigation contractor—A person who is engaged in the business of design, installation or repair of irrigation equipment as a source of income. Mobile equipment—A public, private or commercial automobile, truck, bus, trailer, cart, wagon, railroad car, camper, boat or other type of similar equipment. Newly seeded or sodded grass area—A grass area from which all growth was removed or tilled under and to which new seed or sod was applied within the previous 12 months. Nurseries—Facilities which are used to grow or keep plants, trees, shrubs, vines, bulbs, cuttings, grafts, flowering annual plants, aquatic plants, seeds, turf, grass, sod or tubers for propagation, distribution or sale. PEMA—The Pennsylvania Emergency Management Agency. Paved surfaces—Any surface, such as streets, roads, sidewalks, driveways, garages, parking areas, tennis courts, decks and patios, which has been covered with concrete, asphalt, tile, wood or other similar materials, but not including walls or vertical surfaces of buildings. Professional landscaper—A person who is engaged in the business of installing or maintaining landscape materials as a full-time job. Public water supply agency—A ’’community water system’’ as that term is defined in section 3 of the Pennsylvania Safe Drinking Water Act (35 P. S. § 721.3). Sand-based athletic field—An athletic field with a man-made root zone that contains a minimum of 60% of sand, by weight, in the top 4 to 12 inches of the root zone. Waste water—Water which has been previously used for industrial, municipal, domestic or other purpose, and has not been returned to a surface water or groundwater source. Water user—

(i) An individual, partnership, association, company, corporation, municipality, municipal authority, political subdivision or an agency of Federal, State, county or municipal government.

The provisions of this § 119.1 adopted April 26, 1985, effective April 26, 1985, 15 Pa.B. 1737; suspended November 29, 1985, effective November 1, 1985, 15 Pa.B. 4278; amended August 9, 1991, effective August 10, 1991, 21 Pa.B. 3495; amended July 6, 2001, effective July 7, 2001, 31 Pa.B. 3529. Immediately preceding text appears at serial pages (229893) to (229894).

History

Authority: The provisions of this Chapter 119 issued under the Emergency Management Services Code, 35 Pa.C.S. § § 7101—7707; amended under the Emergency Management Services Code, 35 Pa.C.S. 7313, unless otherwise noted.
Source: The provisions of this § 119.8 adopted April 26, 1985, effective April 26, 1985, 15 Pa.B. 1737; suspended November 29, 1985, effective November 1, 1985, 15 Pa.B. 4278; reserved August 9, 1991, effective August 10, 1991, 21 Pa.B. 3495. Immediately preceding text appears at serial page (98716).

4 Pa. Code § 119.2 Purpose.

This chapter restricts nonessential water uses in response to a state of drought and water shortage emergency that has been declared by the Governor within specified areas of this Commonwealth to conserve water, to balance demand with limited available supplies and to assure that sufficient water is available to serve essential health, safety and economic needs.

The provisions of this § 119.2 adopted April 26, 1985, effective April 26, 1985, 15 Pa.B. 1737; suspended November 29, 1985, effective November 1, 1985, 15 Pa.B. 4278; amended August 9, 1991, effective August 10, 1991, 21 Pa.B. 3495. Immediately preceding text appears at serial page (103074).

History

Authority: The provisions of this Chapter 119 issued under the Emergency Management Services Code, 35 Pa.C.S. § § 7101—7707; amended under the Emergency Management Services Code, 35 Pa.C.S. 7313, unless otherwise noted.
Source: The provisions of this § 119.8 adopted April 26, 1985, effective April 26, 1985, 15 Pa.B. 1737; suspended November 29, 1985, effective November 1, 1985, 15 Pa.B. 4278; reserved August 9, 1991, effective August 10, 1991, 21 Pa.B. 3495. Immediately preceding text appears at serial page (98716).

4 Pa. Code § 119.3 Scope.

This chapter applies to all water uses within this Commonwealth.

The provisions of this § 119.3 adopted April 26, 1985, effective April 26, 1985, 15 Pa.B. 1737; suspended November 29, 1985, effective November 1, 1985, 15 Pa.B. 4278; amended August 9, 1991, effective August 10, 1991, 21 Pa.B. 3495; amended July 6, 2001, effective July 7, 2001, 31 Pa.B. 3529. Immediately preceding text appears at serial page (229895).

History

Authority: The provisions of this Chapter 119 issued under the Emergency Management Services Code, 35 Pa.C.S. § § 7101—7707; amended under the Emergency Management Services Code, 35 Pa.C.S. 7313, unless otherwise noted.
Source: The provisions of this § 119.8 adopted April 26, 1985, effective April 26, 1985, 15 Pa.B. 1737; suspended November 29, 1985, effective November 1, 1985, 15 Pa.B. 4278; reserved August 9, 1991, effective August 10, 1991, 21 Pa.B. 3495. Immediately preceding text appears at serial page (98716).

4 Pa. Code § 119.4 Prohibition of nonessential water uses.

Whenever the Governor declares by proclamation or executive order a state of drought or water shortage emergency in an area of this Commonwealth, the following water uses shall be deemed nonessential and are prohibited within areas that have been declared to be in a state of drought or water shortage emergency, including within any public water supply agency’s service area for which a source of water is located within the designated drought emergency area. Nothing in paragraphs (1)—(4) allows a prohibited use of water as either a direct or indirect effect of the exceptions contained therein.

(1) The use of any water for watering of grass, except:

(i) Water may be applied to grass areas approved prior to or during the emergency as part of a sewage or storm water treatment system utilizing spray irrigation which system was approved in a permit issued by the Department prior to the drought emergency proclamation.

(ii) Water may be used to establish and maintain newly seeded and sodded grass areas when applied between the hours of 5 p.m. and 9 a.m. by means of a bucket, can or hand held hose equipped with an automatic shut-off nozzle, or when applied between the hours of 7 p.m. and 11 p.m. by any other means designed and operated to ensure effective conservation.

(iii) Water may be applied by a professional landscaper to establish and maintain newly seeded and sodded grass areas during working hours by any means designed and operated to ensure effective conservation.

(iv) Water may be used by professional landscapers or irrigation contractors for the purpose of testing newly installed or repaired irrigation equipment for a period not to exceed 15 minutes per irrigation zone.

(v) Water may be applied for the purpose of grub control one time during the effective period of the Governor’s proclamation of drought emergency.

(vi) Water may be used, in a manner that ensures effective conservation, to implement revegetation following earthmoving, where revegetation is required under an erosion and sedimentation control plan adopted under state law or regulation. Revegetation use shall comply with applicable best conservation management practices for revegetation prescribed by the Department and county conservation districts.

(2) The use of any water for watering athletic fields, except:

(i) Water may be applied to athletic field grass areas approved prior to or during the emergency as part of a sewage or stormwater treatment system utilizing spray irrigation, which system was approved in a permit issued by the Department prior to the drought emergency proclamation.

(ii) Water may be applied to maintain grass tennis courts, by means of a bucket, can or hand-held hose equipped with an automatic shutoff nozzle or by means of an irrigation system that is designed and operated to restrict the timing or total volume of water, when applied between the hours of 5 p.m. and 9 a.m. in a manner that ensures effective conservation.

(iii) Water may be applied to athletic field grass areas, other than sand-based athletic field grass areas, by a means and in a manner that ensures effective conservation, between 5 p.m. and 9 a.m. during 1 night per calendar week, beginning 2 weeks prior to use of the athletic field for practice, regular season play or other organized use and continuing through the end of the same practice or regular season or other organized use, in accordance with a schedule that has been submitted, at least 7 days prior to implementation, to the Commonwealth Drought Coordinator, the local law enforcement agency and, if applicable, to the public water supply agency from which the water is obtained.

(iv) Water may be applied to sand-based athletic field grass areas in accordance with a plan approved by the Commonwealth Drought Coordinator. Approval of the plan shall be in accordance with the following:

(A) The quantities of water applied shall be measured by means of a volumetric meter, and reports of weekly total water use shall be submitted electronically to the Commonwealth Drought Coordinator on a monthly basis during the emergency, in a form acceptable to the Commonwealth Drought Coordinator.

(B) Water may be applied at an average daily rate that does not exceed 54,300 gallons per acre per week.

(D) All meters and meter records shall be made available by the athletic field operator for inspection by representatives of the local law enforcement agency or of the Commonwealth Drought Coordinator, at all times.

(E) A copy of the approved plan shall be submitted to the local law enforcement agency and, if applicable, to the public water supply agency from which the water is obtained, prior to implementation.

(F) Noncompliance by the water user with any term or condition of the approved plan shall cause the plan to be void, and any further use of water under this exception shall be prohibited.

(v) Water may be applied to establish and maintain newly seeded or sodded grass areas by means and in a manner that ensures effective conservation.

(vi) Water may be applied to athletic field nongrass areas to control dust during an athletic event, by means and in a manner that ensures effective conservation, if dust control is necessary to protect health or safety.

(vii) Water may be used by professional landscapers or irrigation contractors for the purpose of testing newly installed or repaired irrigation equipment for a period not to exceed 15 minutes per irrigation zone.

(3) The use of fresh water for irrigation and watering of outdoor gardens, landscaped areas, trees, shrubs and other outdoor plants except that fresh water may be:

(i) Used for irrigation for the production of food and fiber, and the maintenance of livestock and poultry.

(ii) Applied by means of a bucket, can, hand-held hose equipped with an automatic shut-off nozzle, or an irrigation system that is designed and operated to restrict the timing or total volume of water and to restrict the application to specific plantings and that ensures effective conservation, when applied between the hours of 5 p.m. and 9 a.m. Sources of water, other than fresh water, shall be used to the extent available.

(iii) Used by nurseries to maintain stock, by a means that ensures effective conservation, only to the extent that sources of water other than fresh water adequate to supply needs are not available or feasible to use.

(iv) Used by public gardens of National, State or regional significance, or arboretums to preserve specimens, by a means that ensures effective conservation, only to the extent that sources of water other than fresh water adequate to supply needs are not available or feasible to use.

(v) Used by a professional landscaper or irrigation contractor during working hours, by a means that ensures effective conservation.

(vi) Used, in a manner that ensures effective conservation, to implement revegetation following earthmoving, where revegetation is required under an approved erosion and sedimentation control plan adopted under state law or regulation, to the extent that sources of water, other than fresh water, adequate to supply needs are not available or feasible to use. Revegetation use shall comply with applicable best conservation management practices for revegetation prescribed by the Department and county conservation districts.

(4) The use of any water for watering any portion of golf courses, except water may be applied to greens, tees and fairways in accordance with a plan submitted by the golf course operator and approved by the Commonwealth Drought Coordinator no earlier than 3 years prior to the month of use during an emergency. Approval of the plan shall be in accordance with the following:

(i) The quantities of water applied shall be measured by means of a volumetric meter, and reports of daily total water use shall be submitted electronically to the Commonwealth Drought Coordinator on a monthly basis during the emergency, in a form acceptable to the Commonwealth Drought Coordinator.

(ii) Water may be applied at an average daily rate that does not exceed 70% of the calendar month basis quantity. The basis quantity shall be determined for each calendar month, as follows:

(A) Metered water use for the same calendar month, for each of the 5 years previous to submittal of the plan to the Commonwealth Drought Coordinator, shall be averaged, after deducting all water that was used for purposes other than irrigation of greens, tees and fairways.

(B) To the extent that metered data is not available for any year prior to July 7, 2002, or the date of installation of the current irrigation system, whichever is later, an application rate of 41,000 gallons per week per acre of greens, tees and fairways currently irrigated may be used in lieu of metered data.

(C) The basis quantity may not be less than 30,000 gallons per week per acre nor more than 54,000 gallons per week per acre.

(iii) Except as provided in subparagraphs (vi) and (vii), water shall be applied between the hours of 5 p.m. and 10 a.m.

(iv) Meters and meter records shall be made available by the golf course operator for inspection by representatives of the local law enforcement agency or of the Commonwealth Drought Coordinator, at all times.

(v) A copy of the approved plan shall be submitted to the local law enforcement agency and, if applicable, to the public water supply agency from which the water is obtained, prior to implementation.

(vi) Water may be applied between the hours of 10 a.m. and 5 p.m. with a hand-held hose equipped with an automatic shutoff nozzle, to syringe heat-sensitive grasses on tees, greens and fairways, in a manner that ensures effective conservation and so that water is applied to no grass area for a period exceeding 15 minutes in any 1 day.

(vii) Water may be used by professional landscapers or irrigation contractors during regular work hours for the purpose of testing newly installed or repaired irrigation equipment for a period not to exceed 15 minutes per irrigation zone.

(viii) Noncompliance by the water user with any term or condition of the approved plan shall cause the plan to be void, and any further use of water under this exception shall be prohibited.

(5) The use of any water for washing paved surfaces, except water may be used:

(i) For prewashing in preparation for recoating and sealing.

(ii) At the minimum rate necessary for the maintenance of tennis courts composed of clay or similar materials, by means of a bucket, can or hand-held hose equipped with an automatic shutoff nozzle.

(iii) At the minimum rate necessary for sanitation of the premises of raw or processed food, pharmaceutical or vaccine processing, storage or vending establishments, including restaurants and grocery stores.

(iv) At the minimum rate necessary for the sanitation of the premises of waste handling, storage and disposal facilities.

(v) At the minimum rate necessary to comply with permit conditions or other regulatory requirements.

(6) The use of any water for ornamental purposes, including fountains, artificial waterfalls and reflecting pools, except:

(i) Fountains or waterfalls may be operated to perform the primary and necessary aeration function for a pond that supports fish life.

(ii) Water may be used to top off ornamental water gardens or fish ponds to the minimum extent necessary to maintain fish and aquatic life.

(7) The use of any water for washing or cleaning of mobile equipment except that:

(i) An individual may wash personally owned or leased vehicles by buckets and may use a hand-held hose equipped with an automatic shutoff nozzle to prerinse and rinse (total spray period not to exceed 2 minutes), in accordance with the following schedule:

(A) Odd street addresses on first and third Saturdays of the month.

(B) Even or no street addresses on the second and fourth Saturdays of the month.

(ii) Water may be used by commercial car washes at the minimum rate necessary to ensure an effective wash.

(iii) Water may be used for cleaning of construction, emergency, public transportation or government vehicles if necessary to preserve the proper functioning and safe operation of the vehicle.

(iv) Water may be used for cleaning and sanitizing equipment used for hauling or vending raw or processed food, pharmaceuticals or vaccines for human or livestock use, or for handling waste products.

(v) Water may be used for the cleaning of new and used cars which are part of a dealer’s sales inventory in accordance with the following restrictions:

(A) A vehicle may be washed in preparation for sale at the time the vehicle is received from the manufacturer or prior owner.

(B) A vehicle shall be washed no more than once every 7 days, to be determined as follows:

(I) Odd street addresses on Tuesdays.

(II) Even or no street addresses on Wednesdays.

(D) A vehicle may be washed only by a means designed and operated to assure effective conservation of water or in accordance with the procedures, excluding schedule, described in subparagraph (i).

(vi) Water may be used by professional mobile wash businesses, at the minimum rate necessary, for the washing of vehicles as part of normal business practices.

(vii) A nonprofit service organization or club may wash vehicles in conjunction with a fundraising activity in accordance with the procedures described in subparagraph (i), without restriction as to schedule.

(8) The serving of water in restaurants, clubs or eating places, unless specifically requested by the individual.

(9) The use of any water to fill and top off swimming pools, except that water may be used to fill and top off:

(i) Public swimming pools and residential swimming pools serving 25 or more dwelling units, if the pools have filtration equipment allowing for continued use and recycling of water over the swimming season.

(ii) Swimming pools operated by health care facilities used in relation to patient care and rehabilitation.

(iii) Other pools only if approved by the public water supply agency from which the water is withdrawn. If water is obtained from other sources, permission from the owner of the source is required.

(10) The use of water from a fire hydrant—including sprinkler caps—for any purpose, except for the following permissible uses:

(i) Firefighting.

(ii) Testing of fire fighting apparatus or conducting water flow tests for fire insurance classification or reclassification, if approved by the public water supply agency from which the water is obtained.

(iii) Flushing sewers, water mains or hydrants when needed to protect public health and safety, if approved by the public water supply agency from which the water is obtained.

(iv) The watering of urban gardens in the city of Philadelphia after obtaining a Water Department and Licenses and Inspection permit.

(v) The filling of tank trucks at designated facilities with the approval of the public water supply agency from which the water is obtained, or if the city of Philadelphia, after obtaining a Water Department and Licenses and Inspection permit.

(vi) Recreational use of sprinkler caps in the city of Philadelphia, under the recreational fire hydrant program at authorized locations and at times supervised by the city police, fire, recreation and park facilities.

(11) The use of any water that is not for a beneficial use.

The provisions of this § 119.4 adopted April 26, 1985, effective April 26, 1985, 15 Pa.B. 1737; amended May 17, 1985, effective May 10, 1985, 15 Pa.B. 1825; suspended November 29, 1985, effective November 1, 1985, 15 Pa.B. 4278; amended August 9, 1991, effective August 10, 1991, 21 Pa.B. 3495; amended July 6, 2001, effective July 7, 2001, 31 Pa.B. 3529. Immediately preceding text appears at serial pages (229895) to (229898).

History

Authority: The provisions of this Chapter 119 issued under the Emergency Management Services Code, 35 Pa.C.S. § § 7101—7707; amended under the Emergency Management Services Code, 35 Pa.C.S. 7313, unless otherwise noted.
Source: The provisions of this § 119.8 adopted April 26, 1985, effective April 26, 1985, 15 Pa.B. 1737; suspended November 29, 1985, effective November 1, 1985, 15 Pa.B. 4278; reserved August 9, 1991, effective August 10, 1991, 21 Pa.B. 3495. Immediately preceding text appears at serial page (98716).

4 Pa. Code § 119.5 Penalties and enforcement.

A water user who violates this chapter, fails to implement the duties and responsibilities imposed by this chapter or impedes or interferes with actions undertaken or ordered under this chapter, shall be subject to the penalties provided under 35 Pa.C.S. § 7707 (relating to penalties). Violation of a provision of this chapter is a summary offense enforceable by proper law enforcement authorities or private citizens under Pa.R.Crim.P. Nos. 400—462 and 1000—1013 (relating to procedures in summary cases; and rules of criminal procedure for the Philadelphia Municipal Court). In the city of Philadelphia, this chapter shall be enforced by the Departments of Water, Police, and Licenses and Inspection.

The provisions of this § 119.5 adopted April 26, 1985, effective April 26, 1985, 15 Pa.B. 1737; suspended November 29, 1985, effective November 1, 1985, 15 Pa.B. 4278; amended August 9, 1991, effective August 10, 1991, 21 Pa.B. 3495; amended July 6, 2001, effective July 7, 2001, 31 Pa.B. 3529. Immediately preceding text appears at serial page (229898).

History

Authority: The provisions of this Chapter 119 issued under the Emergency Management Services Code, 35 Pa.C.S. § § 7101—7707; amended under the Emergency Management Services Code, 35 Pa.C.S. 7313, unless otherwise noted.
Source: The provisions of this § 119.8 adopted April 26, 1985, effective April 26, 1985, 15 Pa.B. 1737; suspended November 29, 1985, effective November 1, 1985, 15 Pa.B. 4278; reserved August 9, 1991, effective August 10, 1991, 21 Pa.B. 3495. Immediately preceding text appears at serial page (98716).

4 Pa. Code § 119.6 Procedure for exemptions or variance from the prohibition of the nonessential uses of water.

(a) If compliance with the prohibition of nonessential use of water would result in extraordinary hardship upon a water user, the water user may apply for an exemption or variance, which would expire with the termination of the drought emergency proclamantion, unless otherwise specified in the exemption or variance.

(b) If a public water supply agency can demonstrate that compliance with the prohibition of nonessential use of water is unnecessary due to adequate water supply and it is following a drought contingency plan approved by the Commonwealth Drought Coordinator in accordance with § 118.4 (relating to contingency plans—public water supply agencies), the public water supply agency may apply for an exemption throughout all or portions of its service area. In reviewing the applications, the Commonwealth Drought Coordinator shall give primary consideration to any impacts that approval of the application may have on the overall resources of the watershed or river basin and on the ability of law enforcement agencies locally or throughout the designated drought emergency area to enforce these or other emergency regulations. This consideration alone maybe cause for denial.

(c) For purposes of this section, extraordinary hardship means a permanent damage to property, including perishable raw or processed product, or other personal or economic loss which is substantially more severe than the sacrifices borne by other water users subject to the prohibition of nonessential use of water.

(d) A water user or public water supply agency may apply for an exemption or variance under the following procedures:

(1) The water user or public water supply agency shall submit a written application with full documentation supporting the need for the requested relief to:

Commonwealth Drought Coordinator c/o Department of Environmental Protection Post Office Box 8555 Harrisburg, Pennsylvania 17105-8555

(2) The application from a water user shall contain information specifying:

(i) The nature of the hardship claimed and the reason for the requested exemption or variance.

(ii) The efforts taken by the water user to conserve water and the extent to which water use may be reduced by the applicant without extraordinary hardship.

(3) The application from a public water supply agency shall contain information specifying:

(i) The nature of the hardship claimed and the reason for the requested exemption or variance.

(ii) The adequacy of the supply.

(iii) Evidence of compliance with an approved drought contingency plan.

(4) The Commonwealth Drought Coordinator or a designee will review the application in consultation with other appropriate Commonwealth agencies, and may request the applicant to provide within a reasonable time additional information as necessary to review the application.

(5) The Commonwealth Drought Coordinator, or a designee, is authorized to render a decision regarding applications received for exemption or variance. The Commonwealth Drought Coordinator or a designee will provide the applicant notice in writing of the decision and the reasons for the decision. When possible, the Commonwealth Drought Coordinator or a designee will provide a written decision within 7 working days, or if perishable products are involved, within 1 working day, of submission of an application or will request additional information as necessary to review the application. When appropriate, the Commonwealth Drought Coordinator may issue a Statewide exemption or variance to similarly situated water users. A notice of the decision will be published in the Pennsylvania Bulletin. Unless appealed under this section, the decision of the Commonwealth Drought Coordinator or a designee shall be considered a final action on the application.

(6) A person aggrieved by a decision of the Commonwealth Drought Coordinator or a designee may, within 30 days of written notice of the decision or publication of notice of the decision in the Pennsylvania Bulletin, appeal the decision to PEMA.

(7) An appeal from an initial decision of the Commonwealth Drought Coordinator or a designee will not act as an automatic supersedeas, but, upon cause shown and when the circumstances require it, PEMA will have the power to grant a supersedeas.

(8) When an initial decision is appealed, PEMA will provide the applicant with an opportunity for a hearing not later than 7 business days after PEMA has received the appeal request. PEMA may appoint a hearing examiner, who may be an administrative law judge of the Pennsylvania Public Utility Commission. Hearings may be held telephonically.

(9) The hearing examiner will provide the record of the hearing, if any, and a recommendation to PEMA for review and adoption.

(10) PEMA will notify the applicant in writing of its final decision and the reasons for the decision regarding the appeal within 2 business days after PEMA has received a written recommendation from the hearing examiner.

(e) An exemption or variance will only be granted to an applicant to the extent necessary to relieve extraordinary hardship and will be conditioned upon compliance with all reasonable conservation measures required by this chapter or the variance or exemption.

(f) An exemption or variance may be modified or rescinded by the Commonwealth Drought Coordinator if public health, safety and welfare require further reduction in water use.

(g) An exemption or variance granted to a water user for a specific property, purpose or person is not transferable to another property, purpose or water user without prior written approval from the Commonwealth Drought Coordinator.

The provisions of this § 119.6 adopted April 26, 1985, effective April 26, 1985, 15 Pa.B. 1737; amended May 17, 1985, effective May 10, 1985, 15 Pa.B. 1825; suspended November 29, 1985, effective November 1, 1985, 15 Pa.B. 4278; amended August 9, 1991, effective August 10, 1991, 21 Pa.B. 3495; amended July 6, 2001, effective July 7, 2001, 31 Pa.B. 3529. Immediately preceding text appears at serial pages (229898) to (229900).

History

Authority: The provisions of this Chapter 119 issued under the Emergency Management Services Code, 35 Pa.C.S. § § 7101—7707; amended under the Emergency Management Services Code, 35 Pa.C.S. 7313, unless otherwise noted.
Source: The provisions of this § 119.8 adopted April 26, 1985, effective April 26, 1985, 15 Pa.B. 1737; suspended November 29, 1985, effective November 1, 1985, 15 Pa.B. 4278; reserved August 9, 1991, effective August 10, 1991, 21 Pa.B. 3495. Immediately preceding text appears at serial page (98716).

Chapter 120 Local Water Rationing Plans

4 Pa. Code § 120.1 Definitions.

The following words and terms, when used in this chapter, have the following meanings, unless the context clearly indicates otherwise: Applicant—The governing body of a political subdivision or a public water supply agency which experiences a local water shortage in the service area covered by its plan. Commonwealth Drought Coordinator—An officer of the Department appointed by the Secretary of the Department, to carry out responsibilities established in the Pennsylvania Drought Contingency Plan to coordinate Commonwealth planning, preparedness and response action to a drought or water shortage emergency. Department—The Department of Environmental Protection. Designated drought emergency area—The area of this Commonwealth described in the Governor’s proclamation or executive order declaring a state of drought or water shortage emergency. Emergency service area—The service area covered by a plan. Nonresidential water customer—A water customer who is not a residential water customer. The term includes commercial, industrial, institutional and public users, including educational facilities, hotels, motels and restaurants. The term does not include hospitals or health care facilities. PEMA—The Pennsylvania Emergency Management Agency. Person—

(i) An individual, partnership, association, company, corporation, municipality, municipal authority, political subdivision or an agency of Federal or State governments.

(ii) The term includes the officers, employees and agents of a partnership, association, company, corporation, municipality, municipal authority, political subdivision or an agency of Federal or State government. Plan—local water rationing plan—A drought response plan for the equitable allocation of limited water supplies, submitted by a public water supply agency or the governing body of a political subdivision and approved by the Commonwealth Drought Coordinator. Political subdivision—A county, city, borough, incorporated town or township. Public water supply agency—A ’’community water system’’ as that term is defined in section 3 of the Pennsylvania Safe Drinking Water Act (35 P. S. § 721.3). Residential water customer—A water customer who receives water service for a single or multifamily dwelling unit. The term does not include educational institutions, hotels, motels or similar commercial establishments. Service area—The geographical area serviced by a public water supply agency. Service interruption—The temporary suspension of water supply or reduction of water pressure below that required for adequate supply to a water customer or to a water supply system or portion thereof. Water allotment—The maximum quantity of water allowed for each water customer over an applicable period as established by a plan. Water customer—A person who is connected to and receives water service from a public water supply agency. The term includes both residential and nonresidential water customers as defined in this section. Water rationing provisions—Provisions of a plan which require specific reductions in the amount of water used by water consumers, either on the basis of a percentage reduction or gallonage allotment. The term does not include prohibitions or restrictions of nonessential uses.

The provisions of this § 120.1 adopted May 29, 1981, effective May 30, 1981, 11 Pa.B. 1894; amended July 24, 1991, effective July 30, 1991, 21 Pa.B. 3495; amended July 6, 2001, effective July 7, 2001, 31 Pa.B. 3534. Immediately preceding text appears at serial pages (229905) to (229906).

History

Authority: The provisions of this Chapter 120 issued under the Emergency Management Services Code, 35 Pa.C.S. § § 7101—7707; amended under the Emergency Management Services Code, 35 Pa.C.S. § 7313, unless otherwise noted.
Source: The provisions of this § 120.15 adopted July 24, 1991, effective July 30, 1991, 21 Pa.B. 3495; amended July 6, 2001, effective July 7, 2001, 31 Pa.B. 3534. Immediately preceding text appears at serial page (229917).

4 Pa. Code § 120.2 Purpose.

This chapter establishes procedures for the Commonwealth Drought Coordinator to review and approve plans by public water supply agencies or political subdivisions in response to a state of drought or water shortage emergency that has been declared by the Governor within specified areas of this Commonwealth.

The provisions of this § 120.2 adopted May 29, 1981, effective May 30, 1981, 11 Pa.B. 1894; amended July 24, 1991, effective July 30, 1991, 21 Pa.B. 3495; amended July 6, 2001, effective July 7, 2001, 31 Pa.B. 3534. Immediately preceding text appears at serial page (229907).

History

Authority: The provisions of this Chapter 120 issued under the Emergency Management Services Code, 35 Pa.C.S. § § 7101—7707; amended under the Emergency Management Services Code, 35 Pa.C.S. § 7313, unless otherwise noted.
Source: The provisions of this § 120.15 adopted July 24, 1991, effective July 30, 1991, 21 Pa.B. 3495; amended July 6, 2001, effective July 7, 2001, 31 Pa.B. 3534. Immediately preceding text appears at serial page (229917).

4 Pa. Code § 120.3 Objective of a plan.

The objective of a plan is to balance the daily demands placed upon a public water supply agency with the requirement to maintain a sufficient water supply to meet the long term needs that may be placed upon the public water supply agency during a period of water shortage or drought emergency. In particular, the water conservation measures of a plan are intended to:

(1) Avoid the depletion of a water supply to ensure that adequate water supplies are available to protect the health and safety of all water customers.

(2) Provide for the equitable distribution of water during the emergency.

The provisions of this § 120.3 adopted May 29, 1981, effective May 30, 1981, 11 Pa.B. 1894; amended July 24, 1991, effective July 30, 1991, 21 Pa.B. 3495; amended July 6, 2001, effective July 7, 2001, 31 Pa.B. 3534. Immediately preceding text appears at serial page (229907).

History

Authority: The provisions of this Chapter 120 issued under the Emergency Management Services Code, 35 Pa.C.S. § § 7101—7707; amended under the Emergency Management Services Code, 35 Pa.C.S. § 7313, unless otherwise noted.
Source: The provisions of this § 120.15 adopted July 24, 1991, effective July 30, 1991, 21 Pa.B. 3495; amended July 6, 2001, effective July 7, 2001, 31 Pa.B. 3534. Immediately preceding text appears at serial page (229917).

4 Pa. Code § 120.4 Responsibility to monitor local water supply and implement water conservation measures.

(a) Each public water supply agency or governing body of each political subdivision which has a source of water or a service area within an area affected by drought conditions or a local water shortage shall monitor the level of its water supply and estimate the availability of future water supply sources, the rate of present and anticipated water usage and the effectiveness of water conservation measures being implemented by them.

(b) Each public water supply agency or governing body of each political subdivision which has a source of water or a service area within an area affected by drought conditions or a local water shortage shall take prompt action to implement water conservation measures. These measures may include:

(1) Asking water customers to voluntarily conserve water.

(2) Implementing the development or activation of alternate sources of supplies.

(3) Implementing specific bans on nonessential uses of water.

(4) Implementing a plan as provided in § § 120.5 and 120.6 (relating to implementation of plans; and implementation of further water usage reductions).

The provisions of this § 120.4 adopted May 29, 1981, effective May 30, 1981, 11 Pa.B. 1894; amended July 24, 1991, effective July 30, 1991, 21 Pa.B. 3495; amended July 6, 2001, effective July 7, 2001, 31 Pa.B. 3534. Immediately preceding text appears at serial pages (229907) to (229908).

History

Authority: The provisions of this Chapter 120 issued under the Emergency Management Services Code, 35 Pa.C.S. § § 7101—7707; amended under the Emergency Management Services Code, 35 Pa.C.S. § 7313, unless otherwise noted.
Source: The provisions of this § 120.15 adopted July 24, 1991, effective July 30, 1991, 21 Pa.B. 3495; amended July 6, 2001, effective July 7, 2001, 31 Pa.B. 3534. Immediately preceding text appears at serial page (229917).

4 Pa. Code § 120.5 Implementation of plans.

(a) Plan.

(1) Each public water supply agency or governing body of a political subdivision is authorized to develop a plan. A plan shall contain provisions to:

(i) Prohibit nonessential water use, if the restrictions do not conflict with Chapter 119 (relating to prohibition of nonessential water uses in a Commonwealth drought emergency area).

(ii) Establish equitable water rationing provisions for residential, nonresidential and other water users together with appropriate implementing procedures.

(iii) Provide for granting of variances or exemptions to the provisions of a plan to address extraordinary hardships which may exist as a result of a plan.

(2) “Guidelines for the Development of a Local Water Rationing Plan” and a “Model Local Water Rationing Plan” may be obtained from the Department. Public water supply agencies may contact the Department’s Bureau of Watershed Management, Post Office Box 8555, Harrisburg, Pennsylvania 17105-8555, (717) 772-4048, for assistance in developing a system-specific plan.

(b) Review and approval by Commonwealth Drought Coordinator. The Commonwealth Drought Coordinator will review local water rationing plans submitted for review and approval in accordance with the following procedures:

(1) The public water supply agency or governing body of the affected political subdivision shall apply in writing to the Commonwealth Drought Coordinator for approval of its plan. The written request for approval shall include the following elements:

(i) A plan as approved by the public water supply agency or governing body of the affected political subdivision.

(ii) A statement describing the existence and severity of the water shortage.

(iii) An express request for approval of the plan by the Commonwealth Drought Coordinator.

(iv) The signature of an authorized representative of the public water supply agency or governing body of the affected political subdivision.

(2) If the plan includes a service area which is not included in a currently effective Governor’s proclamation, the following procedures will be followed:

(i) The Commonwealth Drought Coordinator will determine whether or not the request, together with other available information, establishes the existence of a water shortage emergency that will require the Governor to issue a proclamation declaring a state of local drought or water shortage emergency for the affected area, and will make a recommendation to PEMA.

(ii) If PEMA concurs in the existence of a local water shortage emergency, PEMA will submit to the Governor a proposed proclamation to declare a state of local drought or water shortage emergency for the affected area described in the proclamation.

(iii) After the Governor signs the proclamation, PEMA will notify the Commonwealth Drought Coordinator that the plan may be approved and put into effect.

(3) Any plan that covers emergency service areas already included in a currently effective Governor’s proclamation will go into effect upon its approval by the Commonwealth Drought Coordinator.

(1) After the Governor has issued a proclamation declaring a state of local drought or water shortage emergency for an area of this Commonwealth, the Commonwealth Drought Coordinator may direct a public water supply agency or governing body of a political subdivision that is located within or has a source of water within the designated drought emergency area to prepare and submit a plan to the Commonwealth Drought Coordinator for review and approval.

(2) The public water supply agency or governing body of a political subdivision shall submit its plan to the Commonwealth Drought Coordinator, in accordance with the procedures described in subsection (b), within 10 calendar days after receiving written notification from the Commonwealth Drought Coordinator that the adoption and implementation of a plan by that public water supply agency or political subdivision is necessary to deal with the circumstances of the drought or water shortage emergency.

(d) Approval of a plan. Upon approval by the Commonwealth Drought Coordinator of a plan submitted under subsection (b) or (c), the Commonwealth Drought Coordinator will:

(1) Require the applicant to issue a notice to at least one newspaper of general circulation in the area covered by the plan, which will advise residential and nonresidential water customers or other persons doing business in the emergency service area of the approval of the plan and its effective date and where the public can review or obtain a copy of the plan.

(2) Transmit to the Legislative Reference Bureau for publication in the Pennsylvania Bulletin, a written notice which states the approval of the plan by the Commonwealth Drought Coordinator and its effective date.

(3) Require the applicant to post a copy of the plan in at least one public building; for example, a library, or a city, town or municipal building within the emergency service area for the review of the water customers affected by the implementation of the plan.

(4) Require the applicant to make copies of the plan available to the water customers affected by the implementation of the plan, upon request, either electronically or in hard copy.

(e) Constructive notice. The actions described in subsection (d) constitute constructive notice under 45 Pa.C.S. § 904 (relating to constructive notice) to all residential and nonresidential water customers or other persons doing business within the emergency service area for the purpose of enforcing the plan adopted and approved by the Commonwealth Drought Coordinator.

The provisions of this § 120.5 adopted May 29, 1981, effective May 30, 1981, 11 Pa.B. 1894; amended July 24, 1991, effective July 30, 1991, 21 Pa.B. 3495; amended July 6, 2001, effective July 7, 2001, 31 Pa.B. 3534. Immediately preceding text appears at serial pages (229908) to (229910).

This section cited in 4 Pa. Code § 120.4 (relating to responsibility to monitor local water supply and implement water conservation measures); 4 Pa. Code § 120.6 (relating to implementation of further water usage reductions); and 4 Pa. Code § 120.11 (relating to enforcement by political subdivision ordinance).

History

Authority: The provisions of this Chapter 120 issued under the Emergency Management Services Code, 35 Pa.C.S. § § 7101—7707; amended under the Emergency Management Services Code, 35 Pa.C.S. § 7313, unless otherwise noted.
Source: The provisions of this § 120.15 adopted July 24, 1991, effective July 30, 1991, 21 Pa.B. 3495; amended July 6, 2001, effective July 7, 2001, 31 Pa.B. 3534. Immediately preceding text appears at serial page (229917).

4 Pa. Code § 120.6 Implementation of further water usage reductions.

(a) If a public water supply agency or governing body of an affected political subdivision determines that it is necessary to further decrease the water usage of its residential, nonresidential or other water customers, it may request the Commonwealth Drought Coordinator to consider and approve revisions or amendments, or both, to its plan in accordance with the procedure in § 120.5(b) (relating to implementation of plans).

(b) The Commonwealth Drought Coordinator may approve the requested revisions or amendments, or both, to the plan.

(c) Constructive notice of approved revisions or amendments, or both, to a plan will be provided in accordance with the notification procedures described in § 120.5(d).

The provisions of this § 120.6 adopted May 29, 1981, effective May 30, 1981, 11 Pa.B. 1894; amended July 24, 1991, effective July 30, 1991, 21 Pa.B. 3495; amended July 6, 2001, effective July 7, 2001, 31 Pa.B. 3534. Immediately preceding text appears at serial pages (229910) to (229911).

This section cited in 4 Pa. Code § 120.4 (relating to responsibility to monitor local water supply and implement water conservation measures).

History

Authority: The provisions of this Chapter 120 issued under the Emergency Management Services Code, 35 Pa.C.S. § § 7101—7707; amended under the Emergency Management Services Code, 35 Pa.C.S. § 7313, unless otherwise noted.
Source: The provisions of this § 120.15 adopted July 24, 1991, effective July 30, 1991, 21 Pa.B. 3495; amended July 6, 2001, effective July 7, 2001, 31 Pa.B. 3534. Immediately preceding text appears at serial page (229917).

4 Pa. Code § 120.7 Enforcement of plans.

(a) The public water supply agency or governing body of a political subdivision shall have primary responsibility for monitoring the compliance of residential, nonresidential and other water customers with its plan.

(b) The public water supply agency or governing body of a political subdivision shall institute procedures to monitor closely water supplies and current water usage to determine if water reductions are being attained consistent with the water conservation figures established in its plan. A public water supply agency or governing body of a political subdivision shall regularly advise the water customers of the effects of the water rationing program.

(c) Each public water supply agency or governing body of a political subdivision is authorized to alter meter reading schedules to assure compliance with its plan.

(d) Proper law enforcement authorities and private citizens have additional enforcement responsibilities and rights as specified in § 120.12 (relating to penalties).

(e) A political subdivision may enforce its plan by adopting an ordinance in accordance with § 120.11(a) and (b) (relating to enforcement by political subdivision ordinance).

The provisions of this § 120.7 adopted May 29, 1981, effective May 30, 1981, 11 Pa.B. 1894; amended July 24, 1991, effective July 30, 1991, 21 Pa.B. 3495; amended July 6, 2001, effective July 7, 2001, 31 Pa.B. 3534. Immediately preceding text appears at serial page (229911).

History

Authority: The provisions of this Chapter 120 issued under the Emergency Management Services Code, 35 Pa.C.S. § § 7101—7707; amended under the Emergency Management Services Code, 35 Pa.C.S. § 7313, unless otherwise noted.
Source: The provisions of this § 120.15 adopted July 24, 1991, effective July 30, 1991, 21 Pa.B. 3495; amended July 6, 2001, effective July 7, 2001, 31 Pa.B. 3534. Immediately preceding text appears at serial page (229917).

4 Pa. Code § 120.8 Service interruptions.

(a) A plan shall include provisions for the implementation of temporary service interruptions. This action would be necessary to achieve water use reductions to prevent a public water supply agency from depleting its water supply to the point that vital service demands, such as public health and safety, firefighting and health care facilities, cannot be met.

(b) The following governs the implementation of service interruptions:

(1) To effectuate compliance with a plan, the public water supply agency is authorized and required to plan and implement service interruptions to all or part of its water supply system, as the public water supply agency deems appropriate, when one or more of the following conditions are determined by the public water supply agency to exist as to its water supply system:

(i) The specified reduction in systemwide water usage has not been achieved.

(ii) The specified reduction in systemwide water usage has been achieved, but has failed to have a significant impact in extending limited water supplies.

(iii) Service interruption are necessary to further extend limited or dwindling water supplies.

(2) If the public water supply agency determines that service interruptions are necessary, the public water supply agency shall notify its water customers through the public media, such as newspapers, radio, telephone and television, serving the water customers in its service area at least 1 day prior to the service interruptions, that a planned service interruption is to be imposed. In addition, the public water supply agency shall notify the local coordinator of emergency management; PEMA; the Commonwealth Drought Coordinator; the regional office of the Department of Environmental Protection; and the Pennsylvania Public Utility Commission, Bureau of Fixed Utility Services, if the public water supply agency is subject to the jurisdiction of the Pennsylvania Public Utility Commission. The notice shall:

(i) State the days when the planned service interruptions will occur.

(ii) State the time when the planned service interruptions will commence and the time the interruptions will cease.

(iii) State whether the planned service interruptions are to be imposed on the entire system or a part thereof. If only part of the system will experience planned service interruptions, identify the geographical boundaries within which the planned service interruptions will occur.

(iv) Advise the customers within the area affected by planned service interruptions how to treat water received from the system for human consumption during the period of planned service interruptions and for additional time as necessary until full pressure is restored to the system.

(3) If the public water supply agency imposes planned service interruptions as authorized and required by a plan, it shall provide for the continued delivery of water to health care facilities within the service area affected by the interruptions, by means of adequate, alternative delivery measures that may be necessary.

(4) If the public water supply agency implements temporary service interruptions, it shall provide, by any means possible, for the continued delivery of the water, as may be necessary, for the proper operation of sewage collection, treatment and disposal systems and facilities.

The provisions of this § 120.8 adopted July 24, 1991, effective July 30, 1991, 21 Pa.B. 3495; amended July 6, 2001, effective July 7, 2001, 31 Pa.B. 3534. Immediately preceding text appears at serial pages (229911) to (229913).

History

Authority: The provisions of this Chapter 120 issued under the Emergency Management Services Code, 35 Pa.C.S. § § 7101—7707; amended under the Emergency Management Services Code, 35 Pa.C.S. § 7313, unless otherwise noted.
Source: The provisions of this § 120.15 adopted July 24, 1991, effective July 30, 1991, 21 Pa.B. 3495; amended July 6, 2001, effective July 7, 2001, 31 Pa.B. 3534. Immediately preceding text appears at serial page (229917).

4 Pa. Code § 120.9 Excess use charges.

(a) Excess use charges.

(1) Excess use charges are a positive means of securing compliance with a plan. If a public water supply agency elects to include excess use charges in a plan, the maximum excess use charge authorized to be imposed is as follows:

(2) Excess use charges may only be assessed against meter customers and shall be based upon actual meter readings.

(b) Water allotments. A residential or nonresidential water customer who exceeds the water allotments established by the plan shall be subject to an excess use charge. Public water supply agencies in the emergency service area are authorized to collect an excess-use charge based on the amount by which a water customer’s use exceeds the water allotment established in the plan. The charges will be specified in the plan.

(c) Disposition of excess use charges. Moneys collected by public water supply agencies through excess use charges may not be accounted for as income to the public water supply agency, but shall be placed in a reserve account. The disposition of funds placed in the reserve account shall be governed as follows:

(1) Funds collected by a public utility or a municipal corporation rendering services beyond its corporate limits shall be used to offset drought related costs as directed by orders and procedures adopted by the Pennsylvania Public Utility Commission.

(2) Funds collected by any public water supply agency not covered in paragraph (1) shall be used to offset drought-related costs.

(d) Additional penalties. In addition to the excess use charge, noncompliance with the plan may result in the following:

(1) For the first excess use, the public water supply agency will warn the water customer that its water use may be discontinued if the water customer continues its noncompliance practices.

(2) For the second excess use, the public water supply agency may interrupt or shut off service to the water customer for a period not to exceed 48 hours per incident. As an alternative, the public water supply agency may install a flow restriction in the water customer’s service line for the duration of the water shortage emergency. The cost incurred by the public water supply agency to interrupt or shut off and reinstate service, or to install and remove a flow restriction, shall be assessed to the water customer by the public water supply agency.

(e) Appeal of decision or action. A water customer aggrieved by a decision or action taken by a public water supply agency under the authority of this section may proceed in accordance with the following:

(1) Each public water supply agency shall adopt procedures which provide an opportunity for the water customer to rebut the finding of a violation or to present evidence of circumstances beyond the water customer’s control which resulted in the violation. Each public water supply agency shall keep a record of the evidence presented by the water customer concerning the disputed violations and shall provide the water customer with a written notice of its final decision and action in the case.

(2) A water customer aggrieved by the final decision or action of a water supply agency may file an appeal with the Pennsylvania Public Utility Commission, if the water supply agency is regulated by the Public Utility Commission, and in all other instances with the Court of Common Pleas in the county where the water service is provided, in accordance with 2 Pa.C.S. § § 551—555 and 751—754 (relating to the Local Agency Law).

The provisions of this § 120.9 adopted July 24, 1991, effective July 30, 1991, 21 Pa.B. 3495; amended July 6, 2001, effective July 7, 2001, 31 Pa.B. 3524. Immediately preceding text appears at serial pages (229913) to (229914).

This section cited in 4 Pa. Code § 118.4 (relating to contingency plans—public water supply agencies).

History

Authority: The provisions of this Chapter 120 issued under the Emergency Management Services Code, 35 Pa.C.S. § § 7101—7707; amended under the Emergency Management Services Code, 35 Pa.C.S. § 7313, unless otherwise noted.
Source: The provisions of this § 120.15 adopted July 24, 1991, effective July 30, 1991, 21 Pa.B. 3495; amended July 6, 2001, effective July 7, 2001, 31 Pa.B. 3534. Immediately preceding text appears at serial page (229917).

4 Pa. Code § 120.11 Enforcement by political subdivision ordinance.

(a) A political subdivision may adopt an ordinance to enforce the various provisions of a plan within the jurisdictional boundaries of the political subdivision, if the following actions precede the adoption of the ordinance:

(1) The plan has been submitted to the Commonwealth Drought Coordinator in accordance with § 120.5 (relating to implementation of plans).

(2) The Governor has issued a proclamation declaring a state of local drought and water shortage emergency for an area of the Commonwealth that includes the political subdivision.

(3) The Commonwealth Drought Coordinator has approved the plan and constructive notice of the plan as described in § 120.5(d) has been provided to residential and nonresidential water customers or other persons doing business within the emergency service area of the plan.

(b) After the actions in subsection (a) have occurred, a political subdivision may adopt and publish an ordinance in accordance with its applicable county, city, borough or township code. The purpose of the ordinance shall be to implement the plan within the jurisdictional boundaries of the political subdivision. The ordinance may include, adopt, incorporate or otherwise enact one or more sections, provisions or portions of the approved plan.

(c) Any person who violates a local water rationing/conservation ordinance adopted by a political subdivision, in accordance with the procedures specified in subsections (a) and (b), shall be subject to the fines and penalties that apply to violations of that ordinance as prescribed in the county, city, borough or township code under which the ordinance was adopted.

The provisions of this § 120.11 adopted July 24, 1991, effective July 30, 1991, 21 Pa.B. 3495; amended July 6, 2001, effective July 7, 2001, 31 Pa.B. 3534. Immediately preceding text appears at serial pages (229915) to (229916).

This section cited in 4 Pa. Code § 120.7 (relating to enforcement of plans).

History

Authority: The provisions of this Chapter 120 issued under the Emergency Management Services Code, 35 Pa.C.S. § § 7101—7707; amended under the Emergency Management Services Code, 35 Pa.C.S. § 7313, unless otherwise noted.
Source: The provisions of this § 120.15 adopted July 24, 1991, effective July 30, 1991, 21 Pa.B. 3495; amended July 6, 2001, effective July 7, 2001, 31 Pa.B. 3534. Immediately preceding text appears at serial page (229917).

4 Pa. Code § 120.12 Penalties.

A person who violates a provision of this chapter, who fails to carry out duties and responsibilities imposed by this chapter or who impedes or interferes with actions undertaken or ordered under this chapter is subject to the penalties provided under 35 Pa.C.S. § 7707 (relating to penalties). Violation of a provision of this chapter is a summary offense enforceable by law enforcement officers or private citizens in accordance with 234 Pa. Code Chapters 50 and 6000 (relating to procedure in summary cases; and rules of criminal procedure for the municipal court of Philadelphia).

The provisions of this § 120.12 adopted July 24, 1991, effective July 30, 1991, 21 Pa.B. 3495.

This section cited in 4 Pa. Code § 120.7 (relating to enforcement of plans).

History

Authority: The provisions of this Chapter 120 issued under the Emergency Management Services Code, 35 Pa.C.S. § § 7101—7707; amended under the Emergency Management Services Code, 35 Pa.C.S. § 7313, unless otherwise noted.
Source: The provisions of this § 120.15 adopted July 24, 1991, effective July 30, 1991, 21 Pa.B. 3495; amended July 6, 2001, effective July 7, 2001, 31 Pa.B. 3534. Immediately preceding text appears at serial page (229917).

4 Pa. Code § 120.13 Additional water conservation and protection policies.

Nothing in a plan or this chapter limits or affects the power or authority of a political subdivision to adopt or enforce ordinances, rules, restrictions and orders for water conservation and protection of essential supplies, provided that the ordinances, rules, restrictions and orders do not conflict this chapter and Chapters 118 and 119 (relating to reductions of major water use in a Commonwealth drought emergency area; and prohibition of nonessential water uses in a Commonwealth drought emergency area), and river basin commission orders or plans.

The provisions of this § 120.13 adopted July 24, 1991, effective July 30, 1991, 21 Pa.B. 3495; amended July 6, 2001, effective July 7, 2001, 31 Pa.B. 3524. Immediately preceding text appears at serial pages (229916) to (229917).

History

Authority: The provisions of this Chapter 120 issued under the Emergency Management Services Code, 35 Pa.C.S. § § 7101—7707; amended under the Emergency Management Services Code, 35 Pa.C.S. § 7313, unless otherwise noted.
Source: The provisions of this § 120.15 adopted July 24, 1991, effective July 30, 1991, 21 Pa.B. 3495; amended July 6, 2001, effective July 7, 2001, 31 Pa.B. 3534. Immediately preceding text appears at serial page (229917).

4 Pa. Code § 120.14 Repeal or amendment of a plan.

A plan may be amended or repealed only by action of the Commonwealth Drought Coordinator upon the written request of the public water supply agency or governing body of a political subdivision that developed and submitted the plan. A request for amendment or repeal of a plan shall document the conditions justifying the amendment or repeal, be signed by an authorized representative of the applicant and be submitted to the Commonwealth Drought Coordinator for approval.

The provisions of this § 120.14 adopted July 24, 1991, effective July 30, 1991, 21 Pa.B. 3495; amended July 6, 2001, effective July 7, 2001, 31 Pa.B. 3524. Immediately preceding text appears at serial page (229917).

This section cited in 4 Pa. Code § 120.15 (relating to notification of termination).

History

Authority: The provisions of this Chapter 120 issued under the Emergency Management Services Code, 35 Pa.C.S. § § 7101—7707; amended under the Emergency Management Services Code, 35 Pa.C.S. § 7313, unless otherwise noted.
Source: The provisions of this § 120.15 adopted July 24, 1991, effective July 30, 1991, 21 Pa.B. 3495; amended July 6, 2001, effective July 7, 2001, 31 Pa.B. 3534. Immediately preceding text appears at serial page (229917).

4 Pa. Code § 120.15 Notification of termination.

Upon approval of the repeal of a plan in accordance with § 120.14 (relating to repeal or amendment of a plan), the Commonwealth Drought Coordinator will require the applicant to issue a notice to at least one newspaper of general circulation in the area covered by the plan, which will advise residential and nonresidential water customers or other persons doing business in the emergency service area of the repeal of the plan and its effective date. The Commonwealth Drought Coordinator will also transmit to the Legislative Reference Bureau for publication in the Pennsylvania Bulletin, a written notice which states that the plan has been repealed by the Commonwealth Drought Coordinator and its effective date.

The provisions of this § 120.15 adopted July 24, 1991, effective July 30, 1991, 21 Pa.B. 3495; amended July 6, 2001, effective July 7, 2001, 31 Pa.B. 3534. Immediately preceding text appears at serial page (229917).

History

Authority: The provisions of this Chapter 120 issued under the Emergency Management Services Code, 35 Pa.C.S. § § 7101—7707; amended under the Emergency Management Services Code, 35 Pa.C.S. § 7313, unless otherwise noted.
Source: The provisions of this § 120.15 adopted July 24, 1991, effective July 30, 1991, 21 Pa.B. 3495; amended July 6, 2001, effective July 7, 2001, 31 Pa.B. 3534. Immediately preceding text appears at serial page (229917).

Part VII Bureau of Land Records

Subpart A Processing Applications for Patents

Chapter 131 General Provisions

4 Pa. Code § 131.1 Definitions.

The following words and terms, when used in this part, have the following meanings, unless the context clearly indicates otherwise: Board—The Board of Property of the Department of Community Affairs of the Commonwealth. Commission—The Pennsylvania Historical and Museum Commission. Patent—The documentary evidence of title issued by the Commonwealth for the conveyance of unappropriated lands.

4 Pa. Code § 131.2 Applications for patents.

(a) An application for patent shall be accompanied by the following:

(1) A bank or postal money order or certified check, payable to the Commonwealth of Pennsylvania, in the amount of $25, which shall be forfeited if the applicant abandons or does not pursue the application.

(2) A narrative word description, certified, of the area for which a patent is applied.

(3) A receipt of payment from a registered professional surveyor or engineer for his services.

(4) A preliminary survey, certified, of the area for which a patent is applied.

(b) The preliminary survey shall be drawn to a scale of 100 rods to 1 inch except that a scale of 20 rods to 1 inch may be used when enlargement of the tract is necessary. The survey shall show the warrantee adjoiners and the present adjoiners and include a directional line and a line designating distances of 100, 200, 300, 400 and 500 rods. Where the area applied for is a part of a larger tract, the part applied for shall be shown by a heavier outline.

(c) In complying with the requirements of subsection (a)(2) and (4), 8 1/2 inches by 13 inches size paper shall be used. In cases when the size does not accommodate the tract it may be increased to a maximum size of 17 inches by 26 inches.

This section cited in 4 Pa. Code § 135.1 (relating to application for patents).

4 Pa. Code § 131.3 Advertisement.

(a) The applicant shall cause advertisement to be made, completed and delivered with proof of publication, including receipt of payment to the publisher, to the Land Office Section, Historical and Museum Commission, Post Office Box 1026, Harrisburg, Pennsylvania 17108-1026, within 60 days after receipt of notice of publication and proof of publication forms from the Department.

(b) In the event proof of publication is not received by the Commission within the period of 60 days, the applicant shall, at the option of the Commission, be deemed to have abandoned the application.

(c) The advertisement shall run for 3-consecutive weeks in a newspaper of general circulation in the area where the land is situated.

This section cited in 4 Pa. Code § 133.1 (relating to board of appraisers); and 4 Pa. Code § 135.2 (relating to liens).

4 Pa. Code § 131.4 Caveat.

A person having or asserting a claim for land to which application has been made may file a caveat with the Commission under § 133.3 or § 135.3 (relating to procedure for filing caveat). The caveat shall be filed prior to the granting of the patent.

4 Pa. Code § 131.5 Review.

The Commission will review the application and the subsequent procedures and instruments upon receipt and approval of the following:

(1) Return of completed and executed survey form.

(2) Completed and executed calculation sheet.

(3) Receipt from surveyor or engineer for payment of services in making final survey.

Chapter 133 Vacant and Unappropriated Land

4 Pa. Code § 133.1 Board of appraisers.

(a) In the case of vacant and unappropriated land where no office rights are outstanding, the Commission will appoint a board of appraisers upon receipt and approval of the proof of publication and receipt for payment as required in § 131.3 (relating to advertisement).

(b) The board of appraisers shall consist of an attorney-at-law, who shall act as chairperson; one registered professional engineer; and one licensed real estate broker.

(c) Each member of the board of appraisers shall swear or affirm before an officer authorized to administer oaths that he shall faithfully perform the duties prescribed and that he is not directly or indirectly interested in the application.

(d) The members of the Board shall value the land by going upon it and considering the soil, timber, fisheries, minerals, location and other attributes. Within 30 days after the appointment of the Board, the chairperson shall forward a report of such valuation, signed by the Board members, to the Land Office Section, Historical and Museum Commission, Post Office Box 1026, Harrisburg, Pennsylvania 17108-1026.

(e) The applicant shall forward three remittances by certified check or bank or postal money order to the Commission, one of which shall be in the amount of $50 and the other two for $25 each. The remittances shall be used as prescribed in subsection (f).

(f) Payment of the Board members shall be made by the Commission upon acceptance and approval of their report. Each member shall receive $25, and the chairperson shall receive an additional $25 for preparation and submission of the report of appraisement.

4 Pa. Code § 133.2 Remittances after valuation.

Upon determination of the value of the land, the applicant shall remit separately, upon request from the Commission, the following:

(1) Warrant fee.

(2) Evaluated price or consideration.

(3) Patent fee.

4 Pa. Code § 133.3 Procedure for filing caveat.

(a) Anyone filing a caveat under this chapter shall pay a fee of $2.00 and submit a bond, or other security approved by the Commission, in an amount equal to the evaluated price of the land in question, plus appraisers’ fees.

(b) Upon receipt of the caveat the Commission will notify the original applicant of the caveat and forward the application for warrant and the caveat with all related documents to the Board.

This section cited in 4 Pa. Code § 131.4 (relating to caveat).

4 Pa. Code § 133.4 Issuance of warrant.

(a) If no caveat is entered on the land, or after disposition of caveat in favor of the applicant, and upon receipt of the prescribed fees, the Commission will prepare and transmit the warrant to survey, at least 10 days after the date of last publication of the notice of filing, to the surveyor or engineer designated by the applicant to complete the warrant.

(b) The applicant shall receive each of the following:

(1) Connected draft of area.

(2) Return of survey form.

(3) Calculation sheet form.

(4) Report of the Commission.

(5) Receipt for warrant fee.

Chapter 135 Unappropriated Land

4 Pa. Code § 135.1 Application for patents.

In addition to complying with the requirements of § 131.2 (relating to applications for patents) applications for patents or unappropriated land either where only warrant rights are outstanding or where only warrant and survey rights are outstanding shall be accompanied by an abstract of title.

4 Pa. Code § 135.2 Liens.

Upon receipt and approval of the proof of publication and receipt for payment as required in § 131.3 (relating to advertisement), the Commission will request a remittance of $25 from the applicant; if the tract appears on the lien docket prior to January 1, 1935. Liens which were originally entered on the docket on or after January 1, 1935, shall be satisfied by payment of the amount entered, plus interest and costs.

4 Pa. Code § 135.3 Procedure for filing caveat.

(a) Anyone filing a caveat under this chapter shall pay a fee of $2.00 and submit a bond, or other security approved by the Commission, in the amount of $25.

(b) In the case of unappropriated land where only warrant and survey rights are outstanding the Commission will notify the original applicant of the filing of the caveat and shall forward to the Board for adjudication the application for patent, the caveat and related instruments.

This section cited in 4 Pa. Code § 131.4 (relating to caveat).

4 Pa. Code § 135.4 Forms.

If no caveat is entered on the land or after disposition of a caveat in favor of the applicant, and upon receipt of the prescribed fees, but not less than 10 days after the date of last publication of the notice of filing, the applicant or caveator shall receive each of the following:

(a) A certified photocopy of the warrant to survey.

(b) Photocopy of the connected draft showing the area applied for and the adjoiners from Land Office Section data.

(d) Calculation sheet.

(e) Report of the Commission.

(f) Receipt for the lien fee, if applicable.

Subpart B Board of Property

Chapter 137 Procedures Before the Board of Property

4 Pa. Code § 137.1 Communications.

Communications for the Board shall be addressed to the Secretary of Community Affairs, Post Office Box 155, Harrisburg, Pennsylvania 17120.

4 Pa. Code § 137.2 Depositions.

Depositions of witnesses submitted to the Board will become a part of the record and may not be withdrawn.

4 Pa. Code § 137.3 Fees.

Fees for business relating to the Board shall be as follows:

(1) Filing caveat … $2

(2) Issuing citation … $2

(3) Recording application for resurvey … $2

(4) Order of resurvey … $2

(5) Copy of action or determination of Board … $2

4 Pa. Code § 137.4 Form.

A caveat may be entered against the granting of a warrant, acceptance of a survey or granting of a patent. The caveat shall be in writing and accompanied by a complete abstract of title or chain of circumstances forming the basis of the caveator’s claim. No particular form is required; however the application, survey or other office right against which the caveat is entered, together with the reasons for filing it, shall be distinctly stated.

4 Pa. Code § 137.5 Disposition of deposit.

(a) A caveat may not be recognized and processed unless the caveator deposits, with the caveat, fees as determined by the Department of Community Affairs and including purchase money in the case of vacant land.

(b) If the decision of the Board is against the caveator and the caveator does not appeal the decision, the purchase money less costs and fees incurred by the caveator, as determined by the Board, shall be returned to the caveator. If the caveator appeals the decision of the Board, the purchase money deposited shall be held and disposed of as directed by the court making the final decision thereon.

(c) If the decision of the Board is in favor of the caveator, he shall proceed promptly to perfect his title under the Pennsylvania Public Lands Act (64 P. S. § § 601—616), and in compliance with this part.

(d) If the caveator fails to comply with subsection (c) he shall be deemed to have abandoned his claim and rights.

4 Pa. Code § 137.6 Effect.

(a) A caveat entered against the granting of a warrant on an application on file shall bar the issuing of the warrant except when:

(1) The caveator is deemed to have abandoned his objections.

(2) The caveator has not shown proof in support of his claim.

(3) The Board dismisses the caveat, after determination or hearing upon a citation.

(b) A caveat, note on survey or writing in the nature of a caveat may not continue to bar the issuing of a patent to the person against whom the caveat is entered longer than 2 years, unless the parties interested in the land takes out a citation within the 2-year period to bring the dispute to a decision and prosecute the same to effect.

4 Pa. Code § 137.7 Citation.

(a) A citation shall be issued on a pending caveat on the application of a party in interest. A 30-day notice shall be given to the opposite party of the time and date on which the case shall be heard by the Board. Either party desiring to take depositions of witnesses for presentation at the hearing shall give the other party a 10-day notice of the time and date for the taking of the depositions.

(b) Citations shall be returned to the Department of Community Affairs on or before the days fixed therein for the hearing of the cases in which they are issued.

4 Pa. Code § 137.8 Resurvey.

(a) A petition for an order of resurvey shall include all of the following:

(1) The name of the warrantee.

(2) The date of warrant upon which the former survey was made.

(3) The reasons for the resurvey.

(b) An order for resurvey shall require the caveator to assume responsibility for payment of costs incurred and furnish a receipt for the costs.

4 Pa. Code § 137.9 Caveator as plaintiff.

(a) The party who enters a caveat shall become the plaintiff or complainant, and shall open the case and make the concluding argument at the hearing.

(b) Subsection (a) supersedes 1 Pa. Code § 35.125(a) (relating to order of procedure).

Since it was clear from the record that the party entering caveat had met burden of proof, the court affirmed the order of the Board in favor of party entering caveat in spite of fact that party entering caveat did not open the case as provided for in this section. Bixler v. Hoverter, 491 A.2d 958, (Pa. Commw. 1985).

Part VIII Department of State

Subpart A General Provisions

Chapter 141 Purpose and General Procedures

4 Pa. Code § 141.1 Purpose of Bureau; definition.

(a) As used in this chapter, the term Bureau means the Bureau of Legislation, Commissions and Elections.

(b) The purpose of the Bureau is to record laws, resolutions, acts and proceedings of the General Assembly.

4 Pa. Code § 141.2 Recording of General Assembly proceedings.

(a) During legislative sessions, 25 copies of all bills shall be maintained separately by the Bureau for distribution to the Chief Clerk of the Governor upon passage of each bill and to pertinent departments, and for certifications of the bills.

(b) Upon receipt of each original signed bill, a docket entry shall be made of the bill number, printer’s number and title, together with a dated receipt for the bill for the Chief Clerk of the House or the Secretary of the Senate.

(c) Upon delivery of each bill to the Chief Clerk of the Governor, a dated receipt by him shall be stamped upon the journal of the docket.

(d) After return of bills signed into law, recalled by resolution or vetoed, a dated receipt by the Department of State shall be stamped upon the journal of the docket, and an act, recall or veto number shall be assigned, as appropriate.

4 Pa. Code § 141.3 Bill filing; public inspection.

(a) Original copies of all bills shall be filed currently by the Bureau for a period of two years dating from the end of each legislative session.

(b) Original copies of all acts, resolutions and vetoes shall be filed permanently at the end of each legislative session.

(d) Copies of original bills, dockets, acts, resolutions and vetoes shall be open for public inspection upon request.

4 Pa. Code § 141.4 Joint Resolutions.

Joint Resolutions shall be processed in the same manner as bills except for the following:

(1) Copies may not be sent to the Governor for action.

(2) A copy shall be filed with the Bureau for placement on the ballot at the next election.

4 Pa. Code § 141.5 Certifications of statutes.

(a) Requests for certifications of statutes shall specify the law and year; the act or pamphlet law number; and the subject matter of the law.

(b) Certifications issued shall be subject to the following fee schedule:

(1) Seal of the Secretary of the Commonwealth—$1.

(2) Great Seal of the Commonwealth—$2.

Chapter 143 Hearings

4 Pa. Code § 143.1 Scope of chapter.

This chapter applies to all proceedings under this part.

4 Pa. Code § 143.2 General provisions.

(a) Hearings shall be held whenever one of the following occurs:

(1) The provisions of a statute, a decision of the courts or an opinion of the Attorney General require that a hearing be held by the Secretary of the Commonwealth;

(2) Protest or objection is made as to any matter involving a paper, statement, document, registration, application, certificate or recording, filed with any Bureau, Commission or Board in the Department of State under the provisions of any statute, court decision or Attorney General’s opinion.

(3) Protest or objection is made as to any other matter requiring the determination of facts or of any applicable decision of law under the provisions of any statute, court decision or Attorney General’s opinion.

(b) A time for hearing shall be set by the Secretary of the Commonwealth within 30 days after written notice of protest or objection as provided in subsection (a) is made.

4 Pa. Code § 143.3 Notice of hearing.

The Secretary of the Commonwealth shall give at least 10 days written notice of the time and place of hearings under this chapter to all interested parties.

4 Pa. Code § 143.4 Representation.

(a) Interested parties may be represented by counsel at hearings held under this chapter.

(b) Counsel may file briefs relating to the facts and applicable law, and they shall have the opportunity to present oral arguments.

4 Pa. Code § 143.5 Conduct of hearings.

Hearings shall be held in accordance with sections 31—36 of the Administrative Agency Law (71 P. S. § § 1710.31—1710.36) (Repealed).

4 Pa. Code § 143.6 Decisions.

(a) Within 30 days after each hearing the Secretary of the Commonwealth shall file a written decision. The time may be extended for an additional period not exceeding 10 days when required for reasonable investigation.

(b) Decisions shall set forth briefly findings of fact and law, as applicable, together with reasons for such findings.

Subpart B Legislation

Chapter 151 Fees

4 Pa. Code § 151.1 Schedule of fees.

The Bureau of Legislation fee schedule shall conform with the following table:

History

Authority: The provisions of this Chapter 151 issued under act of July 12, 1972 (No. 182) (71 P. S. § § 803.1—803.10) (Repealed), unless otherwise noted.
Source: The provisions of this Chapter 151 adopted March 2, 1973, 3 Pa.B. 409, unless otherwise noted.

Chapter 153 Special Rules of Administrative Practice and Procedure

4 Pa. Code § 153.1 Applicability of general rules.

Under 1 Pa. Code § 31.1 (relating to scope of part), 1 Pa. Code Part II (relating to general rules of administrative practice and procedure), are applicable to the activities of and proceedings before the Legislative Bureau.

History

Source: The provisions of this Chapter 153 adopted March 28, 1975, 5 Pa.B. 605, unless otherwise noted.

Subpart C Commissions

Chapter 161 Fees

4 Pa. Code § 161.1 Schedule of fees.

(a) The following fees are charged for services provided by the office, relating to commissions, notaries public and the public acts and transactions of the Secretary of the Commonwealth and the Department of State:

(b) As used in this section, the term ‘‘office’’ means the Office of Notaries, Commissions and Legislation or any successor office or bureau of the Department of State.

(Editor’s Note: The fee of $25 for a Notary Public Commission and the fee of $2 for Filing Bond for any Public Office abrogated October 9, 2013 (P.L. 609, No. 73) effective 180 days after publication of the notice under section 4 of Act 73. The notice was published at 47 Pa.B. 2518 (April 29, 2017).)

The provisions of this § 161.1 abrogated in part under section 3.1 of the act of October 9, 2013 (P.L. 609, No. 73); amended under sections 506 and 802(b) of The Administrative Code of 1929 (71 P.S. § § 186 and 272(b)); and section 3 of the act of June 3, 1937 (P.L. 1688, No. 352) (71 P.S. § 282).

The provisions of this § 161.1 amended through February 10, 1984, effective February 11, 1984, 14 Pa.B. 431; amended May 27, 2005, effective May 28, 2005, 35 Pa.B. 3143; corrected January 13, 2006, effective August 6, 2005, 36 Pa.B. 194; abrogated in part October 9, 2013 (P.L. 609, No. 73), effective October 26, 2017; amended March 27, 2026, effective March 28, 2026, 56 Pa.B. 1672. Immediately preceding text appears at serial pages (418329) to (418330).

This section cited in 4 Pa. Code § 167.11 (relating to eligibility and application requirements for initial appointment and commission); 4 Pa. Code § 167.12 (relating to eligibility and application requirements for renewal of appointment and commission where there has been no lapse in commission); and 4 Pa. Code § 167.92 (relating to certificate of approval).

History

Authority: The provisions of this § 161.1 abrogated in part under section 3.1 of the act of October 9, 2013 (P.L. 609, No. 73); amended under sections 506 and 802(b) of The Administrative Code of 1929 (71 P.S. § § 186 and 272(b)); and section 3 of the act of June 3, 1937 (P.L. 1688, No. 352) (71 P.S. § 282).
Source: The provisions of this § 161.1 amended through February 10, 1984, effective February 11, 1984, 14 Pa.B. 431; amended May 27, 2005, effective May 28, 2005, 35 Pa.B. 3143; corrected January 13, 2006, effective August 6, 2005, 36 Pa.B. 194; abrogated in part October 9, 2013 (P.L. 609, No. 73), effective October 26, 2017; amended March 27, 2026, effective March 28, 2026, 56 Pa.B. 1672. Immediately preceding text appears at serial pages (418329) to (418330).

Chapter 163 Special Rules of Administrative Practice and Procedure

4 Pa. Code § 163.1 Applicability of general rules.

Under 1 Pa. Code § 31.1 (relating to scope of part), 1 Pa. Code Part II (relating to general rules of administrative practice and procedure) is applicable to the activities of and proceedings before the Department of State relating to commissions and notaries public.

The provisions of this § 163.1 amended under sections 506 and 802(b) of The Administrative Code of 1929 (71 P.S. § § 186 and 272(b)); and section 3 of the act of June 3, 1937 (P.L. 1688, No. 352) (71 P.S. § 282).

The provisions of this § 163.1 amended March 27, 2026, effective March 28, 2026, 56 Pa.B. 1672. Immediately preceding text appears at serial page (351195).

History

Authority: The provisions of this § 163.1 amended under sections 506 and 802(b) of The Administrative Code of 1929 (71 P.S. § § 186 and 272(b)); and section 3 of the act of June 3, 1937 (P.L. 1688, No. 352) (71 P.S. § 282).
Source: The provisions of this § 163.1 amended March 27, 2026, effective March 28, 2026, 56 Pa.B. 1672. Immediately preceding text appears at serial page (351195).

Subpart D Elections

Chapter 171 Voting Rights

4 Pa. Code § 171.1 Scope and purpose.

This chapter serves to insure application of the Federal Voting Rights Act Amendments (42 U.S.C.A. § 1973aa et seq.) in this Commonwealth.

History

Authority: The provisions of this § 171.22 issued under section 506 of The Administrative Code of 1929 (71 P. S. § 186); sections 201(a) and 907 of the Pennsylvania Election Code (25 P. S. § § 2621(a) and 2867); and section 4(b) of the act of October 4, 1978 (P. L. 883, No. 170) (65 P. S. § 404(b)).
Source: The provisions of this § 171.22 adopted November 28, 1980, effective November 29, 1980, 10 Pa.B. 4466.

4 Pa. Code § 171.2 Penalty.

Local election officials who fail to make Federal voting rights available to all qualified voters are subject to fines of up to $5,000 or imprisonment of up to 5 years, or both.

History

Authority: The provisions of this § 171.22 issued under section 506 of The Administrative Code of 1929 (71 P. S. § 186); sections 201(a) and 907 of the Pennsylvania Election Code (25 P. S. § § 2621(a) and 2867); and section 4(b) of the act of October 4, 1978 (P. L. 883, No. 170) (65 P. S. § 404(b)).
Source: The provisions of this § 171.22 adopted November 28, 1980, effective November 29, 1980, 10 Pa.B. 4466.

4 Pa. Code § 171.3 Special separate ballots.

A special separate ballot shall be prepared and available for persons who only qualify to vote under the 1970 Federal Voting Rights Act Amendments (42 U.S.C.A. § 1973aa et seq.). This ballot will consist of the party block column and the names of the candidates for President and Vice President of the recognized parties in the Commonwealth, specifically, Democratic, Republican, Constitutional, Socialist Workers and Communist. Other matters may not be placed on this ballot. Presidential ballots shall be available in voting precincts for those who can qualify to vote in person under the provision of the 1970 Federal Voting Rights Act Amendments (42 U.S.C.A. § 1973aa et seq.).

History

Authority: The provisions of this § 171.22 issued under section 506 of The Administrative Code of 1929 (71 P. S. § 186); sections 201(a) and 907 of the Pennsylvania Election Code (25 P. S. § § 2621(a) and 2867); and section 4(b) of the act of October 4, 1978 (P. L. 883, No. 170) (65 P. S. § 404(b)).
Source: The provisions of this § 171.22 adopted November 28, 1980, effective November 29, 1980, 10 Pa.B. 4466.

4 Pa. Code § 171.11 Absentee balloting for President and Vice President.

(a) An individual who would be qualified to vote in person under Commonwealth law, shall be allowed to cast an absentee ballot for President and Vice President if the individual properly submits the following affidavit:

I hereby swear (or affirm) that I am unable to vote in person on the day of the next ensuing election by reason of absence from my voting district.

(b) Affirmation of absence from the voting district on election day for any reason qualifies an individual to cast an absentee ballot for President and Vice President. As under Commonwealth law, final application for an absentee ballot must be received by proper election officials within 7 days of the election; fur-ther, emergency absentee ballot provisions under Commonwealth law apply to the Presidential and Vice Presidential elector.

(c) A person who is otherwise eligible to vote and who affirms that he has ceased to reside in an election district in this Commonwealth and established residence in another election district in this Commonwealth or in another state within 30 days of an election for President and Vice President and is not eligible to register and vote in his new election district or state because of the recent change of residence shall be allowed to vote for President and Vice President by absentee ballot in the former election district providing that application for such absentee ballot is made within the standards set by the 1970 Voting Rights Act Amendments (42 U.S.C.A. § 1973aa et seq.) for absentee ballots.

History

Authority: The provisions of this § 171.22 issued under section 506 of The Administrative Code of 1929 (71 P. S. § 186); sections 201(a) and 907 of the Pennsylvania Election Code (25 P. S. § § 2621(a) and 2867); and section 4(b) of the act of October 4, 1978 (P. L. 883, No. 170) (65 P. S. § 404(b)).
Source: The provisions of this § 171.22 adopted November 28, 1980, effective November 29, 1980, 10 Pa.B. 4466.

4 Pa. Code § 171.12 Absentee registration for President and Vice President.

(a) A person qualified to vote for President and Vice President under the provisions of the 1970 Voting Rights Act Amendments (42 U.S.C.A. § 1973aa et seq.) as described in the opinion of the Attorney General which appears at 2 Pa.B. 1913, shall be allowed to register absentee for the purposes of voting for the President and Vice President if they submit the following affidavit:

I hereby swear (or affirm) that I am unable to register in person by reason of absence from my election district, that on the day of the next ensuing election I shall have been a citizen of the United States for at least one month, that I will be 18 years of age, on the day after the election, that I will have been a resident of the Commonwealth and my election district for at least thirty (30) days, that I will be legally qualified to vote, and that I have read (or have had read to me) the foregoing statements made in connection with my registration and that they are true and correct.

(b) Final application for absentee registration may only be honored during the time the registration books are open.

(c) As with absentee balloting, absentee registration for purposes of Presidential and Vice Presidential balloting under the 1970 Voting Rights Act Amendments (42 U.S.C.A. § 19733aa et seq.) shall be extended without reference to the reason for the absence. Absence from the election district refers to an absence during such times as the registration books are open. Further, that an individual who affirms that he is a qualified absentee elector shall be permitted to register absentee for purposes of Presidential and Vice Presidential elections. Challenges to registrations shall come under relevant provisions of Commonwealth law governing challenges to registered voters. An election official who refuses to register or forward an absentee ballot to a voter who has properly completed the required affidavit subjects himself to the penalties provided under Federal and Commonwealth laws.

History

Authority: The provisions of this § 171.22 issued under section 506 of The Administrative Code of 1929 (71 P. S. § 186); sections 201(a) and 907 of the Pennsylvania Election Code (25 P. S. § § 2621(a) and 2867); and section 4(b) of the act of October 4, 1978 (P. L. 883, No. 170) (65 P. S. § 404(b)).
Source: The provisions of this § 171.22 adopted November 28, 1980, effective November 29, 1980, 10 Pa.B. 4466.

4 Pa. Code § 171.13 Absentee electors outside the country.

(a) A registered voter making application for an absentee ballot from outside the country is not required to do anything more than any other registered voter applying for an absentee ballot. The individual need only swear or affirm that he is unable to vote in person by reason of absence from the voting district on election day.

(b) An absentee elector applying for absentee registration from a foreign country may not be specially hindered. An individual need not have a present physical residence in a locality in order to qualify as an elector for Presidential and Vice Presidential elections. Individuals without a present physical residence in the voting district, but who affirm they remain residents of a district while away, are valid absentee electors for President and Vice President under the provisions of the 1970 Voting Rights Act Amendments (42 U.S.C.A. § 1973aa et seq.).

(c) For example, an individual residing in this Commonwealth sells his house and moves to France as a result of a job transfer. If he affirms that he remains a resident of the district in this Commonwealth, he shall be granted absentee balloting or absentee registration rights for Presidential and Vice Presidential elections under the provisions of the 1970 Voting Rights Act Amendments (42 U.S.C.A. § 1973aa et seq.). If he has no specific address at which to register, the voter shall be listed on the voters list as a general resident of the declared voting district.

(d) If there is a substantial basis for doubting the United States citizenship of an applicant, as an absentee elector, after registration of the individual, a challenge should be made under existing Commonwealth election laws.

History

Authority: The provisions of this § 171.22 issued under section 506 of The Administrative Code of 1929 (71 P. S. § 186); sections 201(a) and 907 of the Pennsylvania Election Code (25 P. S. § § 2621(a) and 2867); and section 4(b) of the act of October 4, 1978 (P. L. 883, No. 170) (65 P. S. § 404(b)).
Source: The provisions of this § 171.22 adopted November 28, 1980, effective November 29, 1980, 10 Pa.B. 4466.

4 Pa. Code § 171.14 Time and date of receipt verification.

(a) Returned absentee ballots shall be immediately stamped showing the time and date of receipt. It is suggested that a continuing list be kept as absentee ballots are received showing the date and time of receipt and the name of the elector.

(b) At 5 p.m. on the Friday before the election, a complete list showing the name of elector, time and date of receipt of all absentee ballots received up until that time shall be verified and signed by the county board of commissioners. This list shall be made immediately available to all interested persons upon request.

(c) A ballot received after 5 p.m. on the Friday before the election but before the closing of the polls on election day and therefore not on this list are only valid insofar as Presidential and Vice Presidential votes.

(d) The proper and timely distribution of this list at 5 p.m. on the Friday before the election shall be the basis for protecting local election officials from Federal penalties in the event of later appeals relating to charges of possible impropriety in the voiding or validating of votes for State and local offices resulting from the time of receipt of the ballots in the appropriate election office.

History

Authority: The provisions of this § 171.22 issued under section 506 of The Administrative Code of 1929 (71 P. S. § 186); sections 201(a) and 907 of the Pennsylvania Election Code (25 P. S. § § 2621(a) and 2867); and section 4(b) of the act of October 4, 1978 (P. L. 883, No. 170) (65 P. S. § 404(b)).
Source: The provisions of this § 171.22 adopted November 28, 1980, effective November 29, 1980, 10 Pa.B. 4466.

4 Pa. Code § 171.15 Counting of absentee ballots valid for President and Vice President only.

(a) Before and after the counting of ballots, those absentee ballots valid only for the Presidential and Vice Presidential election under the 1970 Voting Rights Act Amendments (42 U.S.C.A. § 1973aa et seq.), as detailed in the September 15, 1972, Attorney General’s opinion which appears at 2 Pa.B. 1913, shall be kept absolutely separate from other ballots. The ballots, valid only for Presidential and Vice Presidential electors and required to be kept separate from other ballots, are limited to the following:

(1) Absentee ballots from voters who, under the 1970 Voting Rights Act Amendments (42 U.S.C.A. § 1973aa et seq.), have registered absentee or received absentee ballots. The voters shall only be using the special separate ballots listing only candidates for President and Vice President.

(2) Absentee ballots from voters who are qualified to vote for State and local candidates, as well as President and Vice President under the election laws of the Commonwealth, but which ballots have been received after 5 p.m. of the Friday before the election, but before the closing of the polls on election day. Only votes for President and Vice President on such ballots are valid. Votes for State and local officials on such ballots are void and may not be counted.

(b) Special ballots listing only President and Vice President candidates shall be counted at the court house commencing at the closing of the polls. Ballots from voters who are qualified to vote for State and local candidates as well as President and Vice President, but which ballots have been received after 5 p.m. of the Friday before the election, but before the closing of the polls on election day shall be counted at the court house at the closing of the polls. A special election return board shall be convened on election night in order to count these ballots at the Court House. Members of that special board shall be appointed in teams of three by the County Board of Elections. Each County Commissioner must appoint one member of each team.

(c) Those absentee ballots valid only for Presidential and Vice Presidential elections which are counted at the Court House on election day, shall be kept separate from all other ballots, even after the count has been made.

History

Authority: The provisions of this § 171.22 issued under section 506 of The Administrative Code of 1929 (71 P. S. § 186); sections 201(a) and 907 of the Pennsylvania Election Code (25 P. S. § § 2621(a) and 2867); and section 4(b) of the act of October 4, 1978 (P. L. 883, No. 170) (65 P. S. § 404(b)).
Source: The provisions of this § 171.22 adopted November 28, 1980, effective November 29, 1980, 10 Pa.B. 4466.

4 Pa. Code § 171.16 Form of affidavit for absentee ballot registration.

The following form of affidavit for absentee ballot registration due to illness or permanent physical disability is attached hereto and made a part of this section:

The provisions of this § 171.16 adopted August 17, 1973, 3 Pa.B. 1721.

History

Authority: The provisions of this § 171.22 issued under section 506 of The Administrative Code of 1929 (71 P. S. § 186); sections 201(a) and 907 of the Pennsylvania Election Code (25 P. S. § § 2621(a) and 2867); and section 4(b) of the act of October 4, 1978 (P. L. 883, No. 170) (65 P. S. § 404(b)).
Source: The provisions of this § 171.22 adopted November 28, 1980, effective November 29, 1980, 10 Pa.B. 4466.

4 Pa. Code § 171.21 Preamble of nomination papers.

The preamble of all nomination papers shall read as follows:

The provisions of this § 171.21 adopted August 31, 1973, 3 Pa.B. 1839.

History

Authority: The provisions of this § 171.22 issued under section 506 of The Administrative Code of 1929 (71 P. S. § 186); sections 201(a) and 907 of the Pennsylvania Election Code (25 P. S. § § 2621(a) and 2867); and section 4(b) of the act of October 4, 1978 (P. L. 883, No. 170) (65 P. S. § 404(b)).
Source: The provisions of this § 171.22 adopted November 28, 1980, effective November 29, 1980, 10 Pa.B. 4466.

4 Pa. Code § 171.22 Ethics affidavit.

An affidavit that the candidate has filed a statement of financial interests with the State Ethics Commission may be included on the nomination petition or nomination paper.

The provisions of this § 171.22 issued under section 506 of The Administrative Code of 1929 (71 P. S. § 186); sections 201(a) and 907 of the Pennsylvania Election Code (25 P. S. § § 2621(a) and 2867); and section 4(b) of the act of October 4, 1978 (P. L. 883, No. 170) (65 P. S. § 404(b)).

The provisions of this § 171.22 adopted November 28, 1980, effective November 29, 1980, 10 Pa.B. 4466.

History

Authority: The provisions of this § 171.22 issued under section 506 of The Administrative Code of 1929 (71 P. S. § 186); sections 201(a) and 907 of the Pennsylvania Election Code (25 P. S. § § 2621(a) and 2867); and section 4(b) of the act of October 4, 1978 (P. L. 883, No. 170) (65 P. S. § 404(b)).
Source: The provisions of this § 171.22 adopted November 28, 1980, effective November 29, 1980, 10 Pa.B. 4466.

Chapter 172 General Provisions

4 Pa. Code § 172.1 Definitions.

The following words and terms, when used in this part, have the following meanings, unless the context clearly indicates otherwise: Affiliated organization—Both of the following:

(i) Authorized committees of the same candidate.

(ii) Committees—including separate segregated funds—established, financed, maintained or controlled by the same corporation, unincorporated association, person or group of persons, including a parent, subsidiary, branch, division, department or local unit thereof; provided that nothing in this subparagraph is construed to mean that committees which merely have a common source of contributions are affiliated organizations. Contribution—A payment, gift, subscription, assessment, contract, payment for services, dues, loan, forbearance, advance or deposit of money, or any valuable thing to a candidate or political committee made for the purpose of influencing any election in this Commonwealth or for paying debts incurred by or for a candidate or committee before or after any election. The term includes the purchase of tickets for events such as dinners, luncheons, rallies, and all other fund raising events—including but not limited to, advertising space in publications promoting the candidacy of certain individuals, such as ‘‘Ad-Books’’; the granting of discounts or rebates not available to the general public or the granting of discounts or rebates by television and radio stations and newspapers not extended on an equal basis to all candidates for the same office; and payments provided for the benefit of a candidate, including payments for the services of a person serving as an agent of a candidate or committee by a person other than the candidate or committee or a person whose expenditures the candidate or committee must report under the Pennsylvania Election Code (25 P. S. § § 2600—3591). The term includes any receipt or use of anything of value received by a political committee from another political committee and any return on investments by a political committee. Connected organization—An organization which is not a political committee but which directly or indirectly establishes, administers or financially supports the registrant, such as a corporation including one without capital stock, an unincorporated association, a membership organization, a cooperative or a trade association. File, filed or filing—The reports and statements shall be deemed filed when they are received by the Secretary or respective County Board of Elections. Financial activity—The receipt of contributions or the expenditure of funds, or both. Lobbyist—A natural person whenever the person is one of the following:

(i) Registered under the Lobbying Registration and Regulation Act (46 P. S. § § 148.1—148.7b).

(ii) Employed or engaged for compensation by another person or partnership, committee, association, corporation or another organization to lobby.

(iii) Makes expenditures or incurs obligations on behalf of a person he represents in excess of $300 in a calendar month; except that a natural person may not be considered a lobbyist when that person either:

(A) Formally communicates with or formally presents testimony before an agency of the Commonwealth or the General Assembly.

(B) Testifies before a committee of the General Assembly.

(C) Is an officer, official or employe of the Commonwealth or a political subdivision thereof and is acting in an official capacity. Secretary—The Secretary of the Commonwealth.

The provisions of this § 172.1 amended November 9, 1979, effective November 10, 1979, 9 Pa.B. 3745. Immediately preceding text appears at serial page (41863).

History

Authority: The provisions of this Chapter 172 issued under section 506 of The Administrative Code of 1929 (71 P. S. § 186); and section 1640 of the Pennsylvania Election Code (25 P. S. § 3260), unless otherwise noted.
Source: The provisions of this § 172.1 amended November 9, 1979, effective November 10, 1979, 9 Pa.B. 3745. Immediately preceding text appears at serial page (41863).

Chapter 173 Fees

4 Pa. Code § 173.1 Schedule of fees.

The Bureau of Elections fee schedule shall conform with the following table:

History

Authority: The provisions of this Chapter 173 issued under section 913 of the Pennsylvania Election Code (25 P. S. § 2873(b)); and The Notary Public Law (71 P. S. § § 803.1—803.10) (Repealed), unless otherwise noted.
Source: The provisions of this Chapter 173 adopted March 2, 1973, 3 Pa.B. 409, unless otherwise noted.

Chapter 174 Reports of Political Contributions

4 Pa. Code § 174.1 Business entity.

(a) A rational and appropriate distinction may be made between enterprises operated for profit and those for nonprofit. The word ‘‘business’’ connotes being operated for profit. The purpose of Act 201 is to require disclosure of political contributions which could have been made with the object of obtaining financially remunerative nonbid contracts from government bodies. Nonprofit organizations would not normally benefit from these contracts, and are hereby deemed to fall outside the scope of the legislative intent.

(b) Only those business entities doing business in this Commonwealth are required to report on the current version of Form DSEB-504, as described in § 177.9 (relating to official forms). Parent companies of subsidiaries doing business in this Commonwealth but which do not do business here themselves shall also be excluded, even when a director of the parent corporation also serves on the board of directors of the subsidiary. In that case, that director’s knowledge is relevant only as it pertains to contributions of other directors of the subsidiary.

(c) With the exemption of the business official authorized under the Business Corporation Law or analogous laws to sign the report on behalf of the business entity, there is no duty of any other business official to inquire as to the making of any political contributions by other business officials or employes.

The provisions of this § 174.1 amended October 6, 2000, effective October 7, 2000, 30 Pa.B. 5138. Immediately preceding text appears at serial page (201041).

This section cited in 4 Pa. Code § 177.9 (relating to official forms).

History

Authority: The provisions of this Chapter 174 issued under section 201 of the Pennsylvania Election Code (25 P. S. § 2621); and section 3 of the act of June 5, 1937 (P. L. 1688, No. 352) (71 P. S. § 282), unless otherwise noted.
Source: The provisions of this § 174.1 amended October 6, 2000, effective October 7, 2000, 30 Pa.B. 5138. Immediately preceding text appears at serial page (201041).

4 Pa. Code § 174.2 Awarded nonbid contracts.

(a) This phraseology is broadly inclusive, since the discretionary element in awarding such contracts provides the potential for abuse which Act 201 is attempting to uncover. Accordingly, the term ‘‘nonbid contract’’ includes all service purchase contracts, especially those for professional services, as well as those other nonbid contracts let by virtue of some selection process or exercise of governmental discretion.

(b) Excluded are services performed by business entities which may automatically participate in programs subject to governmental regulation; such as pharmacies participating in the paid prescription plan; lottery ticket salesmen.

(c) Similarly, public utility service, while on a nonbid basis, cannot be viewed as being ‘‘awarded,’’ since a utility exercises an actual or virtual monopoly within its service area, and its rates are not negotiated between the Commonwealth as a customer and the utility, but are subject to regulation.

(d) A bank acting as a State depository is not required to file unless it has been designated as such in 1974. Banks cashing welfare checks for a small handling charge are excluded, since this function is performed as a public service and the concept of an award or selection process is absent here.

(e) Banks which have been awarded consultantship or financial management contracts in 1974, or have had such contracts renewed in 1974, are required to file. Renewal means continuation of such a contract by virtue of any affirmative action taken by the contracting governmental body with respect to the continued existence of the contract.

History

Authority: The provisions of this Chapter 174 issued under section 201 of the Pennsylvania Election Code (25 P. S. § 2621); and section 3 of the act of June 5, 1937 (P. L. 1688, No. 352) (71 P. S. § 282), unless otherwise noted.
Source: The provisions of this § 174.1 amended October 6, 2000, effective October 7, 2000, 30 Pa.B. 5138. Immediately preceding text appears at serial page (201041).

4 Pa. Code § 174.3 Commonwealth.

(a) The term ‘‘Commonwealth’’ shall include all departments, bureaus, commissions, agencies or other offices of the executive, legislative or judicial branches of state government. Also included shall be those independent agencies or commissions like the General State Authority and the Turnpike Commission, since a great many nonbid contracts are awarded by these governmental bodies. In addition, municipal authorities have been held to be agencies or instrumentalities of the Commonwealth, and business entities contracting with such bodies must also file.

(b) Excluded, however, are any interstate authorities such as the Delaware River Port Authority and the Delaware River Basin Commission, since they are not solely Commonwealth bodies, and since representatives of other states would be in a position to oversee the award of any nonbid contracts.

History

Authority: The provisions of this Chapter 174 issued under section 201 of the Pennsylvania Election Code (25 P. S. § 2621); and section 3 of the act of June 5, 1937 (P. L. 1688, No. 352) (71 P. S. § 282), unless otherwise noted.
Source: The provisions of this § 174.1 amended October 6, 2000, effective October 7, 2000, 30 Pa.B. 5138. Immediately preceding text appears at serial page (201041).

4 Pa. Code § 174.4 Political subdivision.

(a) Although the statutory language uses the conjunction ‘‘and,’’ it would be completely contrary to the purpose of Act 201 to require nonbid contracts be awarded to a business entity by both the Commonwealth and a subdivision before the entity must report. Accordingly, a nonbid contract just with a political subdivision shall suffice.

(b) The definition of political subdivision shall include that set forth in the Statutory Construction Act (any county, city, borough, incorporated town, township, school district, vocational school district and county institutional district).

History

Authority: The provisions of this Chapter 174 issued under section 201 of the Pennsylvania Election Code (25 P. S. § 2621); and section 3 of the act of June 5, 1937 (P. L. 1688, No. 352) (71 P. S. § 282), unless otherwise noted.
Source: The provisions of this § 174.1 amended October 6, 2000, effective October 7, 2000, 30 Pa.B. 5138. Immediately preceding text appears at serial page (201041).

4 Pa. Code § 174.5 Preceding calendar year.

Since the first report under section 1605 of the Pennsylvania Election Code (25 P. S. § 3225.1) is due in 1975, the preceding calendar year with respect to the award of nonbid contracts and the donation of political contributions is 1974.

History

Authority: The provisions of this Chapter 174 issued under section 201 of the Pennsylvania Election Code (25 P. S. § 2621); and section 3 of the act of June 5, 1937 (P. L. 1688, No. 352) (71 P. S. § 282), unless otherwise noted.
Source: The provisions of this § 174.1 amended October 6, 2000, effective October 7, 2000, 30 Pa.B. 5138. Immediately preceding text appears at serial page (201041).

4 Pa. Code § 174.6 Political contribution.

(a) The term ‘‘political contribution’’ is defined as a donation of money or other valuable thing to a candidate for nomination or election, or to a political committee, for the purpose of defraying primary or election expenses, as the foregoing terms are defined at section 1601 of the Pennsylvania Election Code (25 P. S. § 3221).

(b) Section 1605 of the Pennsylvania Election Code (25 P. S. § 3225.1) is interpreted to apply to all offices, Federal or State, for which votes are cast by Pennsylvania electors. This would therefore exclude contributions made to candidates in other states.

History

Authority: The provisions of this Chapter 174 issued under section 201 of the Pennsylvania Election Code (25 P. S. § 2621); and section 3 of the act of June 5, 1937 (P. L. 1688, No. 352) (71 P. S. § 282), unless otherwise noted.
Source: The provisions of this § 174.1 amended October 6, 2000, effective October 7, 2000, 30 Pa.B. 5138. Immediately preceding text appears at serial page (201041).

4 Pa. Code § 174.7 Knowledge possessed.

The whole tenor of section 1605 of the Pennsylvania Election Code (25 P. S. § 3225.1) suggests that the standard is actual knowledge of the persons specified. It is their actual knowledge which is viewed as constructive knowledge of the business entity.

History

Authority: The provisions of this Chapter 174 issued under section 201 of the Pennsylvania Election Code (25 P. S. § 2621); and section 3 of the act of June 5, 1937 (P. L. 1688, No. 352) (71 P. S. § 282), unless otherwise noted.
Source: The provisions of this § 174.1 amended October 6, 2000, effective October 7, 2000, 30 Pa.B. 5138. Immediately preceding text appears at serial page (201041).

4 Pa. Code § 174.8 Clause 1.

No dollar minimum applies to a contribution made by the business officers specified herein.

History

Authority: The provisions of this Chapter 174 issued under section 201 of the Pennsylvania Election Code (25 P. S. § 2621); and section 3 of the act of June 5, 1937 (P. L. 1688, No. 352) (71 P. S. § 282), unless otherwise noted.
Source: The provisions of this § 174.1 amended October 6, 2000, effective October 7, 2000, 30 Pa.B. 5138. Immediately preceding text appears at serial page (201041).

4 Pa. Code § 174.9 Clause 2.

The $1,000 minimum applies to this clause alone. Moreover, the term ‘‘political contribution’’ here is a generic term used to describe the act of donation to political campaigns by an identifiable social unit, the family. Accordingly, this clause shall be interpreted to refer to one or more donations by members of the unit which in the aggregate exceed $1,000. This means that not only is an individual’s contributions aggregated, but the contributions of all the members of the family as well. Otherwise, the intent of section 1605 of the Pennsylvania Election Code as amended (25 P. S. § 3225.1) could be frustrated by spreading one contribution in excess of $1,000 among the members of the family so that each individual contribution would be less than $1,000.

History

Authority: The provisions of this Chapter 174 issued under section 201 of the Pennsylvania Election Code (25 P. S. § 2621); and section 3 of the act of June 5, 1937 (P. L. 1688, No. 352) (71 P. S. § 282), unless otherwise noted.
Source: The provisions of this § 174.1 amended October 6, 2000, effective October 7, 2000, 30 Pa.B. 5138. Immediately preceding text appears at serial page (201041).

4 Pa. Code § 174.10 Unemancipated child.

The term ‘‘unemancipated child’’ means a person below the age of 18 receiving at least one-half of his support, which could include room and board, from a parent or guardian.

History

Authority: The provisions of this Chapter 174 issued under section 201 of the Pennsylvania Election Code (25 P. S. § 2621); and section 3 of the act of June 5, 1937 (P. L. 1688, No. 352) (71 P. S. § 282), unless otherwise noted.
Source: The provisions of this § 174.1 amended October 6, 2000, effective October 7, 2000, 30 Pa.B. 5138. Immediately preceding text appears at serial page (201041).

Chapter 175 Special Rules of Administrative Practice and Procedure

4 Pa. Code § 175.1 Applicability of general rules.

History

Source: The provisions of this Chapter 175 adopted March 28, 1975, 5 Pa.B. 606, unless otherwise noted.

Chapter 176 Registration and Organization of Political Committees

4 Pa. Code § 176.1 Registration of political committees.

(a) A political committee, except as specified in subsection (b) shall file a Registration Statement with the Secretary or the respective county board of elections, as appropriate, within 20 days after the date on which its total of contributions reaches $250 or more. If a political committee is not aware of what candidate it will be expending money on behalf of, at the time that registration is required, the political committee shall register with both the Secretary and the county board of elections in which the treasurer of the committee resides. Upon the determination of candidate to be supported, an amended registration statement shall be filed where previously the registration statements had been filed and a new registration statement shall be filed with the appropriate supervisor.

(b) Each political committee which is in existence and has a balance of $250 or more on January 1, 1979, and is involved in campaign financing for an election after January 1, 1979, shall file a Registration Statement on or before March 2, 1979, and shall report when becoming active.

This section cited in 4 Pa. Code § 176.4 (relating to restrictions on political committees); and 4 Pa. Code § 177.9 (relating to official forms).

History

Authority: The provisions of this Chapter 176 issued under section 506 of The Administrative Code of 1929 (71 P. S. § 186); and section 1640 of the Pennsylvania Auction Code (25 P. S. § 3260), unless otherwise noted.
Source: The provisions of this § 176.8 amended October 6, 2000, effective October 7, 2000, 30 Pa.B. 5138. Immediately preceding text appears at serial page (201049).

4 Pa. Code § 176.2 Forms and filing.

(a) The Registration Statement shall be filed on the current version of Form DSEB-500, as described in § 177.9 (relating to official forms), which may be obtained from the Secretary or any county board of elections.

(b) The Registration Statement, to be signed by the treasurer, shall include the following:

(1) The names, addresses and phone numbers of the political committee.

(2) The name, address and phone number of the committee’s treasurer.

(3) The name, address and phone number of the committee’s chairperson.

(4) The names, addresses and relationships of other affiliated or connected organizations.

(5) The candidates, if any, and their names and addresses.

(6) The ballot question, if any, which the committee intends to support or oppose.

(7) The banks, safety deposit boxes or other repositories and their addresses used by the committee.

(8) The proposed period of operation of the committee.

The provisions of this § 176.2 amended October 6, 2000, effective October 7, 2000, 30 Pa.B. 5138. Immediately preceding text appears at serial pages (201047) to (201048).

This section cited in 4 Pa. Code § 176.4 (relating to restrictions on political committees); and 4 Pa. Code § 177.9 (relating to official forms).

History

Authority: The provisions of this Chapter 176 issued under section 506 of The Administrative Code of 1929 (71 P. S. § 186); and section 1640 of the Pennsylvania Auction Code (25 P. S. § 3260), unless otherwise noted.
Source: The provisions of this § 176.8 amended October 6, 2000, effective October 7, 2000, 30 Pa.B. 5138. Immediately preceding text appears at serial page (201049).

4 Pa. Code § 176.3 Change or correction in information.

Any change or correction in the information previously filed in the Registration Statement shall be reported within 30 days of the date of the change or within 30 days of the date on which the error is detected by filing an amended Registration Statement. The amended registration need list only the change or correction.

This section cited in 4 Pa. Code § 176.4 (relating to restrictions on political committees); and 4 Pa. Code § 177.9 (relating to official forms).

History

Authority: The provisions of this Chapter 176 issued under section 506 of The Administrative Code of 1929 (71 P. S. § 186); and section 1640 of the Pennsylvania Auction Code (25 P. S. § 3260), unless otherwise noted.
Source: The provisions of this § 176.8 amended October 6, 2000, effective October 7, 2000, 30 Pa.B. 5138. Immediately preceding text appears at serial page (201049).

4 Pa. Code § 176.4 Restrictions on political committees.

Each political committee which receives an aggregate amount of contributions of $250 or more must satisfy the registration requirements of § § 176.1—176.3 (relating to registration of political committees; forms and filing; and change or correction in information) before such committee can make a contribution of any amount to any candidate or other political committee.

History

Authority: The provisions of this Chapter 176 issued under section 506 of The Administrative Code of 1929 (71 P. S. § 186); and section 1640 of the Pennsylvania Auction Code (25 P. S. § 3260), unless otherwise noted.
Source: The provisions of this § 176.8 amended October 6, 2000, effective October 7, 2000, 30 Pa.B. 5138. Immediately preceding text appears at serial page (201049).

4 Pa. Code § 176.5 Organization of political committees.

(a) Every political committee shall have a treasurer and a chairperson who may not be the same individual. Where there is more than one political committee authorized by a candidate to act solely on his behalf, such candidate shall designate one treasurer to receive and disburse all funds for such committees. A State, county, city, borough, township, ward or other regularly constituted party committee of any political party or political body need not secure written authorization for general, municipal or special elections. Contributions and expenditures made to or by the candidate may be deposited or expended and recorded in the candidate’s private personal account. Business accounts and partnership accounts may not be utilized as candidate campaign accounts.

(b) A political committee may designate one of the following:

(1) A vice chairperson, who shall assume the duties and responsibilities of the chairman in the event of a temporary or permanent vacancy in the office; and

(2) One of the assistant treasurers, appointed pursuant to subsection (c) who shall assume the duties and responsibilities of the treasurer in the event of a temporary or permanent vacancy in the office.

(c) The treasurer of any political committee formed on behalf of any candidate for election may appoint any number of assistant treasurers to receive and disburse moneys collected on behalf of any candidate for election. The authorization of all assistant treasurers must be in writing.

(d) No contribution or expenditure shall be accepted or made by or on behalf of a political committee at any time when there is a vacancy in the office of the treasurer or the chairman.

(e) No expenditures shall be made for or on behalf of a political committee without the authorization of its treasurer or a duly authorized assistant treasurer.

The provisions of this § 176.5 amended through June 6, 1980 effective June 7, 1980, 10 Pa.B. 2329. Immediately preceding text appears at serial page 47189.

History

Authority: The provisions of this Chapter 176 issued under section 506 of The Administrative Code of 1929 (71 P. S. § 186); and section 1640 of the Pennsylvania Auction Code (25 P. S. § 3260), unless otherwise noted.
Source: The provisions of this § 176.8 amended October 6, 2000, effective October 7, 2000, 30 Pa.B. 5138. Immediately preceding text appears at serial page (201049).

4 Pa. Code § 176.6 Receipt of contributions.

Any person who is not a candidate or a treasurer and who receives any con- tribution on behalf of a political committee or candidate shall turn such contribution over to the candidate or treasurer within ten days of its receipt with an accounting thereof, in the same manner as all contributions are to be reported. Reference should be made to § 177.2 (relating to form and content of reports).

History

Authority: The provisions of this Chapter 176 issued under section 506 of The Administrative Code of 1929 (71 P. S. § 186); and section 1640 of the Pennsylvania Auction Code (25 P. S. § 3260), unless otherwise noted.
Source: The provisions of this § 176.8 amended October 6, 2000, effective October 7, 2000, 30 Pa.B. 5138. Immediately preceding text appears at serial page (201049).

4 Pa. Code § 176.7 Records retention.

The candidate or treasurer of a political committee shall preserve all receipts, bills, accounts and all other records for a period of 5 years after such information is reported.

History

Authority: The provisions of this Chapter 176 issued under section 506 of The Administrative Code of 1929 (71 P. S. § 186); and section 1640 of the Pennsylvania Auction Code (25 P. S. § 3260), unless otherwise noted.
Source: The provisions of this § 176.8 amended October 6, 2000, effective October 7, 2000, 30 Pa.B. 5138. Immediately preceding text appears at serial page (201049).

4 Pa. Code § 176.8 Authorization of political committees.

(a) Any political committee receiving contributions on behalf of a candidate shall be authorized in writing by the candidate on the current version of Form DSEB-501, as described in § 177.9 (relating to official forms). The written authorization shall be filed with the Secretary or the respective county board of elections, as appropriate.

(b) A candidate is not required to authorize any State, county, city, borough, township, ward or other regularly constituted party committee of any political body to receive contributions on behalf of the candidate in a general, municipal or special election.

The provisions of this § 176.8 amended October 6, 2000, effective October 7, 2000, 30 Pa.B. 5138. Immediately preceding text appears at serial page (201049).

This section cited in 4 Pa. Code § 177.9 (relating to official forms).

History

Authority: The provisions of this Chapter 176 issued under section 506 of The Administrative Code of 1929 (71 P. S. § 186); and section 1640 of the Pennsylvania Auction Code (25 P. S. § 3260), unless otherwise noted.
Source: The provisions of this § 176.8 amended October 6, 2000, effective October 7, 2000, 30 Pa.B. 5138. Immediately preceding text appears at serial page (201049).

Chapter 177 Reports by Candidates, Political Committees and OtherPersons

4 Pa. Code § 177.1 General.

(a) Every political committee and candidate shall file cumulative annual Campaign Finance Reports on the current version of Form DSEB-502, as described in § 177.9 (relating to official forms).

(b) Each treasurer of a political committee and each candidate which receives contributions or makes expenditures or incurs liabilities exceeding the sum of $250 shall file Campaign Finance Reports on the current version of Form DSEB- 502, as described in § 177.9, with the Secretary or the respective county board of elections, or both.

(c) A treasurer of a political committee or a candidate which receives contributions or makes expenditures or incurs liabilities in an amount not exceeding the sum of $250 shall file a sworn statement to that effect on the current version of Form DSEB-503, as described in § 177.9, with the Secretary or the respective county board of elections, or both.

(1) Treasurers of political committees and candidates, including those who have authorized political committees, are required to file reports or statements.

(2) A treasurer of a political committee and a candidate who receives no contributions or makes no expenditures or incurs no liabilities shall file a sworn statement to that effect with the Secretary or the respective county board of elections, or both. These statements shall be filed at the reporting times prescribed in section 1626 of the Pennsylvania Election Code (25 P. S. § 3246) and § 177.3 (relating to filing dates).

(d) For purposes of this section, expenditures shall consist of the following:

(1) Printing and traveling expenses and personal expenses incident thereto, stationery, advertising, postage, expressage, freight, telegraph, telephone and public messenger service.

(2) The rental of radio facilities and amplified systems.

(3) Political meetings, demonstrations and conventions and the pay and transportation of speakers.

(4) The rent, maintenance and furnishing of offices.

(5) The payment of clerks, typewriters, stenographers, janitors and messengers actually employed.

(6) Transportation of electors to and from the polls.

(7) The employment of watchers at primaries and elections to the number and in the amount permitted by the Pennsylvania Election Code (25 P. S. § § 2600—3573).

(8) Expenses, legal counsel, incurred in good faith in connection with any primary or elections.

(9) Contributions to other political committees.

(e) The Nomination Filing Petition Fees are expenditures for the purposes of this section.

(f) Every person, other than a political committee or candidate who makes independent expenditures expressly advocating the election or defeat of a clearly identified candidate or question appearing on the ballot, other than by contribution to a political committee or candidate, in an amount exceeding the sum of $100 during a calendar year shall file Independent Expenditure Reports on the current version of Form DSEB-505, as described in § 177.9, with the Secretary or the respective county board of elections, or both.

(g) A person may not use the contents of a filed statement or report for a commercial purpose.

The provisions of this § 177.1 amended under section 201(a) of the Pennsylvania Election Code (25 P. S. § 2621(a)).

The provisions of this § 177.1 amended September 7, 1979, effective September 8, 1979, 9 Pa.B. 2998; amended October 6, 2000, effective October 7, 2000, 30 Pa.B. 5138. Immediately preceding text appears at serial pages (201051) to (201052).

This section cited in 4 Pa. Code § 177.9 (relating to official forms).

History

Authority: The provisions of this § 177.9 amended under sections 201(a) and 1640(2) of the Pennsylvania Election Code (25 P.S. § § 2621(a) and 3260(2)).
Source: The provisions of this § 177.9 amended through March 7, 1980, effective March 8, 1980, 10 Pa.B. 962; amended October 6, 2000, effective October 7, 2000, 30 Pa.B. 5138; amended September 5, 2025, effective September 6, 2025, 55 Pa.B. 6414. Immediately preceding text appears at serial pages (269260) to (269261).

4 Pa. Code § 177.2 Form and content of reports.

(a) The Campaign Finance Reports shall be filed on the current version of Form DSEB-502, which may be obtained from the Secretary or any county board of elections.

(b) The Campaign Finance Report, to be signed and sworn to by the individual submitting the report, shall include the following:

(1) The full name, mailing address, occupation and name of employer, if any, or the principal place of business, if self-employed, of each person who has made one or more contributions to or for the committee or candidate within the reporting period in an aggregate amount or value in excess of $250, together with the amount and date of the contributions. The accuracy of the information furnished to the candidate or committee shall be the responsibility of the contributor.

(2) The full name and mailing address of each person who has made one or more contributions to or for the committee or candidate within the reporting period in an aggregate amount or value in excess of $50, together with the amount and date of the contributions. The accuracy of the information furnished by the contributor shall be the responsibility of the contributor.

(3) The total sum of individual contributions made to or for the committee or candidate during the reporting period and not reported under paragraphs (1) and (2).

(4) Every expenditure, the date made, the full name and address of the person to whom made, and the purpose for which the expenditure was made. Each Campaign Finance Report of a political committee shall itemize only those expenditures made to influence the election or defeat of a candidate for nomination or election in this Commonwealth or a question appearing on the ballot in this Commonwealth and all other expenditures made outside this Commonwealth, not relevant to elections within this Commonwealth, shall be aggregated and reported as one lump sum.

(5) Unpaid debts and liabilities, with the nature and amount of each, the date incurred and the full name and address of the person owed.

(6) The account shall include an unexpended balance of contributions or other receipts appearing from the last account filed.

(7) In addition, the Independent Expenditure Reports on the current version of Form DSEB-505, as described in § 177.9 (relating to official forms), filed by persons making independent expenditures shall contain the name of the candidates or questions supported or opposed.

(1) Each candidate or committee treasurer shall retain a receipted bill from the person to whom the expenditure is made by or on behalf of the political committee or candidate in excess of $25.

(2) The receipted bill shall contain the following:

(i) The identification of the person to whom the expenditure is made.

(ii) The amount of the expenditures.

(iii) The particulars of the expenditures.

(iv) The date the expenditures were made.

(3) When a receipted bill is not available, the treasurer may retain the following:

(i) The cancelled check showing payment of the bill.

(ii) The bill, invoice or other contemporaneous memorandum of the transaction supplied to the committee by the payee containing the same information as referred to in paragraph (2).

(iii) Both.

(d) A person may inspect or copy the vouchers, or copies of vouchers, for expenditures itemized in a Campaign Finance Report by filing a written request, with the appropriate supervisor, after the filing date for the report. The supervisor shall notify the candidate or committee treasurer of the request and the candidate or committee treasurer shall either forward the vouchers, or copy of the vouchers, to the supervisor or make the vouchers, or copy of the vouchers, available to the requesting person.

(e) Each Campaign Finance Report shall contain a summary, on a separate page, of the information required by subsection (b).

(f) Each Campaign Finance Report of a political committee created solely for the purpose of influencing an election on behalf of a single candidate shall be accompanied by an affidavit of the candidate. The affidavit shall affirm that, to the best of the candidate’s knowledge, the political committee has not violated the act of October 4, 1978 (P. L. 893, No. 171).

The provisions of this § 177.2 amended under section 201(a) of the Pennsylvania Election Code (25 P. S. § 2621(a)).

The provisions of this § 177.2 amended October 3, 1980, effective October 4, 1980, 10 Pa.B. 3914; amended October 6, 2000, effective October 7, 2000, 30 Pa.B. 5138. Immediately preceding text appears at serial pages (201052) to (201054).

This section cited in 4 Pa. Code § 176.6 (relating to receipt of contributions); and 4 Pa. Code § 177.9 (relating to official forms).

History

Authority: The provisions of this § 177.9 amended under sections 201(a) and 1640(2) of the Pennsylvania Election Code (25 P.S. § § 2621(a) and 3260(2)).
Source: The provisions of this § 177.9 amended through March 7, 1980, effective March 8, 1980, 10 Pa.B. 962; amended October 6, 2000, effective October 7, 2000, 30 Pa.B. 5138; amended September 5, 2025, effective September 6, 2025, 55 Pa.B. 6414. Immediately preceding text appears at serial pages (269260) to (269261).

4 Pa. Code § 177.3 Filing dates.

(a) Preelection report. Preelection reports shall conform with the following:

(1) Candidates for Statewide offices and political committees supporting such candidates shall file an initial preelection report not later than 45 days before the election. This initial preelection report shall indicate receipts and expenditures as of 50 days before the election.

(2) Candidates for Statewide offices and political committees supporting these candidates shall file a subsequent preelection report not later than 10 days before the election. This report shall indicate receipts and expenditures as of 15 days before the election.

(3) Candidates for offices which are not Statewide and political committees supporting these candidates shall file a preelection report not later than 10 days prior to the election. This report shall indicate receipts and expenditures as of 15 days before the election.

(b) Independent expenditure report. Independent expenditure reports shall conform with the following:

(1) Persons making independent expenditures other than by contributions to a political committee or candidate in an aggregate amount in excess of $100 during a calendar year shall file preelection reports not later than 45 days and 10 days before the election in the case of Statewide elections. These reports shall indicate expenditures as of 50 days and 15 days, respectively, prior to the election.

(2) Persons making independent expenditures other than by contributions to a political committee or candidate in an aggregate amount in excess of $100 during a calendar year shall file election reports not later than 10 days prior to the election in the case of candidates or questions which are not Statewide. These reports shall indicate expenditures as of 15 days prior to the election.

(c) Postelection report. Candidates and political committees and persons who make independent expenditures and are required to file a preelection report shall also file a postelection report not later than 30 days after the election. This report shall indicate receipts and expenditures as of 20 days after the election.

(d) Late contributions and independent expenditures. Late contributions and independent expenditures reports shall conform with the following:

(1) Candidates and political committees authorized by a candidate and created solely for the purpose of influencing an election on behalf of that candidate shall report any contribution or pledge of $500 or more which is received or made after 15 days prior to the election. This report shall be made either in person or by telegram by the candidate, chairperson or treasurer within 24 hours of receipt.

(2) Persons making an independent expenditure of $500 or more after 15 days prior to the election shall make a report of that fact. This report shall be made in person or by telegram within 24 hours of the expenditure.

(e) Annual report. Annual reports shall conform with the following:

(1) Political committees and candidates are required to file a cumulative annual report on January 31 of each year, for elections, beginning January 31, 1980.

(2) The reports shall indicate receipts and expenditures as of January 15 of each year and shall be filed annually until no balance or debt remains.

(3) The political committee or candidate may file a statement indicating that there has been no change in the account since the last annual report, if that is the case.

(f) Cumulative reports. Cumulative reports shall conform with the following: Reports shall be cumulative, that is, they shall include and follow from the balance left on the previous report.

This section cited in 4 Pa. Code § 177.1 (relating to general).

History

Authority: The provisions of this § 177.9 amended under sections 201(a) and 1640(2) of the Pennsylvania Election Code (25 P.S. § § 2621(a) and 3260(2)).
Source: The provisions of this § 177.9 amended through March 7, 1980, effective March 8, 1980, 10 Pa.B. 962; amended October 6, 2000, effective October 7, 2000, 30 Pa.B. 5138; amended September 5, 2025, effective September 6, 2025, 55 Pa.B. 6414. Immediately preceding text appears at serial pages (269260) to (269261).

4 Pa. Code § 177.4 Places of filing.

(a) A candidate, individual or political committee required to file a statement or report shall file that statement or report with the Secretary where any of the following occur:

(1) The candidate, individual or political committee has filed or would have filed a nomination paper, nomination certificate or nomination petition with the Secretary. Candidates who must file with the Secretary include those for the Governor, Lieutenant Governor, the Pennsylvania General Assembly, Auditor General, State Treasurer, Attorney General, Judges of Supreme Court, Superior Court, Commonwealth Court, Courts of Common Pleas, Municipal Court, Traffic Court.

(2) The statement or report concerns a Statewide issue.

(3) The statement or report of a political committee concerns both candidates who file for nomination with the Secretary and candidates who file with a County Board of Elections.

(b) Any candidate, individual or political committee required to file a statement or report shall file that statement or report with the local County Board of Elections when any of the following occur:

(1) The candidate, individual or political committee has filed or would have filed a nomination paper, nomination certificate or nomination petition with the local County Board of Elections.

(2) The candidate resides in the county and the candidate and his political committee created solely for the purpose of influencing his election must file reports with the Secretary.

(3) The statement or report concerns any issue other than a Statewide issue.

History

Authority: The provisions of this § 177.9 amended under sections 201(a) and 1640(2) of the Pennsylvania Election Code (25 P.S. § § 2621(a) and 3260(2)).
Source: The provisions of this § 177.9 amended through March 7, 1980, effective March 8, 1980, 10 Pa.B. 962; amended October 6, 2000, effective October 7, 2000, 30 Pa.B. 5138; amended September 5, 2025, effective September 6, 2025, 55 Pa.B. 6414. Immediately preceding text appears at serial pages (269260) to (269261).

4 Pa. Code § 177.5 Residual funds.

(a) A candidate or political committee with funds remaining after it has made valid expenditures including contributions to other political committees shall use its remaining funds to reimburse the contributors on a pro rata basis.

(b) A final Annual Campaign Financial Report shall be filed by January 31, following final disbursement of residual funds.

History

Authority: The provisions of this § 177.9 amended under sections 201(a) and 1640(2) of the Pennsylvania Election Code (25 P.S. § § 2621(a) and 3260(2)).
Source: The provisions of this § 177.9 amended through March 7, 1980, effective March 8, 1980, 10 Pa.B. 962; amended October 6, 2000, effective October 7, 2000, 30 Pa.B. 5138; amended September 5, 2025, effective September 6, 2025, 55 Pa.B. 6414. Immediately preceding text appears at serial pages (269260) to (269261).

4 Pa. Code § 177.6 Late filing.

(a) Each candidate or treasurer of a political committee shall be personally liable for the late filing fees incurred as a result of the untimely filing of statements of expenditures and contributions or reports. The fee shall be computed as follows:

(1) Ten dollars for each day or part of a day excluding Sundays and holidays that a report is overdue.

(2) An additional $10 for each of the first 6 days that a report is overdue.

(3) Two hundred and fifty dollars is the maximum fee payable for a report that is overdue.

(b) Late filing fees shall be calculated until the report or statement is received by the Secretary or the respective county board of elections, or both.

(c) The Secretary or the respective county boards of elections, or both, shall receive overdue reports or statements even though the applicable late filing fees have not been paid.

(d) A certification may not be issued by the Secretary or respective county board of elections until all reports have been filed and all late filing fees have been paid.

History

Authority: The provisions of this § 177.9 amended under sections 201(a) and 1640(2) of the Pennsylvania Election Code (25 P.S. § § 2621(a) and 3260(2)).
Source: The provisions of this § 177.9 amended through March 7, 1980, effective March 8, 1980, 10 Pa.B. 962; amended October 6, 2000, effective October 7, 2000, 30 Pa.B. 5138; amended September 5, 2025, effective September 6, 2025, 55 Pa.B. 6414. Immediately preceding text appears at serial pages (269260) to (269261).

4 Pa. Code § 177.7 Notice of late filing fees and enforcement provisions.

(a) Notice. Notice of late filing fee shall conform with the following:

(1) Within 6 days following the due date for each report and statement required to be filed by this chapter, the supervisory officer will send notice to each candidate or treasurer of a political committee who failed to file the report or statement required setting forth the method for calculating late fees and indicating the current accumulated late fee liability. The notice will also state that the late fee will continue to accrue until the report is filed or until the maximum fee is reached, whichever occurs first, and that this fee is the personal liability of the candidate or treasurer. The notice will also state that failure to comply will be brought before a district justice or municipal court Judge.

(2) If a candidate or treasurer of a political committee files the required report on or before the date on which the maximum late fee accrues but still maintains a late fee liability the supervisory officer will send notice by certified mail to the candidate or treasurer within 10 days of the receipt of the report stating that the fee must be paid in full within 10 days and that failure to pay the late fee within this period will cause the records of the violation to be forwarded to the District Justice or Municipal Court Judge.

(3) If the maximum late fee accrues, the supervisory officer will, within 3 days, send notice by certified mail to the candidate or treasurer stating that information regarding this violation has been forwarded to the appropriate enforcement official with prosecutorial powers and that information regarding collection of the late fee has been forwarded to the District Justice or Municipal Court Judge.

(b) Enforcement provisions for late fees. Enforcement provisions for late fees shall conform with the following:

Information, charging violations of the late fee provisions of this chapter in such detail as the supervisory officer may prescribe as being necessary for his records, will be brought before the designated District Justice or Municipal Court Judge within the city, borough, incorporated town or township in the county where the alleged violation occurred within 20 days from the receipt of the notice sent by certified mail.

The provisions of this § 177.7 amended through September 7, 1979, effective September 8, 1979, 9 Pa.B. 2998. Immediately preceding text appears at serial page (41878).

History

Authority: The provisions of this § 177.9 amended under sections 201(a) and 1640(2) of the Pennsylvania Election Code (25 P.S. § § 2621(a) and 3260(2)).
Source: The provisions of this § 177.9 amended through March 7, 1980, effective March 8, 1980, 10 Pa.B. 962; amended October 6, 2000, effective October 7, 2000, 30 Pa.B. 5138; amended September 5, 2025, effective September 6, 2025, 55 Pa.B. 6414. Immediately preceding text appears at serial pages (269260) to (269261).

4 Pa. Code § 177.8 Certificate of filing.

No candidate shall be deemed elected nor take office until the Secretary or respective County Board of Elections certifies that all reports and statements due have been filed.

The provisions of this § 177.8 adopted April 20, 1979, 9 Pa.B. 1333.

History

Authority: The provisions of this § 177.9 amended under sections 201(a) and 1640(2) of the Pennsylvania Election Code (25 P.S. § § 2621(a) and 3260(2)).
Source: The provisions of this § 177.9 amended through March 7, 1980, effective March 8, 1980, 10 Pa.B. 962; amended October 6, 2000, effective October 7, 2000, 30 Pa.B. 5138; amended September 5, 2025, effective September 6, 2025, 55 Pa.B. 6414. Immediately preceding text appears at serial pages (269260) to (269261).

4 Pa. Code § 177.9 Official forms.

(a) The following official forms have been promulgated under the provisions in this chapter:

(1) Form DSEB-500 (Political Committee Registration Statement) as required by § § 176.1—176.3 (relating to registration of political committees; forms and filing; and change or correction in information).

(2) Form DSEB-501 (Authorization For a Political Committee To Receive Funds On Behalf of a Candidate) as required by § 176.8 (relating to authorization of political committees).

(3) Form DSEB-502 (Campaign Finance Report) as required by § § 177.1(a) and (b) and 177.2 (relating to general; and form and content of reports).

(4) Form DSEB-503 (Campaign Finance Statement) as required by § 177.1(c).

(5) Form DSEB-504 (Contributions By Non-bid Contract Recipients) as required by § 174.1 (relating to business entity).

(6) Form DSEB-505 (Independent Expenditure Report) as required by § § 177.1(f) and 177.2(b)(7).

(b) The Department also accepts campaign finance reports by means of electronic submission to the Department’s electronic filing system in lieu of a paper report provided that a cover page and signed affidavit or unsworn declaration are submitted to the Department for each campaign finance report. Information regarding electronic filing can be found on the Department’s Campaign Finance website at https://www.pa.gov/agencies/dos/programs/voting-and-elections/campaign-finance.html.

The provisions of this § 177.9 amended under sections 201(a) and 1640(2) of the Pennsylvania Election Code (25 P.S. § § 2621(a) and 3260(2)).

The provisions of this § 177.9 amended through March 7, 1980, effective March 8, 1980, 10 Pa.B. 962; amended October 6, 2000, effective October 7, 2000, 30 Pa.B. 5138; amended September 5, 2025, effective September 6, 2025, 55 Pa.B. 6414. Immediately preceding text appears at serial pages (269260) to (269261).

This section cited in 4 Pa. Code § 174.1 (relating to business entity); 4 Pa. Code § 176.2 (relating to forms and filing); 4 Pa. Code § 176.8 (relating to authorization of political committees); 4 Pa. Code § 177.1 (relating to general); and 4 Pa. Code § 177.2 (relating to form and content of reports).

History

Authority: The provisions of this § 177.9 amended under sections 201(a) and 1640(2) of the Pennsylvania Election Code (25 P.S. § § 2621(a) and 3260(2)).
Source: The provisions of this § 177.9 amended through March 7, 1980, effective March 8, 1980, 10 Pa.B. 962; amended October 6, 2000, effective October 7, 2000, 30 Pa.B. 5138; amended September 5, 2025, effective September 6, 2025, 55 Pa.B. 6414. Immediately preceding text appears at serial pages (269260) to (269261).

Chapter 178 Activities of State and National Banks, Corporations and Labor Organizations

4 Pa. Code § 178.1 Prohibitions on contributions and expenditures.

(a) Only corporations formed primarily for political purposes or as political committees may make contributions or expenditures in connection with the election of a candidate or for any political purpose.

(b) No National or State bank or an unincorporated association may make contributions or expenditures in connection with the election of a candidate or for a political purpose; except that National and State banks, corporations and unincorporated associations can make expenditures relating to questions to be voted on by the electors of the Commonwealth.

(c) No candidate or political committee or other person may knowingly receive or accept a contribution prohibited by this chapter.

(d) No officer or director of any corporation, National or State bank, or any unincorporated association shall consent to any contribution or expenditure by the corporation, National or State bank, or unincorporated association prohibited by this chapter.

History

Authority: The provisions of this Chapter 178 issued under section 506 of The Administrative Code of 1929 (71 P. S. § 186); and section 1640 of the Election Code (25 P. S. § 3260), unless otherwise noted.
Source: The provisions of this Chapter 178 adopted February 9, 1979, effective February 10, 1979, 9 Pa.B. 493, unless otherwise noted.

4 Pa. Code § 178.2 Loans by National or State banks.

(a) National or State banks may make loans in accordance with applicable banking laws and regulations in the ordinary course of business.

(b) Loans by National or State banks shall be included in the reports filed by candidates and political committees.

History

Authority: The provisions of this Chapter 178 issued under section 506 of The Administrative Code of 1929 (71 P. S. § 186); and section 1640 of the Election Code (25 P. S. § 3260), unless otherwise noted.
Source: The provisions of this Chapter 178 adopted February 9, 1979, effective February 10, 1979, 9 Pa.B. 493, unless otherwise noted.

4 Pa. Code § 178.3 Communications.

(a) A corporation may make direct private communications to its stockholders and their families on any subject.

(b) An unincorporated association may make direct private communications to its members and their families on any subject.

(c) A corporation may conduct nonpartisan registration and get-out-the-vote campaigns aimed at its stockholders and their families.

(d) An unincorporated association may conduct nonpartisan registration and get-out-the-vote campaigns aimed at its members and their families.

History

Authority: The provisions of this Chapter 178 issued under section 506 of The Administrative Code of 1929 (71 P. S. § 186); and section 1640 of the Election Code (25 P. S. § 3260), unless otherwise noted.
Source: The provisions of this Chapter 178 adopted February 9, 1979, effective February 10, 1979, 9 Pa.B. 493, unless otherwise noted.

4 Pa. Code § 178.4 Separate political funds.

Corporations and unincorporated associations may expend their own funds to establish and administer funds for political purposes.

(1) Each political fund shall be separate and segregated from any other account of the corporation or unincorporated association.

(2) Each political fund shall be created by voluntary individual contributions including those solicited by the corporation or unincorporated association.

(3) Each political fund shall be deemed to be a political committee and subject to the same requirements as political committees.

History

Authority: The provisions of this Chapter 178 issued under section 506 of The Administrative Code of 1929 (71 P. S. § 186); and section 1640 of the Election Code (25 P. S. § 3260), unless otherwise noted.
Source: The provisions of this Chapter 178 adopted February 9, 1979, effective February 10, 1979, 9 Pa.B. 493, unless otherwise noted.

Chapter 179 Lobbyists

4 Pa. Code § 179.1 Registration of lobbyists.

(a) A lobbyist who gives a contribution or pledge of any amount to a candidate shall file a Registration Statement with the Secretary or the respective County Board of Elections, as appropriate, within 20 days after the date on which the lobbyist makes the contribution or pledge.

(b) Each Registration Statement shall contain the following information:

(1) The full name, mailing address and phone number of the lobbyist.

(2) The name, address and relationship of other affiliated or connected organizations.

(3) The candidates, if any, and their names and addresses.

(4) The ballot question, if any, which the lobbyist intends to support or oppose.

(c) A change or correction in the information previously filed in the Registration Statement shall be reported within 30 days of the date of the change or within 30 days of the date on which the error is detected by filing an amended Registration Statement. The amended Registration need list only the change or correction.

History

Authority: The provisions of this Chapter 179 issued under section 506 of The Administrative Code of 1929 (71 P. S. § 186); and section 1640 of the Election Code (25 P. S. § 3260), unless otherwise noted.
Source: The provisions of this Chapter 179 adopted February 9, 1979, effective February 10, 1979, 9 Pa.B. 493, unless otherwise noted.

4 Pa. Code § 179.2 Reporting by lobbyists.

A lobbyist who gives a contribution or pledge of any amount to a candidate shall report under Chapter 177 (relating to reports by candidates, political committees and other persons).

History

Authority: The provisions of this Chapter 179 issued under section 506 of The Administrative Code of 1929 (71 P. S. § 186); and section 1640 of the Election Code (25 P. S. § 3260), unless otherwise noted.
Source: The provisions of this Chapter 179 adopted February 9, 1979, effective February 10, 1979, 9 Pa.B. 493, unless otherwise noted.

Chapter 180 Unlawful Contributions

4 Pa. Code § 180.1 Contributions by agents.

No person may make a contribution for another person, firm or corporation. Every contribution shall be made in the contributor’s own name.

History

Authority: The provisions of this Chapter 180 issued under section 506 of The Administrative Code of 1929 (71 P. S. § 186); and section 1640 of the Election Code (25 P. S. § 3260), unless otherwise noted.
Source: The provisions of this Chapter 180 adopted February 9, 1979, effective February 9, 1979, 9 Pa.B. 493, unless otherwise noted.

4 Pa. Code § 180.2 Anonymous contributions.

No candidate or political committee may disburse money received from an anonymous source. All money received from an anonymous source shall be remitted to the State Treasurer within 20 days of receipt.

History

Authority: The provisions of this Chapter 180 issued under section 506 of The Administrative Code of 1929 (71 P. S. § 186); and section 1640 of the Election Code (25 P. S. § 3260), unless otherwise noted.
Source: The provisions of this Chapter 180 adopted February 9, 1979, effective February 9, 1979, 9 Pa.B. 493, unless otherwise noted.

4 Pa. Code § 180.3 Currency contributions.

(a) No one may make currency contributions totaling more than $100 to or for the benefit of any one candidate.

(b) No candidate or political committee may accept currency contributions totaling more than $100 for the benefit of any one candidate.

History

Authority: The provisions of this Chapter 180 issued under section 506 of The Administrative Code of 1929 (71 P. S. § 186); and section 1640 of the Election Code (25 P. S. § 3260), unless otherwise noted.
Source: The provisions of this Chapter 180 adopted February 9, 1979, effective February 9, 1979, 9 Pa.B. 493, unless otherwise noted.

Chapter 181 Advertising

4 Pa. Code § 181.1 Identification.

(a) Whenever a person makes an expenditure for the purpose of financing communications expressly advocating the election or defeat of a candidate or a position on ballot questions through a broadcasting station, newspaper, magazine, outdoor advertising facility, direct mailing or other type of general public political advertising, the communication:

(1) If authorized by the candidate, his authorized political committee or their agents, shall clearly and conspicuously state that the communication has been authorized.

(2) If not authorized by a candidate, his authorized political committee or their agents, shall clearly and conspicuously state the name of the person who made or financed the expenditure for the communication, including, in the case of a political committee, the name of any affiliated or connected organization.

(b) The requirements of subsection (a) do not apply to bumper stickers, pins, buttons, pens and similar small items upon which the statement cannot be conveniently printed.

History

Authority: The provisions of this Chapter 181 issued under section 506 of The Administrative Code of 1929 (71 P. S. § 186); and section 1640 of the Pennsylvania Election Code (25 P. S. § 3260), unless otherwise noted.
Source: The provisions of this Chapter 181 adopted November 28, 1980, effective November 29, 1980, 10 Pa.B. 4466, unless otherwise noted.

Subpart E Statewide Uniform Registry of Electors

Chapter 183 Establishment, Implementation and Administration of the Statewide Uniform Registry of Electors

4 Pa. Code § 183.1 Definitions.

(a) The following words and terms, when used in this chapter, have the following meanings, unless the context clearly indicates otherwise: AVN—Address verification notice—A notice mailed by the commission to confirm that a registrant has moved from the address recorded on the registrant’s registration records. Act—25 Pa.C.S. § § 1101—3302 (relating to voter registration). Assistance—Includes entering information on a VRMA on behalf of the applicant if the applicant is unable to complete the information himself and witnessing the applicant’s mark if the applicant is unable to sign the form. If the individual assisting the applicant is an employee of a governmental agency, assistance shall include entering the agency code in the space provided for assistance and making a note of the assistance on the applicant’s Declination Form. The term does not include signing the application on behalf of the applicant. CAVN-IC—Change of address verification notice within the county—A notice mailed by the commission to determine if a registrant has moved from the address indicated on the registrant’s registration records to a different address within the same county. CAVN-OC—Change of address verification notice outside the county—A notice mailed by the commission to determine if a registrant has moved from the address indicated on the registrant’s registration records to a different address outside the county. CM—Confirmation mailing—A notice mailed by the commission to the registrants in the county, except those registrants previously marked as inactive, in which a registrant may verify or correct address information, as described at section 1901(b)(1)(ii) of the act (relating to removal of electors). Candidate—Includes both candidates for nomination and election. Canvass—The act of verifying registration records in an election district by visiting the physical location at which the registrant is registered to vote. Card—Includes any form of correspondence pertaining to voter registration. Day—A calendar day. Deceased Voters List—The list provided to the Department and the commissions by the Department of Health in accordance with section 1505(a) of the act (relating to death of registrant). Declination Form—The form on which an individual indicates his desire to register to vote or not to do so, and which is used in administering voter registration in accordance with section 1325(b) of the act (relating to government agencies). The failure to sign a PENNDOT VRA is a declination. Duplicate—A registration record for which another registration record already exists for the same registrant or applicant. Federal Voter Registration Application—An application for voter registration which is produced by the Federal government. Government agency—An office which provides voter registration applications under section 1323 of the act (relating to application with driver’s license application) and section 1325 of the act. Group 1 counties—Armstrong, Dauphin, Fayette, Franklin, Greene, Perry, Somerset, Washington and Westmoreland Counties. Group 2 counties—Carbon, Luzerne, Monroe, Montgomery, Pike, Schuylkill and Wayne Counties. Group 3 counties—Chester, Delaware, Juniata, Lehigh, Mifflin, Northampton and Philadelphia Counties. Group 4 counties—Bedford, Berks, Blair, Centre, Lancaster, Lebanon and York Counties. Group 5 counties—Clinton, Columbia, Fulton, Huntingdon, Lycoming, Snyder and Union Counties. Group 6 counties—Bradford, Crawford, Elk, Lackawanna, Montour, Potter, Sullivan, Susquehanna and Wyoming Counties. Group 7 counties—Clarion, Erie, Forest, Lawrence, Mercer, Tioga, Venango and Warren Counties. Group 8 counties—Cambria, Cameron, Clearfield, Indiana, Jefferson, McKean and Northumberland Counties. Inactive registrant—A registrant who has been mailed a notice in accordance with the act and who has not returned or otherwise responded to the notice; or a registrant who has been designated inactive in accordance with section 1901(c) of the act. NCA—Notice of change of address—A notice mailed upon receipt of information that a registrant may have moved. NCOA—National change of address—The voter removal program authorized by section 1901(b)(1)(i) of the act. PENNDOT—The Department of Transportation of the Commonwealth. Personal information—Any of the following:

(i) Name of an individual.

(ii) Address of residence and mailing address (if different than address of residence).

(iii) Date of birth.

(iv) Telephone number.

(v) Race.

(vi) Driver’s license number.

(vii) Last four digits of an individual’s Social Security number.

(viii) Federal or State employee designation, if any.

(ix) Name of municipality of residence.

(x) Identification of an individual’s ward and district.

(xi) Designation of party including the date of enrollment.

(xii) An individual’s signature or mark. Phase 1 counties—Adams, Beaver, Butler and Cumberland Counties. Phase 2 counties—Allegheny and Bucks Counties. Phase 3 counties—Group 1 counties, Group 2 counties, Group 3 counties, Group 4 counties, Group 5 counties, Group 6 counties, Group 7 counties and Group 8 counties. Resident—An individual who possesses residence in a district in accordance with section 1302 of the act (relating to residence of electors). Unique identifier—The SURE registration number required by section 1222(c)(3) of the act (relating to SURE system). VRA—Voter Registration Application—Any of the following:

(i) A VRMA.

(ii) A registration application used in accordance with section 1323 of the act.

(iii) A registration application prepared by a commission and approved by the Department for purposes of in-person voter registration in accordance with section 1322 of the act (relating to in-person voter registration).

(iv) A Federal voter registration application.

(v) A voter registration application form approved by the Secretary. VRMA—Voter registration mail application form—The Statewide voter registration application form, in accordance with section 1327(a) of the act (relating to preparation and distribution of applications), which contains:

(i) The following requests for information from applicants:

(A) Full legal name or common derivative thereof.

(B) Address of residence, including municipality of residence, in accordance with section 1302 of the act.

(D) Whether the applicant has been registered to vote in the past.

(E) Name, address and county of previous registration and the year of that registration.

(F) Designation of political party.

(G) Date of birth, which shall appear in the standard month-day-year sequence.

(H) Telephone number.

(I) Race.

(J) Sex.

(K) The question ‘‘Are you a citizen of the United States of America?’’ and boxes for the applicant to check yes or no.

(L) The question ‘‘Will you be 18 years of age on or before election day?’’ and boxes for the applicant to check yes or no.

(M) A driver’s license number.

(N) The last four digits of the applicant’s Social Security number.

(O) A registrant’s unique identifier.

(ii) The following statements or declarations from applicants:

(A) The registration declarations and affirmations required by section 1327(b) of the act.

(B) The registration statement required by section 303(b)(4)(A)(iii) of the Help America Vote Act of 2002 (42 U.S.C.A. § 15483(b)(4)(A)(iii)).

(iii) The following requests for information from any individual providing assistance to an applicant in the completion of a VRMA:

(A) Name.

(B) Address of residence.

(b) The definitions of section 1102 of the act (relating to definitions) are incorporated by reference.

The provisions of this § 183.1 adopted December 27, 2002, effective December 20, 2002, 32 Pa.B. 6339; amended December 27, 2002, effective January 27, 2003, 32 Pa.B. 6340.

History

Authority: The provisions of this Chapter 183 issued under the Pennsylvania Voter Registration Act (25 P. S. § § 961.501—961.5109), unless otherwise noted.
Source: The provisions of this § 183.18 adopted December 27, 2002, effective January 27, 2003, 32 Pa.B. 6340.

4 Pa. Code § 183.2 Schedule for connection to the SURE system.

(a) Phase 1 counties shall be connected to the SURE system by December 31, 2002.

(b) Phase 2 counties shall be connected to the SURE system by the May 20, 2003, municipal primary.

(c) Phase 3 counties shall be connected to the SURE system by the November 4, 2003, municipal election. Phase 3 counties shall be connected in the following order:

(1) Group 1.

(2) Group 2.

(3) Group 3.

(4) Group 4.

(5) Group 5.

(6) Group 6.

(7) Group 7.

(8) Group 8.

The provisions of this § 183.2 adopted December 27, 2002, effective December 20, 2002, 32 Pa.B. 6339; amended December 27, 2002, effective January 27, 2003, 32 Pa.B. 6340.

History

Authority: The provisions of this Chapter 183 issued under the Pennsylvania Voter Registration Act (25 P. S. § § 961.501—961.5109), unless otherwise noted.
Source: The provisions of this § 183.18 adopted December 27, 2002, effective January 27, 2003, 32 Pa.B. 6340.

4 Pa. Code § 183.3 Residence of applicants or registrants.

(a) The following rules shall apply in determining residence of applicants or registrants.

(1) A registrant may not claim more than one place of residency for voter registration purposes.

(2) A registrant who registers to vote at a different residence loses residence for voter registration purposes in the place of former residence.

(3) An applicant without a specific address may indicate on the map of the VRMA where the applicant lives. If the applicant has no permanent address, the applicant shall do the following:

(i) Note on the map the place where the applicant spends most of his time, which shall serve as the applicant’s residence.

(ii) Provide a mailing address, which may be a post office box, general delivery at a post office or a shelter where the applicant spends time.

(4) An applicant who is a student at an institution of higher education located within this Commonwealth, may register in the district in which the applicant resides while attending the institution.

(5) In determining eligibility under section 1301(a) of the act (relating to qualifications to register), residence begins on the day when the applicant commences to physically reside within the district and includes the day of the next election. A commission may use a copy of a current utility bill, bank statement, government check, paycheck or other government document that shows the name and address of the applicant or registrant as evidence in determining residency.

(b) A commission may accept a post office box as an address of residence only if no other address is available for an applicant.

The provisions of this § 183.3 adopted December 27, 2002, effective January 27, 2003, 32 Pa.B. 6340.

History

Authority: The provisions of this Chapter 183 issued under the Pennsylvania Voter Registration Act (25 P. S. § § 961.501—961.5109), unless otherwise noted.
Source: The provisions of this § 183.18 adopted December 27, 2002, effective January 27, 2003, 32 Pa.B. 6340.

4 Pa. Code § 183.4 Uniform procedures for the commissions relating to entering data into the SURE system.

(a) A commission shall enter information into the SURE system by typing, scanning or electronically entering the data.

(b) A commission shall enter the following information into the SURE system for a registrant or applicant:

(1) Personal information.

(2) Voting history for registrants.

(3) Agency code, if applicable.

(4) The status of the record, including pending, rejected, active/inactive, canceled and deceased.

(5) In accordance with sections 1222(c)(3) and 1328(c)(1) of the act (relating to SURE system; and approval of registration applications), the unique identification number indicated by the SURE system as the applicant’s SURE registration number.

(6) Any other information required by the Department.

(7) The date, type of correspondence to and from the commission, action or inaction by the applicant or registrant, and any subsequent action by the commission for the following mailings sent to the applicant or registrant. The scanned images of mailings sent to an applicant or registrant may not be attached to registration records in the SURE system.

(i) The NCOA in section 1901(b)(1)(i) of the act (relating to removal of electors).

(ii) The AVN.

(iii) The CM in section 1901(b)(1)(ii) of the act.

(iv) The Five Year Notice in section 1901(b)(3) of the act.

(v) The NCA.

(vi) The CAVN-IC.

(vii) The CAVN-OC.

(viii) The canvass in section 1901(b)(2) of the act.

(ix) The ‘‘Ten Day Rule’’ Notice in section 1328(c)(4)(ii) of the act (relating to approval of registration applications).

(x) The removal notices in section 1501 of the act (relating to removal notices).

(8) The voter registration source, which includes a designation of whether an applicant made application to register to vote in person, by mail, or through PENNDOT or another State agency.

(9) The application type, such as a new application, a change of name, a change of address or a change of party.

(10) Absentee voter indicator and tracking, if applicable.

(11) ‘‘Fail-safe’’ voting indicators, if applicable, as provided in section 1501(b)(2) and (3) of the act and section 1902 of the act (relating to procedure for voting following failure to return notification card).

(12) Any disability of a registrant and any assistance that may be required when voting, as provided in section 1504 of the act (relating to disability).

(13) Removal information by the registrant, if applicable, as provided in section 1501 of the act.

(14) The applicant’s or registrant’s digitized signature. If the commission does not have a digitized signature available for a registrant, the Department may utilize the digitized signature on file at PENNDOT if the registrant applied to register to vote at PENNDOT and used a digitized signature.

(1) Those attachments that enable the commission to ensure the accuracy and currency of a registrant’s registration record. The commission may not attach to a record the scanned images of correspondence it mails to an applicant or registrant.

(2) A county identifier that is different from the unique identifier and which the commission uses for internal administrative purposes only. If the registrant moves to a residence outside a commission’s jurisdiction, the new commission’s voter identification number, if any, shall supersede the previous commission’s voter identification number.

(d) Only registrars or the designees of a commission may add, modify or delete information in the commission’s registration records in the SURE system.

(e) A commission shall enter the following information into the SURE system in the manner indicated:

(1) Applications approved and accepted.

(2) Applications in process of verification.

(3) A record of rejected applications, together with a notation of the type and date of correspondence sent to rejected applicants, which shall be retained in a special file.

(4) The signature of an approved applicant.

The provisions of this § 183.4 adopted December 27, 2002, effective January 27, 2003, 32 Pa.B. 6340.

This section cited in 4 Pa. Code § 183.6 (relating to procedures for the commission relating to the process for identifying and removing duplicate records in the SURE system); 4 Pa. Code § 183.11 (relating to records); and 4 Pa. Code § 183.12 (relating to retention of records).

History

Authority: The provisions of this Chapter 183 issued under the Pennsylvania Voter Registration Act (25 P. S. § § 961.501—961.5109), unless otherwise noted.
Source: The provisions of this § 183.18 adopted December 27, 2002, effective January 27, 2003, 32 Pa.B. 6340.

4 Pa. Code § 183.5 Uniform procedures for the commissions relating to accepting or rejecting applications on the SURE system.

(a) A commission shall be responsible for making the final decision to accept or reject an applicant’s application to register to vote in accordance with section 1328 of the act (relating to approval of registration applications).

(b) A commission shall verify the signature of a registrant in the following manner:

(1) If a registrant, either in person or in writing, requests a change of name, party affiliation, or address within the same county, the commission shall attempt to verify the signature of the voter.

(2) If the commission verifies that the signature is valid and from the registrant in question, the commission shall:

(i) Make the change.

(ii) Send the registrant, by nonforwardable mail, a voter identification card that reflects the change, as provided by section 1328(c) of the act.

(3) If the commission is not satisfied that the request is from the registrant in question, the commission shall mail a notice to the applicant, directing the applicant to appear at the office of the commission to answer, under oath, any questions that the commission considers necessary. If the applicant fails to appear as directed, the commission may not make the change requested, and shall inform the applicant in writing of this decision.

(c) Except as provided at subsection (d), a commission shall use reasonable efforts to ascertain information that is necessary for voter registration and is incomplete, inconsistent or unclear on an applicant’s application form. Reasonable efforts shall include mailing a notice to the applicant or contacting the applicant by phone, if available. The commission shall notify the applicant of the reason the application could not be accepted and provide the opportunity for the applicant to complete the form.

(d) If an applicant fails to designate political party affiliation on a VRMA, the commission shall register the applicant without indicating political party affiliation, and the commission shall notify the applicant that the applicant will not be permitted to vote for candidates in a primary election.

(e) The commission need not correspond with an applicant, in accordance with section 1322 of the act (relating to in-person voter registration), if the applicant makes application to register to vote in person with the commission, and the commission rejects the application in the applicant’s presence. In accordance with section 1322(a) of the act, if the commission accepts the application, it shall mail the applicant an identification card as provided by section 1328(c) of the act.

(f) The following items on a VRMA and any other approved voter registration form are additional or optional information and may not be considered when determining the acceptance or rejection of the application as provided in section 1327(a) of the act (relating to preparation and distribution of applications):

(1) Sex.

(2) Telephone number.

(3) Race.

(4) Date.

(5) Prior registration information.

(6) Alternate mailing address.

(i) The applicant may provide an alternate mailing address, separate from the residence address. The alternate mailing address may only be used for mailing information to the applicant.

(ii) In accordance with section 1328(c) of the act, the voter identification card shall be mailed to the applicant’s address of residence.

(7) Unique identifier.

(8) The last four digits of an applicant’s Social Security number if the applicant’s driver’s license number is provided.

The provisions of this § 183.5 adopted December 27, 2002, effective January 27, 2003, 32 Pa.B. 6340.

History

Authority: The provisions of this Chapter 183 issued under the Pennsylvania Voter Registration Act (25 P. S. § § 961.501—961.5109), unless otherwise noted.
Source: The provisions of this § 183.18 adopted December 27, 2002, effective January 27, 2003, 32 Pa.B. 6340.

4 Pa. Code § 183.6 Uniform procedures for the commissions relating to the process for identifying and removing duplicate records in the SURE system.

(a) A commission shall use the following process for identifying duplicate registration records for a new application or for an existing record where a commission’s registration record contains the most recent date of application for the potential duplicate.

(1) At a minimum, a commission shall identify record matches using an applicant’s or registrant’s first and last name as well as date of birth.

(2) If, upon examining the criteria in paragraph (1), the commission believes that the record is or may be a duplicate, it shall use any of the following items, if available, to determine if the record is a duplicate:

(i) The unique identifier.

(ii) The last four digits of an applicant’s or registrant’s Social Security number.

(iii) The driver’s license number of an applicant or registrant.

(3) If, upon examining the criteria in paragraph (1), the commission believes that the record is or may be a duplicate and the criteria in paragraph (2) are not available or are incomplete, it shall examine the signature of the applicant or registrant to determine if the record is a match. If the commission believes that the signatures match, it shall follow the procedures in paragraph (6).

(4) If the following apply, the commission shall mail the registrant a request for the information in paragraph (2)(ii) and (iii):

(i) The records are within a commission’s jurisdiction.

(ii) A record match is identified under the criteria of paragraph (1).

(iii) The criteria under paragraph (2) are unavailable or incomplete.

(iv) The criteria in paragraph (3) are not determined to be a match.

(5) If a record match is identified under the criteria of paragraphs (1) and (2), the following shall apply:

(i) If the records are within a commission’s jurisdiction, the record shall be deemed a duplicate and the commission shall update its registration records to reflect information on the most recent application. If one of the records is a new application, the commission shall send a voter identification card to the applicant in accordance with section 1328(c) of the act (relating to approval of registration applications).

(ii) If the record is not within a commission’s jurisdiction, the commission shall notify the commission in the other county of the potential duplicate registration record. The commission in the former county shall cancel the registrant’s registration record and notify the registrant by nonforwardable mail on a form approved by the Department that the registrant’s registration is a duplicate and has been cancelled.

(6) If a registration record match is identified under the criteria of paragraphs (1) and (3), the following shall apply:

(ii) If the records are outside a commission’s jurisdiction, the commission shall notify the commission in the registrant’s former county of residence that the registrant’s registration record may be a duplicate. The commission shall notify the registrant by nonforwardable mail on a form approved by the Department that the registrant’s registration appears to be a duplicate. If this notice is returned by the postmaster or not returned by the registrant 30 days prior to the next election, the commission shall cancel the registrant’s registration and notify the registrant by forwardable mail. In accordance with sections 1501(b)(1) and 1901(d)(1)(i) of the act (relating to removal notices; and removal of electors), the acceptance of a subsequent application for voter registration in another county shall serve as confirmation in writing that the registrant has changed residence to a location outside the county in which the registrant was registered and thereby loses voter registration status in the former county of residence. If the registrant returns the notice and the commission is satisfied with the explanation, no further action is required by the commission.

(7) If a record match is identified under the criteria of paragraph (2)(i) or (iii), the record shall be deemed a duplicate and the following shall apply:

(i) If the records are within a commission’s jurisdiction, the commission shall update its registration records to reflect information on the most recent application. If one of the records is a new application, the commission shall send a voter identification card to the applicant in accordance with section 1328(c) of the act.

(ii) If the records are outside a commission’s jurisdiction, the commission shall notify the commission in the registrant’s former county of residence that the registrant’s registration record is a duplicate and should be cancelled. The commission in the former county shall cancel the registrant’s registration record and notify the registrant by nonforwardable mail on a form approved by the Department that the registrant’s registration is a duplicate and has been cancelled.

(8) If the following apply, the commission may not consider the records as duplicates without additional information. A commission shall obtain additional information by following the procedures in subsection (c) and other procedures the commission deems appropriate.

(i) A registration record match is identified under the criteria of paragraph (1).

(ii) The criteria under paragraph (2) are unavailable or incomplete.

(iii) The criteria under paragraph (3) are not determined to be a match.

(b) A commission shall use the following process for identifying existing duplicate registration records where a commission’s registration record does not contain the most recent date of application for the potential duplicate:

(1) At a minimum, record matches shall be identified using a registrant’s first and last name as well as date of birth.

(i) The unique identifier.

(ii) The last four digits of a registrant’s Social Security number.

(iii) The driver’s license number of a registrant.

(3) If, upon examining the criteria in paragraph (1), the commission believes that the record is or may be a duplicate and the criteria in paragraph (2) are not available or are incomplete, it shall examine the signature of the registrant to determine if the record is a match. If the commission believes that the signatures match, it shall follow the procedures in paragraph (5).

(4) If a record match is identified under the criteria of paragraphs (1) and (2), the commission shall cancel the registrant’s registration record and notify the registrant by nonforwardable mail on a form approved by the Department that the registrant’s registration is a duplicate and has been cancelled.

(5) If a registration record match is identified under the criteria of paragraphs (1) and (3), the following shall apply:

(ii) If the records are outside a commission’s jurisdiction, the commission shall notify the commission in the registrant’s former county of residence that the registrant’s registration record may be a duplicate. The commission shall notify the registrant by nonforwardable mail on a form approved by the Department that the registrant’s registration appears to be a duplicate. If this notice is returned by the postmaster or not returned by the registrant 30 days prior to the next election, the commission shall cancel the registrant’s registration and notify the registrant by forwardable mail. In accordance with sections 1501(b)(1) and 1901(d)(1)(i) of the act, the acceptance of a subsequent application for voter registration in another county shall serve as confirmation in writing that the registrant has changed residence to a location outside the county in which the registrant was registered and thereby loses voter registration status in the former county of residence. If the registrant returns the notice and the commission is satisfied with the explanation, no further action is required by the commission.

(6) If a record match is identified under the criteria in paragraph (2)(i) or (iii), the record shall be deemed a duplicate and the commission shall cancel the registrant’s registration record and notify the registrant by nonforwardable mail on a form approved by the Department that the registrant’s registration is a duplicate and has been cancelled.

(7) If the following apply, the commission may not consider the records duplicates without additional information. A commission shall obtain additional information by following the procedures in subsection (c) and other procedures the commission deems appropriate:

(i) A registration record match is identified under the criteria of paragraph (1).

(ii) The criteria under paragraph (2) are unavailable or incomplete.

(iii) The criteria under paragraph (3) are not determined to be a match.

(c) A commission shall use the following method for obtaining additional information to identify duplicate registration records. The commission shall ask a registrant for the following information when the commission mails an applicant or registrant correspondence relevant to the maintenance and accuracy of the voter registration records, including mailings listed under § 183.4(b)(7) (relating to uniform procedures for the commissions relating to entering data into the SURE system) or request for additional information from an applicant:

(1) The registrant’s driver’s license number.

(2) The last four digits of a registrant’s social security number.

(3) Verification of the registrant’s date of birth.

(4) Missing information that is required on the district or general register.

(d) A commission shall use the following methods for removing duplicate registration records from other sources:

(1) The commission shall implement the following processes for identifying matches on records containing death notices received from the Department of Health, in accordance with section 1505 of the act (relating to death of registrant):

(i) The Department will transmit the Deceased Voters List to the county of residence on the SURE system.

(ii) If the record matches the first and last name, date of birth, and the last four digits of the registrant’s Social Security number, the commission shall cancel the registrant’s registration record. If the record matches at least the first and last name and date of birth, the commission shall investigate. In its investigation, the commission may utilize the other sources available at section 1505(b) of the act to determine if the record should be cancelled.

(iii) Once a month, the commission shall run a check against the SURE system to determine if the Department of Health Deceased Voter’s List contains information on voters registered in its county.

(iv) The commission shall process the Deceased Voter’s List within 10 days of its receipt and cancel the registration of those registrants that it determines are deceased in accordance with section 1505 of the act.

(v) Except as provided at section 1505(b) of the act, a commission cannot remove a registrant simply because an individual, other than an employee of the office of the register of wills, claims that the registrant has moved or died. The commission shall have the documentation listed in section 1505(b) of the act before removing any name from the voter registration list.

(2) A commission shall implement the following processes for identifying record matches on changes of address received from PENNDOT:

(i) The commission shall compare the records to its registration records on the SURE system.

(ii) The commission shall determine if the individual is a registrant in its county.

(iii) The commission shall determine from the SURE system if the change of address is within the jurisdiction of the commission or outside the jurisdiction of the commission.

(A) For address changes within the commission’s jurisdiction, the commission shall mail a voter identification card, in accordance with section 1328 of the act, within 10 days of its receipt. Changes of address made after the voter registration deadline preceding an election shall be processed within 10 days after the election.

(B) For address changes outside the commission’s jurisdiction, the SURE system will notify the county of prior residence. The former commission will process the changes in accordance with section 1323(c)(4) of the act (relating to application with driver’s license application) and forward the registrant’s record and voting history to the new county of residence if the record is within the former commission’s jurisdiction. A commission shall process the transfer within 10 days in accordance with section 1328 of the act. Changes of address made after the voter registration deadline preceding an election shall be processed within 10 days after the election.

(iv) If the voter identification card in subparagraph (iii)(A) is returned by the postmaster, the commission shall use the following procedures:

(A) The commission shall complete the applicable items on the AVN and mail it to the registrant at the new address. The commission shall mail the AVNs first class, forwardable, return postage guaranteed. The commission shall mark the registrant’s registration record as inactive.

(B) If the registrant does not return the CAVN-IC within 10 days, the commission shall process the change of address, making the necessary corrections in the general and district registers.

(C) If the registrant returns the CAVN-IC, signed and dated, with an explanation of why the registrant’s address should not be changed for voter registration purposes and the commission is satisfied with the explanation, the commission may not change the address.

(D) If the postmaster returns the CAVN-IC, the commission shall complete the applicable information on the AVN and mail it to the registrant’s former address in accordance with section 1901(d)(2) of the act. Because this notice was sent as a result of information submitted by the registrant to PENNDOT and as a result of mail being returned by the postmaster as undeliverable, the commission shall check both corresponding boxes at the top of the notice.

(E) If the registrant returns the AVN, signed and dated, 30 days before the election, confirming the change of address, the commission shall update the registrant’s voter registration record accordingly, in accordance with section 1901(d)(3) of the act.

(F) If the registrant returns the AVN, signed and dated, 30 days before the election, with an explanation of why the registrant’s address should not be changed for voter registration purposes and the commission is satisfied with the explanation, the commission shall update the registrant’s voter registration record and mark it as active.

(G) The commission shall require a written affirmation before it permits an inactive registrant to vote in an election during the time period beginning with the date the AVN is mailed and ending on the day after the date of the second General Election for Federal office that occurs after the date of the notice. If the registrant does not vote in an election during that period, the commission shall cancel the registrant’s registration.

(v) If the commission determines that a registrant listed on the PENNDOT Change of Address report has changed his address to another county and is a registered elector in the county, the commission shall use the following procedures:

(A) The commission shall mail the CAVN-OC to the registrant at the new address. The Commission shall mail the CAVN-OCs first class, nonforwardable, return postage guaranteed.

(B) If the registrant does not return the CAVN-OC within 10 days, the commission shall cancel the registration in its county and transfer the registrant’s voter registration record, including voting history, to the county to which the registrant has changed the registrant’s address. The commission shall send to the registration office in the county of the registrant’s new residence the information needed to process the transferred registration record including the registrant’s new address.

(C) If the registrant returns the CAVN-OC, signed and dated, with an explanation of why the registrant’s address should not be changed for voter registration purposes and the commission is satisfied with the explanation, the commission may not change the address, and the voter registration records shall remain in the county.

(D) If the postmaster returns the CAVN-OC, the commission shall complete the applicable information on the AVN and mail it to the registrant’s former address in accordance with section 1901(d)(2) of the act. Because this notice was sent as a result of information submitted by the registrant to PENNDOT and as a result of mail being returned by the postmaster as undeliverable, the commission shall check both corresponding boxes at the top of the notice. The commission shall name the registrant’s voter registration record as inactive.

(E) If the registrant returns the AVN, signed and dated, 30 days before the election, confirming the change of address, the commission shall cancel the registrant’s voter registration. The commission shall maintain the record for 5 years in accordance with section 1904(a) of the act.

(G) The commission shall require a written affirmation before it permits a registrant to vote in an election during the time beginning with the date the AVN is mailed and ending on the day after the date of the second General Election for Federal office that occurs after the date of the notice. If the registrant does not vote in an election during that period, the commission shall cancel the registrant’s registration.

(vi) If the commission determines that registrants identified on the PENNDOT Change of Address Report have changed their residence to another state and are registered voters in the county, the commission shall implement the following procedures:

(A) The commission shall complete the applicable information on the AVN and mail it to the registrant’s former address in accordance with section 1901(d)(2) of the act. The commission shall check the box at the top of the notice indicating that the notice was sent as a result of information submitted by the registrant to PENNDOT. The commission shall mark the registrant’s registration record as inactive.

(B) If the registrant returns the AVN, signed and dated, 30 days before the election, confirming the change of address, the commission shall cancel the registrant’s voter registration. The commission shall maintain the record for 5 years in accordance with section 1904(a) of the act (relating to files).

(C) If the registrant returns the AVN, signed and dated, 30 days before the election, with an explanation of why the registrant’s address should not be changed for voter registration purposes and the commission is satisfied with the explanation, the commission shall update the registrant’s registration record and mark it as active.

(D) The commission shall require a written affirmation before it permits a registrant to vote in an election during the time period beginning with the date the AVN is mailed and ending on the day after the date of the second General Election for Federal office that occurs after the date of the notice. If the registrant does not vote in an election during that period, the commission shall cancel the registrant’s registration.

(3) A commission shall implement the following processes for identifying matches on records obtained from a NCOA conducted by the commission in accordance with section 1901(b)(1)(i) of the act:

(i) Within 1 year of certification by the Secretary that all counties have been connected to the SURE system, and at least once per year thereafter, the Department will purchase the NCOA list.

(ii) The Department will compare the list to the SURE system database.

(iii) The SURE system will determine if the data contains a registered voter, and, if so, in what county.

(iv) The Department will notify the commission of the address change.

(v) The commission shall send appropriate mailings in accordance with section 1901(b)(1) of the act.

(vi) The commission shall maintain the status of the mailing and response, including the dates, on the SURE system.

(vii) The commission, if it chooses, may purchase the NCOA list for processing this voter removal program.

(4) A commission shall identify matches on records for changes of address within the same county based on information obtained from the NCOA program, in accordance with section 1901(b)(1)(i) of the act. In the case of registrants whose mailing is not returned by the United States Postal Service (Postal Service), the commission is not required to take any further action. If a mailing to a registrant is returned by the Postal Service, the commission shall categorize the returned mail into one of two categories: returned mail with information from the Postal Service indicating a change of address within the county and returned mail with information from the Postal Service indicating a change of address outside the county or with no further address information available.

(i) The commission shall update the registrant’s voter registration records to indicate the new address. The commission shall complete a NCA and send it to the registrant’s prior address by forwardable mail with a postage prepaid preaddressed return form.

(ii) If the registrant returns the NCA, signed and dated, verifying the change of address, the commission is not required to take any further action because the registrant’s voter registration records have already been updated.

(iii) If the registrant returns the NCA, signed and dated, with an explanation of why the registrant’s address should not be changed for voter registration purposes and the commission is satisfied with the explanation, the commission shall correct the voter registration records accordingly.

(iv) If the postmaster returns the NCA or if the registrant does not return the NCA, the commission shall complete, mark and mail an AVN to the registrant’s former address in accordance with section 1901(d)(2) of the act.

(v) If the registrant returns the AVN, signed and dated, 30 days before the election, confirming the change of address, the commission is not required to take any further action because the registrant’s voter registration records have already been updated.

(vi) If the registrant returns the AVN, signed and dated, 30 days before the election, with an explanation of why the registrant’s address should not be changed for voter registration purposes and the commission is satisfied with the explanation, the commission shall correct the voter registration records accordingly.

(vii) If the registrant does not return the AVN 30 days before the election or if it is returned by the Postal Service as undeliverable, the commission shall mark as inactive the registrant’s voter registration card or mark the individual’s record on the SURE system as inactive. The cards and records marked as inactive shall constitute the inactive file of registered voters for the county. The commission shall include these cards with the other registration cards sent to the precincts on election day.

(viii) The commission shall require a written affirmation before it permits an inactive registrant to vote in an election during the time beginning with the date the AVN is mailed and ending on the day after the date of the second General Election for Federal office that occurs after the date of the notice. If the registrant does not vote in an election during that period, the commission shall cancel the registrant’s registration.

(5) A commission shall implement the following procedures for identifying matches on records to an address outside the county obtained from a NCOA, in accordance with section 1901(b)(1)(i) of the act. In the case of registrants whose mailing is not returned by the Postal Service, the commission is not required to take any further action. If a mailing to a registrant is returned by the Postal Service, the commission shall categorize the returned mail into one of two categories: returned mail with information from the Postal Service indicating a change of address within the county and returned mail with information from the Postal Service indicating a change of address outside the county or with no further address information available.

(i) The commission shall complete the applicable information on the NCA and send it to the registrant’s prior address by forwardable mail with a postage prepaid preaddressed return form by which the registrant may verify or correct the address information as required by section 1901(b)(1)(ii) of the act.

(ii) If the registrant returns the NCA, signed and dated, verifying the change of address, the commission shall cancel the registrant’s voter registration.

(iii) If the registrant returns the NCA, signed and dated, with an explanation of why the registrant’s address should not be changed for voter registration purposes and the commission is satisfied with the explanation, the commission may not change the registrant’s voter registration.

(iv) If the postmaster returns the NCA or if the registrant does not return the NCA, the commission shall complete, mark and mail an AVN, to the registrant’s former address in accordance with section 1901(d) of the act.

(v) If the registrant returns the AVN, signed and dated, 30 days before the election, confirming the change of address, the commission shall cancel the registrant’s voter registration.

(vii) If the registrant does not return the AVN 30 days before the election or if it is returned by the Postal Service as undeliverable, the commission shall mark as inactive the registrant’s voter registration card. The commission shall include the cards with the other registration cards sent to the precincts on election day.

(6) The commission may, as one of its mandatory voter removal programs, establish a program to maintain the accuracy of voter registration records for the county by sending a direct, nonforwardable first class ‘‘Return If Undeliverable—Address Correction Requested’’ mailing to the registrants in the county whose registration records are not marked as inactive. A commission shall implement the following procedures for identifying matches on records where the commission ascertains that a registrant has changed his address to an address within the county based on information supplied by the postmaster from a returned CM, conducted by the commission in accordance with section 1901(b)(1)(ii) of the act:

(i) The commission shall update the registrant’s voter registration records to indicate the new address. The commission shall complete the applicable information on the NCA and send it to the registrant’s prior address by forwardable mail with a postage prepaid preaddressed return form by which the registrant may verify or correct the address information, as required by section 1901(b)(1) of the act.

(vii) If the registrant does not return the AVN 30 days before the election or if it is returned by the Postal Service as undeliverable, the commission shall mark the record as inactive on the registrant’s voter registration card. The cards marked as inactive shall constitute the inactive file of registered voters for the county. The commission shall include these cards with the other registration cards sent to the precincts on election day.

(viii) The commission shall require a written affirmation before it permits an inactive registrant to vote in an election during the time period beginning with the date the AVN is mailed and ending on the day after the date of the second General Election for Federal office that occurs after the date of the notice. If the registrant does not vote in an election during that period, the commission shall cancel the registrant’s voter registration

(7) A commission shall implement the following procedures for identifying matches on records where the commission ascertains that a registrant has changed his address to an address outside the county based on information supplied by the Postal Service from a returned CM, conducted by the commission in accordance with section 1901(b)(1)(ii) of the act, or if no further address information is available:

(ii) If the registrant returns the NCA, signed and dated, verifying the change of address, the commission shall cancel the registrant’s voter registration.

(iii) If the registrant returns the NCA, signed and dated, with an explanation of why the registrant’s address should not be changed for voter registration purposes and the commission is satisfied with the explanation, the commission may not change the registrant’s voter registration.

(iv) If the postmaster returns the NCA or if the registrant does not return the NCA, the commission shall complete and mail an AVN to the registrant’s former address in accordance with section 1901(d) of the act.

(v) If the registrant returns the AVN, signed and dated, 30 days before the election, confirming the change of address, the commission shall cancel the registrant’s voter registration.

(vii) If the registrant does not return the AVN 30 days before the election or if it is returned by the Postal Service as undeliverable, the commission shall mark inactive the registrant’s voter registration card. The commission shall include these cards with the other registration cards sent to the precincts on election day.

(8) A commission shall report duplicate applications in categories according to the agency or method by which the duplicate was generated.

The provisions of this § 183.6 adopted December 27, 2002, effective January 27, 2003, 32 Pa.B. 6340.

This section cited in 4 Pa. Code § 183.11 (relating to records).

History

Authority: The provisions of this Chapter 183 issued under the Pennsylvania Voter Registration Act (25 P. S. § § 961.501—961.5109), unless otherwise noted.
Source: The provisions of this § 183.18 adopted December 27, 2002, effective January 27, 2003, 32 Pa.B. 6340.

4 Pa. Code § 183.7 Uniform procedures for the commissions relating to the manner and time frame for updating information in the sure system.

(a) The following information shall be processed within 14 days of receipt by the commission:

(1) Initial PENNDOT applications.

(2) VRMAs.

(3) PENNDOT changes of address from the Department.

(4) PENNDOT changes of address transferred from other counties.

(5) Correspondence from registrants according to voter removal programs in accordance with section 1901 of the act (relating to removal of electors).

(6) Transfers in accordance with section 1502 of the act (relating to transfer of registration).

(7) The Deceased Voter’s List received from the Department of Health in accordance with section 1505 of the act (relating to death of registrant).

(8) Other updates to a registrant’s record.

(b) After 10 days, if an envelope containing a voter identification card is returned as undeliverable, the commission shall investigate, in accordance with section 1328(c)(5) of the act (relating to approval of registration applications). When processing in-person voter registration applications, the commission may not provide a voter identification card on the day of application. The commission shall mail the voter identification card to the applicant’s address to verify that mail can be received by the applicant at the address on the application form, as required by section 1328(c) of the act.

The provisions of this § 183.7 adopted December 27, 2002, effective January 27, 2003, 32 Pa.B. 6340.

This section cited in 4 Pa. Code § 183.12 (relating to retention of records).

History

Authority: The provisions of this Chapter 183 issued under the Pennsylvania Voter Registration Act (25 P. S. § § 961.501—961.5109), unless otherwise noted.
Source: The provisions of this § 183.18 adopted December 27, 2002, effective January 27, 2003, 32 Pa.B. 6340.

4 Pa. Code § 183.8 Uniform procedures for the commissions relating to the manner and form of communications between commissions and between the Department and a commission.

(a) After the Secretary certifies that all counties have been connected to the SURE system, the commissions shall use the SURE system as the primary means of communication between the commissions.

(b) Once the Secretary certifies that all counties have been connected to the SURE system, the SURE system shall serve as the primary means of communication between the Department and a commission with regard to voter registration.

The provisions of this § 183.8 adopted December 27, 2002, effective January 27, 2003, 32 Pa.B. 6340.

History

Authority: The provisions of this Chapter 183 issued under the Pennsylvania Voter Registration Act (25 P. S. § § 961.501—961.5109), unless otherwise noted.
Source: The provisions of this § 183.18 adopted December 27, 2002, effective January 27, 2003, 32 Pa.B. 6340.

4 Pa. Code § 183.9 Training requirements for the commissions and their employees.

(a) Registrars, employees and clerks of a commission who are responsible for voter registration shall attend the Department’s initial training sessions on the SURE system according to the SURE implementation schedule prior to the commission’s connection to the SURE system. Upon completion of the initial training, attendees will be certified by the Department. The Department will notify the commission at least 2 weeks prior to its training session.

(b) In addition to the training required in subsection (a), registrars and the employees and clerks of a commission who are responsible for voter registration may be required to complete additional training at other times and places as determined by the Department.

The provisions of this § 183.9 adopted December 27, 2002, effective January 27, 2003, 32 Pa.B. 6340.

History

Authority: The provisions of this Chapter 183 issued under the Pennsylvania Voter Registration Act (25 P. S. § § 961.501—961.5109), unless otherwise noted.
Source: The provisions of this § 183.18 adopted December 27, 2002, effective January 27, 2003, 32 Pa.B. 6340.

4 Pa. Code § 183.10 Standardized forms.

(a) A commission shall use the following forms only in a form prepared or approved by the Department:

(1) The VRMA.

(2) Blank voter registration application forms, which a private organization or individual may print at its expense, provided that the form, content and copy have received prior approval from the Department, in accordance with section 1327(a)(8) of the act (relating to preparation and distribution of applications).

(3) Voter identification card.

(4) Rejection notice.

(5) Confirmation notice.

(6) District registers generated by the SURE system that are sent to polling places on election day.

(7) All forms prepared by the Department or generated by the SURE system.

(b) The following forms will be approved by the Department:

(1) The motor vehicle voter registration application form to be used by PENNDOT.

(2) The declination form to be used by voter registration agencies.

(3) Removal Notices.

(1) Notarization or other formal authentication

(2) Any additional information, other than the information necessary to enable election officials to:

(i) Determine the eligibility of the applicant.

(ii) Administer voter registration and other parts of the election process.

(d) Applications for official absentee ballots shall:

(1) Contain the information required by 1302(b) of the Pennsylvania Election Code (25 P. S. § 3146.2(b)).

(2) Be on a form prescribed by the Department or on a form approved in advance by the Department.

(e) Correspondence and forms from a commission to an applicant or registrant that contain confidential information, including information listed in § 183.14(c) (relating to public information lists), shall be designed to protect the confidentiality of the information sent and requested.

(f) This section does not apply to Federal voter registration applications.

The provisions of this § 183.10 adopted December 27, 2002, effective January 27, 2003, 32 Pa.B. 6340.

History

Authority: The provisions of this Chapter 183 issued under the Pennsylvania Voter Registration Act (25 P. S. § § 961.501—961.5109), unless otherwise noted.
Source: The provisions of this § 183.18 adopted December 27, 2002, effective January 27, 2003, 32 Pa.B. 6340.

4 Pa. Code § 183.11 Records.

(a) A commission shall implement the following procedures for general registers:

(1) After a commission is connected to the SURE system, the general register of the commission shall be the SURE system, which shall be the official register for the commission.

(2) The general register shall contain:

(i) The information required in section 1401(a) of the act (relating to general register).

(ii) The status of the registrant and only one sample copy of the removal notices mailed to registrants under section 1501 of the act (relating to removal notices), responses sent by the registrant and a record of dates including the date the mailing was sent and the date the registrant responded to the commission.

(iii) The status of the registrant and only one sample copy of the removal notices or list maintenance notices mailed to registrants under section 1901 of the act (relating to removal of electors), responses sent by the registrant, and a record of dates including the date the mailing was sent, the date the registrant responded to the commission and the action taken by the commission.

(b) The district register, which is located on the SURE system, shall contain:

(1) The information required in section 1402 of the act (relating to district registers).

(2) The bar code of the registrant.

(3) The political party enrollment of the registrant.

(4) The date of birth of the registrant.

(5) The SURE registration number of the registrant.

(6) An indication of whether the registrant’s status is active or inactive.

(1) The names and addresses of the registrants to whom any information mailings, including notices referenced in § § 183.4(b)(7) and 183.6 (relating to uniform procedures for the commissions relating to entering data into the SURE system; and uniform procedures for the commissions relating to the process for identifying and removing duplicate records in the SURE system), are mailed.

(2) Information concerning whether or not the registrant responded to the mailing as of the date the records are inspected.

(3) A copy of the sample mailing sent to the applicant or registrant.

(4) The list used to generate the mailing.

(d) Information on the general and district registers shall be accessible for public inspection and copying in accordance with § § 183.13 and 183.14 (relating to accessibility to street lists; and public information lists).

(e) Immediately after an election, a commission shall examine the district and general registers to determine the accuracy of both registers in accordance with section 1402(f) of the act. The commission shall compare the signature of an elector on the district register used in the election with the signatures on file in the district and general registers. As a result of this comparison, if the commission suspects fraud, impersonation or forgery, the commission shall report in writing to the district attorney any evidence or indication of the discrepancy. If an election officer recorded an elector as removed, deceased or challenged and prevented the elector from voting, the commission shall investigate and make appropriate corrections to the general and district registers in accordance with the act.

(f) A commission shall follow the procedures in this chapter for inactive records of registrants.

(1) The commission shall make an inactive record active when the registrant responds to the mailing that designated the registrant as inactive, votes at an election, registers again, reports a change of name, address, telephone number or political party affiliation, or in some way contacts the commission.

(2) A commission shall send inactive records to the polls on election day.

(3) A commission shall allow an inactive voter to vote, sign petitions, and have the other privileges of a registered voter.

(4) A commission is not required to send mailings in accordance with section 1901 of the act to inactive voters.

The provisions of this § 183.11 adopted December 27, 2002, effective January 27, 2003, 32 Pa.B. 6340.

History

Authority: The provisions of this Chapter 183 issued under the Pennsylvania Voter Registration Act (25 P. S. § § 961.501—961.5109), unless otherwise noted.
Source: The provisions of this § 183.18 adopted December 27, 2002, effective January 27, 2003, 32 Pa.B. 6340.

4 Pa. Code § 183.12 Retention of records.

(a) Maintenance and destruction of forms used by government agencies to provide voting information.

(1) The declination form shall be preserved in the agency for 22 months from the date the agency receives it.

(2) The agency shall forward the completed voter registration application form to the appropriate commission in accordance with sections 1323(c) and 1325(f) of the act (relating to application with driver’s license application; and government agencies), as appropriate. The applicant may request that the agency submit the completed voter registration application form on the applicant’s behalf.

(b) Maintenance and destruction of the district register.

(1) A commission shall preserve the district registers for each election used prior to the commission’s connection to the SURE system 5 years after the commission is connected to the SURE system, after which time, the commission shall destroy the district register.

(2) After a commission is connected to the SURE system, the commission shall use the district registers generated by the SURE system as the district registers are updated on the SURE system.

(1) After a commission is connected to the SURE system, it shall transfer data from any new voter registration cards it receives to the SURE system within 14 days in accordance with § 183.7 (relating to uniform procedures for the commission relating to the manner and time frame for updating information in the SURE system).

(2) The commission shall maintain voter registration cards it receives after connection to the SURE system for 90 days after one general or municipal election.

(d) Maintenance and destruction of other records:

(1) A commission shall maintain the records that a commission attached to a registrant’s record in accordance with § 183.4(c)(1) (relating to uniform procedures for the commissions relating to entering data into the SURE system) for 90 days after the registrant votes in any primary or election.

(2) A commission shall maintain for 2 years the following records, after which time, the commission shall destroy the records:

(i) One original of a list maintenance mailing made in accordance with section 1901 of the act (relating to removal of electors). This list shall include one example of the items in the mailing and a list of the recipients of the mailing. The commission shall make this list available for public inspection and copying in accordance with § 183.14 (relating to public information lists).

(ii) All returned mailings from registrants under section 1901 of the act, time-stamped and arranged by district and alphabetically by last name. The commission shall note the status of the response in the registrant’s record on the SURE system within 10 days of its receipt. The commission shall make this list available for public inspection and copying in accordance with the provisions of § 183.14. However, the signature of a registrant may not be photocopied.

(iii) All miscellaneous records concerning activities conducted for the purpose of determining the accuracy of official lists of registered voters.

(iv) Records relative to mailings and responses to mailings conducted in accordance with section 1501 of the act (relating to removal notices).

(v) The Deceased Voters List containing the name, address, date of birth and date of death of registrants in accordance with section 1505 of the act (relating to death of registrant).

(vi) Lists of the names of registrants who were mailed notices prior to cancellation of their voter registration, in accordance with section 1405(b)(2) of the act (relating to retention of records).

(vii) Records in accordance with section 1405(b)(1) of the act.

(3) A commission shall maintain the following records for 5 years, after which time, the commission shall destroy the records:

(i) All records of registrants whose voter registration has been cancelled. In accordance with section 1904(a) of the act (relating to files), a commission shall remove registration records pertaining to a registrant whose registration is cancelled. The commission shall mark on the registration records of a cancelled registrant the word ‘‘cancelled’’ and the date and cause of cancellation. Removed records shall be retained separate from registrants for 5 years, after which time, the commission shall no longer maintain removed records of cancelled registrants.

(ii) Affidavits, affirmations, declarations and other records relative to cancelled registrants.

(iii) Records referenced in subsection (c)(2) and paragraph (1).

(iv) PENNDOT Change of Address Reports, Transaction Control Sheets and the other miscellaneous records relative to activities conducted for the purpose of determining the accuracy of the official list of registrants.

(v) Except as provided in paragraph (2)(ii), records relative to mailings conducted in accordance with section 1901 of the act (relating to removal of electors).

(vi) Affirmations and other records relative to section 1902 of the act (relating to procedure for voting following failure to return notification card).

(vii) Voter Registration Activity Reports forwarded from the county voter registration offices to the Department in accordance with section 1406 of the act (relating to reports).

(viii) Other nonessential miscellaneous voter registration records as determined by the commission.

(ix) Voter registration totals.

(4) A commission shall retain its paper voter registration records relative to the conversion to the SURE system until January 1, 2005, or until the Secretary has certified that the commission is converted to the SURE system, whichever comes first. After this date or the certification, the commission shall destroy its paper records within 90 days.

(5) A commission shall retain permanently minutes of meetings of the commission for administrative, legal and historical purposes.

The provisions of this § 183.12 adopted December 27, 2002, effective January 27, 2003, 32 Pa.B. 6340.

History

Authority: The provisions of this Chapter 183 issued under the Pennsylvania Voter Registration Act (25 P. S. § § 961.501—961.5109), unless otherwise noted.
Source: The provisions of this § 183.18 adopted December 27, 2002, effective January 27, 2003, 32 Pa.B. 6340.

4 Pa. Code § 183.13 Street lists.

(a) Not later than 15 days before an election, a commission shall prepare and add information from the SURE system for an election district a list of the names and addresses of its registrants as of that date who reside in the district. The list will reflect voter activity reported to the commission within 30 days preceding an election. The commission shall prepare updates to the list on at least a biweekly basis. The list shall be arranged in the following manner as requested:

(1) By streets and house numbers.

(2) Alphabetically by last name of the registrant.

(3) In a manner whereby the location of the registrant’s residence can be identified.

(b) A commission shall retain two copies of the street list, enter the data on the SURE system and send a copy of the list to the Department, in accordance with section 1403(b) of the act (relating to street lists).

(c) Street lists will be available for public inspection and copying at the Department and the commissions during business hours, subject to reasonable safeguards, including but not limited to:

(1) A commission and the Department will maintain a form prescribed by the Department that includes the name, address of record and telephone number of an individual who inspects or obtains a copy of the list, as well as verification that a commission or Department official confirmed the identification of the individual requesting access to the street list or its duplication. This form will not be available for public inspection or copying.

(2) Before inspecting the street list or obtaining names of registrants or other information from the list, an individual shall provide identification to the public official having custody of the street list and shall state in writing on a form prescribed by the Department that any information obtained from the list will not be used for purposes unrelated to elections, political activities or law enforcement, as required by section 1404(b)(3) and (c)(2) of the act (relating to public information lists).

(3) No individual inspecting the street list may tamper with, alter, destroy or remove it from the premises of the commission or the Department.

(4) A commission and the Department will require that a commissioner, or an authorized commission or Department employee is able to observe the record or document at all times while it is being inspected and safeguard it against alteration, destruction or removal.

(5) The following items may not be made available for public inspection or copying:

(i) The signature of a registrant in an electronic format, as provided in section 1403(a) of the act.

(ii) The identity of a voter registration agency through which a qualified registrant is registered, as provided by 42 U.S.C.A. § 1973gg-6(a)(6), known as the National Voter Registration Act.

(iii) The registrant’s unique identifier, driver’s license number and the last four digits of a registrant’s Social Security number.

(6) During SURE system conversion periods or emergency conditions, access to the list may be postponed temporarily.

(d) The Department and a commission will distribute the street list upon request free of charge to the following entities:

(1) Officials concerned with the conduct of elections.

(2) Political parties and political bodies.

(3) Candidates.

(e) As provided at section 1403(d) of the act, the Department or a commission may distribute the street list to organized bodies of citizens for a reasonable fee, determined by the office providing the copies, which shall include the cost of reproduction and postage, when the list will be mailed to an organized body of citizens.

(f) The Department and a commission will supply, as provided in subsections (d) and (e), the street list in a paper copy or in an electronic format.

(g) The street list may not be published on the Internet.

The provisions of this § 183.13 adopted December 27, 2002, effective January 27, 2003, 32 Pa.B. 6340.

This section cited in 4 Pa. Code § 183.11 (relating to records).

History

Authority: The provisions of this Chapter 183 issued under the Pennsylvania Voter Registration Act (25 P. S. § § 961.501—961.5109), unless otherwise noted.
Source: The provisions of this § 183.18 adopted December 27, 2002, effective January 27, 2003, 32 Pa.B. 6340.

4 Pa. Code § 183.14 Public information lists.

(a) Subject to the exceptions in subsection (c), a commission or the Department will provide replies to inquiries concerning individual registrants that are submitted on a form prescribed by the Department. The list will reflect voter activity reported to the commission and the Department within 30 days preceding an election. The commission and the Department will prepare updates to the list on at least a biweekly basis. With respect to the inquiry, the commission or the Department will provide the following information:

(1) The name of the registrant.

(2) The address of the registrant.

(3) The date of birth of the registrant.

(4) The voting history of the registrant.

(b) A commission and the Department will make copies of the public information lists available for public inspection during business hours, subject to reasonable safeguards, including:

(1) A commission and the Department will maintain a form prescribed by the Department that includes the name, address and telephone number of an individual who inspects or obtains a copy of the public information list, as well as verification that a commission or Department official confirmed the identification of the individual requesting access to the list or its duplication. This form will not be available for public inspection or copying.

(2) No individual inspecting the public information list may tamper with, alter, destroy or remove it from the premises of a commission or the Department.

(3) A commission and the Department will require that a commissioner or an authorized commission or Department employee is able to observe the record or document at all times while it is being inspected and safeguard it against alteration, destruction or removal.

(4) No individual who inspects the public information list, obtains a copy of the public information list or who acquires names of registrants from the list may use the information contained in the list for purposes unrelated to elections, political activities or law enforcement, as required by section 1404(b)(3) and (c)(2) of the act (relating to public information lists).

(5) Before inspecting the public information list or obtaining names of registered electors or other information from the list, the individual shall provide identification to the public official having custody of the public information list and shall state in writing on a form prescribed by the Department that any information obtained from the list will not be used for purposes unrelated to elections, political activities or law enforcement, as required by section 1404(b)(3) and (c)(2) of the act.

(1) The signature of a registrant or applicant, as provided at section 1404(a) of the act.

(2) The identity of a voter registration agency through which a registrant is registered, as provided by 42 U.S.C.A. § 1973gg-6(a)(6), known as the National Voter Registration Act.

(3) The registrant’s unique identifier, a registrant’s or applicant’s driver’s license number and the last four digits of a registrant’s or applicant’s Social Security number.

(4) The home addresses of the following categories of applicants or registrants submitting proof of their employment, who may provide an alternate mailing address, such as an office address, under section 1327(a)(1)(iii) of the act (relating to preparation and distribution of applications), which the commission shall then make available to the public on public information lists. A commission shall adopt procedures designed to ensure that the confidentiality of these home addresses is maintained. A commission shall inform the Department of the home address designated as confidential under this section. A request may be submitted at any time and shall be subject to renewal in accordance with subsection (f).

(i) ‘‘Peace officers,’’ as defined in 18 Pa.C.S. § 501 (relating to definitions), including ‘‘parole officers,’’ as defined in the act of August 6, 1941 (P. L. 861, No. 323) (61 P. S. § 331.27) and ‘‘Federal law enforcement officers,’’ as defined in 18 U.S.C.A. § 115(c)(1);

(ii) ‘‘Correctional employees,’’ as defined in section 2 of the Police Officer, Firefighter, Correction Employee and National Guard Member Child Beneficiary Education Act (24 P. S. § 7202), and correction officers, as defined in 71 Pa.C.S. § 5102 (relating to definitions).

(iii) ‘‘Judicial officials,’’ as defined in 18 Pa.C.S. § 4953.1(c) (relating to retaliation against prosecutor or judicial official) and United States judges, as defined in 18 U.S.C.A. § 115(c)(3).

(iv) All state prosecutors, as defined at 18 Pa.C.S. § 4953.1(c), and investigators employed by prosecutors, including prosecutors and investigators employed by the Attorney General.

(5) The home addresses of the following categories of applicants, qualified electors or registrants, who may apply in writing on a form approved by the Department to the commission to be permitted to provide an alternate mailing address, such as an office address, under section 1327(a)(1)(iii) of the act, which the commission shall then make available to the public on public information lists. The commission, in determining whether to grant the request for confidentiality of the home address, shall consider the explanation provided, review the documentation submitted and verify, to the extent possible, the veracity of the explanation and documentation. Once a commission decides to make the home address of a registrant confidential, the commission shall promptly inform the registrant and the Department of the home address designated as confidential under this section. A commission shall adopt procedures for ensuring that the confidentiality of the home addresses of these registrants is maintained. A request may be submitted at any time and shall be subject to renewal in accordance with subsection (f).

(i) Individuals who have received Protection from Abuse orders for their own personal safety, in accordance with 23 Pa.C.S. § § 6102 and 6108 (relating to definitions; and relief).

(ii) Individuals who have been granted a protection order due to being stalked, or who have been a victim of the crime of stalking when the defendant has been convicted of stalking, as defined in 18 Pa.C.S. § 2709(b) (relating to harassment and stalking).

(iii) Other individuals who can demonstrate that their personal safety is endangered by revealing their home address.

(6) The Deceased Voters List, which is received by the commission from the Department of Health in accordance with section 1505 of the act (relating to death of registrant).

(d) For those registrants choosing to provide an alternate mailing address under subsection (c)(4) and (5) and for those registrants granted permission by the commission to provide an alternate mailing address, a commission shall inform the registrants that they shall notify the commission within 30 days of any change in their status and the consequences for their failure to do so. If a registrant does not inform the commission within 30 days of a change in the registrant’s status, the commission may publish the registrant’s home address on a public information list without following the requirements in subsection (f). The commission shall review at least biannually the home addresses designated as confidential under this section and report to the registrant and the Department any changes that it makes to these records. The commission and its employees shall be immune from prosecution if they negligently release the confidentiality of a home address for those registrants listed in subsection (c)(4) and (5).

(e) The commission shall grant access to a registrant’s home address that is considered confidential under subsection (c)(4) or (5), if the information is requested by a law enforcement agency or Federal or State court.

(f) If a commission decides to rescind the confidentiality of a home address for a registrant based upon information received from the registrant provided under subsection (d), the commission shall notify the registrant and provide the registrant the opportunity to do one of the following:

(1) Address the commission in writing or in person.

(2) Rescind the registrant’s voter registration.

(g) When a commission rejects an application under subsection (f), the registrant may appeal the decision to the court of common pleas in the county in which the registrant resides.

(h) During SURE system conversion periods or emergency conditions, access to the list may be postponed temporarily.

(i) Within 10 days of receiving a written request accompanied by the payment of the cost of reproduction and postage, the Department or a commission will distribute the public information list to any registrant in this Commonwealth for a reasonable fee, determined by the office providing the copies, as provided by section 1404(c)(1) of the act (relating to public information lists).

(j) The Department and a commission will supply the public information list in a paper copy or in an electronic format.

(k) The list may not be published on the Internet.

The provisions of this § 183.14 adopted December 27, 2002, effective January 27, 2003, 32 Pa.B. 6340.

This section cited in 4 Pa. Code § 183.10 (relating to standardized forms); 4 Pa. Code § 183.11 (relating to records); and 4 Pa. Code § 183.12 (relating to retention of records).

History

Authority: The provisions of this Chapter 183 issued under the Pennsylvania Voter Registration Act (25 P. S. § § 961.501—961.5109), unless otherwise noted.
Source: The provisions of this § 183.18 adopted December 27, 2002, effective January 27, 2003, 32 Pa.B. 6340.

4 Pa. Code § 183.15 Government agency voter registration procedures.

(a) Those agencies designated in section 1325(a) of the act (relating to government agencies) shall comply with the following requirements.

(1) A voter registration agency shall post in a conspicuous place in its offices a sign that indicates that an individual may register to vote in that office.

(2) An agency shall provide VRMA forms to individuals with an application, reapplication and application for recertification, renewal or change of address in the agency office or during home visits. The agency shall assist in completing the VRMA unless assistance is refused, and collect and forward the completed VRMAs to the appropriate commission. VRMAs need not be provided if the individual declines to apply to register to vote. The applicant may submit the VRMA to his commission of residence or request that the agency submit the voter registration application to the applicant’s commission of residence.

(3) At an agency, a registrant may change the registrant’s name, address or political party affiliation on the VRMA.

(4) The information required by the VRMA to register to vote shall be printed legibly in ink.

(5) A voter registration agency may not accept a VRMA that includes any erasure of, or line drawn through, information provided by the applicant relating to the applicant’s political party affiliation.

(6) A voter registration agency shall include with a VRMA or group of VRMAs that are transmitted to the county clerk or registrar of voters a transmittal form as prescribed and provided by the Department.

(7) Agency employees assisting with voter registration applications may not influence the applicant’s political preference, display partisan allegiance, discourage registration, alter benefits or imply that benefits will be altered based on registration.

(8) The identity of the agency where an applicant applies for voter registration may not be disclosed to the public.

(9) The designated agency shall transmit a completed VRMA to the appropriate commission within 10 days after it is received unless it was received within 5 days before the registration deadline, in which case it shall be transmitted not later than 5 days of its receipt.

(10) Any individual may obtain and complete a VRMA at a public assistance agency but the agency shall only include in specific totals reported to the Department those individuals who are making application, reapplication and application for recertification, renewal or change of address in the agency office or during home visits.

(b) Those agencies designated in section 1325(a) of the act shall assist interested individuals in making application to register to vote by complying with the following requirements.

(1) When an individual does any of the following—make an application, reapplication, application for recertification, renewal or change of address—the agency representative shall ask the individual: ‘‘If you are not registered to vote where you live now, would you like to apply to register to vote here today?’’

(2) The agency representative shall inform the individual that applying to register or declining to register to vote will not affect the availability or degree of assistance that will be provided by the agency.

(3) The agency representative shall give the individual a Declination Form, ask the individual to read it carefully, and assist the individual in completing the Declination Form if requested (the Declination Form contains important information for the individual and records the individual’s decision about whether the individual wants to apply to register to vote at that time).

(i) If the individual does not want to register to vote, the agency representative shall ask the individual to mark the ‘‘No’’ box and have the individual sign and date the Declination Form. If the individual is already registered to vote, the agency representative shall have the individual also mark the box ‘‘No, I am already registered to vote where I live now.’’ If the individual refuses to mark any boxes or otherwise complete the form, the agency may consider the refusal to be a decision not to apply to register to vote at this time and shall note this on the Declination Form, along with the individual’s name and address.

(ii) If the individual wants to register to vote, the agency representative shall ask the individual to mark the ‘‘Yes’’ box and to sign and date the Declination Form. The agency representative shall then give the individual a VRMA.

(4) The agency representative shall assist the individual in completing the VRMA, unless the individual refuses the assistance. The agency representative shall offer the individual the same degree of assistance in completing the VRMA and Declination Form as is provided by the agency with regard to the completion of its own forms, unless the individual refuses assistance. The agency representative shall inform the individual that he may complete the VRMA in the agency’s office or take it home to complete. The applicant may submit the VRMA to the applicant’s commission of residence or request that the agency submit the VRMA to the applicant’s commission of residence. If the applicant decides to complete the VRMA at the applicant’s home, the applicant may mail the VRMA directly to the appropriate commission office at the applicant’s own expense or return it to the agency at a later date.

(5) The agency shall mark the VRMA forms with the code assigned to its agency. The agency site coordinator will instruct agency representatives what the agency’s code is. The various codes are preprinted in the top left-hand corner of the return address portion of the VRMA form. The agency representative shall circle or place a mark on the agency’s code before giving the form to the individual, regardless of whether the individual completes it in the agency office or takes it home to complete.

(6) If the agency representative determines that an application the representative receives from an applicant is illegible, the representative shall cause a computer-generated copy of the information contained in the records to be attached to the application.

(7) The agency shall send the completed application form to the appropriate commission office according to where the applicant resides.

(8) Declination forms shall be destroyed after 22 months from the date of their creation.

(9) A voter registration agency shall, in cooperation with the county clerk or registrar of voters, conduct training programs once every 6 months to familiarize the employees of the agency with the required procedures for registering applicants through the agency.

(10) A voter registration agency shall maintain a record of the transmittal of an application to the county clerk or registrar of voters in accordance with the agency’s schedule for the retention and disposal of records.

(c) In accordance with section 1323 of the act (relating to application with driver’s license application), applications for a motor vehicle driver’s license or renewal will, if the applicant so desires, serve as an application for voter registration or an update to a previous application. The application used includes the information contained on an official voter registration application including the voter eligibility requirements, an attestation by the applicant with a signature under penalty of perjury that the applicant meets the eligibility requirements, and the penalty for submitting a false voter registration application.

(d) A State agency shall comply with the standards for confidentiality of voter registration records as set forth in the act and in this chapter.

The provisions of this § 183.15 adopted December 27, 2002, effective January 27, 2003, 32 Pa.B. 6340.

History

Authority: The provisions of this Chapter 183 issued under the Pennsylvania Voter Registration Act (25 P. S. § § 961.501—961.5109), unless otherwise noted.
Source: The provisions of this § 183.18 adopted December 27, 2002, effective January 27, 2003, 32 Pa.B. 6340.

4 Pa. Code § 183.16 Commission and government agency voter registration requirements.

(a) A commission and a government agency office, including those offices in section 1325(a) of the act (relating to government agencies), shall comply with the following requirements regarding the VRMA forms:

(1) Have Statewide VRMAs available during normal office hours.

(2) Mail a Statewide VRMA promptly in response to an applicant’s request.

(3) Have these forms available at the locations where commission personnel are conducting in-person registration.

(4) Maintain on hand an adequate number of current Statewide VRMAs.

(5) After new Statewide VRMAs are printed and the previous forms are depleted, replace the previous forms with the new forms.

(b) A commission and a government agency office shall notify the Department of any change of address of the county voter registration commission or agency office.

The provisions of this § 183.16 adopted December 27, 2002, effective January 27, 2003, 32 Pa.B. 6340.

History

Authority: The provisions of this Chapter 183 issued under the Pennsylvania Voter Registration Act (25 P. S. § § 961.501—961.5109), unless otherwise noted.
Source: The provisions of this § 183.18 adopted December 27, 2002, effective January 27, 2003, 32 Pa.B. 6340.

4 Pa. Code § 183.17 Reports to the Department.

(a) A commission shall provide information required under this section by March 1 of each year to the Department on a form prescribed by the Department.

(b) The report shall consist of the following:

(1) The total number of registrants.

(2) The total number of voter registration applications submitted to the commission from the following categories: in person, PENNDOT, mail, agencies and other means.

(3) The total number of duplicate voter registration applications submitted to the commission from the following categories: in person, PENNDOT, mail, agencies and other means.

(4) The total number of valid voter registration applications submitted to the commission from the following categories: in person, PENNDOT, mail, agencies and other means.

(5) The number of PENNDOT changes of address to an address within the county, to an address outside the county and the total number of both.

(6) The total number of registrants who were marked inactive during the reporting period.

(7) The total number of registrants whose registration records are marked inactive.

(8) The total number of notices sent by the commission in accordance with section 1901(d)(2) of the act (relating to removal of electors) and the number of responses from registrants.

(9) The total number of registrants whose registration records were cancelled under Chapter 19 of the act (relating to provisions contingent on federal law) excluding those marked inactive.

(10) The total number of registrants whose registration records were cancelled in accordance with the May 1998 Settlement of Statutory Claims.

(11) The total number of notices sent by the commission in accordance with section 1901 of the act.

(12) The total number of voter registration records transferred to other commissions.

(13) Additional information, as determined by the Secretary, that would assist the Department in assessing the administration of voter registration and elections in the Commonwealth.

The provisions of this § 183.15 adopted December 27, 2002, effective January 27, 2003, 32 Pa.B. 6340.

History

Authority: The provisions of this Chapter 183 issued under the Pennsylvania Voter Registration Act (25 P. S. § § 961.501—961.5109), unless otherwise noted.
Source: The provisions of this § 183.18 adopted December 27, 2002, effective January 27, 2003, 32 Pa.B. 6340.

4 Pa. Code § 183.18 Enforcement authority of the Department.

(a) The Department will review the compliance of the 67 commissions and those responsible for providing voter registration opportunities under the act. If an audit is conducted during a calendar year, the Department will make a public report on the audit which will be included in the annual report to the General Assembly on compliance with the act. The Department will require responses and clarification from a commission, or any entity required to provide voter registration under the act, for the Secretary to determine if the commission or any entity is in compliance with any part of the act. The Department will have complete access to the registration records for monitoring and enforcing compliance with the act or this chapter. A commission shall supply the Department with the relevant documents concerning an inquiry within 10 days of receipt of the Department’s inquiry. If a commission fails to respond or provides an incomplete response, the Secretary may take the actions specified in Chapter 18 of the act (relating to enforcement). If the Secretary determines that a commission is not in compliance, the Secretary may take the actions specified in Chapter 18 of the act. The investigations and materials provided, except those required to remain confidential according to the act and this chapter, shall be available during and after the inquiry, for public inspection and shall be maintained for 2 years. The Department will require the commission to be in full compliance no later than 30 days preceding an election.

(b) The Department will investigate the complaints filed with the Department regarding a commission’s compliance with the act or this chapter, and the Secretary may take the actions specified in Chapter 18 of the act.

(c) If a commission does not comply with the act or this chapter, the Secretary may take the actions specified in Chapter 18 of the act.

The provisions of this § 183.18 adopted December 27, 2002, effective January 27, 2003, 32 Pa.B. 6340.

History

Authority: The provisions of this Chapter 183 issued under the Pennsylvania Voter Registration Act (25 P. S. § § 961.501—961.5109), unless otherwise noted.
Source: The provisions of this § 183.18 adopted December 27, 2002, effective January 27, 2003, 32 Pa.B. 6340.

Subpart F Redistricting

Chapter 191 Alteration of Local Election Districts

4 Pa. Code § 191.1 Definitions.

(a) The following words and terms, when used in this chapter, have the following meanings, unless the context clearly indicates otherwise: Boundaries—The physical requirements for the resulting election district boundaries as set forth in the Pennsylvania Election Code (25 P. S. § § 2601—3554). The requirements relating to congressional and legislative districts are set forth in section 506 of the Pennsylvania Election Code (25 P. S. § 2706). Bureau—The Bureau of Commissions, Elections and Legislation. Report—A record, which includes a map and a verbal description, of the boundaries of each resulting district after an election district has been established, abolished, divided, consolidated or altered, which shall be filed by a county board of elections with the Bureau under the Pennsylvania Election Code relating to alterations of election districts after the period of restriction.

(b) The definitions in sections 102 and 535 of the Pennsylvania Election Code (25 P. S. § § 2602 and 2745), are incorporated by reference.

This section cited in 4 Pa. Code § 191.2 (relating to procedures for implementing alteration of local election districts).

History

Authority: The provisions of this Chapter 191 issued under section 540 of the act of November 24, 1999 (P. L. 543, No. 51) (25 P. S. § 2750), unless otherwise noted.
Source: The provisions of this Chapter 191 adopted June 12, 2009, effective June 13, 2009, 39 Pa.B. 2947, unless otherwise noted.

4 Pa. Code § 191.2 Procedures for implementing alteration of local election districts.

(a) Within 30 days of an alteration, the county board of elections shall submit a report, as defined in § 191.1(a) (relating to definitions), to the Bureau either electronically or in paper form.

(b) The report shall be submitted to the Bureau at least 45 days prior to a primary or an election. If the county board of elections does not submit the report at least 45 days prior to the primary or election, the election district alteration may not be implemented until the next primary or election.

(1) Maps of:

(i) The resulting districts.

(ii) The previous districts.

(2) Verbal description of:

(i) The resulting districts.

(ii) The previous districts.

(3) A signed court order approving the resulting districts.

(4) A description of the reasons for the alteration, including precinct splits, mergers, renaming of districts or boundary changes.

The provisions of this § 191.3 (relating to procedures for implementing the outcome of alteration of local election districts).

History

Authority: The provisions of this Chapter 191 issued under section 540 of the act of November 24, 1999 (P. L. 543, No. 51) (25 P. S. § 2750), unless otherwise noted.
Source: The provisions of this Chapter 191 adopted June 12, 2009, effective June 13, 2009, 39 Pa.B. 2947, unless otherwise noted.

4 Pa. Code § 191.3 Procedures for implementing the outcome of alteration of local election districts.

(a) The county board of elections or voter registration commission shall enter the outcome of the alteration in the Statewide Uniform Registry of Electors (SURE), only after it has completed all of the procedures outlined in § 191.2 (relating to procedures for implementing atteration of local election districts).

(b) If a county alters the election district of an elector, the county board of elections shall send that elector a new voter identification card, as provided in 25 Pa.C.S. § 1328(c)(2) (relating to approval of registration applications).

History

Authority: The provisions of this Chapter 191 issued under section 540 of the act of November 24, 1999 (P. L. 543, No. 51) (25 P. S. § 2750), unless otherwise noted.
Source: The provisions of this Chapter 191 adopted June 12, 2009, effective June 13, 2009, 39 Pa.B. 2947, unless otherwise noted.

4 Pa. Code § 191.4 Procedures for reporting election results.

The county board of elections shall report election results for each election district within the county either electronically in the format prescribed by the Secretary of the Commonwealth or on the paper form provided by the Secretary of the Commonwealth.

History

Authority: The provisions of this Chapter 191 issued under section 540 of the act of November 24, 1999 (P. L. 543, No. 51) (25 P. S. § 2750), unless otherwise noted.
Source: The provisions of this Chapter 191 adopted June 12, 2009, effective June 13, 2009, 39 Pa.B. 2947, unless otherwise noted.

Chapter 193 Court Ordered Material

4 Pa. Code § 193.1 Congressional Districts; Textual Description of Pennsylvnaia Supreme Court’s Remedial Plan—February 2018.

Pursuant to Order of the Pennsylvania Supreme Court, notice is hereby given of the textual description, as prepared by the Legislative Data Processing Center, of the Remedial Plan for Congressional Districts adopted by the Pennsylvania Supreme Court on February 19, 2018.

Part X State Employees’ Retirement Board

Chapter 241 Preliminary Provisions

4 Pa. Code § 241.1 Definitions.

The following words and terms, when used in this part, have the following meanings, unless the context clearly indicates otherwise: Active member—Employees on intervening military service or studying under a Federal grant as defined in section 5302(b) of the code (relating to credited State service) provided the member, in all cases, makes contributions while in the service. Actuarially equivalent—Annuities of equal present value determined by multiplying the annual amount of the annuity by the appropriate cost factor for an annuity of $1 based on mortality tables currently adopted and used by the Board. Annuitant—A member on or after the effective date of retirement who was formerly a State employee, excluding a beneficiary or survivor annuitant. Basic contribution rate—The rate shall be 5%, except that in no case may a member be required to contribute, excluding contributions for Social Security integration credit, at a rate greater than the member’s contribution rate on March 1, 1974. This rate may not be applicable to those who became members of the System prior to June 1, 1948, at age 26 or younger who did not, under prior law, elect additional coverage (SSI). It shall be applicable to those in the joint coverage group except that the appropriate offset factor shall be deducted on earnings covered by Federal Social Security. Beneficiary—The person or persons, as defined in 1 Pa.C.S. § 1991 (relating to definitions), last designated in writing to the Board by a member to receive the member’s accumulated deductions or a lump sum benefit upon the death of the member. Board—The State Employees’ Retirement Board required under the code to administer the System. Code—71 Pa.C.S. § § 5101—5956 (relating to State Employees’ Retirement Code). Compensation—Limited to salary or wages received for services performed as an employee, but excluding monies received for bonuses, cash awards or similar emoluments. Date of termination of service—The last day of service for which an active member makes contributions; or in the case of an inactive member on leave without pay, the date of resignation or the date employment is formally discontinued by the employer; or the date a member is placed on furlough. Effective date of disability retirement—The date following the last day for which compensation was paid or the date on which the member filed an effective application for disability benefits, whichever is later. Final average salary—In the case of a part-time employee, the salary shall be annualized by multiplying the employee’s actual earnings by the reciprocal of the fractional portion of full time compensation or the percentage of service credit earned, whichever is higher, during nonoverlapping periods of 4 consecutive calendar quarters during which the member was a State employee. Inactive member—A member who is on furlough and has elected to leave his accumulated deductions in the fund at statutory interest during the furlough period. The furlough period may not exceed 1 year. Member’s annuity—Determined by dividing the member’s regular accumulated deductions and Social Security integration accumulated deductions by the cost of a $1 annuity factor based on the member’s nearest age and sex at the effective date of retirement and computed on the basis of statutory interest and the mortality tables adopted and used by the Board. Optional alternate retirement program—An independent retirement program limited to certain designated employees and officers of the Pennsylvania State University, Indiana University, the State Colleges and the Department of Education, as shall be approved by the governing body of the institution or the Secretary of Education, as the case may be. Statutory interest—As applied to a member’s contributions, means interest at 4% per annum compounded annually which shall be calculated as follows: the sum of the balance of the accumulated deductions at the conclusion of the previous year and the mean balance of the current year’s contributions multiplied by 4% times the fractional part of year for which the contributor was a member, including one on leave without pay subsequent to July 1, 1974. System—The State Employees’ Retirement System of Pennsylvania as established by the act of June 27, 1923 (P. L. 858, No. 331), and codified by the act of June 1, 1959 (P. L. 392, No. 78), and this title. Vestee—A member with ten or more eligibility points who has terminated State service and has elected to leave his total accumulated deductions in the fund and to defer receipt of an annuity, provided the election is made within 90 days after the effective date of termination of service. In absence of an election, a terminated State employee is not entitled to vest. The employee shall, however, be eligible to file for an annuity benefit or return of accumulated contributions as they stood at termination of service, at a later date, but is not eligible for death benefits beyond 90 days after termination of service or the accumulation of interest beyond the date of termination of service. In the event the employee applies for an annuity, it shall take effect upon filing of the application.

The provisions of this § 241.1 amended under 71 Pa.C.S. § 5902(h), unless otherwise noted.

The provisions of this § 241.1 amended March 12, 1976, 6 Pa.B. 449; amended May 26, 2006, effective May 27, 2006, 36 Pa.B. 2515; amended February 19, 2010, effective February 20, 2010, 40 Pa.B. 971. Immediately preceding text appears at serial pages (319933) to (319935).

Compensation

‘‘Bonuses’’ should be interpreted narrowly in order to comply with both the language and the purpose of the statute. Beardsley v. State Employes’ Retirement Board, 691 A.2d 1016 (Pa. Cmwlth. 1997).

Court awards given to an individual for the breach of an employment contract provision on rehiring is considered compensation for the time period of the breach and will be credited as wages for the services that would have been performed during that period. Miller v. State Employee’s Retirement System, 626 A.2d 679 (Pa. Cmwlth. 1993).

Scope

Although not per se invalid, this section should only be utilized in determining the effective date of retirement in retirement annuity cases and was therefore inapplicable to State employes’ determination of temporary disability claim. Kern v. State Employes’ Retirement Board, 541 A.2d 1185 (Pa. Cmwlth. 1988).

This section cited in 4 Pa. Code § 243.6 (relating to creditable nonstate service).

History

Authority: The provisions of this § 241.1 amended under 71 Pa.C.S. § 5902(h), unless otherwise noted.
Source: The provisions of this § 241.1 amended March 12, 1976, 6 Pa.B. 449; amended May 26, 2006, effective May 27, 2006, 36 Pa.B. 2515; amended February 19, 2010, effective February 20, 2010, 40 Pa.B. 971. Immediately preceding text appears at serial pages (319933) to (319935).

Chapter 243 Membership, Credited Service, Classes of Service andEligibility for Benefits

4 Pa. Code § 243.1 Conditions of mandatory and optional membership.

The Commonwealth employes listed in section 5301(a)(1)—(11) of the code (relating to mandatory and optional membership) shall have the option to elect membership or nonmembership in the System. The election of membership or nonmembership is irrevocable and shall be final and binding in the absence of an interruption to Commonwealth service. The election shall be made within 30 days of the effective date of employment.

The provisions of this § 243.1 amended October 15, 1976, 6 Pa.B. 2565. Immediately preceding text appears at serial page (25937).

History

Source: The provisions of this § 243.14 adopted March 12, 1976, 6 Pa.B. 449.

4 Pa. Code § 243.2 Temporary or seasonal employes.

(a) In those cases where an individual is employed on a temporary basis with a predetermined date of termination which is less than one year, although that may occur more than 100 days or 750 hours after the initial date of employment, such employe shall not be eligible for membership based thereon. Such employe shall not be prohibited from purchasing such service in the future should he become a permanent employe. This provision shall be inapplicable to provisional employes since that term pertains to civil service and not retirement.

(b) All employes hired to perform services on a permanent basis, as defined in the personnel rules, irrespective of the category of the position which they currently occupy, whether temporary or not, shall be deemed Commonwealth employes for retirement purposes. In all cases of doubt, the Board will determine whether a particular individual is eligible for membership. Persons who are members of the System by virtue of complying with any of the minimums established in section 5301(a) of the code (relating to mandatory and optional membership) shall not be disqualified from continuing membership by virtue of a change in the method of compensation.

The provisions of this § 243.2 amended March 12, 1976, 6 Pa.B. 449. Immediately preceding text appears at serial page (18751).

Annual Survey of Selected Court Decisions: Labor and Employment Law: Simmonds v. State Employes’ Retirement System, Hensel, Susan. 6 Widener J. Public L. 811 (1997).

History

Source: The provisions of this § 243.14 adopted March 12, 1976, 6 Pa.B. 449.

4 Pa. Code § 243.3 Optional alternate retirement program.

School employees, limited to certain designated employees and officers of The Pennsylvania State University, Indiana University of Pennsylvania, the State System of Higher Education and the Department of Education, shall be permitted to join an optional alternate retirement program in lieu of membership in the system. The program shall be an independent retirement program approved by the employing agency head, provided that the employer is not contributing at a rate greater than that provided in section 5508(b) of the code (relating to actuarial cost method).

The provisions of this § 243.3 amended April 15, 2005, effective April 16, 2005, 35 Pa.B. 2275. Immediately preceding text appears at serial page (245700).

History

Source: The provisions of this § 243.14 adopted March 12, 1976, 6 Pa.B. 449.

4 Pa. Code § 243.4 Credited State service.

(a) In the case of a member who withdraws his total accumulated deductions, his membership and service credits shall be cancelled.

(b) Credited State service shall be available to a member on leave without pay on March 1, 1974, or thereafter, who is studying under a Federal Grant approved by the head of his department; provided the program of study is job related. The application for credit shall be approved by the head of the department stating the statutory basis for the Federal Grant and guaranteeing employer contributions for the service. Credited State service shall also be granted mem-bers on leave without pay for service rendered to the Federal Government or another State or local government under the act of January 5, 1971 (Pub. L. No. 91—648) (5 U.S.C.A. § § 3371—3376); provided, that the member, in both cases, returns from the leave without pay status to State service for at least 1 year, and further provided that the member is not entitled to retirement credits or benefits for such service from any other governmental agency. The Board shall be provided with assurances that the department, which grants the leaves, shall pay the employer contributions required under section 5507 of the code (relating to contributions by the Commonwealth and other employers) in addition to the requirement that the employe pay the regular member contributions required by the member under section 5501 of the code (relating to regular member contributions for current service). The service will not be credited in excess of 2 years under any circumstances.

(c) From and after January 1, 1976, in computing credited State service of a member for the determination of benefits, a member will receive credit for 1 year of State service for being employed and contributing based thereon for a period of 1,650 hours. If a member is employed and contributes therefore for less than 1,650 hours, he will be credited with a fractional portion of a year which corresponds to the number of hours compensated in relation to 1,650 hours.

(d) Intervening military service will be disallowed or cancelled in those instances where the required military tour of duty has been voluntarily extended beyond the time of military obligation, with or without the implied or express consent of the employing agency.

(e) If the Board finds that any State service has been improperly credited, it will cause the credit to be cancelled and accumulated deductions attributable thereto refunded to the member.

The provisions of this § 243.4 amended March 12, 1976, 6 Pa.B. 449. Immediately preceding text appears at serial page (18752).

This section cited in 4 Pa. Code § 243.10 (relating to eligibility for annuities).

History

Source: The provisions of this § 243.14 adopted March 12, 1976, 6 Pa.B. 449.

4 Pa. Code § 243.5 Retention and reinstatement of service credits.

In the event of a subsequent return to State service of a former member whose membership has been cancelled, any reinstatement of former credited service will be without social security integration supplement credits, regardless of any supplemental coverage previously credited. Any State employe who discontinues his service and does not withdraw his total accumulated deductions and who was a member of a class of service, other than Class A, prior to March 1, 1974, shall retain his membership in that class to the date of discontinuance of such service. All service rendered thereafter will be credited as Class A service. The returning member, who has not withdrawn his accumulated deductions, shall be eligible to continue accruing SSI supplement credits only if he has returned to active membership within 6 months of his previous termination.

The provisions of this § 243.5 amended March 12, 1976, 6 Pa.B. 449. Immediately preceding text appears at serial page (18753).

History

Source: The provisions of this § 243.14 adopted March 12, 1976, 6 Pa.B. 449.

4 Pa. Code § 243.6 Creditable nonstate service.

(a) Nonintervening military service. Credit for nonintervening military service will be available for all qualified military service actually rendered, as defined in this section, for which purchase shall be requested but, in no event, exceeding 5 years of the service, provided the member has 3 years of credited State service subsequent to the military service for which credit is requested. Members shall be limited to one purchase of not less than 1 year of the nonintervening military service unless the total service actually rendered was less than 1 year.

(b) Ineligibility for nonintervening military service. A member is not eligible for credit for nonintervening military service if the service entitles him to receive now or in the future, or if he is receiving, retirement benefits for service under another governmental agency or private employer, including a retirement program approved by the employer, under section 5301(a)(12) of the code (relating to mandatory and optional membership), irrespective of the fact that the member may have actual military service in excess of the minimum amount necessary to qualify him for a Federal pension. The crediting of nonintervening military service will be available to anyone, including one who is or was in a National Guard or any other reserve component who, at the time of application is uncertain, because of length of service, whether he would be eligible for retirement benefits for the service from the Federal government or any other governmental agency, private employer or employer approved plan provided under section 5301(a)(12) of the code, at that time or in the future; provided that the crediting of the service may be cancelled, and the accumulated deductions attributable thereto, refunded to the member if, at the time of retirement or termination of service, or earlier, if the Board is so notified by the member, it is found that the member would be entitled to retirement benefits from the other public or private pension plans for the military service. The Board may require the member to furnish such information as it deems necessary to determine the eligibility of a member for the purchase of nonintervening military service or for the cancellation thereof.

(c) Active military service. Military service shall be limited to active military service rendered only to the Armed Forces of the United States.

(d) Ineligibility for creditable nonstate service. Creditable nonstate service in any public school or educational institution in any other state or territory or area under United States jurisdiction or service as an administrator, teacher or instructor in the field of education rendered to an agency or department of the United States Government shall exclude service rendered to the CCC, WPA, Peace Corps, VISTA, among others, or service entitling an employe to receive, now or in the future, any private employer or governmental pension or other employer approved pension program funded, in whole or in part, by any such employer. The Board will, in all instances, determine eligibility for creditable nonstate service.

(e) Restrictions. Creditable nonstate service under section 5304(c)(4) of the code (relating to creditable nonstate service) shall be limited to those State employes whose service with prior governmental employers was transferred or absorbed by the Commonwealth under the provisions of prior law.

(f) Active members. Reinstatement of creditable service and the purchase of creditable State and nonstate service shall be available only to active members as set forth in § 241.1 (relating to definitions). The creditable service shall also be available to active multiple service members under sections 5303 and 5304 of the code (relating to retention and reinstatement of service credits). Duplicate purchases of the service in both the Public School Employes’ Retirement System and this System is prohibited.

The provisions of this § 243.6 amended March 12, 1976, 6 Pa.B. 449; amended August 3, 2001, effective August 4, 2001, 31 Pa.B. 4170. Immediately preceding text appears at serial pages (232848) to (232849).

Field of Education

Because claimant’s duties at the National Science Foundation were very similar to the duties of a college or university administrator and claimant’s decisions regarding funding of research and evaluation of projects had a direct impact on graduate education, claimant’s employment with NSF was creditable nonstate service for which claimant could purchase retirement credit. Seliga v. State Employes’ Retirement System, 682 A.2d 77 (Pa. Cmwlth. 1996).

History

Source: The provisions of this § 243.14 adopted March 12, 1976, 6 Pa.B. 449.

4 Pa. Code § 243.7 Social Security integration credits.

Those members with accrued social security integration credits on March 1, 1974, may continue to earn Social Security integration credits until service is terminated. Those members in continuous service who terminate after March 1, 1974, may continue to accrue Social Security integration credits if they return to active membership in the System within 6 months, provided they have not withdrawn their accumulated deductions. Those members who have vested, or are in receipt of an annuity, and return to State service after March 1, 1974, shall have their Social Security integration credits restored, to the extent previously earned, and may continue accruing Social Security integration credits for service rendered thereafter.

Social Security integration credits may be restored only to the extent allowed in this section. In all cases, Social Security integration credits shall not be available for any State or nonstate service applied for and purchased after March 1, 1974, regardless where or when the service may have been performed.

The provisions of this § 243.7 amended March 12, 1976, 6 Pa.B. 449. Immediately preceding text appears at serial page (18754).

History

Source: The provisions of this § 243.14 adopted March 12, 1976, 6 Pa.B. 449.

4 Pa. Code § 243.9 Eligibility points.

An active member of the System shall accrue one eligibility point for each year of credited service as a member of Public School Employes’ Retirement System or this System. In the event a member has a fractional part of a year of credited State service, as it relates to 1,650 hours, he shall be entitled to accrue a corresponding fractional portion of eligibility points in order to entitle him to benefits. In the case of a part-time State employe, eligibility points shall be accrued on the basis of time worked in relation to 1,650 hours, irrespective of the calendar period during which the member is such an employee.

The provisions of this § 243.9 adopted March 12, 1976, 6 Pa.B. 449.

History

Source: The provisions of this § 243.14 adopted March 12, 1976, 6 Pa.B. 449.

4 Pa. Code § 243.10 Eligibility for annuities.

(a) An active member or an inactive member on leave without pay, whose original date of membership is prior to October 7, 1975, who achieves superannuation age, irrespective of service, shall be eligible to receive a superannuation annuity or death benefit based thereon. An active member or an inactive member on leave without pay, whose effective date of original membership is October 7, 1975, or thereafter, shall be entitled to a superannuation annuity or death benefit only if he has 3 or more years of credited State or School service or State and School service.

(b) An annuity shall be based upon proper eligibility points only and, in the event a vestee or active member does not have sufficient eligibility points to qualify for benefits, he shall be entitled to a refund of his accumulated deductions standing at the time the application for benefits is made, or sooner, if the member provides prior notification to the Board.

(c) This section shall apply in the case of cancellation of eligibility points under the provisions of § 243.4(a) (relating to credited State service) and in any other case where the Board finds that the State or nonstate service was improperly credited.

The provisions of this § 243.10 adopted March 12, 1976, 6 Pa.B. 449.

History

Source: The provisions of this § 243.14 adopted March 12, 1976, 6 Pa.B. 449.

4 Pa. Code § 243.11 Eligibility for vesting.

A member under superannuation retirement age with ten or more eligibility points may elect to vest his retirement benefits only upon discontinuance of service, provided the election is made within a period of 90 days thereafter.

The provisions of this § 243.11 amended March 12, 1976, 6 Pa.B. 449. Immediately preceding text appears at serial page (18755).

History

Source: The provisions of this § 243.14 adopted March 12, 1976, 6 Pa.B. 449.

4 Pa. Code § 243.12 Eligibility for death benefits.

A member who has terminated State service who has not filed an application for withdrawal of contributions having ten or more eligibility points, or being eligible for a superannuation retirement allowance, shall, in the absence of applying for an annuity, be entitled to death benefits, except under the following circumstances:

(1) If a member has not filed an application for vesting or annuity within 90 days after termination of State service, while under superannuation age, he shall not be eligible for death benefits in excess of his own accumulated deductions.

(2) If a member has terminated State service over superannuation age with three or more years of credited State or School service or State and School service, or a vestee having attained superannuation age, has failed to file an application for annuity benefits within 90 days after termination of service or attainment of superannuation age, as the case may be, he shall be ineligible for death benefits in excess of his own accumulated deductions.

The provisions of this § 243.12 amended March 12, 1976, 6 Pa.B. 449. Immediately preceding text appears at serial page (18755).

History

Source: The provisions of this § 243.14 adopted March 12, 1976, 6 Pa.B. 449.

4 Pa. Code § 243.13 Eligibility for refunds.

(a) Active member. The election by an active member to receive only his total accumulated deductions upon termination of service shall be an unconditional waiver to receive any benefit to which he would otherwise be entitled.

(b) Vestee. Any vestee may elect to receive only his total accumulated deductions at any time subsequent to vesting with interest credited to the date of the election. This election shall be an unconditional waiver of any other benefit to which he would otherwise be entitled.

(c) Upon application, any active member or one on leave without pay, may elect to receive by refund all his social security integration accumulated deductions and thereby have all his credits attributable thereto and benefits payable thereon cancelled, and shall not, under any circumstances, be entitled to accrue any future social security integration supplement credits.

The provisions of this § 243.13 amended March 12, 1976, 6 Pa.B. 449. Immediately preceding text appears at serial page (18756).

History

Source: The provisions of this § 243.14 adopted March 12, 1976, 6 Pa.B. 449.

4 Pa. Code § 243.14 Eligibility for benefits.

(a) A member who has terminated State service having attained 35 eligibility points shall be eligible for a superannuation retirement allowance, irrespective of age, upon filing of the proper application therefor. Any member who has terminated State service having attained ten or more eligibility points who has not yet reached superannuation age, shall be eligible for an early retirement allowance or vesting.

(b) In the case of an early retirement allowance, the applicable reduction factor shall be determined on the basis of the number of years and months the member is from attaining superannuation age, that is, age 60 or 50, as the case may be, or attainment of 35 eligibility points, whichever would be achieved earlier had he continued in active State service.

(c) In the case of a vestee, he shall be eligible for an unreduced superannuation retirement allowance at the beginning of the month following the date he would have achieved superannuation age; that is, age 60 or 50, as the case may be, or attainment of 35 eligibility points, whichever would be achieved earlier had he continued in active State service. In the event a vestee elects early retirement or dies, the applicable reduction factor shall be determined on the basis of the number of years and months he is from such date at the effective date of application for early retirement, or date of death, as the case may be.

(d) For the purpose of determining the date on which a member would have achieved 35 eligibility points under either subsection (b) or (c), had he continued in active State service, one eligibility point will be assumed for each year, irrespective of any former class of membership.

The provisions of this § 243.14 adopted March 12, 1976, 6 Pa.B. 449.

History

Source: The provisions of this § 243.14 adopted March 12, 1976, 6 Pa.B. 449.

Chapter 245 Contributions

4 Pa. Code § 245.1 Regular member contributions for current service.

[Reserved.]

History

Authority: The provisions of this § 245.4 amended under the State Employee’s Retirement Code, 71 Pa.C.S. § 5902(h).
Source: The provisions of this § 245.9 amended March 12, 1976, 6 Pa.B. 449. Immediately preceding text appears at serial pages (18758) to (18759).

4 Pa. Code § 245.2 Social Security integration member contributions.

An active member, or one on leave without pay, may elect to discontinue making further contributions for Social Security integration supplement credits. Upon such election, his Social Security integration credits and benefits payable thereon, shall be frozen.

The provisions of this § 245.2 amended March 12, 1976, 6 Pa.B. 449. Immediately preceding text appears at serial page (18756).

History

Authority: The provisions of this § 245.4 amended under the State Employee’s Retirement Code, 71 Pa.C.S. § 5902(h).
Source: The provisions of this § 245.9 amended March 12, 1976, 6 Pa.B. 449. Immediately preceding text appears at serial pages (18758) to (18759).

4 Pa. Code § 245.3 Joint coverage member contributions.

New members of the System or members returning to State service shall not be eligible to make joint coverage member contributions. Contributions shall be limited to members who meet all of the following criteria:

(1) They were in active membership in the System subsequent to May 28, 1957.

(2) Their current period of membership began prior to January 1, 1966.

(3) They are covered by Federal Social Security.

(4) They have not filed an election to convert to the full coverage group.

The provisions of this § 245.3 amended March 12, 1976, 6 Pa.B. 449. Immediately preceding text appears at serial page (18756).

History

Authority: The provisions of this § 245.4 amended under the State Employee’s Retirement Code, 71 Pa.C.S. § 5902(h).
Source: The provisions of this § 245.9 amended March 12, 1976, 6 Pa.B. 449. Immediately preceding text appears at serial pages (18758) to (18759).

4 Pa. Code § 245.4 Member purchases of credit for previous State service.

(a) A State employee who is a member of the System or a school employee who is a member of the Public School Employees’ Retirement System who has timely elected multiple service may receive service credit for all uncredited pre-vious State service, provided the member applies for and makes the required contributions for all uncredited State service, regardless of the amount of State service previously credited.

(b) The member may make the required contributions through payroll deductions over a period of not more than 6 years.

The provisions of this § 245.4 amended under the State Employee’s Retirement Code, 71 Pa.C.S. § 5902(h).

The provisions of this § 245.4 amended August 3, 2001, effective August 4, 2001, 31 Pa.B. 4170; amended August 19, 2016, effective August 20, 2016, 46 Pa.B. 5082. Immediately preceding text appears at serial pages (281501) to (281502).

History

Authority: The provisions of this § 245.4 amended under the State Employee’s Retirement Code, 71 Pa.C.S. § 5902(h).
Source: The provisions of this § 245.9 amended March 12, 1976, 6 Pa.B. 449. Immediately preceding text appears at serial pages (18758) to (18759).

4 Pa. Code § 245.6 Incomplete payments.

(a) Who may make incomplete payments. The right of a member to complete payments, once commenced, within 30 days after termination of State service, as provided in section 5506 of the code (relating to incomplete payments), shall be available only to the member and to no other person, including a beneficiary.

(b) Result of incomplete payments. In the event a member fails to pay the balance of the agreed upon payments due within 30 days after termination of State service, or in the event a member dies in State service, the annuity benefit to which he would otherwise be entitled including a disability benefit, shall be reduced by the actuarial equivalent of the debt, including statutory interest. In the event the Board must satisfy a credit union loan and the member dies in service or terminates service thereafter, leaving the indebtedness unpaid for more than 30 days, the Board will cause to be deducted from the member’s benefit, the amount of the total debt, at which time, the benefit shall be payable to such member.

The provisions of this § 245.6 amended March 12, 1976, 6 Pa.B. 449; reserved August 3, 2001, effective August 4, 2001, 31 Pa.B. 4170. Immediately preceding text appears at serial pages (204970) to (204971).

History

Authority: The provisions of this § 245.4 amended under the State Employee’s Retirement Code, 71 Pa.C.S. § 5902(h).
Source: The provisions of this § 245.9 amended March 12, 1976, 6 Pa.B. 449. Immediately preceding text appears at serial pages (18758) to (18759).

4 Pa. Code § 245.7 Contributions by the Commonwealth and other employers.

(a) In the event an employer fails to make the payments necessary to build up the employer reserves for the payment of benefits to its employes, under sections 5507 and 5508 of the code (relating to contributions by the Commonwealth and other employers; and actuarial cost method), then the benefit to which such employe would otherwise be entitled, but for the deficiency of the required reserves, shall be reduced in accordance with section 5509(c) of the code (relating to appropriations and assessments by the Commonwealth) for those deficiencies occurring subsequent to March 1, 1974.

(b) In the event an employe becomes a member of the System sometime after beginning employment and elects to purchase his previously uncredited service, the Board will bill for the appropriate employer’s contribution, by itemized invoice, that agency in which an employe is currently employed for previously uncredited State service rendered after March 1, 1974. The amount of an employer’s contribution will be determined on the basis of the employe’s earnings and the total employer’s contribution rate in effect at the time service was rendered, together with valuation interest of 5.5% compounded annually to the date of purchase.

The provisions of this § 245.7 adopted March 12, 1976, 6 Pa.B. 449.

Contributions

Community college is an agency and, therefore, is required to pay the contributions for its current emloyees’ who elect to purchase their previously uncredited State service. HACC v. State Employees’ Retirement System, 821 A.2d 1255, 1261 (Pa.Cmwlth. 2003); appeal denied 849 A.2d 1206 (Pa. 2004).

History

Authority: The provisions of this § 245.4 amended under the State Employee’s Retirement Code, 71 Pa.C.S. § 5902(h).
Source: The provisions of this § 245.9 amended March 12, 1976, 6 Pa.B. 449. Immediately preceding text appears at serial pages (18758) to (18759).

4 Pa. Code § 245.8 Actuarial cost method.

[Reserved.]

History

Authority: The provisions of this § 245.4 amended under the State Employee’s Retirement Code, 71 Pa.C.S. § 5902(h).
Source: The provisions of this § 245.9 amended March 12, 1976, 6 Pa.B. 449. Immediately preceding text appears at serial pages (18758) to (18759).

4 Pa. Code § 245.9 Appropriations and assessments by the Commonwealth.

[Reserved].

The provisions of this § 245.9 amended March 12, 1976, 6 Pa.B. 449. Immediately preceding text appears at serial pages (18758) to (18759).

History

Authority: The provisions of this § 245.4 amended under the State Employee’s Retirement Code, 71 Pa.C.S. § 5902(h).
Source: The provisions of this § 245.9 amended March 12, 1976, 6 Pa.B. 449. Immediately preceding text appears at serial pages (18758) to (18759).

Chapter 247 Benefits

4 Pa. Code § 247.1 Effect of return of total accumulated deductions.

A member who elected to receive only his accumulated deductions in lieu of any other benefit to which he would otherwise be entitled, shall, by such election, be deemed to have irrevocably waived entitlement to such benefits, except as otherwise provided in the event a member returns to service.

History

Authority: The provisions of this § 247.11 adopted under 71 Pa.C.S. § § 5902(h) and 5953.
Source: The provisions of this § 247.11 issued August 27, 2010, effective August 28, 2010, 40 Pa.B. 4926.

4 Pa. Code § 247.2 Maximum single life annuity.

For purposes of determining the single life annuity benefits provided for in section 5702(a)(4) of the code (relating to maximum single life annuity), if any, the benefit shall only be attributable to regular member accumulated deductions, irrespective of any contributions which the member may have made on behalf of the employer as well as any accrued interest applicable thereto for creditable nonstate service.

The provisions of this § 247.2 amended March 12, 1976, 6 Pa.B. 449. Immediately preceding text appears at serial page (18759).

History

Authority: The provisions of this § 247.11 adopted under 71 Pa.C.S. § § 5902(h) and 5953.
Source: The provisions of this § 247.11 issued August 27, 2010, effective August 28, 2010, 40 Pa.B. 4926.

4 Pa. Code § 247.4 Disability annuities.

(a) Social Security integration credits. If a member, eligible for a disability annuity, is also eligible to receive a Social Security integration annuity, the total annuity shall be payable to the member unless he elects to receive his Social Security integration accumulated deductions in lieu of the additional benefit at the time his application for disability benefits is filed. If a member eligible to receive a disability annuity does not have sufficient Social Security integration credits to receive an annuity based thereon, as provided in the code, then the filing of the disability annuity application shall automatically entitle him to a return of his accumulated social security integration deductions, if any. In the event a disability annuitant returns to State service, he shall be eligible to reinstate Social Security integration credits previously earned for which the accumulated deductions have been withdrawn, as provided in this section, and he shall be eligible to accrue social security integration credits for subsequent service upon restoration of the withdrawn funds. Eligibility for reinstatement of the credits and restoration of the funds shall be available only at the time of return to State service and application therefor shall be made within 30 days of notification of eligibility by the Board.

(b) Service connected disability annuities. Eligibility for a service connected disability benefit shall be determined exclusively under the provisions of the Pennsylvania Workmen’s Compensation Act (77 P.S. § § 1—1023), and the Pennsylvania Occupational Disease Act (77 P.S. § § 1201—1603), and other compensation statutes applicable to special classes of Commonwealth employes. A service-connected disability, shall total 70% of the final average salary, and includes within that annuity the benefit amounts awarded by the Social Security Administration and the agency or agencies having jurisdiction over the determination of the applicable State benefits. The benefit shall continue as long as the member is entitled to receive the State compensation benefits. The service-connected disability shall be discontinued if the State compensation authorities determine that the service-connected disability has ceased. In that event, a member shall be eligible for normal disability benefits, as provided in section 5704(a) of the code (relating to disability annuities) if the Board determines that the member remains disabled. The service-connected disability benefit shall be payable as of the effective date of the application for disability benefits filed with the Board, irrespective of the date the State compensation award was made.

The provisions of this § 247.4 amended March 12, 1976, 6 Pa.B. 449. Immediately preceding text appears at serial page (18760).

Receipt of benefits under the Workers’ Compensation Act (77 P.S. § § 1—1023) is a necessary precondition to a finding of service connected disability; thus, cessation of former state employee’s workers’ compensation benefits rendered her ineligible for service connected disability supplement under the State Employees’ Retirement Code, 71 Pa.C.S. § § 5101—5956. Waters v. State Employees’ Retirement Bd., 955 A.2d 466, 473-474 (Pa. Cmwlth. 2008).

The Board must treat a former employee’s disability as nonservice connected absent receipt of benefits under the Workmen’s Compensation Act or the Occupational Disease Act. Daneker v. State Employees’ Retirement Board, 628 A.2d 491 (Pa. Cmwlth. 1993).

History

Authority: The provisions of this § 247.11 adopted under 71 Pa.C.S. § § 5902(h) and 5953.
Source: The provisions of this § 247.11 issued August 27, 2010, effective August 28, 2010, 40 Pa.B. 4926.

4 Pa. Code § 247.5 Member’s options.

Once a member has filed an application for benefits and chosen an option, including a single life annuity, the option shall be deemed to be irrevocable except as otherwise provided in section 5907(j) of the code (relating to rights and duties of State employees and members) or unless an annuitant returns to service for a period not less than 6 months and subsequently retires with recomputation of benefits.

A survivor annuitant may not change a plan elected by the employe-member. Marron v. State Employes’ Retirement Board, 544 A.2d 1095 (Pa. Cmwlth. 1988); appeal denied 562 A.2d 829 (Pa. 1989).

Selection of a retirement option is generally irrevocable under this section and the Board’s finding that adequate counseling was provided to the retiring employe was supported by substantial evidence. Buchan v. State Employees Retirement Board, 470 A.2d 208 (Pa. Cmwlth. 1984).

History

Authority: The provisions of this § 247.11 adopted under 71 Pa.C.S. § § 5902(h) and 5953.
Source: The provisions of this § 247.11 issued August 27, 2010, effective August 28, 2010, 40 Pa.B. 4926.

4 Pa. Code § 247.5a Re-election of benefit option.

(a) A member who has filed an application for benefits and who has designated a survivor annuitant has the right to re-elect a benefit option and to nominate a beneficiary or a new survivor annuitant if, after filing the application, the designated survivor annuitant predeceases the member, the member is awarded a divorce or the member becomes married, provided the member files a timely application for option change with the Board.

(b) The member’s right to re-elect a benefit option remains valid for 7 years from the date of the death, divorce or marriage that triggered the right or until the occurrence of a subsequent triggering event, whichever occurs first. Upon the occurrence of a subsequent triggering event, a superseding right to re-elect shall begin.

(c) Upon the member’s timely filing of an application for option change, the member’s annuity will be recomputed to be actuarially equivalent to the annuity in effect immediately prior to the recomputation.

The provisions of this § 247.5a adopted August 19, 2016, effective August 20, 2016, 46 Pa.B. 5082.

History

Authority: The provisions of this § 247.11 adopted under 71 Pa.C.S. § § 5902(h) and 5953.
Source: The provisions of this § 247.11 issued August 27, 2010, effective August 28, 2010, 40 Pa.B. 4926.

4 Pa. Code § 247.6 Termination of annuities.

The requirement that the subsequent annuity of a member who returns to active service, having once been on retirement, be reduced on the basis of benefits received prior to superannuation age, does not apply to a member who returns to active State service from a disability annuity.

The provisions of this § 247.6 amended under 71 Pa.C.S. § § 5706 and 5906, unless otherwise noted.

The provisions of this § 247.6 amended March 12, 1976, 6 Pa.B. 449; amended February 19, 2010, effective February 20, 2010, 40 Pa.B. 972. Immediately preceding text appears at serial page (336099).

This section cited in 4 Pa. Code § 249.4 (relating to reports to the Public School Employees’ Retirement Board).

History

Authority: The provisions of this § 247.11 adopted under 71 Pa.C.S. § § 5902(h) and 5953.
Source: The provisions of this § 247.11 issued August 27, 2010, effective August 28, 2010, 40 Pa.B. 4926.

4 Pa. Code § 247.7 Death benefits.

(a) Manner of payments. In the event the member does not designate a beneficiary before death or the designation is not valid for any reason or no validly designated beneficiary survives the member by 30 days under 71 Pa.C.S. § 5709(c) (relating to the payment of benefits) to receive any of the death benefits provided in the code, the benefits shall be payable to the estate of the member.

(1) If the estate of the member is entitled to receive the member’s death benefits but does not file a claim for the benefits within 60 days of the date the System mails notice of the benefits to the estate of the member, the entire amount of the death benefit shall be payable in the following sequential priority:

(i) To the appointed executor or administrator of the deceased member.

(ii) To the surviving spouse of the member.

(iii) To any child of the member.

(iv) To the father or mother of the member.

(v) To any sister or brother of the member.

(2) Payments made under paragraph (1)(iii), (iv) or (v) shall be made to only one person and not divided among members of the classes identified in those subparagraphs. Upon payment of a death benefit pursuant to this section, the System shall be discharged from any further liability for the payment of the death benefits to any other person. Any person to whom payment is made under this paragraph shall be answerable therefore to anyone prejudiced by the payment.

(b) Single life annuity. If a single life annuitant dies before receiving in monthly annuity payments the total amount of accumulated deductions, the balance of the total accumulated deductions shall be paid to the designated beneficiary without regard to the actual proportion the State share represents to the total monthly annuity payments actually received before death.

The provisions of this § 247.7 amended under 71 Pa.C.S. § 5902(h), unless otherwise noted.

The provisions of this § 247.7 amended February 19, 2010, effective February 20, 2010, 40 Pa.B. 973; corrected November 18, 2011, effective February 20, 2010, 41 Pa.B. 6217. Immediately preceding text appears at serial pages (351737) to (351738).

History

Authority: The provisions of this § 247.11 adopted under 71 Pa.C.S. § § 5902(h) and 5953.
Source: The provisions of this § 247.11 issued August 27, 2010, effective August 28, 2010, 40 Pa.B. 4926.

4 Pa. Code § 247.9 Effect of payment of benefits to beneficiaries.

As in the case of members, an election by a beneficiary under the provisions of Option 1 or any of the other options offered to him shall be deemed to be irrevocable.

History

Authority: The provisions of this § 247.11 adopted under 71 Pa.C.S. § § 5902(h) and 5953.
Source: The provisions of this § 247.11 issued August 27, 2010, effective August 28, 2010, 40 Pa.B. 4926.

4 Pa. Code § 247.11 Priority of forfeitures, attachments and assignments of funds.

(a) The right of a person to any benefit or right accrued or accruing under the code, as amended from time to time, and the moneys in the fund are subject to prior payment or forfeiture of rights, as set forth in section 5953 of the code (relating to taxation, attachment and assignment of funds), in the following sequential priority to the extent the forfeitures and competing claims exist at the time the distribution is made as determined by the Board consistent with applicable law:

(1) For pension forfeitures, fines and restitution as provided under the Public Employee Pension Forfeiture Act (43 P.S. § § 1311—1315), as amended from time to time, or under Pa.Const. Art. V, § 16(b).

(2) To the employer after certification by the head of the employer of the amount that the member is obligated to pay, and after review and approval by the employer’s legal representative or upon receipt of an assignment from the member in the amount so certified.

(3) To an alternate payee or attaching authority as set forth in an approved domestic relations order, order for support, or order for the enforcement of arrearages as described in section 5953.1 of the code (relating to approval of domestic relations orders).

(4) To the member directly or to an eligible retirement plan by way of an eligible rollover distribution.

(b) Payments from a member’s retirement benefits under subsection (a)(2) shall first be made from the entire accumulated deductions then standing to the credit of the member upon entering pay status. The remaining balance, if any, of payments due under subsection (a)(2) and payments due under subsection (a)(3) for orders for support or orders for the enforcement of arrearages, or both, shall be paid out of the monthly annuity payable to or on behalf of the member at the rate of up to 50% (as determined by the System consistent with applicable law) of the gross monthly annuity until paid in full. The amount payable under subsection (a)(3) pursuant to an approved domestic relations order may be paid out of the monthly annuity paid to or on behalf of the member at the rate of up to 100% (as determined by the System consistent with applicable law) of the member’s remaining monthly annuity until paid in full. Unpaid amounts remaining after termination of an annuity paid to or on behalf of the member or, after the death of the member prior to receiving an annuity, shall be paid out of the remaining initial present value then standing to the credit of the member, if any.

The provisions of this § 247.11 adopted under 71 Pa.C.S. § § 5902(h) and 5953.

The provisions of this § 247.11 issued August 27, 2010, effective August 28, 2010, 40 Pa.B. 4926.

History

Authority: The provisions of this § 247.11 adopted under 71 Pa.C.S. § § 5902(h) and 5953.
Source: The provisions of this § 247.11 issued August 27, 2010, effective August 28, 2010, 40 Pa.B. 4926.

Part XI Governor’s Council on Drug and Alcohol Abuse

Chapter 252 Goals of the Council

4 Pa. Code § 252.1 Agency mission statement.

The mission of the Council to develop, coordinate, and implement a comprehensive health education, habilitation, and rehabilitation program for the prevention and treatment of drug and alcohol dependence.

4 Pa. Code § 252.2 Council goals.

The goals of the Council will be as follows:

(1) To facilitate the recovery of drug and alcohol dependent people.

(2) To decrease the probability of drug and alcohol experimenters becoming dependent.

(3) To assist this generation and future generations in avoiding drug and alcohol dependence.

(4) To assist society in becoming fully informed about drugs and alcohol.

(5) To develop open lines of communications between the Council, the SCA’s, and the service providers.

Chapter 253 Organizational Structure of the Council

4 Pa. Code § 253.1 Statement of policy.

In order to effectively carry out the mandates of Act 63, an organizational structure has been established, with the approval of the Executive Board, that provides for the systematic delegation of authority of the Governor’s Council through its staff at 4 Pa. Code § 9.13 and 9 Pa.B. 309 (January 27, 1979) (relating to Governor’s Council on Drug and Alcohol Abuse).

History

Source: The provisions of this Chapter 253 amended August 3, 1979, effective August 4, 1979, 9 Pa.B. 2524, unless otherwise noted.

4 Pa. Code § 253.2 The Council.

(a) The Council is composed of six members in addition to the Executive Assistant for Human Services to the Governor who serves as its Chairman.

(b) The Council shall provide the following services:

(1) Be responsible for the efficient performance of all duties and responsibilities as prescribed in Act 63 and Act 64 and Reorganization Plan No. 4 of 1973.

(2) Function as the Single State Authority for the acquisition and disposition of Federal and State drug and alcohol funds.

(3) Assure the development, coordination and adoption of a State Plan for the control, prevention, treatment, rehabilitation, education, training, research and evaluation aspects of drug and alcohol abuse.

(4) Serve as the policy making body that directs operations pertaining to the implementation of the State Plan.

(5) Review and adopt regulations, with the approval of the Chairman, for the operation of programs supported under Act 63 and Reorganization Plan No. 4 of 1973.

(6) Establish such advisory committees as are necessary to assist the Council in fulfilling its responsibilities.

(7) Encourage the formation of community agencies and coordinating councils in an effort to promote local cooperation and communication.

(8) Determine policy and coordinate and evaluate the efforts of all drug and alcohol abuse programs in this Commonwealth.

(9) Establish funding priorities for drug and alcohol programs.

(10) Approve grants and contracts except as noted.

History

Source: The provisions of this Chapter 253 amended August 3, 1979, effective August 4, 1979, 9 Pa.B. 2524, unless otherwise noted.

4 Pa. Code § 253.3 Alcohol Advisory Task Force.

The Alcohol Advisory Task Force shall provide the following services:

(1) Perform all duties defined by The Comprehensive Alcohol Abuse and Alcoholism Prevention, Treatment and Rehabilitation Act of 1970 (42 U.S.C.A. § § 4541—4593).

(2) Advise the Council on areas pertaining to alcohol education, treatment, and rehabilitation.

(3) Convene monthly or at the discretion of the Chairman of the Council.

(4) Select and develop various issues deemed important to the Task Force for submission to the Council.

History

Source: The provisions of this Chapter 253 amended August 3, 1979, effective August 4, 1979, 9 Pa.B. 2524, unless otherwise noted.

4 Pa. Code § 253.4 Drug Advisory Task Force.

The Drug Advisory Task Force shall perform the following services:

(1) Perform all duties as defined by The Drug Abuse Office and Treatment Act of 1972 (21 U.S.C.A. § § 1101—1191) and (42 U.S.C.A. § § 2684—2688t).

(2) Advise the Council on areas pertaining to drug education, treatment, and rehabilitation.

(3) Convene monthly or at the discretion of the Chairperson of the Council.

(4) Select and develop various issues deemed important to the Task Force for submission to the Council.

History

Source: The provisions of this Chapter 253 amended August 3, 1979, effective August 4, 1979, 9 Pa.B. 2524, unless otherwise noted.

4 Pa. Code § 253.5 Office of the Executive Director.

The Office of the Executive Director shall provide the following services:

(1) Administer policies and programs under Act 63, its amendments, and other applicable laws.

(2) Serve as the Chief Executive Officer of the Council staff and be delegated all administrative authority for the operation of the Council in accordance with Act 63 and The Administrative Code of 1929 (71 P. S. § 51—718-3).

(3) Convene the Council.

(4) Direct all activities of the Council staff in terms of the development and implementation of the State Plan.

(5) Inform the Council of all exceptional program issues needing policy redirection.

(6) Have approval authority for facilities that dispense methadone and other chemicals for the treatment of drug dependence.

(7) Issue official memoranda indicating Council policy, procedures, and legal rulings necessary to implement the goals and objectives of the Council.

(8) Implement policies promulgated by the Council, and, acting through the staff, see that there is compliance with the policies approved by the Council.

(9) Review and submit the annual operating budget to the Secretary of the Budget.

(10) Direct, at his discretion or at the request of the Council, a performance audit of any activity pursuant to the State Plan.

(11) Act as final approving authority for personnel appointments.

(12) Direct the activities of the Deputy Executive Director and Office of the General Counsel.

(13) Resolve exceptional contractual issues requiring Council attention.

(14) Have final approval authority on grants and contracts, upon approval of the Council.

(15) Report to the Executive Assistant for Human Services in the Governor’s Office and have such other authority as delegated by the Council.

History

Source: The provisions of this Chapter 253 amended August 3, 1979, effective August 4, 1979, 9 Pa.B. 2524, unless otherwise noted.

4 Pa. Code § 253.6 Office of General Counsel.

The Office of General Counsel shall provide the following services:

(1) Provide legal advice and services to the Executive Director and the Council.

(2) In conjunction with the Department of Justice, represent the Coun- cil in legal matters, including judicial proceedings.

(3) Prepare all legislation and approve all rules and regulations to be promulgated by the Council prior to the submission of the foregoing to the Department of Justice for review and approval as required by law.

(4) Approve all contracts and grants for form, content, legality, and compliance for minority fair employment prior to submission of the foregoing to the Department of Justice for review and approval as required by 37 Pa. Code Chapter 161 (relating to procedures for contract review).

(5) Assist in drafting legal opinions concerning drug and alcohol questions issued by the Attorney General.

(6) Process all records acquired through sections 17—19 of Act 64 (35 P. S. § § 780-117—780-119).

(7) Serve as the Council’s representative to the Drug, Device and Cosmetic Board.

(8) Conduct legal research consistent with policy decisions of the Council.

(9) Conduct investigations at the direction of the Executive Director and in conjunction with appropriate investigative agencies.

(10) Report to the Executive Director and to the Counsel of the Governor.

History

Source: The provisions of this Chapter 253 amended August 3, 1979, effective August 4, 1979, 9 Pa.B. 2524, unless otherwise noted.

4 Pa. Code § 253.7 Office of the Deputy Executive Director.

The Office of the Deputy Executive Director shall provide the following services:

(1) Perform the duties of the Executive Director in the absence of the Executive Director.

(2) Directly supervise the Office of Policy and Planning and the Affirmative Action Office.

(3) Assist the Executive Director in the formulation of program funding policies and priorities in relation to grants given to Single County Authorities and direct provider contractors.

(4) Evaluate and monitor the activities of the four individual Bureaus in order to assure the prompt accomplishment of their assigned tasks, goals and objectives.

(5) Implement a project controls system utilized on a monthly basis, the purpose of which will be to accurately evaluate the performance of Bureau directors.

(6) Meet with Bureau directors on a regularly scheduled basis to resolve problems in the achievement of goals and objectives and to coordinate the accomplishment of tasks involving participation of more than one Council bureau, or outside agencies, or both.

(7) Assist the Executive Director in the development of policies and the implementation of procedures required to translate Council policies into action programs.

(8) Report to the Executive Director.

History

Source: The provisions of this Chapter 253 amended August 3, 1979, effective August 4, 1979, 9 Pa.B. 2524, unless otherwise noted.

4 Pa. Code § 253.8 Affirmative Action Office.

The Affirmative Action Office shall provide the following services:

(1) Assure that the Council and its grantees/contractors operate in accordance with Executive Directives Numbers 17, 21 and 50 and relevant State and Federal laws concerned with ending discrimination against minority groups and women.

(2) Assure that positions are filled by the selection of qualified applicants and that the applicants are not discriminated against due to their race, color, religion, or sex, and that promotions are provided on an equal opportunity basis.

(3) Report to the Deputy Executive Director.

History

Source: The provisions of this Chapter 253 amended August 3, 1979, effective August 4, 1979, 9 Pa.B. 2524, unless otherwise noted.

4 Pa. Code § 253.9 Office of Policy and Planning.

The Office of Policy and Planning shall provide the following services:

(1) Prepare the Annual Alcohol Abuse Prevention Plan in accordance with 42 U.S.C.A. § § 4541—4593.

(2) Prepare the Annual Drug Abuse Prevention Plan in accordance with 21 U.S.C.A. § § 1101—1191.

(3) Prepare Agency input to related plans developed by other State agencies.

(4) Update and amend Drug Abuse and Alcohol Abuse Plans.

(5) Prepare planning guidelines for annual County Plans prepared by Single County Authorities.

(6) Analyze County Plans for utilization of data required for planning purposes.

(7) Maintain inter- and intra-agency liaison for planning related activities.

(8) Maintain planning liaison with the Drug Advisory Task Force and the Alcohol Advisory Task Force.

(9) Provide technical assistance regarding planning procedures and requirements to Agency and county staff.

(10) Review and analyze Federal and State legislation, regulations, policy and guidelines to determine potential impact on the Agency planning process.

(11) Develop procedures for obtaining necessary input into the development and improvement of the Council’s planning process.

(12) Respond to letters, suggestions and information requests directed to the Council relating to the planning process.

(13) Review grant applications submitted to Federal agencies for funding of drug/alcohol related programs and prepare letters of comment for executive signature.

(14) Develop and amend all provisions of this part (State Plan for the Prevention, Treatment and Control of Drug and Alcohol Abuse) promulgated by the Council.

(15) Develop and amend all project standards used as criteria for Council project approval, certificates of compliance, licenses, and the like.

(16) Develop and recommend to the Executive Office program policies for implementation by Council staff, SCAs and service providers.

(17) Develop and revise procedures and guidelines for implementation of Council program policies and this part.

(18) Issue policies and procedures and regulation amendments to SCAs and service providers.

(19) Review information required of and submitted by SCAs and service providers for compliance with this part, policies and procedures.

(20) Develop and update operations manuals for use by service providers.

(21) Develop and implement procedures for soliciting community input into the development of this part.

(22) Provide technical assistance and interpretation of this part, guidelines and procedures to Agency units, SCAs and service providers.

(23) Review, research and develop responses to requests for exceptions to this part.

History

Source: The provisions of this Chapter 253 amended August 3, 1979, effective August 4, 1979, 9 Pa.B. 2524, unless otherwise noted.

4 Pa. Code § 253.10 Bureau of Management Information Systems.

The Bureau of Management Information Systems shall provide the following services:

(1) Develop, implement and maintain management information systems based upon input from appropriate Agency units, SCAs and service providers.

(2) Provide training and technical assistance to Agency units on the use of management information systems.

(3) Provide training and technical assistance to systems users outside of the Agency.

(4) Provide computer systems design, maintenance, programming and processing services to Agency units.

(5) Develop and implement the Agency-wide evaluation strategy.

(6) Provide evaluation services to Agency units as needed.

(7) Review research and evaluation proposals and monitor contracts of Council research and evaluation contractors.

(8) Maintain and update data based on prevalence and extent of drug and alcohol problems.

(9) Make necessary recommendations for computer hardware and software support.

(10) Report to the Deputy Executive Director.

History

Source: The provisions of this Chapter 253 amended August 3, 1979, effective August 4, 1979, 9 Pa.B. 2524, unless otherwise noted.

4 Pa. Code § 253.11 Division of Operations and Control.

The Division of Operations and Control shall provide the following services:

(1) Provide computer processing support for automated Council systems.

(2) Provide data control support to all systems users for utilization of Council automated systems.

(3) Monitor and review all internal production procedures, production systems and programs to insure the most effective use of division personnel and computer hardware.

(4) Schedule and control all required processing at the Council or other data processing sites.

(5) Evaluate present hardware configuration, review new hardware, and make equipment recommendations.

(6) Notify vendors or maintenance organizations of all equipment malfunctions and monitor corrective action.

(7) Maintain liaison with vendors and maintenance organizations for equipment and supplies.

History

Source: The provisions of this Chapter 253 amended August 3, 1979, effective August 4, 1979, 9 Pa.B. 2524, unless otherwise noted.

4 Pa. Code § 253.12 Division of Systems and Programming.

The Division of Systems and Programming shall provide the following services:

(1) Provide systems analysis, design and programming support to meet the operating requirements of the Council, and the reporting requirements of the legislature, various Federal, State and local agencies, and service providers.

(2) Develop and maintain systems specifications necessary for implementation and use of automated systems and provide the necessary training and technical support to systems users.

(3) Work with the systems users to develop controls, insure timely and accurate reporting and to verify systems integrity.

(4) Provide the Division of Operations and Control with operational programs, instructions, and procedures for all automated systems.

(5) Design and procure input documents required to support all automated systems.

(6) Implement and modify systems software or utility programs to insure effective use of computer equipment for the Division of Operations and Control.

(7) Provide technical assistance and training on systems software, utilities and computer equipment.

(8) Establish and maintain liaison with Federal, State and local agencies with respect to information requirements.

History

Source: The provisions of this Chapter 253 amended August 3, 1979, effective August 4, 1979, 9 Pa.B. 2524, unless otherwise noted.

4 Pa. Code § 253.13 Division of Evaluation and Technical Support.

The Division of Evaluation and Technical Support shall provide the following services:

(1) Provide evaluation services and technical support to meet Agency requirements.

(2) Implement an overall evaluation plan to service the Commonwealth prevention and treatment program.

(3) Work with the Division of Systems and Programming in developing the necessary systems support for evaluation.

(4) Develop and disseminate information on the prevalence and extent of drug and alcohol problems in this Commonwealth.

(5) Recommend projects, review proposals, and monitor contracts related to research and evaluation.

(6) Work with the Division of Systems and Programming and systems users in the development, writing and maintenance of user manuals necessary for implementation and use of automated systems.

(7) Conduct site visits to SCAs and facilities as needed to provide or arrange for the provision of necessary training and technical support in the preparation of input and use of output for users of automated systems.

(8) Work with the Division of Systems and Programming, the Division of Operations and Control, and users, to establish validity checks of the data being processed.

(9) Establish procedures for monitoring compliance with Agency reporting requirements and work with Agency users and other Bureau personnel to implement and enforce this requirement.

History

Source: The provisions of this Chapter 253 amended August 3, 1979, effective August 4, 1979, 9 Pa.B. 2524, unless otherwise noted.

4 Pa. Code § 253.14 Bureau of Administrative Services.

The Bureau of Administrative Services shall provide the following services:

(1) Provide administrative direction for the Office Services Division and the Personnel Division.

(2) Develop and implement procedures governing the Council’s administrative activities; such as budget preparation, personnel management, accounting services, management methods, procurement, and the like.

(3) Serve as the Agency liaison with Commonwealth agencies relating to budget, fiscal, procurement and personnel activities; such as State Civil Service Commission, Office of Administration, Office of the Budget, Comptroller’s Office, Department of General Services, and the like.

(4) Be responsible for the preparation and control of the Council’s budget request, rebudget, preparation of material for Appropriation Committees Hearings, the processing of all budget documents such as Allotment Allocation Schedules, Allotment Amendments, Contingent Commitments, and the like.

(5) Operate a personnel management system assuring that Council and SCAs have adequate staff to meet their goals and objectives in accordance with various State and Federal Civil Service Commission and personnel rules and regulations.

(6) Prepare all necessary service purchase contracts, maintenance contracts, lease agreements, and procurement documents necessary for the Council to have adequate equipment, office space, supplies and services necessary for its daily operations.

(7) Provide the Council with management methods services in the areas of systems, methods, organization, space analysis, equipment utilization, forms and records control, filing techniques, procedures and composition services.

(8) Serve as using agency representative with the Department of General Services on capital construction projects which are State-financed; such as Gaudenzia, Diagnostic and Rehabilitation Center, St. Luke’s and Children’s Hospital Addictive Disease Center.

History

Source: The provisions of this Chapter 253 amended August 3, 1979, effective August 4, 1979, 9 Pa.B. 2524, unless otherwise noted.

4 Pa. Code § 253.15 Division of Office Services.

The Division of Office Services shall provide the following services:

(1) Furnish procurement services and supplies to the Council to adequately maintain operations.

(2) Be responsible for the negotiation and assignment of all leased of- fice space for Council headquarters and regional offices.

(3) Coordinate the preparation of service purchase contracts, and maintain files and reports and other deliverables resulting from these documents.

(4) Serve as the liaison between the Council, Comptroller and independent vendors relative to specialized purchase needs.

(5) Provide for maintenance and disposition of Council automotive equipment as well as serve as a liaison with the Department of General Services for use of vehicles from the Commonwealth Automotive Fleet.

(6) Provide for mail and messenger services as required.

(7) Be responsible for the coordination and preparation of all budget material to be incorporated into the Council’s annual budget request, rebudget, and material to be used as part of the Agency’s appropriation hearings.

(8) Be responsible for the maintaining of all Agency accounting reports and control of fiscal accounts; such as preparation of Allocation and Allotment Schedules, Allotment Amendments, revenue deposits, year-end closing documents, Letter of Credit transactions, and the like.

(9) Review accounting reports for each organization/bureau, making the necessary adjustments and transfers to assure adequacy of funds to meet Council obligations.

(10) Serve as the primary interface between the Office of the Budget and the Comptroller’s Office on all matters relating to budgetary and fiscal activities.

(11) Provide the Council with composition and graphic arts functions to meet the Agency’s requirements.

(12) Provide for printing needs to the Council through both Commonwealth and commercial printing agencies.

(13) Be responsible for the publication and updating of the Agency Administrative Manual which outlines basic operating procedures for Council employes in the administration of their daily tasks and assignments.

(14) Provide the Council with management expertise in the areas of systems, records management, space analysis, equipment utilization, forms and filing techniques.

History

Source: The provisions of this Chapter 253 amended August 3, 1979, effective August 4, 1979, 9 Pa.B. 2524, unless otherwise noted.

4 Pa. Code § 253.16 Division of Personnel.

The Division of Personnel shall provide the following services:

(1) Direct and control all phases of the Agency’s personnel program including recruitment, employe services, labor relations, leave, personnel/payroll transactions, classification and compensation and training.

(2) Develop and implement Council personnel policies and procedures.

(3) Conduct the Agency recruitment and placement program by interviewing candidates, reviewing resumes, determining qualifications, and referring candidates for employment consideration.

(4) Coordinate the development of testing programs with the State Civil Service Commission and Agency consultants.

(5) Provide benefit information and counseling to employes in such areas as Blue Cross/Blue Shield, life insurance, blood bank, and retirement.

(6) Interpret and administer the provisions of collective bargaining agreements.

(7) Classify Agency and county positions to maintain equity among positions.

(8) Conduct Agency and county occupational and classification surveys.

(9) Resolve third step grievances and represent the Agency on appeals.

(10) Develop or revise class specifications and recommend appropriate pay ranges or revisions or both.

(11) Determine and evaluate Agency training needs and provide training information to staff.

(12) Review out-service and in-service training requests for job relatedness.

(13) Provide technical assistance to SCAs on personnel management and administration.

(14) Provide technical assistance to Council staff on personnel management matters.

(15) Conduct personnel management reviews of SCAs to ensure compliance with personnel agreements and policies.

(16) Investigate disciplinary recommendations made by office or bureau directors and make appropriate recommendations.

(17) Process personnel/payroll transactions received by the Division of Personnel.

(18) Process SCA personnel transactions.

(19) Maintain Agency leave records.

(20) Conduct orientation program for new employes.

(21) Conduct an exit interview program.

History

Source: The provisions of this Chapter 253 amended August 3, 1979, effective August 4, 1979, 9 Pa.B. 2524, unless otherwise noted.

4 Pa. Code § 253.17 Bureau of Community Assistance.

The Bureau of Community Assistance shall provide the following services:

(1) Direct all operations of the Bureau’s four Regional Division Offices.

(2) Provide feedback to other units of the Council based on the results of the Bureau’s project approval/licensing, monitoring, technical assistance, auditing and fiscal review and approval activities as an aid in the assessment of the effectiveness of programs and services supported or required by the Council.

(3) Provide technical assistance to Single County Authorities (SCAs), projects and related organizations in the interpretation and implementation of the Council’s policies, standards and procedures, and this part.

(4) Be responsible for all project approval/licensure field activities, analyses and recommendations to the Executive Director for the issuance of project approval compliance certificates/licenses.

(5) Garner input from SCAs, projects and related organizations and assess the impact of Council policy on the community based drug and alcohol service delivery system; and provide recommendations to the Executive Director.

(6) Be responsible for conducting all necessary monitoring and associated activities necessary to assess contractor/grantee performance and compliance with the terms and conditions of agreements.

(7) Review, analyze, and make recommendations on all Single County Authority grants, contracts and plans.

(8) Act as the primary reviewer of contract proposals related to the community based service delivery system and related agreements.

(9) Develop and maintain fiscal systems for grantees and contractors providing treatment services or comprising a part of the community based services delivery system. The Bureau shall also be responsible for the conduct and analysis of fiscal and performance audits as directed by the Executive Director. Recommendations shall be made to the Executive Director.

(10) Analyze budget requests and fiscal reports of grantees providing treatment services or comprising a part of the community based services delivery system. The Bureau shall also be responsible for the conduct and analysis of fiscal and performance audits as directed by the Executive Director. Recommendations shall be made to the Executive Director.

(11) Prepare application/proposals for Federal funding in support of treatment services.

(12) Review and comment on the guidelines providing technical assistance; receive and review all Single County Authority plans.

(13) Report to the Executive Director.

History

Source: The provisions of this Chapter 253 amended August 3, 1979, effective August 4, 1979, 9 Pa.B. 2524, unless otherwise noted.

4 Pa. Code § 253.18 Division of Grants Management.

The Division of Grants Management shall provide the following services:

(1) Provide interface between the Council and the Comptroller on all contract and grant fiscal matters.

(2) Receive, review, and analyze fiscal reports to keep appropriate Agency units informed of financial activities.

(3) Consolidate budget submittals, including coordination of Federal program funding requirements for submission to the Bureau of Administrative Services.

(4) Review the budget portion of contract and grant proposals for efficient utilization of program funds.

(5) Maintain a fiscal reporting system that will relate to a standard service contract and be compatible with the State fiscal system.

(6) Carry out performance audits with authorization of the Executive Director.

(7) Prepare fiscal guidelines for county plans.

(8) Report to Deputy Director of Community Assistance.

History

Source: The provisions of this Chapter 253 amended August 3, 1979, effective August 4, 1979, 9 Pa.B. 2524, unless otherwise noted.

4 Pa. Code § 253.19 Division of Licensing and Certification.

The Division of Licensing and Certification shall provide the following services:

(1) Provide approval function for the use of methadone as mandated under Act 64 and 21 U.S.C.A. § § 1101—1191.

(2) Implement, monitor, control and conduct field work for Agency project approval/licensing responsibilities.

(3) Maintain liaison with the Office of Policy and Planning with respect to the development and revision of project approval/licensing standards.

(4) Maintain a central number and record control for project approval/licensing activities.

(5) Issue appropriate letters and certificates indicating Council action on project approval/licensing applications.

(6) Issue appropriate correspondence indicating Drug and Alcohol Project Status on all inter- and intra-agency requests; such as BVR, C-2, M.A., Food Stamps, and the like.

(7) Report to the Director of Community Assistance.

History

Source: The provisions of this Chapter 253 amended August 3, 1979, effective August 4, 1979, 9 Pa.B. 2524, unless otherwise noted.

4 Pa. Code § 253.20 Regional Divisions.

The Regional Divisions shall provide the following services:

(1) Provide technical assistance to county agencies in the implementation of Council policies and programs.

(2) Provide explanation and clarification to county agencies on this part, and policies and guidelines of the Council.

(3) Provide recommendations on grant and contract proposals and county plans.

(4) Monitor service delivery systems for compliance with this part, Council standards and reporting formats.

(5) Monitor performance of Single County Authority contractors and grantees.

(6) Report to Director of Community Assistance.

History

Source: The provisions of this Chapter 253 amended August 3, 1979, effective August 4, 1979, 9 Pa.B. 2524, unless otherwise noted.

4 Pa. Code § 253.21 Bureau of Program Services.

The Bureau of Program Services shall provide the following services:

(1) Be responsible for the identification of unique population groups requiring specialized program information.

(2) Plan and coordinate the activities for these special population groups through various Council functions, programs, technical assistance, and the like.

(3) Develop and operate occupational alcoholism and drug programs for business industries and conduct training programs in the fields of prevention and treatment for service delivery personnel.

(4) Provide training programs for persons currently employed in community treatment programs.

(5) Coordinate and implement training and prevention efforts in the field of drug and alcohol abuse with other Commonwealth agencies.

(6) Coordinate the Alcohol Highway Safety Program in association with the Governor’s Traffic Safety Council and the Pennsylvania Department of Transportation in an effort to establish a system of Driving Under The Influence programs on a statewide basis.

(7) Recommend the adoption of new and innovative training and prevention strategies for use by Single County Authorities and program providers.

(8) Provide a toll-free answering service for treatment and prevention referral; such as guidance of funding and treatment approaches.

(9) Provide the citizens of this Commonwealth with current and factual information on drug and alcohol abuse.

(10) Develop and implement basic alcohol and drug education programs, institutes, workshops, and seminars for community professionals and laymen, prospective counselors, Council members, Council staff and special population groups.

History

Source: The provisions of this Chapter 253 amended August 3, 1979, effective August 4, 1979, 9 Pa.B. 2524, unless otherwise noted.

4 Pa. Code § 253.22 Division of Training and Prevention.

The Division of Training and Prevention shall provide the following services:

(1) Develop, coordinate and conduct training programs in prevention and treatment for service delivery personnel.

(2) Provide training programs for public and private schools and professional and technical education institutions and their professional personnel.

(3) Monitor Agency training and prevention contracts.

(4) Provide analysis and recommendations on training and prevention proposals.

(5) Develop and recommend appropriate curriculum materials for training and prevention service delivery.

(6) Recommend new and innovative training and prevention strategies for use by Single County Authorities and program providers.

(7) Implement training and prevention programs under the auspices of the National Institute of Alcoholism and Alcohol Abuse and the National Institute of Drug Abuse, using Federal grant moneys.

(8) Provide training to Agency staff in coordination with the Division of Personnel.

(9) Coordinate and implement training and prevention efforts with other Commonwealth agencies.

(10) Maintain the statewide training system and training registries.

(11) Develop and implement basic alcohol and drug education programs, institutes, workshops and seminars for community professionals and laymen, prospective counselors, Council members, Council staff and special population groups.

(12) Negotiate with colleges and universities to obtain academic credits or continuing education unit credits for students attending alcohol and drug courses conducted by the Division.

(13) Coordinate training with Single County Authorities through the Regional Training System.

(14) Provide technical assistance to Regional Division Offices as requested in monitoring of training and prevention plan performance.

History

Source: The provisions of this Chapter 253 amended August 3, 1979, effective August 4, 1979, 9 Pa.B. 2524, unless otherwise noted.

4 Pa. Code § 253.23 Division of Intervention Services.

The Division of Intervention Services shall provide the following services:

(1) Analyze new or unique populations in need of specialized program information, such as women, youth, ethnic minorities, the elderly, or professional groups such as emergency care personnel, nurses, clergy, and the like.

(2) Plan and coordinate activities and awareness for special populations through Council functions, program development, technical assistance, or public forum/conference presentation.

(3) Serve as Agency liaison or provide technical assistance or both to special population organizations, including the Women’s Task Force and the Physician’s Task Force, the certification process, judicial and law enforcement personnel.

(4) Prepare guidelines for developing the State Employe Assistance Program to assist governmental employes with deteriorating job performance and establish a system of referral for those needing specialized or professional care.

(5) Provide technical assistance to occupation program consultants from Single County Authorities; plan and direct training programs for consultants, counselors, and supervisory personnel from business industry, and governmental agencies regarding the State Employe Assistance Program.

(6) Maintain liaisons with Bureau of Labor Relations, unions, and managers in regard to the State Employe Assistance Program for those employes with alcohol or drug abuse problems.

(7) Coordinate the Alcohol Highway Safety Program in association with the Governor’s Traffic Safety Council and the Pennsylvania Department of Transportation in an effort to establish a system of Driving Under the Influence programs on a statewide basis.

(8) Serve as consultant to community groups operating Driving Under the Influence programs or preparing to conduct programs for Driving Under the Influence offenders.

(9) Record and collate blood alcohol reports received from the Department of Health laboratories on driver fatalities; notify county coroners of the blood alcohol content of the deceased drivers from reports received from the laboratory; and correlate reports of drivers’ deaths with reports from State Police and Pennsylvania Department of Transportation statistics.

History

Source: The provisions of this Chapter 253 amended August 3, 1979, effective August 4, 1979, 9 Pa.B. 2524, unless otherwise noted.

4 Pa. Code § 253.24 Educational Needs Clearinghouse for Outreach Research and Emergency (ENCORE).

The Education Needs Clearinghouse for Outreach Research and Emergency shall provide the following services:

(1) Provide the citizens of this Commonwealth with current and factual information on drug and alcohol abuse.

(2) Provide ongoing public relations.

(3) Provide support to Agency staff in developing workshops, seminars, training and conferences.

(4) Develop multimedia campaigns to increase public awareness of the nature and extent of drug and alcohol abuse and the availability of prevention and treatment services throughout this Commonwealth.

(5) Assist the National Institute on Drug Abuse in implementing its nationwide Drug Abuse Communications Network (DRACON).

(6) Provide a toll-free public answering service for information and treatment referral; such as guidance on program funding and treatment approaches.

(7) Provide on a free loan basis audiovisuals and an index of audiovisual aids pertaining to drug and alcohol.

(8) Publish a bimonthly newsletter and prevention newsletter offering news of developments and state-of-the-art reports in the field.

(9) Provide a reference library and data repository.

(10) Develop and disseminate bibliographies on various aspects of drug abuse and alcoholism.

(11) Maintain Agency-produced publications and respond to inquiries for information concerning the Council.

(12) Provide technical assistance and information to private organizations, drug and alcohol programs and other Commonwealth agencies for conferences, workshops and seminars.

(13) Operate a newspaper clipping service relative to articles on the drug and alcohol abuse field.

History

Source: The provisions of this Chapter 253 amended August 3, 1979, effective August 4, 1979, 9 Pa.B. 2524, unless otherwise noted.

Chapter 254 Single County Authorities

4 Pa. Code § 254.1 Statement of policy.

(a) After careful research and study, the Council has determined that the problems of drug and alcohol abuse and dependence are community problems. It is the position of the Council that no central authority may determine precisely what services are necessary in each of the 67 counties of this Commonwealth. Consequently, the emphasis in this State Plan is on the establishment of community-based drug and alcohol prevention, intervention, and treatment services. Institutional services shall be phased out, as community services are developed and expanded.

(b) In order to carry out this basic policy of community involvement a system of Single County Authorities is hereby developed. Though the final authority remains within the Council this State Plan provides for the delegation of much of the authority provided in Act 63 to county agencies established in accordance with this State Plan.

The provisions of this § 254.1 amended June 15, 1979, effective June 16, 1979, 9 Pa.B. 1862. Immediately preceding text appears at serial pages (35061) and (35062).

History

Source: The provisions of this § 254.19 amended November 23, 1979, effective November 24, 1979, 9 Pa.B. 3864. Immediately preceding text appears at serial pages (43870) to (43872).

4 Pa. Code § 254.2 Establishment of a Single County Authority.

(a) This part authorizes the County Commissioner to establish a Single County Authority (SCA) for the planning and evaluation of community drug and alcohol prevention, intervention, and treatment services. Counties are provided the opportunity, under this part, to work in concert with other counties to deliver these services. As such, an SCA is a delegate agency of the Council operated by the county.

(b) An SCA is established when the county commissioners have informed the Council of their desire to enter into the statewide prevention, intervention, and treatment program, have agreed to abide by the regulations of the Council for such programs, have appointed a citizens group consisting of 11 to 15 members of citizens to plan and evaluate those services, and have designated a person to implement the plan prepared by the citizens group.

(d) In county joinders, if the local authorities cannot agree as to which option to implement, each county shall have one vote and the decision regarding the option shall be by the majority. In the case of a tie, the decision of the county with the largest population shall prevail.

(e) If at any time the local authorities elect to exercise their right to change options, they may do so by petitioning the Council.

(f) The disbursement of county drug or alcohol funds or both is contingent upon the establishment and functioning of the Planning Council or Executive Commissions, public or private.

(g) If failure to establish the Planning Council or Executive Commission in whole or in part, occurs after 60 days from the designated date for such establishment, the establishment shall be made by the Council after consultation with the local authorities, or the Council may contract directly to service providers or both.

The provisions of this § 254.2 amended through June 15, 1979, effective June 16, 1979, 9 Pa.B. 1862. Immediately preceding text appears at serial page (35062).

This section cited in 4 Pa. Code § 265.3 (relating to level II hearings).

History

Source: The provisions of this § 254.19 amended November 23, 1979, effective November 24, 1979, 9 Pa.B. 3864. Immediately preceding text appears at serial pages (43870) to (43872).

4 Pa. Code § 254.3 Organization and structure of SCA’s.

Three types of Single County Authorities are authorized by the State Plan:

(1) Planning Council Option. The county commissioners may determine that they want the county drug and alcohol program administered by the county Mental Health/Mental Retardation Office. Under this option, the local authorities shall then establish a Drug and Alcohol Planning Council. This Council shall function independently from the MH/MR Board and it shall have the responsibility together with the drug and alcohol specialist for planning and developing a comprehensive drug and alcohol service delivery system. The relationship of the drug and alcohol specialists to the MH/MR Administrator is discussed in § 254.17 (relating to relationship of the drug and alcohol specialist to the MH/MR Administrator). See Appendix B of this part. Under this option the SCA is a branch of county government.

(2) Executive Commission Option (public agency). Under this option, the county commissioners may choose to establish a new department within county government, with, as its sole responsibility, the delivery of drug and alcohol prevention, intervention, and treatment services. See Appendix C of this part. Under this option the SCA is a branch of county government. The Executive Director is not a member of the MH/MR Administrator’s staff.

(3) Executive Commission Option (private agency). Under this option, the county commissioners may choose to organize a non-profit community organization with, as its sole responsibility, the delivery of drug and alcohol prevention, intervention, and treatment services, and delegate these responsibilities to that organization, by contract. Reference should be made to Appendix D of this part. Under this option, the SCA is a delegate agent of the county government. The Executive Director is not a member of the staff of the MH/MR Administrator.

The provisions of this § 254.3 amended June 15, 1979, effective June 16, 1979, 9 Pa.B. 1862. Immediately preceding text appears at serial page (35063).

This section cited in 4 Pa. Code § 265.3 (relating to level II hearings).

History

Source: The provisions of this § 254.19 amended November 23, 1979, effective November 24, 1979, 9 Pa.B. 3864. Immediately preceding text appears at serial pages (43870) to (43872).

4 Pa. Code § 254.4 Powers and duties of the SCA.

(a) The Planning Council Option or Executive Commission Option—public agency—shall be as follows:

(1) To review and evaluate drug and alcohol services, projects and special problems in relation to the incidence and prevalence of drug and alcohol abuse.

(2) To prepare the annual Comprehensive Drug and Alcohol Treatment and Prevention Plan.

(3) To review and amend, on an annual basis, the Comprehensive Drug and Alcohol Treatment and Prevention Plan.

(4) To recommend approval of projects and any other matters related to drug and alcohol services in the county.

(5) To assist the Council in the evaluation of drug and alcohol treatment, intervention and prevention projects through the implementation of the UDCS in all projects in the county.

(6) To conduct unique evaluation of SCA funded projects in accordance with guidelines approved by the Council.

(7) To prescribe, amend, and repeal bylaws governing the manner in which business is conducted and the manner in which the powers granted to it are exercised.

(8) To submit the Annual Plan to the county commissioners for approval.

(9) To monitor compliance/performance of service providers relative to uniform policies, regulations, contractual obligations, and goals/objectives.

(b) The powers and duties of the Executive Commission Option (Private Agency) shall be as follows:

An Executive Commission (Private Agency) has all of the powers and duties of a Planning Council or Executive Commission (Public Agency), listed in subsection (a). In addition, the Executive Commission (Private Agency) shall approve contracts, purchase of services, and funds required to implement these projects.

The provisions of this § 254.4 amended November 23, 1979, effective November 24, 1979, 9 Pa.B. 3864. Immediately preceding text appears at serial pages (43861) and (43862).

History

Source: The provisions of this § 254.19 amended November 23, 1979, effective November 24, 1979, 9 Pa.B. 3864. Immediately preceding text appears at serial pages (43870) to (43872).

4 Pa. Code § 254.5 Constitution of the Planning Council or Executive Commission.

(a) Local authorities shall appoint a Planning Council or Executive Commission which shall consist of a minimum of 11 members and a maximum of 15 members, chosen and constituted as described in this section. The number of members shall always be an odd number. Such appointments shall be made consistent with the applicable adverse interest laws. All present members of these bodies shall complete their terms of service in the category for which they were originally appointed.

(b) The following six categories shall be represented by at least one individual each:

(1) Criminal justice. One person involved in the criminal justice field, for example, attorney, law enforcement officer, ex-offender.

(2) Business or industry. One person representative of the business or industry community.

(3) Labor. One person representative of the labor community.

(4) Education. One person presently working the field of education, for example, principal, teacher.

(5) Medicine. One person with any of the following credentials: physician, dentist, health care administrator, pharmacist or nurse.

(6) Psycho-Social Professional. One person with any of the following credentials: Psychologist, M.S.W., or any other social services professional, for example, clergyman.

(c) Of the remaining five to nine members, the local authorities shall appoint individuals who are representative of the constitution and character of the SCA. The following categories shall be represented by at least one individual each unless documentation is submitted to the Council showing that an individual is not available or that the category is not applicable.

(1) Student. Individuals representative of the high school, trade school, college, or university population in the community.

(2) Elderly. Individuals representative of the elderly population in the community.

(3) Client. Individuals representative of current or past recipients of drug or alcohol treatment services.

(4) Community. Individuals representative of the economically disadvantaged either by residence or employment.

(d) Notwithstanding the provisions of subsections (a)—(c), only one member of the board or staff of a single drug or alcohol project may sit on the Planning Council or Executive Commission at any designated time, at least one of the choices must be an individual 25 years or under at the time of appointment, and no more than 60% of the members may be of the same sex.

(e) In addition to a Planning Council or Executive Commission, a Service Provider Advisory Task Force may be formed. This Task Force shall provide a forum for project input into action taken by the Planning Council or Executive Commission.

(1) Each project may have a representative on the Service Provider Advisory Task Force.

(2) The Service Provider Advisory Task Force may meet at least once every 60 days.

(3) The Drug and Alcohol Specialist or Executive Director and a member of the Planning Council or Executive Commission or their designees, shall attend the Service Provider Advisory Task Force Meeting.

The provisions of this § 254.5 amended September 9, 1977, 7 Pa.B. 2603. Immediately preceding text appears at serial pages (27024) and (27025).

History

Source: The provisions of this § 254.19 amended November 23, 1979, effective November 24, 1979, 9 Pa.B. 3864. Immediately preceding text appears at serial pages (43870) to (43872).

4 Pa. Code § 254.6 Appointments to Planning Councils and Executive Commissions.

(a) Each member shall be appointed for a period of three years. Any vacancy occurring in the membership of the Planning Council or Executive Commission shall be filled by the local authorities for the unexpired period within 60 days. Of the members initially appointed, five members shall be appointed for a period of 1 year, four members shall be appointed for a period of 2 years and the remaining members for a period of 3 years.

(b) Appointments to fill any vacancy shall be chosen from the category vacated and be in accordance with the formula set forth in § 254.5(a) (relating to constitution of the Planning Council or Executive Commission).

(c) No individual may serve on a Planning Council or Executive Commission for more than two consecutive terms unless an exception is requested by the local authorities and approved by the Governor’s Council. Individuals appointed by the local authorities to complete an unexpired term are still eligible for two complete consecutive terms after the incomplete term has expired.

(d) All members must be residents of the SCA in which they serve. The formula to determine the number of members from each county where two or more counties are participating in concert shall be as follows: When a joinder of two, three or four counties occurs, the membership shall be divided equally among the counties. Remaining positions shall be divided equally among the counties with the larger population.

The provisions of this § 254.6 amended through June 15, 1979, effective June 16, 1979, 9 Pa.B. 1862. Immediately preceding text appears at serial page (35066).

History

Source: The provisions of this § 254.19 amended November 23, 1979, effective November 24, 1979, 9 Pa.B. 3864. Immediately preceding text appears at serial pages (43870) to (43872).

4 Pa. Code § 254.7 Officers.

(a) The officers of the Planning Council or Executive Commissions shall be a chairperson, a vice-chairperson, and a secretary. These officers shall be elected annually.

(b) It shall be the duty of the chairperson to preside at all meetings of the Planning Council or Executive Commission and generally to be responsible for directing the business of the Planning Council or Executive Commission.

(c) It shall be the duty of the vice-chairperson to perform the duties of the chairperson in his absence at regular Planning Council or Executive Commission meetings.

(d) It will be the duty of the Council to keep a correct record of the meetings of the Planning Council or Executive Commission and to be the custodian of all the records and papers of same, except such as are specifically assigned to others.

History

Source: The provisions of this § 254.19 amended November 23, 1979, effective November 24, 1979, 9 Pa.B. 3864. Immediately preceding text appears at serial pages (43870) to (43872).

4 Pa. Code § 254.8 Removal: Members of the Planning Council or Executive Commission.

Local authorities may remove any member of the Planning Council or the Executive Commission during his period of service for cause only. Unexcused failure to attend three consecutive meetings shall constitute cause.

History

Source: The provisions of this § 254.19 amended November 23, 1979, effective November 24, 1979, 9 Pa.B. 3864. Immediately preceding text appears at serial pages (43870) to (43872).

4 Pa. Code § 254.9 Local Authorities: information to the Council.

(a) The local authorities shall notify the Council, in writing, of the establishment of and all appointments to the Planning Council or Executive Commission. Such notification shall include:

(1) The size of the Planning Council or Executive Commission, that is, the number of members.

(2) The names of the members appointed.

(3) The terms of their appointment.

(4) Justification for selection as per category.

(5) Any other pertinent information as may be requested.

(b) The local authorities shall notify the Council, in writing, within 21 days of any vacancies which may occur. Such notification shall include:

(1) The name and category of such vacancies.

(2) Reason and cause for the vacancy.

The provisions of this § 254.9 amended September 9, 1977, 7 Pa.B. 2603. Immediately preceding text appears at serial page (27026).

History

Source: The provisions of this § 254.19 amended November 23, 1979, effective November 24, 1979, 9 Pa.B. 3864. Immediately preceding text appears at serial pages (43870) to (43872).

4 Pa. Code § 254.10 Required signatures on grants and contracts.

(a) For a single county, the signatures of at least two county commissioners and the attestation of the chief clerk is required.

(b) For a joinder, the authorized representative Board of Commissioners of each county must sign, and each signature must be attested to by the chief clerks of the respective counties.

History

Source: The provisions of this § 254.19 amended November 23, 1979, effective November 24, 1979, 9 Pa.B. 3864. Immediately preceding text appears at serial pages (43870) to (43872).

4 Pa. Code § 254.11 Meetings.

(a) Regular meetings shall conform with the following:

Each Planning Council or Executive Commission should meet at least monthly. Each Planning Council or Executive Commission shall have at least 11 meetings per year and not more than 60 days shall transpire between meetings. Additional meetings may be called as often as deemed necessary by a majority vote of the membership. A majority of the Planning Council or Executive Commission shall constitute a quorum.

(b) Special meetings shall conform with the following:

(1) Special meetings shall be held on call of the chairperson with at least 48 hour actual written notice to each member.

(2) It shall be the duty of the chairperson to call a special meeting within three days of the receipt of a written request by 1/3 or more of the members of the Planning Council or Executive Commission (Public or Private).

(3) No business shall be transacted at such a meeting except that named in the notice.

The provisions of this § 254.11 amended June 15, 1979, effective June 16, 1979, 9 Pa.B. 1862. Immediately preceding text appears at serial page (27027).

History

Source: The provisions of this § 254.19 amended November 23, 1979, effective November 24, 1979, 9 Pa.B. 3864. Immediately preceding text appears at serial pages (43870) to (43872).

4 Pa. Code § 254.12 Public hearings.

The Planning Council or the Executive Commission shall hold public hearings prior to the approval of the annual Comprehensive Drug and Alcohol Treatment and Prevention Plan, and all its amendments. The Planning Council or the Executive Commission shall insure that adequate notice of such hearings is given to the public.

History

Source: The provisions of this § 254.19 amended November 23, 1979, effective November 24, 1979, 9 Pa.B. 3864. Immediately preceding text appears at serial pages (43870) to (43872).

4 Pa. Code § 254.13 Reimbursement.

Members of the Planning Council and Executive Commissions shall serve without compensation other than reimbursement for travel and other actual expenses incurred in connection with called meetings and other work authorized by the members. Expenses incurred by members of the Planning Council or Executive Commission are reimbursed in accordance with the compensation regulations of the Council.

History

Source: The provisions of this § 254.19 amended November 23, 1979, effective November 24, 1979, 9 Pa.B. 3864. Immediately preceding text appears at serial pages (43870) to (43872).

4 Pa. Code § 254.14 Executive Director or Drug and Alcohol Specialist: Appointment.

(a) Executive Director: appointment.

(1) The local authorities shall appoint an Executive Director from a list of not less than three names submitted by the Executive Commission. Such appointee shall meet the minimum experience and training requirements established for this classification, County Drug and Alcohol Executive Director (Class Code 3840). Where two or more counties act in concert, each county shall have one vote and the decision regarding the appointment shall be a majority. If after 60 days, the Executive Commission has submitted a list of candidates to the local authorities and an appointment has not been made, an appointment will be made by the Council after consultation with the local authorities. The appointment of the Executive Director by whomever made, may be terminated by the local authorites provided that no appointment made by the Council under this section shall be terminated without approval of the majority of the Executive Commission.

(2) The Executive Director shall be appointed only after the Council has approved the qualifications of the candidate to be appointed.

(3) The local authorities shall inform the Council immediately of the appointment of the Executive Director and shall provide such documentation as to indicate compliance with the provisions of this section. The Council will review the qualifications of the individual appointed to insure that this individual meets the class standards.

(b) Drug and Alcohol Specialist: appointment.

(1) The local authorities shall request a certified Civil Service list of eligibles for appointment of a Drug and Alcohol Specialist. An appointment from this list shall be in conformance with the Civil Service Act (71 P. S. § § 741.1—741.1005). The local authorities shall appoint same from this certified list or if not available from a list of not less than three names submitted by the Planning Council. Where two or more counties act in concert, each county shall have one vote and decision regarding the appointment shall be a majority. If, after 60 days, the Planning Council has submitted a list of candidates to the local authorities, and an appointment has not been made, an appointment will be made by the Council after consultation with the local authorities. The appointment of the Drug and Alcohol Specialist by whomever made, may be terminated by the local authorities, provided that no appointment made by the Council under this section shall be terminated without the approval of the majority of the Planning Council. Any such termination must be in conformance with the Civil Service Act.

(2) The Drug and Alcohol Specialist shall be appointed only after the Council and the State Civil Service Commission have approved the qualifications of the candidate to be appointed.

(3) The local authorities when making an appointment of a Drug and Alcohol Specialist, shall provide such documentation as to indicate compliance with subsection (a)(1) and (2).

History

Source: The provisions of this § 254.19 amended November 23, 1979, effective November 24, 1979, 9 Pa.B. 3864. Immediately preceding text appears at serial pages (43870) to (43872).

4 Pa. Code § 254.15 Executive Director: powers and duties.

The Executive Director shall have the power and his duties shall be as follows:

(1) To administer the annual Comprehensive Drug and Alcohol Treatment and Prevention Plan.

(2) To insure that drug and alcohol services required by Act 63 are available.

(3) To attend Executive Commission meetings and to provide staff services to same.

(4) To make such reports to the Council in such form, and containing such information as may be required.

(5) To develop, together with the Executive Commission, the annual Comprehensive Drug and Alcohol Treatment and Prevention Plan for the county.

(6) To review and evaluate facilities and to cooperate with the Executive Commission in the maintenance of established standards.

(7) To maintain liaison with governmental and private community services, agencies, and organizations and State-operated facilities.

(8) To prepare and to submit an annual report to the local authorities, the Executive Commission, and to the Council, including all activities of the Program, and his administration thereof.

(9) To analyze and evaluate drug and alcohol needs and services in the county and to recommend improvements to the Executive Commission.

(10) To designate an appropriate person on his staff to act for him during his absence.

(11) To perform other functions as may be required by the Executive Commission.

(12) To assume fiscal responsibility for the implementation of the annual Comprehensive Drug and Alcohol Treatment and Prevention Plan.

History

Source: The provisions of this § 254.19 amended November 23, 1979, effective November 24, 1979, 9 Pa.B. 3864. Immediately preceding text appears at serial pages (43870) to (43872).

4 Pa. Code § 254.16 Drug and Alcohol Specialist: powers and duties.

The Drug and Alcohol Specialist shall have the power and his duties shall be:

(1) To serve on the staff of the MH/MR Administrator and to administer the annual Comprehensive Drug and Alcohol Treatment and Prevention Plan.

(2) To insure that drug and alcohol services required by Act 63 are available.

(3) To attend Planning Council meetings and to provide staff services to its members.

(4) To make such reports to the Planning Council, the MH/MR Administrator, and the Council in such form, and containing such information as may be required.

(5) To assist the Planning Council and the MH/MR Administrator in the development and implementation of the annual Comprehensive Drug and Alcohol Treatment and Prevention Plan for the county.

(6) To submit the annual Comprehensive Drug and Alcohol Treatment and Prevention Plan to the county commissioners for submission to the Council.

(7) To review and evaluate facilities and to cooperate with the Planning Council and the MH/MR Administrator in the maintenance of established standards.

(8) To maintain liaison with governmental and private community services, agencies, and organizations and State-operated facilities.

(9) To prepare and submit an annual report to the local authorities, the MH/MR Administrator, the Planning Council, and the Council, including all activities of the Program, and his administration thereof.

(10) To recommend such improvements as may be necessary to the MH/MR Administrator in cooperation with the Planning Council.

History

Source: The provisions of this § 254.19 amended November 23, 1979, effective November 24, 1979, 9 Pa.B. 3864. Immediately preceding text appears at serial pages (43870) to (43872).

4 Pa. Code § 254.17 Relationship of the Drug and Alcohol Specialist to the MH/MR Administrator.

The MH/MR Administrator shall have fiscal and administrative responsibility for drug and alcohol monies budgeted for his Drug and Alcohol administrative unit. The Drug and Alcohol Specialist shall occupy a position on the staff of the MH/MR Administrator, and as such shall have administrative responsibility for all drug and alcohol projects. The MH/MR Administrator shall designate such staff as may be necessary to assist the Drug and Alcohol Specialist.

History

Source: The provisions of this § 254.19 amended November 23, 1979, effective November 24, 1979, 9 Pa.B. 3864. Immediately preceding text appears at serial pages (43870) to (43872).

4 Pa. Code § 254.18 Qualifications: Executive Director or Drug and Alcohol Specialist.

(a) Drug and Alcohol Specialist. The minimum requirements for the position of Drug and Alcohol Specialist shall be 3 years of experience in the field of public health, psychology, sociology, education, corrections, theology or social work, including 1 year of experience involving related social service community planning and organization; and a bachelor’s degree in social welfare, sociology, psychology, education or a related field; or any equivalent combination of experience and training. Education beyond the Bachelor’s Degree level shall be accepted on a year-for-year basis for the required experience, excluding the mandatory year’s experience involving social service community planning and organization.

(b) Executive Director. The minimum requirements for the position of Executive Director shall be 3 years of experience in the field of public health, psychology, sociology, education, corrections, theology or social work, including 1 year of administrative experience and 1 year of experience involving social service community planning and organization; and a Bachelor’s Degree in social welfare, sociology, psychology, education or a related field. Appropriate experience may be substituted for the required undergraduate study on a year-for-year basis. Appropriate education beyond the Bachelor’s Degree shall be accepted on a year-for-year basis for the required experience, excluding the mandatory year’s experience involving social service community planning and organization and the year of administrative experience.

The provisions of this § 254.18 amended September 17, 1976, 6 Pa.B. 2275. Immediately preceding text appears at serial page (27031).

History

Source: The provisions of this § 254.19 amended November 23, 1979, effective November 24, 1979, 9 Pa.B. 3864. Immediately preceding text appears at serial pages (43870) to (43872).

4 Pa. Code § 254.19 Relationship of SCA to the Council.

(a) It is the policy of the Council that it will not be a provider of treatment services, but will arrange for these services by grant or contract as mandated by Act 63.

(b) It is the policy of the Council, when possible, to delegate the authority for the delivery of community drug and alcohol prevention, intervention, and treatment services to the SCAs as described in this part.

(c) The Council will monitor the compliance/performance of SCA’s rela- tive to uniform policies, regulations, contractual obligations and goals/objectives. When required by contract, the Council, in conjunction with the SCA’s, will monitor the compliance/performance of selected service providers. The Council will delegate to the SCA’s the responsibility and authority to monitor compliance/performance of service providers relative to uniform policies, regulations, contractual obligations and goals/objectives. SCA monitoring of service providers shall be in accordance with guidelines issued by the Council.

(d) SCA sign-off is required on all Federal and State grant and contract applications pertaining to the subject matter of the county comprehensive drug and alcohol abuse plan. Specifically, this refers to all applications relevant to prevention, intervention and treatment projects.

(e) However, a lack of comments from an SCA, within 30 days of submission of such applications for review by the SCA, will be viewed by the Council as a waiver of the comment, review and approval procedure. Those contract and grant requests that have a Statewide or regional impact, shall not require approval from the SCA for funding. Review and comments will be sought by the Council prior to contract or grant approval.

(f) Grants and contracts concerning law enforcement and control programs shall be exempt from the SCA review, comment and approval procedure. The SCA shall be informed of law enforcement and control programs prior to final grant or contract approval.

(g) It is the policy of the Council to see that the funds are allocated on an equitable basis. Census, prevalence and performance will be the prime criteria.

(h) The policy of delegating authority to the SCA will continue through the promulgation of regulations by the Council. The hierarchy of Council official statements is:

(1) the State Plan for the Prevention, Treatment and Control of Drug and Alcohol Abuse;

(2) official policy statements signed by the Executive Director or his designee; and

(3) other memoranda or correspondence on official stationery signed by the Executive Director, Deputy Executive Director, Executive Assistant, Bureau Director, Deputy Bureau Director or Division Chief.

(i) The primary functions of the Council with regard to SCAs will be as follows:

(1) Integration of the county planning effort into a comprehensive State planning effort.

(2) Allocation of funds to counties upon approval of the county plan.

(3) Monitoring compliance/performance of the Single County Authorities relative to uniform policies, regulations, contractual obligations, and goals/objectives. When required by contract and in conjunction with the SCA’s, monitoring compliance/performance of selected service providers.

(4) Providing technical assistance to Single County Authorities.

(5) Evaluation of the efficacy of prevention, intervention, and treatment systems.

(6) Establishment of Statewide goals and priorities.

(7) Development and implementation of demonstration projects.

(j) The role of the Single County Authorities with regard to the Council shall be as follows:

(1) Establishment of a system of goals and objectives that interface with the goals and objectives promulgated by the Council.

(2) Establishment of plans and priorities for the allocation of funds that are consistent with the goals and objectives established by that SCA.

(3) Subcontracting, data collection, and accountability for funds.

(4) Monitoring compliance/performance of service providers relative to uniform policies, regulations, contractual obligations, and goals/objectives.

(5) Insuring that the maximum possible effort is achieved by use of the funds allocated to the SCA.

(6) Performing unique evaluations on SCA funded projects.

The provisions of this § 254.19 amended November 23, 1979, effective November 24, 1979, 9 Pa.B. 3864. Immediately preceding text appears at serial pages (43870) to (43872).

History

Source: The provisions of this § 254.19 amended November 23, 1979, effective November 24, 1979, 9 Pa.B. 3864. Immediately preceding text appears at serial pages (43870) to (43872).

4 Pa. Code § 254.20 Appeals.

An aggrieved party shall have the right to appeal an SCA decision to the Council. The Council will issue guidelines to be followed by an aggrieved party.

This section cited in 4 Pa. Code § 257.4 (relating to case management).

History

Source: The provisions of this § 254.19 amended November 23, 1979, effective November 24, 1979, 9 Pa.B. 3864. Immediately preceding text appears at serial pages (43870) to (43872).

Chapter 255 Management Information, Research and Evaluation

4 Pa. Code § 255.1 Statement of policy.

(a) A primary goal of the Council is to evaluate the effectiveness and integrity of the prevention, intervention, and treatment delivery system. In order to meet that goal, the Council has established a Uniform Data Collection System (UDCS).

(b) The Council hereby delegates to the SCA the authority to implement the UDCS in all projects geographically located in the respective SCA. Failure to comply with the SCA implementation of the UDCS by projects will lead to administrative action by the Council.

(c) When the UDCS is installed, the use of all other reporting systems shall cease. Exceptions may be granted by the Executive Director. Projects shall use such forms in reporting as the Council may direct and shall submit such forms at the times specified by the Council.

(d) As mandated by section 8 of Act 63 (71 P. S. § 1690.108), the Council will require all projects, SCAs and governmental agencies to insure that all persons treated or rehabilitated or both, including all persons formerly treated or rehabilitated or both, for drug and alcohol abuse and dependence, be secure in their right to privacy except as disclosure is permitted by law.

The provisions of this § 255.1 amended June 15, 1979, effective June 16, 1979, 9 Pa.B. 1862. Immediately preceding text appears at serial page (35069).

History

Source: The provisions of this § 255.7 amended June 15, 1979, effective June 16, 1979, 9 Pa.B. 1862. Immediately preceding text appears at serial pages (41905) and (41906).

4 Pa. Code § 255.2 UDCS: purposes.

(a) UDCS shall serve several purposes including, but not limited to, the following:

(1) Provide feedback to prevention, intervention and treatment projects.

(2) Provide information necessary for the Council and other State agencies.

(3) Provide information necessary for the SCAs in carrying out their management and coordinating responsibilities.

(4) Generate such data as required by Federal agencies.

(5) Provide data necessary for exploratory research.

(6) Provide information as necessary for the Council to develop policy.

(b) In order to effectively implement the UDCS, the Council will consult with the SCAs.

The provisions of this § 255.2 amended June 15, 1979, effective June 16, 1979, 9 Pa.B. 1862. Immediately preceding text appears at serial page (35070).

History

Source: The provisions of this § 255.7 amended June 15, 1979, effective June 16, 1979, 9 Pa.B. 1862. Immediately preceding text appears at serial pages (41905) and (41906).

4 Pa. Code § 255.3 UDCS: facets.

All programs designated by the Council shall implement the UDCS which has three facets:

(1) Client facet. Provides data on the demography, characteristics and problems of those persons receiving drug and alcohol treatment services. In addition, client progress is evaluated by the use of follow-up reports.

(2) Fiscal management facet. Provides planning, budgeting and performance data as a part of the fiscal management system. This facet includes program budgeting, fiscal reporting and performance reporting requirements which serve to link the client, fiscal and program management facets. Reported expenditures are evaluated against planned expenditures.

(3) Program management facet. Provides basic information on the characteristics of the facilities and identifies them by activities, approaches, and budgeted capacity. This facet also produces reports showing actual clients versus budgeted capacity.

The provisions of this § 255.3 amended June 15, 1979, effective June 16, 1979, 9 Pa.B. 1862. Immediately preceding text appears at serial page (35070).

History

Source: The provisions of this § 255.7 amended June 15, 1979, effective June 16, 1979, 9 Pa.B. 1862. Immediately preceding text appears at serial pages (41905) and (41906).

4 Pa. Code § 255.4 UDCS: confidentiality and access to information.

(a) Reports developed from the UDCS shall be made available to the SCA, the projects and the Council. In addition, summary reports shall be made available to the public.

(b) It is the policy of the Council that reliable researchers wishing to use the data base may obtain access by approval of the Council. All requests to use that data base will be reviewed on their individual merits by the Council.

(c) The Council will not enter names of clients or any other client-identifying information on any list or into any data processing system except as required by law. Instead, the Council will require and direct projects and coordinating bodies to randomly assign numbers to clients. These numbers will be entered on Client Forms in such a manner that record continuity and client confidentiality are maintained. One copy of these forms shall be sent to the Council.

This section cited in 28 Pa. Code § 710.23 (relating to patient records).

History

Source: The provisions of this § 255.7 amended June 15, 1979, effective June 16, 1979, 9 Pa.B. 1862. Immediately preceding text appears at serial pages (41905) and (41906).

4 Pa. Code § 255.5 Projects and coordinating bodies: disclosure of client-oriented information.

(a) Disclosure. Information systems and reporting systems shall not disclose or be used to disclose client oriented data which reasonably may be utilized to identify the client to any person, agency, institution, governmental unit, or law enforcement personnel. Project staff may disclose client oriented data only under the following situations:

(1) With or without the consent of the client information may be released to those judges who have imposed sentence on a particular client where such sentence is conditioned upon the client entering a project. Information released shall be limited to that provided for in subsection (b).

(2) With or without the consent of the client, information may be released to those duly authorized probation or parole officers or both who have assigned responsibility to clients in treatment if the probation or parole of the client is conditioned upon his being in treatment. Information released shall be limited to that provided for in subsection (b).

(3) With or without the consent of the client, to judges who have assigned a client to a project under a pre-sentence, conditional release program. Presentence conditional release programs include preindictment or preconviction conditional release such as Accelerated Rehabilitative Disposition, probation without verdict or disposition in lieu of trial under sections 17 and 18 of Act 64 (35 P. S. § § 780-117 and 780-118).

(4) With the consent of the client, in writing, to a judge in order to assist that judge in deciding whether to initiate conditional release programs including those specified in paragraph (3).

(5) Projects may disclose any information to the attorney of a client provided as follows:

(i) The client consents, in writing to the disclosure of information.

(ii) The attorney is representing the client in a criminal, civil or administrative proceeding.

(6) Projects may disclose with the consent of a client, in writing, the information to employers of a client to further the rehabilitation of a client; or, to a prospective employer who affirmatively expresses that information is sought to enable the employer to engage the client as an employe. Such information shall be limited to whether the client has or is receiving treatment with the project.

(7) Projects may disclose information as set forth in subsection (b) with the consent of a client, in writing, to an insurance company, health, or hospital plan or facsimile thereof, which has contracted with the client to provide or will provide medical, hospital, disability or similar benefits. In the event that an insurance company, health, or hospital plan remains dissatisfied with the content of the information released with regard to a client in accordance with this paragraph, such insurance company, health or hospital plan may apply to the Executive Director for additional information with the written consent of the client and, upon approval by the Executive Director, such information may be released.

(8) Projects may disclose information as set forth in subsection (b) with the consent of a client, in writing, to governmental officials for the purpose of obtaining governmental benefits due the client as a result of his drug or alcohol abuse or dependence.

(9) In emergency medical situations where the life of the client is in immediate jeopardy, projects may release client records without the consent of the client to proper medical authorities solely for the purpose of providing medical treatment to the client.

(10) Projects shall keep and maintain a written record of all information and data which are disclosed under this section.

(b) Restrictions. Information released to judges, probation or parole officers, insurance company health or hospital plan or governmental officials, under subsection (a)(1), (2), (4), (7) and (8), is for the purpose of determining the advisability of continuing the client with the assigned project and shall be restricted to the following:

(1) Whether the client is or is not in treatment.

(2) The prognosis of the client.

(3) The nature of the project.

(4) A brief description of the progress of the client.

(5) A short statement as to whether the client has relapsed into drug, or alcohol abuse and the frequency of such relapse.

(c) Record transfer. The Client Admission Forms, the Treatment/Discharge Forms, and Discharge Summary Records are the only client records which may be transferred for treatment purposes. The transfer may be initiated upon the request of a client or by the present project of a client. In any case, the client shall fully understand the nature of the information, the purpose of the record transfer, and the identity of the recipient of the information. Only after these conditions are met, may the client authorize the transfer by signing a Release Form provided by the UDCS.

(d) Coordinating bodies. Coordinating bodies can gather and retain client oriented data provided they will receive or send only those forms as listed in subsection (c) in assigning or transferring clients and those bodies will not disclose such data, except to the Council, in a manner that is consistent with this chapter and Act 63.

This section cited in 4 Pa. Code § 257.4 (relating to case management); 28 Pa. Code § 709.28 (relating to confidentiality); 28 Pa. Code § 710.23 (relating to patient records); 28 Pa. Code § 711.43 (relating to client records); 28 Pa. Code § 711.53 (relating to client records); 28 Pa. Code § 711.62 (relating to client records); 28 Pa. Code § 711.72 (relating to client records); 28 Pa. Code § 711.83 (relating to client records); 28 Pa. Code § 711.93 (relating to client records); and 55 Pa. Code § 5230.17 (relating to confidentiality).

History

Source: The provisions of this § 255.7 amended June 15, 1979, effective June 16, 1979, 9 Pa.B. 1862. Immediately preceding text appears at serial pages (41905) and (41906).

4 Pa. Code § 255.6 Project responsibility for security of information.

(a) This chapter shall take effect in a project when the UDCS is installed therein.

(b) Each project shall develop and implement security measures for all information.

(c) Prior to the date of installation, the project shall notify the Executive Director in writing of the name of a member of the staff who has been assigned the responsibility of insuring that the project complies with this part and Act 63.

(d) The project shall immediately notify the Executive Director, in writing, of the transfer of these responsibilities to another staff member.

History

Source: The provisions of this § 255.7 amended June 15, 1979, effective June 16, 1979, 9 Pa.B. 1862. Immediately preceding text appears at serial pages (41905) and (41906).

4 Pa. Code § 255.7 Research and evaluation.

(a) General requirements shall be as follows:

(1) This section is intended to protect the confidentiality of client oriented data.

(2) External evaluations and research shall be implemented in such a manner as to protect client confidentiality.

(3) Prior to the initiation of all external evaluations and research, a proposal shall be submitted to the Executive Director in which the procedures for protecting client confidentiality shall be fully explained. Initiation of external evaluations and research shall be contingent upon written approval from the Executive Director.

(b) Research shall be as follows:

(1) Basic research has been viewed as the prerogative of the Federal Government. While the Council supports that policy, it has determined that it, too, will play a role in research efforts that are directed toward expanding the body of theoretical and empirical knowledge concerning drug and alcohol use, abuse, and dependence. To this end, the Council will engage in the following activities:

(i) The Council will engage in the direct funding of certain research efforts. The Executive Director or his designee is authorized to review all proposals in this area and to make evaluations and recommendations to the Council.

(ii) The Council will also coordinate and review all drug and alcohol research projects operating within this Commonwealth. In order to undertake such activity, all researchers shall be requested to submit to the Council annual reports concerning their drug and alcohol research activities.

(iii) Research may also be conducted by projects and SCA’s. An independent contractor may be hired by any of these levels of organization. In each case, all research proposals must be submitted to the Executive Director or his designee for final approval. A copy of all final reports shall be submitted to the Executive Director or his designee for review and approval. If a project desires to carry out a study, it should contact its SCA. The SCA, in turn, shall either arrange for the project to deal directly with an independent contractor, or it shall direct the project to the Council. The assistance given by the Council will be a function, in part, of the level of expertise possessed by the project or SCA staffs.

(iv) The Council will conduct its own program of research. This program will use data collected from UDCS, Statewide incidence and prevalence studies, and special studies. The objective of these investigations will be to define the parameters of drug and alcohol use, abuse, and dependence in this Commonwealth, to test hypotheses derived from theories about substance use and abuse, and to expand existing theory. The research efforts will also be directed toward determining the types of clients who are most effectively served by various treatment approaches supported by the Council.

(1) There are two major ways in which evaluations shall be conducted: uniform and unique. The uniform evaluation shall consist of the appraisal of all prevention, intervention and treatment projects in accordance with a set of objectives designated by the Council. This system shall be implemented Statewide, and all prevention, intervention, and treatment projects operated in this Commonwealth shall be subject to uniform evaluation.

(2) The objectives of uniform evaluation for prevention, intervention, and treatment projects will be determined by the Council and issued as guidelines.

(3) Unique evaluation shall consist of a self-appraisal of a project relative to treatment objectives derived from its particular goals. Unique evaluations shall apply to prevention, intervention, and treatment projects. The criteria of success to be used in conducting unique evaluations should reflect a unique orientation and circumstances of a project. All unique evaluations must be in accordance with guidelines issued by the Council.

(4) SCAs are responsible to conduct at least one unique evaluation of each SCA funded project per year. A copy of the completed report shall be filed with the Office of Research and Evaluation no later than 30 days after the completion of the report.

(5) An evaluation system provides a useful data base to projects in order to assist them in the realization of their goals. The ultimate goal of evaluation efforts in this Commonwealth is the improvement of treatment, intervention, and prevention services.

The provisions of this § 255.7 amended June 15, 1979, effective June 16, 1979, 9 Pa.B. 1862. Immediately preceding text appears at serial pages (41905) and (41906).

History

Source: The provisions of this § 255.7 amended June 15, 1979, effective June 16, 1979, 9 Pa.B. 1862. Immediately preceding text appears at serial pages (41905) and (41906).

Chapter 256 Fiscal Management

4 Pa. Code § 256.1 Statement of policy.

The Council will establish such fiscal accountability systems and guidelines as are necessary to accurately and completely account for all State, Federal, and county dollars that are supporting the State or county comprehensive drug and alcohol prevention, intervention and treatment system.

The provisions of this § 256.1 amended June 15, 1979, effective June 16, 1979, 9 Pa.B. 1862. Immediately preceding text appears at serial page (41907).

History

Source: The provisions of this § 256.7 amended June 15, 1979, effective June 16, 1979, 9 Pa.B. 1862. Immediately preceding text appears at serial page (27041).

4 Pa. Code § 256.2 Fiscal management systems.

The Council will abolish previously existing fiscal management systems used by drug and alcohol programs prior to June, 1975, and, by using a program policy budgeting approach, will implement a fiscal management system in all publically funded projects.

History

Source: The provisions of this § 256.7 amended June 15, 1979, effective June 16, 1979, 9 Pa.B. 1862. Immediately preceding text appears at serial page (27041).

4 Pa. Code § 256.3 Fiscal relationship between the State and counties.

The county shall be the primary contractor/grantee for funds allocated by the Council to the county or provider. Counties shall be accountable for the fiscal management and operations of all of their subcontractors. The counties shall use the fiscal management systems prescribed by the Council and are delegated the authority to implement these systems in projects in their respective counties.

History

Source: The provisions of this § 256.7 amended June 15, 1979, effective June 16, 1979, 9 Pa.B. 1862. Immediately preceding text appears at serial page (27041).

4 Pa. Code § 256.4 Funding of programs other than county programs.

(a) The Council reserves the right to directly fund such projects designated as:

(1) Research projects.

(2) Training projects.

(3) Projects that have statewide impact.

(4) Regional projects.

(5) Projects in a county which is not in compliance with the rules and regulations of the Council.

(b) Review and comment from the SCA shall be sought prior to approval of these projects.

History

Source: The provisions of this § 256.7 amended June 15, 1979, effective June 16, 1979, 9 Pa.B. 1862. Immediately preceding text appears at serial page (27041).

4 Pa. Code § 256.5 Units of county government: eligibility for funding.

Each county or joinder shall receive an allocation of funds to support its community drug and alcohol prevention, intervention and treatment programs. In order to be eligible to use these funds, the county or joinder must:

(1) Have established a Planning Council/Executive Commission.

(2) Have appointed a Drug and Alcohol Specialist/Executive Director.

(3) Have a plan approved by the Council for the delivery of primary, secondary, and tertiary prevention, intervention and treatment services in the county.

(4) Have a system to provide emergency medical services to persons incarcerated in County correctional facilities who have drug or alcohol abuse problems.

(5) Comply with rules and regulations of the Council.

The provisions of this § 256.5 amended June 15, 1979, effective June 16, 1979, 9 Pa.B. 1862. Immediately preceding text appears at serial page (41908).

History

Source: The provisions of this § 256.7 amended June 15, 1979, effective June 16, 1979, 9 Pa.B. 1862. Immediately preceding text appears at serial page (27041).

4 Pa. Code § 256.6 Fiscal management obligations of local authorities.

Local authorities or their contractors or both must comply with the following fiscal management obligations for all funds supported by Act 63:

(1) Create and maintain a separate set of records which accounts for all financial transactions.

(2) Develop and utilize a group of accounts to adequately classify and summarize financial activities. Such accounts shall facilitate the reporting of data required by the Council.

(3) Use generally accepted accounting principles and procedures for recording of financial activity.

(4) Jointly record and administer the receipt and disbursement of all funds from the drug and alcohol program account.

(5) Maintain appropriate documents and supporting evidence to substantiate all financial activity.

(6) Use all fiscal reporting forms and procedures as prescribed by the Council.

(7) Obtain an independent public accountant for such audits as shall be required by the Council.

(8) Present all records of financial activity which are subject to inspection and audit to State and Federal auditors and other persons duly authorized by the Council.

(9) Maintain all records and documents for a period of 4 years.

History

Source: The provisions of this § 256.7 amended June 15, 1979, effective June 16, 1979, 9 Pa.B. 1862. Immediately preceding text appears at serial page (27041).

4 Pa. Code § 256.7 State set local share ratio.

The following categories shall be utilized for purposes of funding and for the match in the State/local share ratio: 101 Single County Authority (a) Administration…90/10 (b) Training…90/10 (c) Research…90/10 (d) Evaluation…90/10 102 Prevention (a) Education and Information…90/10 (b) Alternative Activities…90/10 103 Intervention (a) Drop-In Center…90/10 (b) Hotline…90/10 (c) Driving While Intoxicated…90/10 (d) Occupational Program…90/10 104 Treatment (a) Central Intake and/or Records…90/10 (b) Inpatient Nonhospital…100/0 (c) Inpatient Hospital…100/0 (d) Correctional Institution (for this activity, the…90/10 State set local share ration shall only apply to outpatient service provided to clients in the correctional system). (e) Partial Hospitalization…100/0 (f) Outpatient…90/10 (g) Shelter…100/0

The provisions of this § 256.7 amended June 15, 1979, effective June 16, 1979, 9 Pa.B. 1862. Immediately preceding text appears at serial page (27041).

History

Source: The provisions of this § 256.7 amended June 15, 1979, effective June 16, 1979, 9 Pa.B. 1862. Immediately preceding text appears at serial page (27041).

4 Pa. Code § 256.8 Match.

The match is the county obligation or the local share in the State/local share ratio which is comprised of:

(1) Local tax revenues (includes Federal revenue sharing).

(2) Private or civic funds directly received by local authorities; but

(3) May not include one of the following:

(i) Other State funds.

(ii) Federal funds.

(iii) In-kind services, donated furnishings or equipment.

History

Source: The provisions of this § 256.7 amended June 15, 1979, effective June 16, 1979, 9 Pa.B. 1862. Immediately preceding text appears at serial page (27041).

4 Pa. Code § 256.9 Maintenance of effort.

The local authorities or their contractors or both shall certify that the funds supported by Act 63 do not replace or supplant, in any way, the match for already existing services. Local authorities or their contractors or both shall certify that the services to be provided by the funds supported by Act 63 are not already available.

History

Source: The provisions of this § 256.7 amended June 15, 1979, effective June 16, 1979, 9 Pa.B. 1862. Immediately preceding text appears at serial page (27041).

4 Pa. Code § 256.10 Project approval.

The Single County Authority can only program fund or purchase service from a public or private service provider which has been approved by the Council.

History

Source: The provisions of this § 256.7 amended June 15, 1979, effective June 16, 1979, 9 Pa.B. 1862. Immediately preceding text appears at serial page (27041).

4 Pa. Code § 256.11 Performance audits.

In accordance with the provisions of section 4 (20) of Act 63 (71 P. S. § 1690.104), the Executive Director of the Council will, at his discretion, direct that performance audits be made of any program or project directly or indirectly receiving funds allocated by the Council. In addition, the Executive Director is authorized by statute to direct a performance audit of any program or project authorized by the State Plan, although the program or project is not directly or indirectly receiving funds that were allocated by the Council.

History

Source: The provisions of this § 256.7 amended June 15, 1979, effective June 16, 1979, 9 Pa.B. 1862. Immediately preceding text appears at serial page (27041).

4 Pa. Code § 256.12 Approval of grants and contracts.

(a) Approval of a grant or contract issued by the Council will require the affirmative vote of a majority of the Council members in attendance at a duly convened monthly or special meeting. The Executive Director of the Council or his designee is authorized to make modifications in an approved grant or contract. However, any request for a modification in a grant or contract that requires additional funding will require a vote by the Council.

(b) The Executive Director of the Council or his designee is authorized to enter into contracts for consultant services necessary to carry out staff functions. Approval of the Council is not required to enter into such consultant contracts.

History

Source: The provisions of this § 256.7 amended June 15, 1979, effective June 16, 1979, 9 Pa.B. 1862. Immediately preceding text appears at serial page (27041).

Chapter 257 Service Strategy

4 Pa. Code § 257.1 Statement of policy.

The Council has chosen to adopt a comprehensive prevention strategy to deal with drug and alcohol problems. Single County Authorities shall provide comprehensive services in their counties. These services shall include programs for prevention, intervention, and treatment.

History

Source: The provisions of this § 257.4 adopted September 9, 1977, 7 Pa.B. 2604.

4 Pa. Code § 257.3 SCA program strategy.

Each SCA shall be required to submit an annual plan providing for prevention, intervention, and treatment programs. Each SCA shall specify the service units to be provided by the program and the funds to be allocated for implementing the plan. Furthermore, each SCA, as a part of its annual plan, shall rank order its priorities for additional services to meet existing gaps in its prevention and treatment system. SCAs shall make reasonable resource allocations to the three main program components.

History

Source: The provisions of this § 257.4 adopted September 9, 1977, 7 Pa.B. 2604.

4 Pa. Code § 257.4 Case management.

(a) Statement of policy. As a component of the Comprehensive Drug and Alcohol Treatment and Prevention Plan, each SCA shall, in cooperation with service providers, develop a plan for the provision of a case management system for all individuals entering or currently a client of drug or alcohol treatment services provided by that SCA. The case management system shall be in accordance with the provisions set forth in this section.

(b) Performance. The SCA shall have the following responsibilities:

(1) The SCA shall be responsible for the planning and implementation of the case management system. The SCA shall perform the following functions:

(i) Supervise, coordinate, monitor and ensure the performance of case management activities.

(ii) Periodically review client service plans for continuity of service, continued appropriateness of service, and utilization of available resources. The SCA may review random samples for conformance with written policies or guidelines, or both, for service plans developed by the SCA in cooperation with service providers.

(2) The SCA shall perform or delegate the performance of the following functions to treatment service providers:

(i) Development of a comprehensive confidential personal history, including any significant medical, social, occupational and family information.

(ii) Arrangement for the provision of needed medical, functional, psychological, psychiatric, social or vocational diagnostic assessments.

(iii) Thorough exploration of service needs and discussion with the client concerning service options to which he may be referred.

(iv) Preparation of a written service plan utilizing all appropriate available service resources and listing the services, to be provided. This plan shall be developed in cooperation with and agreed to by the service provider and the client. The service plan shall also include referral to any services not specifically for drug and alcohol clients, for example legal services and dental services, for which the client may be eligible.

(v) Prompt arrangement for delivery of the requested services.

(vi) If a client has been referred for services, liaison, follow-up, or advocacy, as appropriate, to promote client satisfaction, continued delivery of services, and continuity of services.

(vii) Case consultation, as appropriate.

(viii) Assignment of a client number for UDCS reporting forms and the completion of UDCS forms and intake forms as appropriate.

(ix) Determination of liability and preparation of abatement requests for those cases where liability payment cannot be collected.

(3) Each treatment service provider shall perform the following functions:

(i) Development and periodic review of individual treatment and rehabilitation plans which document the specific activities to be provided by the service provider as specified in § 262.6(b)(2) (relating to general standards for treatment activities).

(ii) Assignment of a primary counselor to assure that services are provided according to treatment and rehabilitation plans.

(iii) Performance of any case management activities delegated to the provider by the SCA as set forth in subsection (b)(2).

(4) As set forth in § 254.20 (relating to appeals), an aggrieved party shall have the right to appeal an SCA decision to the Council.

(1) Clearly stated written policies shall be developed cooperatively by the SCA and service providers and utilized in the performance of case management stating the following:

(i) The types and form of records gathered on each applicant for services.

(ii) The types and form of ongoing records to be kept on each individual.

(2) A complete client record shall be maintained on each individual whose case is managed which shall include, but not be limited to, the following:

(i) Significant medical, social, occupational and family history.

(ii) The client’s treatment plan.

(iii) Records of any significant client contacts.

(iv) Records of any referral contacts.

(v) Consent forms for the release of client information.

(vi) Records of any client-related consultation, conversations and so forth with service providers.

(vii) Records of the release of any client information and copies of any client-related correspondence.

(viii) Records or referral follow-up.

(ix) Documentation of monitoring of the service plan.

(d) Confidentiality. To insure confidentiality the following safeguards shall be taken:

(1) All client records shall be confidential in accordance with Federal and State laws or regulations.

(i) Client records shall be secured within a locked storage container.

(ii) Only those individuals actually performing case management functions, including SCA staff performing case management functions, may have access to the client records. This includes clerical personnel assigned the responsibility of case management files.

(2) Client records may be released for treatment purposes if written informed and voluntary consent has been obtained from the client, in accordance with § 255.5 (relating to projects and coordinating bodies: disclosure of client orientation information).

(i) Informed and voluntary consent shall be obtained from the client for disclosure of client information necessary for the performance of case management functions.

(ii) Informed and voluntary consent shall be obtained from the client for the release of information to a treatment project to which the client is referred during an agreed upon and specified period of time.

(iii) A copy of any client consent shall be given to the client and the original maintained in the client records.

(iv) When client information is disclosed to an authorized person or organization the information shall not be redisclosed.

(e) Client rights. Client rights shall be defined as follows:

(1) A person receiving care or treatment under the provisions of or subject to the provisions of section 7 of the act of April 14, 1972 (P. L. 221, No. 63) (71 P. S. § 1690.107) shall retain all civil rights and liberties except as provided by law. No client shall be deprived of any civil right solely by reason of treatment.

(2) The case management system shall not discriminate on the basis of age, race, creed, sex, ethnicity, color, national origin, marital status, sexual orientation, handicap or religion.

The provisions of this § 257.4 adopted September 9, 1977, 7 Pa.B. 2604.

History

Source: The provisions of this § 257.4 adopted September 9, 1977, 7 Pa.B. 2604.

4 Pa. Code § 257.5 Activities authorized by the State Plan.

The types of activities authorized to be implemented by Single County Authorities are shown in Appendix E of this part.

History

Source: The provisions of this § 257.4 adopted September 9, 1977, 7 Pa.B. 2604.

Chapter 258 Allocation of Functions to Other State Agencies

4 Pa. Code § 258.1 Council on Drug and Alcohol Abuse.

(a) The Council will serve as the central coordinating agency for all drug and alcohol programs. It will supervise the delivery or funding of drug or alcohol prevention, intervention, and treatment services by all other State agencies. As such, the Council will be the policy planning agency for the drug and alcohol programs of the Commonwealth.

(b) The Council will coordinate those functions allocated to other agencies through two administrative procedures. Each agency shall present a plan to the Council detailing the process for implementing its functions. No agency may issue a grant or enter into a contract for drug or alcohol prevention, intervention, or treatment services without the approval of the Council.

The provisions of this § 258.1 amended June 15, 1976, effective June 16, 1979, 9 Pa.B. 1862. Immediately preceding text appears at serial page (35081).

History

Source: The provisions of this § 258.3 amended June 15, 1979, effective June 16, 1979, 9 Pa.B. 1862. Immediately preceding text appears at serial page (27045).

4 Pa. Code § 258.2 The Department of Public Welfare.

(a) The Department of Public Welfare, acting through its Office of Medical Programs and in concert with the Council, shall have the responsibility for funding drug and alcohol medical treatment programs as authorized by the State and Federal Medical Assistance and Medicaid programs administered by that office.

(b) The Department of Public Welfare, acting through its Office of Social Services, shall contract on an annual basis with the Council, to purchase such Social Rehabilitation Services from the Single County Authorities as are consistent with Federal Social Security Acts and implementing regulations.

(c) The Department of Public Welfare, acting through its Office of Children and Youth Services in concert with the Council, shall have the responsibility for providing drug and alcohol treatment services to juveniles within its Youth Development Centers.

(d) The Department of Public Welfare, acting through its Office of Mental Health, may operate drug and alcohol treatment units for the treatment of its drug and alcohol dependent people within its State facilities for the mentally disabled. The Department of Public Welfare and the Council shall jointly plan for the further development of community based programs. Such programs shall serve as alternatives to the institutional treatment units.

History

Source: The provisions of this § 258.3 amended June 15, 1979, effective June 16, 1979, 9 Pa.B. 1862. Immediately preceding text appears at serial page (27045).

4 Pa. Code § 258.3 The Department of Education.

The Council, acting in concert with the Department of Education, will prepare drug and alcohol abuse curricula for the primary and secondary schools of the Commonwealth.

The provisions of this § 258.3 amended June 15, 1979, effective June 16, 1979, 9 Pa.B. 1862. Immediately preceding text appears at serial page (27045).

History

Source: The provisions of this § 258.3 amended June 15, 1979, effective June 16, 1979, 9 Pa.B. 1862. Immediately preceding text appears at serial page (27045).

4 Pa. Code § 258.4 The Department of Labor and Industry.

The Department of Labor and Industry, acting through its Bureau of Vocational Rehabilitation (BVR), and in accordance with the Agreement of 1974 between BVR and the Council, shall provide to all drug and alcohol abusers referred by the Council or delegate agencies, who meet the eligibility require- ments of State and Federal vocational rehabilitation statutes and regulations, vocational rehabilitation services, including personal adjustment training. Such services shall include counseling, guidance, training and placement assistance, and general vocational rehabilitation services relating to other disabilities suffered by abusers for which abusers would otherwise be eligible for BVR services. BVR shall have no responsibility to provide detoxification or treatment for drug or alcohol abuse.

History

Source: The provisions of this § 258.3 amended June 15, 1979, effective June 16, 1979, 9 Pa.B. 1862. Immediately preceding text appears at serial page (27045).

4 Pa. Code § 258.5 The Pennsylvania Board of Probation and Parole.

The Council will determine with the cooperation of the Board of Probation and Parole, special counseling services to be provided to those persons under the supervision of the Board of Probation and Parole, who have a history of drug or alcohol abuse. The Board of Probation and Parole shall purchase, from the community drug and alcohol programs established by the Council, such longterm rehabilitation services as required by clients under its jurisdiction.

History

Source: The provisions of this § 258.3 amended June 15, 1979, effective June 16, 1979, 9 Pa.B. 1862. Immediately preceding text appears at serial page (27045).

4 Pa. Code § 258.6 The Department of Justice.

(a) The Department of Justice, acting through the Governor’s Justice Commission and in concert with the Council, shall provide supplementary grants to establish special training for persons in the Criminal Justice System concerned with drug and alcohol abuse. The Governor’s Justice Commission shall also direct its funds available for drug and alcohol treatment services to be used to establish such programs primarily related to the Criminal Justice System. The Governor’s Justice Commission shall also continue to promote increased efforts on police intervention and drug traffic through its subgrant programs. The Governor’s Justice Commission shall continue to fund programs of preventive public education relative to the problem of drug and alcohol abuse.

(b) The Department of Justice, acting through the Bureau of Corrections and in concert with the Council, shall establish intensive treatment services at State correctional facilities for persons incarcerated for drug or alcohol abuse problems, or drug or alcohol related offenses, or who have a history of drug or alcohol problems. In addition, the Bureau of Corrections and SCAs shall assist county prisons in the development of similar services.

History

Source: The provisions of this § 258.3 amended June 15, 1979, effective June 16, 1979, 9 Pa.B. 1862. Immediately preceding text appears at serial page (27045).

Chapter 260 Criminal Justice Treatment Programs

4 Pa. Code § 260.1 Statement of policy.

Act 63 mandates that emergency medical and rehabilitation services shall be made available within State and county correctional facilities. The Council will establish demonstration projects to carry out this mandate.

4 Pa. Code § 260.2 Detoxification in Commonwealth and county institutions.

(a) The Council will establish a task force on drug and alcohol abuse detoxification and treatment within the correctional system. This task force will prepare and distribute a protocol for providing such detoxification services.

(b) State and county correctional institutions shall provide detoxification services in accordance with the protocol prepared by the task force as mandated by Act 63. SCAs are hereby delegated the authority to establish treatment services in county correctional institutions as mandated by Act 63.

4 Pa. Code § 260.3 Demonstration projects in the county and Commonwealth correctionalfacilities.

(a) State and county correctional facilities are authorized to establish two modalities of treatment within such institutions. These modalities are the following:

(1) Inpatient, nonhospital, drug free.

(2) Outpatient, drug free.

(b) No State or county correctional institution may establish a methadone maintenance approach for the purpose of treating residents who are narcotic dependent.

4 Pa. Code § 260.4 Criminal justice alternatives to incarceration.

(a) Section 6 of Act 63 (71 P. S. § 1690.106), provides for the establishment and use of community based drug and alcohol abuse treatment services for the drug or alcohol offender. This section further provides that appropriate local agencies may transfer a conditionally released offender from one treatment service to another treatment service on the basis of his response to treatment. Section 16 of Act 64 (35 P. S. § 780-116) recognizes that the rehabilitation of the offender is a long, difficult and relapse prone procedure. It provides that relapse into drug abuse shall not, in itself require the revocation of probation, parole or other conditional release. Section 6(c) of Act 63 (71 P. S. § 1690.106(c)) clearly provides that, ‘‘The decision whether to retain or to restrict or to revoke probation or parole or other conditional release after failure to conform to a schedule for rehabilitation shall be made on the basis of what is most consistent with both the rehabilitation of the individual and the safety of the community. All reasonable methods of treatment shall be used to prevent relapses and to promote rehabilitation.’’

(b) Sections 17 and 18 of Act 64 (35 P. S. § 780-117 and 780-118) provide respectively for probation without verdict and disposition in lieu of trial, which allow the court to place certain controlled substance abusers in treatment under the supervision of probation and parole systems for a period of time not to exceed the maximum sentences established by Act 64. These sections provide for diverting the arrestee from possible incarceration and placing him directly in treatment or special probation. In addition to these sections, when a person is convicted for a drug or drug related offense, he can be placed on probation or parole with a condition that treatment be obtained. The Board of Probation and Parole and the county probation and parole departments are authorized to use such alternatives to incarceration as are designated by the Council. Where such a designated program is selected by the court as an alternative to incarceration, the county with jurisdiction shall reimburse the designated treatment program from county revenues. In addition, the Department of Corrections is authorized to use these designated programs for persons under their jurisdiction eligible for ‘‘pre-release treatment services.’’ The Council is hereby authorized to fund such alternatives to incarceration as are consistent with the policies of the General Assembly as stated in Acts 63 and 64.

Chapter 261 Drug Enforcement Program

4 Pa. Code § 261.1 Statement of policy.

The Commonwealth is deeply committed to dealing with the problem of drug abuse through intensive and coordinated law enforcement approaches which shall be aimed primarily at the major manufacturers, distributors and sellers of controlled substances see Appendix F of this part.

4 Pa. Code § 261.2 Office of Drug Law Enforcement

(a) There shall be established within the Department of Justice, the Office of Drug Law Enforcement. The chief of that office shall be the Special Deputy Attorney General for Drug Control and Enforcement. He shall report directly to the Attorney General and the Governor.

(b) The Chief of the Office of Drug Law Enforcement shall have line responsibility for the Bureau of Drug Control and shall coordinate the efforts of the State Police drug agents.

(c) The Director of the Bureau of Drug Control shall report directly to the Chief. The commanding officer of the State Police drug unit shall report to the Chief and the Commissioner of the State Police.

4 Pa. Code § 261.3 Strike forces.

(a) There shall be established eight mobile strike forces to operate within the 67 counties of this Commonwealth.

(b) These strike forces shall be composed of agents from the Bureau of Drug Control and the State Police. Each team shall be headed by two group leaders; one from the Bureau of Drug Control and one from the State Police.

(d) Each strike force shall have an intelligence officer responsible for coordinating informant debriefings and keeping the group leaders knowledgeable as to intelligence from the fields. Each strike force shall have a covert operations squad involved in purchase of evidence, surveillance, and strike force operations. Each strike force shall have an overt operations squad involving such things as background reports, records searches, as well as open tax, gun, liquor and motor vehicle investigations.

4 Pa. Code § 261.4 Local law enforcement programs.

The strike forces shall make an effort to recruit from local government, officers who shall serve on the strike forces and be provided special narcotics training.

4 Pa. Code § 261.5 Criminal compliance.

The Office of Drug Law Enforcement, through the Bureau of Drug Control, shall have a Division of Criminal Compliance which shall supervise compliance with appropriate State and Federal regulations of dispensers of controlled substances, other drugs and devices.

4 Pa. Code § 261.6 Financial investigations.

There shall be established within the Office of Drug Law Enforcement a Financial Investigations Unit. Its function shall be to identify and investigate the finances of those high-level, illicit drug dealer profiteers operating within this Commonwealth, for the purposes of criminal and civil prosecutions. The head of this Unit shall report directly to the Special Deputy Attorney General.

Chapter 265 Grievance Procedures

4 Pa. Code § 265.1 Purpose and scope.

(a) An aggrieved party shall process its grievance in accordance with the provisions of this chapter. An aggrieved party means any person, organization, or project funded directly by the SCA under a written contract and adversely affected by a decision of an SCA regarding its contract or rights thereunder.

(b) The provisions of this chapter delineate the procedures to be followed in processing a grievance between an SCA and an aggrieved party. The goal is to secure the efficient and prompt determination of these grievances.

(c) If an SCA has adopted its own grievance procedure, that procedure may be used provided it is approved by the Council. All requests for approval of existing county grievance procedures should be addressed to the Office of Chief Counsel; 2101 North Front Street; Suite N, Riverside Office Building No. 1; Harrisburg, Pennsylvania 17120.

(d) A copy of the procedure described in subsection (c) or any other approved procedure shall be distributed to all projects, persons, or organizations within each SCA’s jurisdiction in order to insure that the projects have full knowledge of this procedure.

History

Source: The provisions of this Chpater 265 adopted December 14, 1979, effective December 15, 1979, 9 Pa.B. 4050, unless otherwise noted.

4 Pa. Code § 265.2 Level I review.

(a) An aggrieved party shall initially be entitled to a review of the SCA’s decision conducted by the SCA at an informal hearing, upon request of the aggrieved party. This informal review shall take place no later than 30 days following the SCA’s decision.

(b) The aggrieved party shall be given notice at least 10 days prior to the informal hearing and shall have the opportunity to be heard at such informal hearing conducted by the SCA to review its decision.

(c) The SCA shall make written findings and submit such findings to the aggrieved party within 30 days of the informal hearing. The provisions of this subsection supersede the provisions of 1 Pa. Code § § 35.201, 35.202, 35.205 and 35.207.

(d) If the aggrieved party appeals this decision within 30 days and gives written notice to the SCA that such appeal has been filed, the SCA shall, within five days thereafter, deliver its findings to the County Commissioners or the appropriate governing body.

(e) Failure to file a timely appeal shall result in a waiver of such right. The provisions of this subsection supplement the provisions of 1 Pa. Code § 35.213 (relating to effect of failure to except to proposed report).

History

Source: The provisions of this Chpater 265 adopted December 14, 1979, effective December 15, 1979, 9 Pa.B. 4050, unless otherwise noted.

4 Pa. Code § 265.3 Level II hearings.

(a) An aggrieved party appealing a Level I review shall be entitled to a hearing at Level II. This appeal shall be filed no later than 30 days following the Level I review.

(b) Upon written request of the aggrieved party, the Board of County Commissioners or its delegate shall schedule a hearing no later than 30 days following receipt of such request. Notice of hearing shall be sent by certified or registered mail to the aggrieved party and the SCA. The provisions of this subsection supersede the provisions of 1 Pa. Code § 35.211 (relating to procedure to except to proposed report) and supplement the provisions of 1 Pa. Code § 35.121 (relating to initiation of hearings).

(c) The hearing shall be conducted by the Board of County Commissioners or the appropriate governing body established in accordance with § § 254.2 and 254.3 (relating to establishment of a Single County Authority; and organization and structure of SCA’s), or an independent hearing examiner approved thereby. The provisions of this subsection supplement the provisions of 1 Pa. Code § 35.185 (relating to designation of presiding officers).

(d) All parties shall be permitted to be represented by counsel, to present relevant evidence, and to examine and to cross-examine witnesses.

(e) During the hearing, the following provisions apply:

(1) The burden of proof shall be on the appealing party.

(2) The provisions of 231 Pa. Code (relating to rules of civil procedure). Evidentiary requirements shall be in conformity with 2 Pa.C.S. § 505 and 1 Pa. Code § § 35.137—35.139, 35.142, 35.145—35.152, 35.155, 35.161—35.169 and 35.173 (relating to evidence and witnesses).

(3) Stenographic notes shall be taken at these proceedings. The provisions of this paragraph supplement the provisions of 1 Pa. Code § 35.131 (relating to recording of proceedings).

(4) All hearings shall be open to the public under the act of July 19, 1974 (P. L. 486, No. 175) (65 P. S. § § 261-269).

(f) Following the hearings, the County Commissioners or the appropriate governing body shall render a written adjudication which shall be issued to the aggrieved party and the SCA within 20 days following receipt of the transcript of the proceedings. Such decision shall include findings of fact and conclusions based thereupon. The provisions of this subsection supersede the provisions of 1 Pa. Code § § 35.201 and 35.202 (relating to certification of record without proposed report; and proceedings in which proposed reports are prepared).

History

Source: The provisions of this Chpater 265 adopted December 14, 1979, effective December 15, 1979, 9 Pa.B. 4050, unless otherwise noted.

4 Pa. Code § 265.4 Appeals—Level III.

(a) An appeal from the decision of the County Commissioners or the appropriate governing body shall be to the Council. Such appeal shall be in writing and shall be filed with the Council within 20 days following written receipt of the County Commissioner’s adjudication. Failure to file a timely appeal shall result in a waiver of such right. The provisions of this subsection supersede the provisions of 1 Pa. Code § 35.211 (relating to procedure to except to proposed report) and supplement the provisions of 1 Pa. Code § 35.213 (relating to effect of failure to except to proposed report).

(b) Appellant shall send a copy of the notice of appeal to the party whose decision it is appealing and to all other parties in interest.

(1) A statement of relevant facts and the grounds for the appeal.

(2) A statement of the questions presented.

(3) The relief requested by the appellant.

(d) The appealing party may, in writing, request the Council to issue a stay of such decision. Where justified, the Council may grant a stay no later than five days after receiving the request.

(e) The appeal procedure shall be as follows:

(1) The Board of County Commissioners or appropriate governing body shall forward a copy of the stenographic record and its adjudication to the Council immediately following receipt of the notice of appeal. Also, the board shall forward any other documents deemed relevant to the appeal which are a part of the record below. The provisions of this subsection supersede the provisions of 1 Pa. Code § 35.207 (relating to service of proposed reports).

(2) Within 30 days after receipt of such materials, the Council will set the day and time for the Level III hearing and send a copy of the notice of hearing to all parties.

(3) Continuances will not be granted except for good cause shown. All requests for continuances shall be in writing and shall be delivered to the Council and the opposing party.

(4) The Council will hear oral argument or designate a hearing examiner who has been approved by the Justice Department to sit on its behalf. Oral argument of each affected party shall not exceed 30 minutes. The provisions of this paragraph supplement the provisions of 1 Pa. Code § 35.185 (relating to designation of presiding officers) and supersede the provisions of 1 Pa. Code § 35.221 (relating to briefs and oral argument in absence of proposed report).

(5) Stenographic notes will be taken at these proceedings. The provisions of this paragraph supplement the provisions of 1 Pa. Code § 35.131 (relating to recording of proceedings).

(6) The Council’s review will be limited to:

(i) Whether the decision of the County Commissioners or local governing body was supported by the evidence.

(ii) Whether the decision of the County Commissioners or local governing body was an abuse of authority or discretion.

(iii) Whether the decision of the County Commissioners or local governing body was arbitrary, capricious, or discriminatory.

(iv) Whether the decision was contrary to existing law or regulations.

(7) In the event a hearing examiner is used, the hearing examiner shall report his findings and recommendation to the Council. The Council will then render an adjudication within 45 days after receipt of such recommen- dation. The provisions of this paragraph supersede the provisions of 1 Pa. Code § § 35.201, 35.202, and 35.226 (relating to proposed reports generally).

(8) Copies of the adjudication will be sent by certified mail to all parties. The provisions of this paragraph supersede the provisions of 1 Pa. Code § 33.31 (relating to service by the agency).

History

Source: The provisions of this Chpater 265 adopted December 14, 1979, effective December 15, 1979, 9 Pa.B. 4050, unless otherwise noted.

4 Pa. Code § 265.5 Appeals—Level IV.

Any further appeals shall be taken to Commonwealth Court in accordance with the provisions of 2 Pa.C.S. § § 701—704 (relating to judicial review of Commonwealth agency action).

History

Source: The provisions of this Chpater 265 adopted December 14, 1979, effective December 15, 1979, 9 Pa.B. 4050, unless otherwise noted.

4 Pa. Code § 265.6 Costs.

Each party will bear its own costs; the cost of the appeal is not eligible for reimbursement with funds of the Council.

History

Source: The provisions of this Chpater 265 adopted December 14, 1979, effective December 15, 1979, 9 Pa.B. 4050, unless otherwise noted.

4 Pa. Code § 265.7 Compliance.

In cases where a party violates the provisions of this chapter, the Council or hearing examiner may:

(1) Deny or dismiss the hearing depending on the degree of the violation; or

(2) Reach a disposition of the matter based upon the evidence then before it.

History

Source: The provisions of this Chpater 265 adopted December 14, 1979, effective December 15, 1979, 9 Pa.B. 4050, unless otherwise noted.

Chapter 401 General Provisions

4 Pa. Code § 401.1 Definitions.

The following words and terms, when used in this part, have the following meanings, unless the context clearly indicates otherwise: Chairperson—The Chairperson of the Commission. Commission—The Navigation Commission for the Delaware River and its navigable tributaries. Department—The Department of State of the Commonwealth. Navigable tributaries—Tidal portions of the navigable tributaries are defined as follows:

(i) Schuylkill River below Fairmount Dam.

(ii) Chester Creek below Ninth Street.

(iii) Crum Creek below Route 291 (Industrial Highway) bridge.

(iv) Darby Creek below 84th Street.

(v) Neshaminy Creek below Route 13 bridge.

(vi) Pennypack Creek below Frankford Avenue Bridge.

(vii) Ridley Creek below Baltimore and Ohio Railroad Bridge in Chester. River—Tidal portions of the Delaware River, from the Delaware border in the South to the Railroad Bridge at Morrisville in the North, and its navigable tributaries within this Commonwealth.

Secretary—The Secretary of the Commonwealth.

The provisions of this § 401.1 amended July 5, 2002, effective July 6, 2002, 32 Pa.B. 3211. Immediately preceding text appears at serial pages (229961) to (229962).

History

Source: The provisions of this § 401.2 amended July 5, 2002, effective July 6, 2002, 32 Pa.B. 3211. Immediately preceding text appears at serial page (229962).

4 Pa. Code § 401.2 Commission office.

The office of the Commission is located at the Department of State, 302 North Office Building, Harrisburg, Pennsylvania 17120-0029. Forms may be obtained from the Department or by calling (717) 787-6802.

The provisions of this § 401.2 amended July 5, 2002, effective July 6, 2002, 32 Pa.B. 3211. Immediately preceding text appears at serial page (229962).

History

Source: The provisions of this § 401.2 amended July 5, 2002, effective July 6, 2002, 32 Pa.B. 3211. Immediately preceding text appears at serial page (229962).

Chapter 402 Administration

4 Pa. Code § 402.1 Purpose.

The purpose of this chapter is to establish the bylaws for the administration of the Commission.

History

Source: The provisions of this § 402.11 amended July 5, 2002, effective July 6, 2002, 32 Pa.B. 3211. Immediately preceding text appears at serial page (229965).

4 Pa. Code § 402.2 Authority.

Section 506 of The Administrative Code of 1929 (71 P. S. § 186) authorizes departmental commissions to prescribe rules and regulations for the government of their respective commissions.

History

Source: The provisions of this § 402.11 amended July 5, 2002, effective July 6, 2002, 32 Pa.B. 3211. Immediately preceding text appears at serial page (229965).

4 Pa. Code § 402.3 Name.

The name of the Commission will be the Navigation Commission for the Delaware River and its Navigable Tributaries.

History

Source: The provisions of this § 402.11 amended July 5, 2002, effective July 6, 2002, 32 Pa.B. 3211. Immediately preceding text appears at serial page (229965).

4 Pa. Code § 402.4 Department of State Commission.

The Commission will be a departmental commission of the Department.

The provisions of this § 402.4 amended July 5, 2002, effective July 6, 2002, 32 Pa.B. 3211. Immediately preceding text appears at serial page (229963).

History

Source: The provisions of this § 402.11 amended July 5, 2002, effective July 6, 2002, 32 Pa.B. 3211. Immediately preceding text appears at serial page (229965).

4 Pa. Code § 402.6 Commission Chairperson.

The Chairperson of the Commission will be the Secretary or a designee.

History

Source: The provisions of this § 402.11 amended July 5, 2002, effective July 6, 2002, 32 Pa.B. 3211. Immediately preceding text appears at serial page (229965).

4 Pa. Code § 402.7 Term of office.

The members of the Commission will be appointed initially, two by the Governor and one by the Mayor of the City of Philadelphia for a term of 2 years, and two by the Governor and one by the Mayor for a term of 4 years. They will hold office for a term of 4 years thereafter until their successors are appointed and qualified, and they may be eligible for reappointment to office.

History

Source: The provisions of this § 402.11 amended July 5, 2002, effective July 6, 2002, 32 Pa.B. 3211. Immediately preceding text appears at serial page (229965).

4 Pa. Code § 402.8 Reimbursement for expenses.

The Commissioners will serve without compensation but will be reimbursed for necessary expenses.

History

Source: The provisions of this § 402.11 amended July 5, 2002, effective July 6, 2002, 32 Pa.B. 3211. Immediately preceding text appears at serial page (229965).

4 Pa. Code § 402.11 Meetings.

(a) The regular meetings of the Commission will be held semiannually after public notice as required by 65 Pa.C.S. Chapter 7 (relating to Sunshine Act).

(b) Special meetings may be called by the Chairperson after 3 days notice to the Commission and after public notice as required by 65 Pa.C.S. Chapter 7.

(c) Meetings of the Commission will be held in Philadelphia or at a location determined by a majority vote of the Commission.

The provisions of this § 402.11 amended July 5, 2002, effective July 6, 2002, 32 Pa.B. 3211. Immediately preceding text appears at serial page (229965).

History

Source: The provisions of this § 402.11 amended July 5, 2002, effective July 6, 2002, 32 Pa.B. 3211. Immediately preceding text appears at serial page (229965).

4 Pa. Code § 402.12 Commission employees.

(a) The Commission will have a secretary and clerks necessary to keep accurate minutes and entries of all orders, regulations and transactions of the Commissioners.

(b) The Secretary will appoint the secretary and all employes of the Commission, whose salaries will be fixed as provided by law.

History

Source: The provisions of this § 402.11 amended July 5, 2002, effective July 6, 2002, 32 Pa.B. 3211. Immediately preceding text appears at serial page (229965).

4 Pa. Code § 402.13 Public inspection of records.

The minutes and entries of the Commission will be available for the inspection of persons who desire to see and copy the same in the office of the Commission during normal working hours.

History

Source: The provisions of this § 402.11 amended July 5, 2002, effective July 6, 2002, 32 Pa.B. 3211. Immediately preceding text appears at serial page (229965).

4 Pa. Code § 402.14 Annual report to Governor.

The Commissioners will make an annual report to the Governor, showing an itemized account of the income and expenditures made by them.

History

Source: The provisions of this § 402.11 amended July 5, 2002, effective July 6, 2002, 32 Pa.B. 3211. Immediately preceding text appears at serial page (229965).

4 Pa. Code § 402.15 Official seal.

The official seal of the Commission will be the coat of arms of the Commonwealth, encircled with the words: ‘‘Navigation Commission for the Delaware River and its Navigable Tributaries.’’

History

Source: The provisions of this § 402.11 amended July 5, 2002, effective July 6, 2002, 32 Pa.B. 3211. Immediately preceding text appears at serial page (229965).

4 Pa. Code § 402.16 Administering oaths.

Every member of the Commission and the secretary employed by the Commission will have the power to administer oaths or affirmations anywhere in this Commonwealth, with regard to any matter or thing which may properly come before the Commission.

History

Source: The provisions of this § 402.11 amended July 5, 2002, effective July 6, 2002, 32 Pa.B. 3211. Immediately preceding text appears at serial page (229965).

4 Pa. Code § 402.17 Subpoenas.

(a) The Commission will have the power to issue subpoenas requiring the attendance of witnesses and the production of books and papers pertinent to any hearing before the Commission and to examine such witnesses, books and papers.

(b) Any witness who refuses to obey a subpoena issued under this section, who refuses to be sworn or affirmed or to testify, or who is guilty of any contempt after summons to appear may be punished for contempt of court, and, for this purpose, an application may be made to any court of competent jurisdiction within whose territorial jurisdiction the offense was committed.

History

Source: The provisions of this § 402.11 amended July 5, 2002, effective July 6, 2002, 32 Pa.B. 3211. Immediately preceding text appears at serial page (229965).

Chapter 405 Pilots and Pilotage

4 Pa. Code § 405.1 Definitions.

The following words and terms, when used in this chapter, have the following meanings unless the context clearly indicates otherwise: Incapacity—The inability on the part of a person to perform required duties, whether due to professional deficiencies, physical disability, mental incapacity or any combination of these. License—A license to exercise the profession of a pilot granted by the Commission. Misconduct—Human behavior which violates some formal, duly established rule, such as the common law, the general maritime law, or Commission regulations. In the absence of such a rule, ‘‘misconduct’’ is human behavior which a reasonable person would consider to constitute a failure to conform to the standard of conduct which is required in the light of all the existing facts and circumstances. Negligence—The commission of an act which a reasonable prudent person of the same station, under the same circumstances, would not commit or the failure to perform an act which a reasonably prudent person of the same station, under the same circumstances, would not fail to perform.

History

Authority: The provisions of this § 405.36 issued under section 4 of the act of March 29, 1803 (P. L. 542, 4 Sm.L. 67) (55 P. S. § 31); and section 2504-B(4) of The Administrative Code of 1929 (71 P. S. § 670.2(4)).
Source: The provisions of this § 405.36 adopted January 24, 2014, effective January 25, 2014, 44 Pa.B. 485.

4 Pa. Code § 405.3 Application for licensure or apprenticeship.

An applicant for initial issuance of a pilot’s license, for renewal of a pilot’s license or for appointment as an apprentice shall submit an application on a form provided by the Commission. Forms may be obtained from the Department of State, 302 North Office Building, Harrisburg, Pennsylvania 17120 or by calling (717) 787-6802.

The provisions of this § 405.3 amended July 5, 2002, effective July 6, 2002, 32 Pa.B. 3211. Immediately preceding text appears at serial page (229974).

History

Authority: The provisions of this § 405.36 issued under section 4 of the act of March 29, 1803 (P. L. 542, 4 Sm.L. 67) (55 P. S. § 31); and section 2504-B(4) of The Administrative Code of 1929 (71 P. S. § 670.2(4)).
Source: The provisions of this § 405.36 adopted January 24, 2014, effective January 25, 2014, 44 Pa.B. 485.

4 Pa. Code § 405.4 Examination for sixth-class license.

(a) The Commission will designate at least three first-class pilots to conduct or develop an oral or written examination of an applicant for a sixth-class pilot’s license for the purpose of ascertaining the applicant’s fitness to perform the duties of a pilot. The Commission will fix the date, time, manner and place of the examination.

(b) Applicants for a sixth class license shall pass an initial written examination that is comprised of the following four parts:

(1) Rules of the road.

(2) Chart work.

(3) Shiphandling and anchoring.

(4) Local knowledge.

(c) A passing grade on the parts in subsection (b)(1) and (2) is 90%, and a passing grade on the parts in subsection (b)(3) and (4) is 80%. The written examinations will consist of at least 50 questions on each part except chart work. Applicants who do not attain a passing score on any part of the initial exam shall be given another written examination on that part that the applicant did not pass. If an applicant fails to pass the second written examination on any part, the applicant shall be given a third written examination on that part that the applicant did not pass. When an applicant is unable for a medical reason, such as dyslexia, to successfully pass two different written examinations, the Commission may approve an oral administration of the examination. After three examinations, the Commission may determine if additional examination opportunities will be provided to any applicant. The examination for a sixth-class pilot’s license may consist of the following topics:

(1) Inland and pilot rules.

(2) Aids to navigation.

(3) Courses, distances and distances passed abeam at change of course points between given points.

(4) Important and essential cable areas.

(5) Dredged channel widths and depths.

(6) Bridge signals, widths, regulations and closing periods.

(7) Ship handling, docking problems, seamanship by actual observation, use of tow boats and anchors.

(8) Regulations of the Commission.

(9) Anchorage locations.

(10) Duties of a pilot.

(11) Relationship between master and pilot.

(12) Practical operation and use of marine radar, including use of maneuvering board.

(13) Currents and tides.

(14) Dock headings, lengths, depths of water alongside, pier locations and berth numbers.

(15) United States Government Public Health Quarantine regulations.

(16) Prohibited areas, restricted areas, explosive anchorages.

(17) Chart knowledge, including chart symbols and abbreviations.

(18) Use of navigational and bridge instruments.

(19) Engine order and rudder commands for the following:

(i) United States Merchant vessels.

(ii) United States Naval vessels.

(iii) Foreign flag merchant vessels.

(20) Ranges for determining error in channel ranges.

(d) Each oral examination shall be tape-recorded, and the original copy of the recording shall be filed with the Commission as part of its permanent records. If a written examination is given, the original copy of the written examination shall be filed with the Commission as part of its permanent records.

The provisions of this § 405.4 amended July 5, 2002, effective July 6, 2002, 32 Pa.B. 3211. Immediately preceding text appears at serial pages (229975) to (229976).

This section cited in 4 Pa. Code § 405.7 (relating to qualifications for license).

History

Authority: The provisions of this § 405.36 issued under section 4 of the act of March 29, 1803 (P. L. 542, 4 Sm.L. 67) (55 P. S. § 31); and section 2504-B(4) of The Administrative Code of 1929 (71 P. S. § 670.2(4)).
Source: The provisions of this § 405.36 adopted January 24, 2014, effective January 25, 2014, 44 Pa.B. 485.

4 Pa. Code § 405.5 Classifications of pilots.

For classifications of pilots, see section 17 of the act of March 29, 1803 (P. L. 542, 4 Sm.L. 67) (55 P. S. § 42).

The provisions of this § 405.5 amended July 5, 2002, effective July 6, 2002, 32 Pa.B. 3211. Immediately preceding text appears at serial page (229976).

History

Authority: The provisions of this § 405.36 issued under section 4 of the act of March 29, 1803 (P. L. 542, 4 Sm.L. 67) (55 P. S. § 31); and section 2504-B(4) of The Administrative Code of 1929 (71 P. S. § 670.2(4)).
Source: The provisions of this § 405.36 adopted January 24, 2014, effective January 25, 2014, 44 Pa.B. 485.

4 Pa. Code § 405.7 Qualifications for license.

(a) An applicant for the initial issuance of a pilot’s license in any class shall:

(1) Except for first-time applicants for a sixth class license, have served at least 1 year in each of the license classes below the class of license applied for.

(2) Have complied with subsection (d).

(3) Have passed a physical examination within 120 days of the date of application based on the requirements of § 405.8 (relating to physical examination qualifications), as evidenced by a physician’s statement. As proof of a physical examination, apprentices and pilots shall submit the current or successor form of the ‘‘Merchant Mariner Credential Medical Evaluation Report’’ of the United States Coast Guard. Physical examinations may also be ordered by the Commission for any pilot or applicant at any time that there is cause to believe that the physical condition of the pilot or applicant may be so impaired as to impact the pilot or applicant’s ability to discharge his duties.

(4) Have participated in a program of random drug testing during the preceding calendar year that meets the standards of Coast Guard regulations under 46 CFR Part 16 (relating to chemical testing). The random drug testing shall be performed by a testing agency satisfactory to the Commission. The testing agency conducting this random drug testing shall submit to the Commission documentation of the results immediately for any pilot who tests positive. The testing agency conducting this random drug testing shall submit to the Commission documentation of the results for all other pilots prior to March 1 of each year.

(5) Have been qualified as a radar observer, as evidenced by one of the following:

(i) A radar observer endorsement on a current Federal pilot’s license.

(ii) A certificate issued by a Coast Guard-approved authority reflecting that the certificateholder satisfactorily completed a course of instruction for radar observers, within 5 years of the date of application.

(6) Have completed a Commission-approved course in bridge resource management within 5 years of the date of application or renewal.

(7) Have completed a Commission-approved course in automatic radar plotting aids (ARPA) once in a pilot’s career.

(8) Post a surety bond that satisfies the requirements of § 405.13 (relating to bonding).

(9) Pay the required license fee, as specified in § 405.15 (relating to initial license and license renewal fee).

(10) Hold and maintain an active Federal first-class pilot’s license and endorsement for the routes to be traversed, unless otherwise ordered by the Commission.

(b) In addition to meeting the requirements of subsection (a), a first-time applicant for a first-class pilot’s license shall have completed 40 hours of Commission-approved continuing education in navigation, ship handling or related topics within the preceding 5 years. Courses in the required areas of radar observer, ARPA and bridge resource management may count towards the 40-hour total. The Commission will approve the education facilities that qualify to provide this education.

(c) In addition to meeting the requirements of subsection (a), an applicant for a sixth-class pilot’s license shall score a passing grade or better on an examination, as provided in § 405.4(b) (relating to examination for sixth-class license). Prior to taking the examination, the applicant shall:

(1) Be at least 21 years of age.

(2) Be within 3 months of completing a Commission-approved apprenticeship.

(3) Have acquired a current Federal pilot’s license for the Delaware River issued by the Coast Guard.

(d) In addition to meeting the requirements of subsection (a), applicants for a pilot’s license:

(1) Shall have piloted at least 52 vessels during the preceding license period, if the applicant is a current license-holder, unless waived by the Commission under paragraph (2).

(2) May seek a waiver from the Commission of the requirement of paragraph (1), in whole or in part, for illness, disability or other good cause that prevents a pilot from piloting the required number of vessels. If a waiver is granted, the Commission may condition the issuance of the license on the applicant’s completion of refresher trips up or down the river as may be necessary to ensure that the applicant is familiar with current conditions along the route. Refresher trips shall be made in the company of a first-class pilot.

The provisions of this § 405.7 amended under section 4 of the act of March 29, 1803 (P. L. 542, 4 Sm.L. 67) (55 P. S. § 31); and section 2504-B(4) of The Administrative Code of 1929 (71 P. S. § 670.2(4)).

The provisions of this § 405.7 amended July 5, 2002, effective July 6, 2002, 32 Pa.B. 3211; amended January 24, 2014, effective January 25, 2014, 44 Pa.B. 485. Immediately preceding text appears at serial pages (289860) to (289862).

This section cited in 4 Pa. Code § 405.12 (relating to renewal of license).

History

Authority: The provisions of this § 405.36 issued under section 4 of the act of March 29, 1803 (P. L. 542, 4 Sm.L. 67) (55 P. S. § 31); and section 2504-B(4) of The Administrative Code of 1929 (71 P. S. § 670.2(4)).
Source: The provisions of this § 405.36 adopted January 24, 2014, effective January 25, 2014, 44 Pa.B. 485.

4 Pa. Code § 405.8 Physical examination qualifications.

The physical qualifications for a pilot or apprentice are as follows:

(1) Visual acuity of 20/30 in one eye and 20/80 in the other—correctable to 20/20 and 20/30, respectively—and normal color perception.

(2) Hearing acuity to the extent of correctly repeating, with eyes closed, words or numbers spoken by the examiner in an ordinary conversational tone of voice from a distance of 20 feet. Each ear shall be tested separately; the ear being tested shall be turned in the direction of the examiner while the other ear is plugged.

(3) The absence of any medical condition that may directly affect one’s ability to pilot a ship safely, as noted on the current or successor form of the ‘‘Merchant Mariner Credential Medical Evaluation Report’’ of the United States Coast Guard. A pilot shall report to the Commission concerning the pilot’s request for a waiver under 46 CFR 10.215(g) (relating to medical and physical requirements) from the United States Coast Guard for any medical condition, as well as the results of a waiver request. The initial report to the Commission shall be made at the same time that the waiver request is made to the United States Coast Guard. A copy of the United States Coast Guard’s decision on the waiver request shall be provided to the Commission within 5 business days of the pilot’s receipt of the waiver decision.

The provisions of this § 405.8 amended under section 4 of the act of March 29, 1803 (P. L. 542, 4 Sm.L. 67) (55 P. S. § 31); and section 2504-B(4) of The Administrative Code of 1929 (71 P. S. § 670.2(4)).

The provisions of this § 405.8 amended July 5, 2002, effective July 6, 2002, 32 Pa.B. 3211; amended January 24, 2014, effective January 25, 2014, 44 Pa.B. 485. Immediately preceding text appears at serial page (289862).

This section cited in 4 Pa. Code § 405.7 (relating to qualifications for license).

History

Authority: The provisions of this § 405.36 issued under section 4 of the act of March 29, 1803 (P. L. 542, 4 Sm.L. 67) (55 P. S. § 31); and section 2504-B(4) of The Administrative Code of 1929 (71 P. S. § 670.2(4)).
Source: The provisions of this § 405.36 adopted January 24, 2014, effective January 25, 2014, 44 Pa.B. 485.

4 Pa. Code § 405.9 Apprentices.

(a) Apprentice qualifications. An applicant for an apprenticeship as a pilot shall:

(1) Be of good moral character. The Commission may use any of the following methods to determine moral character:

(i) Letters of reference.

(ii) Questions regarding the criminal record of the applicant on application forms.

(iii) Relevant information within the possession of the United States Coast Guard such as any action taken against the applicant’s Coast Guard license, if applicable.

(2) Have acquired one of the following:

(i) A baccalaureate degree from a recognized and certified college or university or from a maritime academy operated by the United States or any state.

(ii) A Coast Guard-issued license to serve as a third mate on all oceans aboard vessels of 1,600 tons, or a higher class of license.

(3) Have passed a physical examination within 6 months of the date of application based on the requirements of § 405.8 (relating to physical examinations), as evidenced by a physician’s statement.

(b) Conduct of apprenticeship. An apprenticeship shall provide the theoretical education and supervised practical experience required for licensure as a sixth-class pilot and shall be conducted as follows:

(1) Every apprentice shall serve an apprenticeship of 4 years, except that an apprentice who, at the time of appointment, holds at least a third mate’s license under subsection (a)(2)(ii) need be an apprentice no longer than 3 years.

(2) The theoretical aspect of an apprenticeship shall cover, but not be limited to, the topics in § 405.4 (relating to examination for license).

(3) An apprentice shall make at least 500 trips up or down the river in vessels with a pilot licensed by Pennsylvania or Delaware.

(4) The pilots who train an apprentice shall maintain a record of each trip on the apprentice’s weekly activity record with the joint Pennsylvania/Delaware Apprentice Pilot Training Program Administrator. Each apprentice’s weekly activity record shall include: the date of the trip, the name of the vessel, where the trip began and ended and other information requested by the Commission. At least one pilot who trains an apprentice shall also conduct an evaluation of each apprentice’s performance on at least a quarterly basis, except during the first two quarters of the apprentice’s program, and shall file the evaluation with the Joint Pennsylvania/Delaware Apprentice Pilot Training Program Administrator.

(5) The Joint Pennsylvania/Delaware Apprentice Pilot Training Program Administrator shall file summary reports with the Commission at each meeting on the activities and performance of the Pennsylvania apprentices in the apprentice program.

The provisions of this § 405.9 amended July 5, 2002, effective July 6, 2002, 32 Pa.B. 3211. Immediately preceding text appears at serial page (229977).

History

Authority: The provisions of this § 405.36 issued under section 4 of the act of March 29, 1803 (P. L. 542, 4 Sm.L. 67) (55 P. S. § 31); and section 2504-B(4) of The Administrative Code of 1929 (71 P. S. § 670.2(4)).
Source: The provisions of this § 405.36 adopted January 24, 2014, effective January 25, 2014, 44 Pa.B. 485.

4 Pa. Code § 405.10 Term of license.

A license shall be for a term of 1 year, subject to renewal by the Commission.

The provisions of this § 405.10 amended July 5, 2002, effective July 6, 2002, 32 Pa.B. 3211. Immediately preceding text appears at serial page (229978).

History

Authority: The provisions of this § 405.36 issued under section 4 of the act of March 29, 1803 (P. L. 542, 4 Sm.L. 67) (55 P. S. § 31); and section 2504-B(4) of The Administrative Code of 1929 (71 P. S. § 670.2(4)).
Source: The provisions of this § 405.36 adopted January 24, 2014, effective January 25, 2014, 44 Pa.B. 485.

4 Pa. Code § 405.11 Nondiscrimination.

The Commission will comply with applicable State and Federal laws prohibiting discrimination in licensing or apprenticeship opportunities. A person will not be denied a license, refused an apprenticeship indenture, refused sponsorship for a pilot’s license or discriminated against in the provision of pilotage services because of race, religion, national origin, sex or age.

The provisions of this § 405.11 amended July 5, 2002, effective July 6, 2002, 32 Pa.B. 3211. Immediately preceding text appears at serial page (229978).

History

Authority: The provisions of this § 405.36 issued under section 4 of the act of March 29, 1803 (P. L. 542, 4 Sm.L. 67) (55 P. S. § 31); and section 2504-B(4) of The Administrative Code of 1929 (71 P. S. § 670.2(4)).
Source: The provisions of this § 405.36 adopted January 24, 2014, effective January 25, 2014, 44 Pa.B. 485.

4 Pa. Code § 405.12 Renewal of license.

(a) An applicant for renewal of a pilot’s license in any class shall:

(1) Have satisfied the requirements of § 405.7(a)(1)—(6), (8) and (10) (relating to qualifications for license).

(2) Pay the required renewal fee, as specified in § 405.15 (relating to initial license and license renewal fee).

(b) In addition to meeting the requirements of subsection (a), an applicant for renewal of a first-class pilot’s license shall have completed 40 hours of Commission-approved continuing education in navigation, ship handling or related topics within the preceding 5 years. Courses in the required areas of radar observer, automatic radar plotting aids (ARPA) and bridge resource management may count towards the 40-hour total. The Commission will approve the education facilities that qualify to provide this education.

(c) Failure to satisfy any of the requirements of § 405.7(a)(1)—(6), (8) and (10) may result in the license not being renewed by the Commission until receipt of documentation to assure compliance with the requirement in question.

The provisions of this § 405.12 amended under section 4 of the act of March 29, 1803 (P. L. 542, 4 Sm.L. 67) (55 P. S. § 31); and section 2504-B(4) of The Administrative Code of 1929 (71 P. S. § 670.2(4)).

The provisions of this § 405.12 amended July 5, 2002, effective July 6, 2002, 32 Pa.B. 3211; amended January 24, 2014, effective January 25, 2014, 44 Pa.B. 485. Immediately preceding text appears at serial page (289864).

History

Authority: The provisions of this § 405.36 issued under section 4 of the act of March 29, 1803 (P. L. 542, 4 Sm.L. 67) (55 P. S. § 31); and section 2504-B(4) of The Administrative Code of 1929 (71 P. S. § 670.2(4)).
Source: The provisions of this § 405.36 adopted January 24, 2014, effective January 25, 2014, 44 Pa.B. 485.

4 Pa. Code § 405.13 Bonding.

A license will not be granted until the person applying has given bond, with one sufficient surety to the Commission in the sum of $500 conditioned for the true and faithful performance of the duties and services required by this part and that he may not aid or assist in defrauding the revenue of the United States or of the Commonwealth and that he will deliver the license when required by the Commission in pursuance of this part.

This section cited in 4 Pa. Code § 405.7 (relating to qualifications for license).

History

Authority: The provisions of this § 405.36 issued under section 4 of the act of March 29, 1803 (P. L. 542, 4 Sm.L. 67) (55 P. S. § 31); and section 2504-B(4) of The Administrative Code of 1929 (71 P. S. § 670.2(4)).
Source: The provisions of this § 405.36 adopted January 24, 2014, effective January 25, 2014, 44 Pa.B. 485.

4 Pa. Code § 405.15 Initial license and license renewal fee.

The fee for initial issuance of a license and for annual renewal of a license is $200.

The provisions of this § 405.15 amended January 27, 1978, 8 Pa.B. 246; amended February 2, 1996, effective February 3, 1996, 26 Pa.B. 483. Immediately preceding text appears at serial page (33651).

This section cited in 4 Pa. Code § 405.7 (relating to qualifications for license); and 4 Pa. Code § 405.12 (relating to renewal of license).

History

Authority: The provisions of this § 405.36 issued under section 4 of the act of March 29, 1803 (P. L. 542, 4 Sm.L. 67) (55 P. S. § 31); and section 2504-B(4) of The Administrative Code of 1929 (71 P. S. § 670.2(4)).
Source: The provisions of this § 405.36 adopted January 24, 2014, effective January 25, 2014, 44 Pa.B. 485.

4 Pa. Code § 405.19 Allowing pilots to be taken off.

(a) It shall be the duty of every master or commander of a ship or vessel outward-bound from the port to remain 24 hours after his arrival at the capes to give to the pilot on board the ship or vessel an opportunity to be taken out.

(b) If the master or commander of the ship or vessel refuses to give the opportunity specified in subsection (a) and if the same can be done without endangering the vessel, the master, owner or consignee of the ship or vessel shall forfeit and pay to the pilot, his executors or administrators any sum not exceeding $800, to be recovered in any court of record in which the same may be sued for, by action of debt or otherwise.

History

Authority: The provisions of this § 405.36 issued under section 4 of the act of March 29, 1803 (P. L. 542, 4 Sm.L. 67) (55 P. S. § 31); and section 2504-B(4) of The Administrative Code of 1929 (71 P. S. § 670.2(4)).
Source: The provisions of this § 405.36 adopted January 24, 2014, effective January 25, 2014, 44 Pa.B. 485.

4 Pa. Code § 405.19a Docking, undocking and anchoring of vessels.

When a vessel which has taken aboard a state-licensed pilot is docking, undocking or anchoring, the state-licensed pilot shall remain on the bridge, attentive to duty, until the vessel has at least one ship’s line secured to the dock or until the vessel is anchored properly and firmly within a designated anchorage area or until the state-licensed pilot is discharged at the pilot station area upon the vessel’s departure to sea. This section does not prohibit the master of a vessel from employing the services of a docking master.

The provisions of this § 405.19a adopted July 5, 2002, effective July 6, 2002, 32 Pa.B. 3211.

History

Authority: The provisions of this § 405.36 issued under section 4 of the act of March 29, 1803 (P. L. 542, 4 Sm.L. 67) (55 P. S. § 31); and section 2504-B(4) of The Administrative Code of 1929 (71 P. S. § 670.2(4)).
Source: The provisions of this § 405.36 adopted January 24, 2014, effective January 25, 2014, 44 Pa.B. 485.

4 Pa. Code § 405.20 Pilot’s report.

Every pilot who pilots a ship or vessel to the port shall make a report in writing thereof to the Commissioners.

History

Authority: The provisions of this § 405.36 issued under section 4 of the act of March 29, 1803 (P. L. 542, 4 Sm.L. 67) (55 P. S. § 31); and section 2504-B(4) of The Administrative Code of 1929 (71 P. S. § 670.2(4)).
Source: The provisions of this § 405.36 adopted January 24, 2014, effective January 25, 2014, 44 Pa.B. 485.

4 Pa. Code § 405.21 Accident reports.

(a) Written report. A pilot involved in a marine accident while on duty shall submit a written report of the accident within 5 days of the accident to the Commission at the address or fascimile number listed at the issuance of each license or license renewal notice if the accident results in one of the following:

(1) Actual physical damage to property in excess of $1,500.

(2) Material damage affecting the seaworthiness or efficiency of a vessel.

(3) Stranding or grounding.

(4) Loss of life.

(5) Injury causing a person to remain hospitalized in excess of 72 hours.

(b) Telephonic report. In addition to submitting a written report under subsection (a), a pilot involved in a marine accident while on duty shall make a telephonic report of the accident to the Commission to telephone numbers listed at the issuance of each license or on the annual license renewal notice within 24 hours of the accident if the accident results in one of the following:

(1) Loss of life.

(2) Collision or grounding.

(3) Oil spill.

(1) Vessels and objects involved in the accident.

(2) Location, date and time of the accident.

(3) Weather and sea conditions when the accident occurred.

(4) Events and circumstances leading to the accident.

(5) Nature of the accident.

(6) Nature of loss or damage resulting from the accident.

(d) Coast Guard Report. A pilot may submit a copy of a completed Coast Guard Report of Vessel Casualty or Accident Form, along with any attachments to satisfy the requirements of subsections (a) and (c).

The provisions of this § 405.21 amended July 5, 2002, effective July 6, 2002, 32 Pa.B. 3211. Immediately preceding text appears at serial page (229979) to (229980).

History

Authority: The provisions of this § 405.36 issued under section 4 of the act of March 29, 1803 (P. L. 542, 4 Sm.L. 67) (55 P. S. § 31); and section 2504-B(4) of The Administrative Code of 1929 (71 P. S. § 670.2(4)).
Source: The provisions of this § 405.36 adopted January 24, 2014, effective January 25, 2014, 44 Pa.B. 485.

4 Pa. Code § 405.30 Compensation.

(a) In case a pilot, having charge of a vessel and while conducting such vessel, be detained by order of the master, owner or consignee of the vessel, by ice, or by any other unavoidable circumstance not personal to himself, the pilot shall receive compensation for such detention at the rate of $3.00 per day for each and every day so detained, commencing at a period of 24 hours from the time the detention first occurred.

(b) If any first-class pilot, having a boat attending him, shall be carried to sea in any ship or vessel contrary to his inclination, by stress of weather or other unavoidable accident, the master, owner or consignee of such ship or vessel shall pay to such pilot, his executors, or administrators the same wages as the master of such vessel receives until the return of such pilot to the Capes or, in case the pilot dies while so absent, until the time of his death. If any second-class pilot shall be carried off as provided in this subsection, the wage scale shall be that of the first mate of the vessel. If any third-class or fourth-class pilot shall be carried off as provided in this subsection that wage scale shall be that of the seamen of the vessel. If any pilot, not having a boat attending him, shall be carried to sea as provided in this subsection, he shall be paid 1/2 the wages he would have been entitled to had a boat been attending.

(c) If any inward-bound ship or vessel, having a pilot on board, shall be prevented by ice or by any other cause from proceeding to the port and shall be compelled to proceed to some other port or place not in the bay and River, the pilot shall be entitled to receive and recover from the owner or consignee of such ship or vessel full pilotage as if he had conducted such ship or vessel to the port, and the pilot shall also receive the sum of 8¢ for each and every mile he shall travel to his usual place of abode.

History

Authority: The provisions of this § 405.36 issued under section 4 of the act of March 29, 1803 (P. L. 542, 4 Sm.L. 67) (55 P. S. § 31); and section 2504-B(4) of The Administrative Code of 1929 (71 P. S. § 670.2(4)).
Source: The provisions of this § 405.36 adopted January 24, 2014, effective January 25, 2014, 44 Pa.B. 485.

4 Pa. Code § 405.32 [Reserved].

(a) In all cases when extraordinary services have been rendered by any pilot, the Commissioners will, in case the parties cannot agree, determine the compensation to be allowed for such services after hearing the dispute.

(b) Upon receipt of written request from the pilot clearly stating the facts of the extraordinary services within 30 days of the completion of such service, the Commission will give notice to both parties of the time and place of hearing such dispute.

History

Authority: The provisions of this § 405.36 issued under section 4 of the act of March 29, 1803 (P. L. 542, 4 Sm.L. 67) (55 P. S. § 31); and section 2504-B(4) of The Administrative Code of 1929 (71 P. S. § 670.2(4)).
Source: The provisions of this § 405.36 adopted January 24, 2014, effective January 25, 2014, 44 Pa.B. 485.

4 Pa. Code § 405.34 Misconduct.

(a) Whenever the Commission has reason to believe that any pilot has committed an act of misconduct, negligence or incapacity, the Commissioners will appoint a time and place of hearing of which due notice will be given the pilot, and, upon due proof being made thereof to the Commissioners, they will fine the pilot in any sum not exceeding the amount of the pilotage of the ship or vessel to which the damage shall have happened or suspend the pilot for any term which the Commissioners may deem proper.

(b) A person may submit a written complaint to the Commission charging and specifying misconduct, negligence or incapacity of a pilot. The complaint shall state the following:

(1) The basis for Commission jurisdiction.

(2) The date and place of the offense.

(3) The facts constituting the offense.

(c) In every case of suspension, the pilot shall deliver his license to the Commissioners until the time of suspension expires.

History

Authority: The provisions of this § 405.36 issued under section 4 of the act of March 29, 1803 (P. L. 542, 4 Sm.L. 67) (55 P. S. § 31); and section 2504-B(4) of The Administrative Code of 1929 (71 P. S. § 670.2(4)).
Source: The provisions of this § 405.36 adopted January 24, 2014, effective January 25, 2014, 44 Pa.B. 485.

4 Pa. Code § 405.35 Intoxication.

(a) Upon satisfactory proof being made to the Commissioners that any pilot, while having charge of a ship or vessel, was intoxicated, it will be the duty of the Commissioners to suspend such pilot for any term not less than 1 year; in case of the suspension, the pilot shall deliver to the Commissioners his license, to be kept by them until the time of suspension expires.

(b) Upon satisfactory proof of a second violation-intoxication while in charge of a ship or vessel, the pilot shall be deprived of his license permanently.

History

Authority: The provisions of this § 405.36 issued under section 4 of the act of March 29, 1803 (P. L. 542, 4 Sm.L. 67) (55 P. S. § 31); and section 2504-B(4) of The Administrative Code of 1929 (71 P. S. § 670.2(4)).
Source: The provisions of this § 405.36 adopted January 24, 2014, effective January 25, 2014, 44 Pa.B. 485.

4 Pa. Code § 405.36 Federal license.

(a) A pilot shall notify the Commission within 14 calendar days if the United States Coast Guard suspends or revokes a pilot’s Federal license, or if a pilot voluntarily deposits or voluntarily surrenders his Federal license with the United States Coast Guard under 46 CFR 5.201—5.205 (relating to deposit or surrender of Coast Guard credential or endorsement), thereby making the pilot’s Federal license inactive.

(b) If the United States Coast Guard suspends, revokes, or accepts the voluntary deposit or voluntary surrender of the license of a Federal pilot, the Commission may, after notice and an opportunity for a hearing in accordance with 2 Pa.C.S. § § 501—508 and 701—704 (relating to Administrative Agency Law), revoke, suspend, limit or otherwise restrict the pilot’s state license.

The provisions of this § 405.36 issued under section 4 of the act of March 29, 1803 (P. L. 542, 4 Sm.L. 67) (55 P. S. § 31); and section 2504-B(4) of The Administrative Code of 1929 (71 P. S. § 670.2(4)).

The provisions of this § 405.36 adopted January 24, 2014, effective January 25, 2014, 44 Pa.B. 485.

History

Authority: The provisions of this § 405.36 issued under section 4 of the act of March 29, 1803 (P. L. 542, 4 Sm.L. 67) (55 P. S. § 31); and section 2504-B(4) of The Administrative Code of 1929 (71 P. S. § 670.2(4)).
Source: The provisions of this § 405.36 adopted January 24, 2014, effective January 25, 2014, 44 Pa.B. 485.

4 Pa. Code § 407.1 Definitions.

The following words and terms, when used in this chapter, have the following meanings unless the context clearly indicates otherwise. Agent—An individual, corporation or other entity contracting to man, victual, navigate or operate a vessel.

History

Source: The provisions of this Chapter 407 renumbered from 13 Pa. Code Chapter 207, May 16, 1997, effective May 17, 1997, 27 Pa.B. 2415, unless otherwise noted. Immediately preceding text appears at serial pages (209851) to (209853).

4 Pa. Code § 407.2 Authority.

(a) Section 4 of the act of July 9, 1976 (P. L. 980, No. 197) (71 P. S. § 670.2) authorizes the Commission to promulgate rules and regulations necessary for the proper navigation of the River.

(b) Section 1 of the act of May 9, 1913 (P. L. 185, No. 126) (55 P. S. § 401) authorizes the Commissioners to make rules for regulating the speed of vessels navigating the River and its navigable tributaries, between Marcus Hook and Bristol, in this Commonwealth, provided, that the rules may not extend to, impair, or in any way infringe on, the mutual arrangements entered into by this Commonwealth and the state of New Jersey.

History

Source: The provisions of this Chapter 407 renumbered from 13 Pa. Code Chapter 207, May 16, 1997, effective May 17, 1997, 27 Pa.B. 2415, unless otherwise noted. Immediately preceding text appears at serial pages (209851) to (209853).

4 Pa. Code § 407.3 Regulation Enforcement.

It will be the duty of the Chairperson of the Commission to take the necessary action to enforce this chapter, and, if a person refuses or neglects to comply with the directions of the Chairperson of the Commission in matters within the jurisdiction of his office, or shall knowingly fail to comply with this chapter, or if a person obstructs or prevents the Chairperson in the execution of his duties, the person shall be guilty of a misdemeanor and, upon conviction thereof, shall be sentenced to pay, for each offense, a fine not exceeding $500 unless another penalty is specified.

History

Source: The provisions of this Chapter 407 renumbered from 13 Pa. Code Chapter 207, May 16, 1997, effective May 17, 1997, 27 Pa.B. 2415, unless otherwise noted. Immediately preceding text appears at serial pages (209851) to (209853).

4 Pa. Code § 407.11 Sunken vessels.

(a) It shall be the duty of the Chairperson of the Commission, immediately upon information of the sinking of a vessel in the channelway of the tidewaters of the River or in any of the docks thereof or in any location as to present a hazard to navigation, to give notice to the owner, master or other agent having charge thereof to raise and remove the obstruction or present a plan for the removal satisfactory to the Commission within 10 days after the date of the notice, under a penalty of $100, to and for the use of the Commonwealth.

(b) In case of refusal or neglect of the parties interested, as set forth in subsection (a), to raise and remove an obstruction within 10 days, it will be the further duty of the Chairperson to have it raised and removed, at the expense of the owner, master or agent, and the vessel and its cargo shall be subject to a lien, in the hands of the Chairperson, until the expenses of raising and removing shall be fully paid to him. The Chairperson is hereby authorized to sell at public auction to the highest bidder, for cash, the property or so much thereof as is necessary to pay the expenses of raising and removing, together with the penalty provided in subsection (a) and the cost of sale, and he will return the surplus, if any, of the sale to the person as shall be legally entitled to receive the same.

(c) The Chairperson of the Commission, before proceeding to sell the property, will give 5 days notice by at least 20 printed handbills, to be posted in conspicuous places in the immediate neighborhood of the locality setting forth a full description of his property to be sold, together with the time and place of selling the same. Should the sum realized from the sale be insufficient to pay the expenses of raising and removing, together with the penalty and expenses of sale, the Chairperson of Commissioners may sue for the amount of the deficiency in the name of and for the benefit of the Commonwealth, in any court of the Commonwealth having jurisdiction in similar cases, and it is the duty of the Attorney General of the Commonwealth to institute and prosecute the suits at the request of the Commissioners.

History

Source: The provisions of this Chapter 407 renumbered from 13 Pa. Code Chapter 207, May 16, 1997, effective May 17, 1997, 27 Pa.B. 2415, unless otherwise noted. Immediately preceding text appears at serial pages (209851) to (209853).

4 Pa. Code § 407.12 Removal of vessels.

If the Commission directs the removal of any vessel obstructing commerce or navigation in the River and if the vessel is not promptly moved as directed, it may cause the vessel to be moved at the expense of the master or owners thereof, and, if such master or owners neglect or refuse on demand to pay such an expense, the Commission may recover the amount in an action of assumpsit.

History

Source: The provisions of this Chapter 407 renumbered from 13 Pa. Code Chapter 207, May 16, 1997, effective May 17, 1997, 27 Pa.B. 2415, unless otherwise noted. Immediately preceding text appears at serial pages (209851) to (209853).

4 Pa. Code § 407.13 Casting refuse.

If any person casts, places or leaves in position where the same may be washed or drifted into the tideway of the River, any ballast, cinders, ashes, dirt, refuse or any heavy article whatever, he, for every offense, shall forfeit and pay a sum not exceeding $100, to be sued for and recovered with costs of suit by the Chairperson of Commissioners, for the use of the Commonwealth, before any magistrate of the city of Philadelphia or before a district justice of the proper county.

History

Source: The provisions of this Chapter 407 renumbered from 13 Pa. Code Chapter 207, May 16, 1997, effective May 17, 1997, 27 Pa.B. 2415, unless otherwise noted. Immediately preceding text appears at serial pages (209851) to (209853).

4 Pa. Code § 407.14 Speed of vessels.

Every master, officer or other person, having charge of a vessel navigating the River who operates a vessel at such speed as to risk harm to persons or property shall forfeit and pay a sum not exceeding $50 for the first offense and not less than $75 nor more than $100 for each subsequent offense, to be sued for and recovered with costs of suit by the Chairperson of Commissioners, for the use of the Commonwealth, before any magistrate of the city of Philadelphia or before an alderman or district justice of the proper county.

History

Source: The provisions of this Chapter 407 renumbered from 13 Pa. Code Chapter 207, May 16, 1997, effective May 17, 1997, 27 Pa.B. 2415, unless otherwise noted. Immediately preceding text appears at serial pages (209851) to (209853).

Chapter 409 Wharves and Docks

4 Pa. Code § 409.2 Authority.

Section 4 of the act of June 8, 1907 (P. L. 496, No. 322) (55 P. S. § 391) authorizes the Commissioners to make rules for regulating, stationing and anchoring ships, vessels and boats in the River and its navigable tributaries, at the wharves, piers, or bulkheads or in the docks, slips or basins extending into or on the River and its navigable tributaries, for removing, from time to time, ships, vessels, and boats in order to accommodate and make room for others or for admitting river craft to pass in and out of the docks, slips and basins, and for compelling the masters and captains of ships, vessels and boats to accommodate each other so that ships, vessels and boats shall, for a reasonable time, be entitled to berths next to the wharves, piers and bulkheads until they have landed or loaded their cargoes.

History

Source: The provisions of this Chapter 409 renumbered from 13 Pa. Code Chapter 209, May 16, 1997, effective May 17, 1997, 27 Pa.B. 2415. Immediately preceding text appears at serial pages (209855) to (209858).

4 Pa. Code § 409.3 Regulation enforcement.

It will be the duty of the Chairperson to take the necessary action to enforce this chapter, and, if any person shall refuse or neglect to comply with the directions of the Chairperson in matters within the jurisdiction of his office or shall knowingly fail to comply with this chapter or if any person shall obstruct or prevent the Chairperson in the execution of his duties, the person shall be guilty of a misdemeanor and, upon conviction thereof, shall be sentenced to pay, for each offense, a fine not exceeding $500, unless another penalty is specified.

History

Source: The provisions of this Chapter 409 renumbered from 13 Pa. Code Chapter 209, May 16, 1997, effective May 17, 1997, 27 Pa.B. 2415. Immediately preceding text appears at serial pages (209855) to (209858).

4 Pa. Code § 409.11 Wharfage rates.

(a) The Commission, after a hearing of the parties in interest, is authorized to regulate the services and to fix the maximum rates for wharfage, cranage and dockage.

(b) For the purposes of this section, the Commissioners will not have jurisdiction within any city of the first class.

History

Source: The provisions of this Chapter 409 renumbered from 13 Pa. Code Chapter 209, May 16, 1997, effective May 17, 1997, 27 Pa.B. 2415. Immediately preceding text appears at serial pages (209855) to (209858).

4 Pa. Code § 409.12 Apportionment of wharfage.

(a) In all cases when the owners of adjoining wharves, docks, landings or riverfronts, or any parts thereof, upon the River and not situated in cities of the first class, shall disagree as to the proper apportionment of the wharfage or dockage payable to them in accordance with their titles by persons making use of the same or by vessels lying in front thereof, it will be the duty of the Commissioners, upon the written application of one or more of the owners, after notice to the parties interested, and in accordance with the established customs and usages of the port or place where the wharves, docks, landings or riverfront are located or, where there is no usage, then as justice and equality may require, to determine the relative proportions of the wharfage or dockage belonging to the several proprietors of the adjoining wharves, docks, landings or riverfronts or any parts thereof.

(b) Nothing in this section shall be construed to authorize the Commissioners to take cognizance of any question involving the title of the property, but the jurisdiction and the power to enforce the rights of the owners of the wharves, docks, landings and waterfront to wharfage and dockage against persons or vessels heretofore or hereafter using or lying opposite the same, shall remain as heretofore in the proper courts of law.

History

Source: The provisions of this Chapter 409 renumbered from 13 Pa. Code Chapter 209, May 16, 1997, effective May 17, 1997, 27 Pa.B. 2415. Immediately preceding text appears at serial pages (209855) to (209858).

4 Pa. Code § 409.13 Dock maintenance.

(a) Whenever the owners or lessees of any wharf, pier, or bulkhead shall fail to keep and maintain the adjoining docks cleaned and free from obstruction, it will be lawful for the Chairperson of the Commission, upon default for 30 days after the service of notice on the owners or lessees, to clean or cause the docks to be cleaned and freed from obstructions, to apportion the expense among the owners or lessees of the wharves, piers and bulkheads adjoining the docks, in proportion to the extent of their wharves, piers or bulkheads having the privilege of use of the docks, and to collect the cost and expense of the same by filing liens therefore in the name of the Commonwealth and issuing process thereupon as is provided by law in the case of liens filed for work done by a municipal corporation. All liens for such work shall be filed by the Attorney General of the Commonwealth and shall have the same force and effect as in the case of liens for municipal work under existing laws.

(b) For the purposes of this section, the Commissioners will not have jurisdiction within any city of the first class.

History

Source: The provisions of this Chapter 409 renumbered from 13 Pa. Code Chapter 209, May 16, 1997, effective May 17, 1997, 27 Pa.B. 2415. Immediately preceding text appears at serial pages (209855) to (209858).

4 Pa. Code § 409.14 Obstructing docks.

(a) When fasts or lines of vessels extend across a dock so as to obstruct passing vessels, the captain or person in charge shall, when so ordered by the Commission, cause the fasts or lines to be slackened or cast off. Such fasts or lines shall be marked at night by a red light in the center thereof.

(b) Vessels lying at the ends of piers so as to obstruct the passage to the adjoining docks must slack their lines or move when necessary to acommodate other vessels entering or leaving the docks.

(c) Vessels lying alongside of a wharf and not taking in or discharging cargo must make way for and permit other vessels that want to load or unload cargo to come inside next to wharf.

(d) A dock may not be unnecessarily obstructed by a vessel so as to prevent the loading or unloading of cargo by another vessel.

(e) Vessels lying in berths in positions where they extend beyond the line of the pier do so at their own risk and may be held responsible for any damage that may occur by reason of their encroachment on the River. The vessels shall comply with United States Coast Guard Inland Rules of the Road provisions governing signals and lights.

(f) A provision of this section may not be interpreted to permit violation of any applicable Federal law or regulation.

History

Source: The provisions of this Chapter 409 renumbered from 13 Pa. Code Chapter 209, May 16, 1997, effective May 17, 1997, 27 Pa.B. 2415. Immediately preceding text appears at serial pages (209855) to (209858).

4 Pa. Code § 409.15 Vessels increasing width.

Vessels that increase their width by using ballast-logs, pontoons or other devices of like nature must move such equipment within 4 hours notice to accommodate other vessels when so ordered by the Commission and shall pay the expense of moving the other vessels that have to be moved to allow the vessel with such appliances to enter or leave dock.

History

Source: The provisions of this Chapter 409 renumbered from 13 Pa. Code Chapter 209, May 16, 1997, effective May 17, 1997, 27 Pa.B. 2415. Immediately preceding text appears at serial pages (209855) to (209858).

4 Pa. Code § 409.16 Accommodation of vessels loading and discharging cargo.

(a) The master or captain of a vessel lying alongside any wharf or pier loading or discharging cargo and encroaching further on the waterway by working cargo or bunkers to or from floating equipment from the offshore side must move such floating equipment upon four hours notice, at the expense of the vessel loading or discharging cargo or bunkers, in order to make way for the permit other vessels that want to load or unload to come next to the wharf or pier. The same regulation shall be applicable when a vessel is desirous of leaving a wharf or pier. Notice shall be considered proper when given to the terminal operator of the wharf or pier involved who shall forthwith notify the master, captain, agent or proper representative of the vessel to be moved.

(b) Terminal operators should notify the Commission of any violation of this section by written statement setting forth the name of the violator, the time and place of the violation, and the name of the aggrieved party.

History

Source: The provisions of this Chapter 409 renumbered from 13 Pa. Code Chapter 209, May 16, 1997, effective May 17, 1997, 27 Pa.B. 2415. Immediately preceding text appears at serial pages (209855) to (209858).

Part XIV Department of the Auditor General

Chapter 501 Auditee Reporting Requirements—Statement of Policy

4 Pa. Code § 501.1 Statement of policy.

The Department of the Auditor General declares that it interprets the entities that are subject to the auditee reporting requirements in section 403 of The Fiscal Code (72 P.S. § 403) as including any Commonwealth executive and independent department, board and commission, and any school district receiving a direct or indirect appropriation from the Commonwealth (auditee).

4 Pa. Code § 501.2 Performance audits.

Under case law, the Auditor General has the authority to conduct ‘‘special’’ audits, including special performance audits, under sections 402 and 403 of The Fiscal Code (72 P.S. § § 402 and 403).

4 Pa. Code § 501.3 Timely response.

Every auditee, including any Commonwealth department, board and commission, and any school district, receiving recommendations in any of its audits shall submit a response to the Department of the Auditor General detailing adoption of the recommendations, or the reason why recommendations have not been adopted (Act 44 Auditee Reporting Form), within 120 business days of the publication of the audit.

4 Pa. Code § 501.4 Department auditee notice.

The Department of the Auditor General will provide notice to every auditee (any department, board and commission, and any school district) 60 business days after the date of the audit’s publication that future appropriations could be denied for failure to respond.

4 Pa. Code § 501.5 Response notification.

The Department of the Auditor General (Department) will regularly notify (quarterly) the Governor and the Chairpersons and Minority Chairpersons of the Appropriations Committees of the Senate and the House of Representatives of the auditees’ responses received, accompanied by comments the Department may wish to submit.

4 Pa. Code § 501.6 Web site postings.

The Department of the Auditor General (Department) will post all of the auditees’ responses on the Department’s publicly accessible web site.

4 Pa. Code § 501.7 Responses considered.

The Governor and the Chairpersons and Minority Chairpersons of the Appropriations Committees of the Senate and the House of Representatives may consider the auditees’ responses when determining whether future appropriations will be considered.

4 Pa. Code § 501.8 Failure to report notification.

If the auditee does not respond to the Department of the Auditor General (Department) within 120 business days from the date of the publication of the audit, the Department will notify the Governor and the Chairpersons and Minority Chairpersons of the Appropriations Committees of the Senate and the House of Representatives.

4 Pa. Code § 501.9 Failure to report considered.

The Governor and the Chairpersons and Minority Chairpersons of the Appropriations Committees of the Senate and the House of Representatives may consider a failure to respond to the audit when determining future appropriations.

4 Pa. Code § 501.10 Department coordination.

The Department of the Auditor General (Department) will work with the Chairpersons and Minority Chairpersons of the Appropriations Committees of the Senate and the House of Representatives to determine the most effective method to communicate information concerning responses to the Department’s audit recommendations based on the type of audit and significance of the recommendations.

Part XV Office of Administration

Subpart B Civil Service Reform

Chapter 608 General Provisions

4 Pa. Code § 608.1 Short title.

This subpart shall be known and cited as the ‘‘Office of Administration’s Civil Service Reform Regulations.’’

4 Pa. Code § 608.2 Purpose.

This subpart implements Chapters 21—29 of the act and is to be read together with the applicable provisions of the act.

4 Pa. Code § 608.3 Definitions.

(a) The following words and terms, when used in this subpart, have the following meanings, unless the context clearly indicates otherwise: Act—Part III of 71 Pa.C.S. (relating to civil service reform), commonly referred to as the Civil Service Reform Act. Alternate rule—An alternative selection rule elected by an appointing authority for appointments and promotions made through the examination and certification process, which gives the appointing authority the ability to select from all eligibles on an appropriate eligible list or a specific alternate number of eligibles on an appropriate eligible list, greater than three, to fill a position. Applicant—An individual who applies for an appointment or a promotion to a position in the classified service. Application—A form, as prescribed by the Office of Administration, used by individuals to express interest in employment in a position or positions in the classified service. Appointing authority—As defined in 71 Pa.C.S. § 2103 (relating to definitions). Appointment—The hiring or movement of an individual to a position through entrance examination, reassignment, transfer, demotion or reinstatement. The term does not include the movement of an individual to a position through promotion. Certification—The submission of the names of one or more eligibles by the Office of Administration to an appointing authority to fill one or more positions. Disability—As defined by 42 U.S.C. Chapter 126 (relating to equal opportunity for individuals with disabilities), known as the Americans with Disabilities Act of 1990. Emergency appointment—The temporary and limited appointment of an individual to a position to meet an appointing authority’s needs during an emergency. Emergency employee—An individual temporarily appointed to a position through an emergency appointment. Examination—A test, series of tests or assessment used to determine the degree to which an individual is qualified for appointment or promotion to a position or job classification in the classified service. Intern—An individual appointed or promoted to an intern job classification. Job classification—A ‘‘job,’’ ‘‘job title,’’ ‘‘class’’ or ‘‘class of positions,’’ as defined by the act. Job specification—A written description of a job classification that defines and describes representative duties and responsibilities and sets forth the minimum qualifications of the job classification. Leave of absence—A temporary and limited separation from the classified service granted by an appointing authority to an employee for purposes such as, but not limited to, extended illness, school attendance, cyclical employment, Olympic participation, military duty or training, or employment in a non-civil service position, including a position within the Senior Management Service. The term does not include paid absences, such as paid annual leave, paid sick leave or paid compensatory leave, or unpaid absences that do not result in a separation from the classified service. Mandatory reemployment list—A list of individuals who have been furloughed and who are eligible for a mandatory reemployment preference under § 612.5(f) (relating to furlough). Merit—Relating to the requirements of a position, or to an employee’s ability or an applicant’s likely ability to perform the duties of a position in an effective and professional manner. Military duty—Active duty, including active duty for training or inactive duty training, in the uniformed services on dates ordered or authorized by the uniformed service. Minimum qualifications—The minimum knowledge, skills, abilities, experience, training, education, licenses, certificates, special requirements and other requisites essential to the performance of the work of a job classification, as set forth in the relevant job specification. Optional reemployment list—A list of individuals who have been furloughed and who are eligible for reemployment under § 612.5(g). Preferred reemployment list—A list of individuals who, upon the expiration or end of an approved leave of absence, could not be returned to a position in the same job classification under § 612.1(e)(1) or (2) (relating to leaves of absence generally). Probationary employee—An individual serving a probationary period prior to acquiring regular status in a position. Probationary status—The standing in a position held by a probationary employee. Provisional employee—An individual who was appointed to a position through an accelerated entrance examination program, in compliance with 71 Pa.C.S. § 2405 (relating to provisional appointments), and who is serving a 6-month working test period prior to the required probationary period. Qualified testing organization—An organization that, as a primary function of its business, develops standardized tests that assess the knowledge, experience, skills or abilities of the test takers. Reassignment—The movement of an employee, within the same appointing authority, from one position to another position in the same or similar job classification for which the employee qualifies at the same maximum salary. Reclassification—The change of a classification of a position from one job classification and code to another job classification and code. Referral—The submission of the names of one or more applicants by the Office of Administration to an appointing authority to fill one or more positions through internal recruitment methods. Regular status—The standing in a position conferred upon an employee who has successfully completed the corresponding probationary period. Reinstatement—The reappointment of a former regular employee who resigned or otherwise voluntarily separated from employment in the classified service. Resignation—The voluntary termination of employment by an employee, which is evidenced by the employee’s written or verbal notice. Rule of three—The default selection rule for appointments and promotions made through the examination and certification process, which requires an appointing authority to choose from among the three highest-ranking available eligibles to fill a vacant position. Senior Management Service—Positions in the Commonwealth’s unclassified service that have broad policy participation and management responsibility. Seniority—The amount of time an employee has continuously served in a position in the classified service. Separation—The voluntary or involuntary termination of employment in the classified service, including temporary and permanent terminations. Special Advisor for Veterans’ Programs—The individual appointed by the Secretary of Administration under 71 Pa.C.S. § 2202(a)(12) (relating to duties of Office of Administration). Substitute appointment—The temporary appointment of an individual to a position that is vacant due to the granting of a leave of absence for military duty to the incumbent of the position. Substitute employee—An individual temporarily appointed or promoted to a position through a substitute appointment or a substitute promotion. Substitute promotion—The temporary promotion of an individual to a position that is vacant due to the granting of military leave to the incumbent of the position. Suspension—The temporary and involuntary separation of an employee from employment in the classified service. Temporary employee—An individual appointed to a temporary position. Trainee—An individual appointed or promoted to a training level job classification. Training period—The period of time a trainee will remain in a training level job classification, during which the trainee receives general or specialized training, or both. Transfer—The movement of an employee from one appointing authority to a different appointing authority in the same job classification. Uniformed services—As defined by 10 U.S.C. § 101(a)(5) (relating to definitions). Unskilled position—A position for which the principal job function is manual labor or work requiring limited or no prior education or training. Vacancy posting—A posted announcement of a vacant, or soon to be vacant, position or group of positions within an appointing authority that will be filled by examination or an internal recruitment method. Veteran—An individual who, based on their service in the armed forces of the United States, is eligible to receive an employment preference under 51 Pa.C.S. Chapter 71 (relating to veterans’ preference).

(b) Words and terms not otherwise defined in this subpart have the meanings specified in the act.

4 Pa. Code § 608.4 Veterans’ preference.

(a) Application of veterans’ preference.

(1) In determining standing on each certified eligible list, the Office of Administration will credit an additional 10 points to the final examination score obtained by a veteran, in accordance with 51 Pa.C.S. Chapter 71 (relating to veterans’ preference).

(2) An appointing authority shall give preference to veterans in accordance with 51 Pa.C.S. Chapter 71.

(b) Spouses. The same employment preferences afforded to veterans under subsection (a) shall be afforded to their surviving spouses and the spouses of disabled veterans in accordance with 51 Pa.C.S. Chapter 71.

(1) Veterans. To establish veteran status, an individual shall submit to the Office of Administration, during the application process, a copy of their DD 214 (member 4 copy), DD 215, NGB-22, statement of service, documentation of projected discharge or a similarly effective form issued by the United States Department of Defense relating to separation from military service, showing the date of entry into the military, character of service and, where applicable, completion of the initial contractual military service obligation. An individual who established their veteran status by submitting to the Office of Administration documentation of projected discharge, shall also submit to the Office of Administration a copy of their DD 214 (member 4 copy), DD 215, NGB-22, statement of service or a similarly effective form issued by the United States Department of Defense relating to separation from military service, showing the date of entry into the military, character of service and completion of the initial contractual military service obligation prior to starting the position for which they applied, if selected by the appointing authority.

(2) Surviving spouses. A surviving spouse shall submit to the Office of Administration a copy of the deceased veteran’s documents, as set forth in paragraph (1), proof of marriage to the deceased veteran and a certified copy of the deceased veteran’s death certificate.

(3) Spouses of disabled veterans. A spouse of a disabled veteran shall submit, to the Office of Administration, documentation as required by the Office of Administration, including a copy of the disabled veteran’s documents, as set forth in paragraph (1), and a letter from the United States Department of Veterans Affairs verifying that the disabled veteran has a permanent total disability.

(d) Certifications. A certified eligible list will indicate an eligible’s veteran status, as well as any additional examination points afforded to an eligible in accordance with 51 Pa.C.S. Chapter 71.

(e) Special Advisor for Veterans’ Programs. The Secretary of Administration will appoint a Special Advisor for Veterans’ Programs who shall be a veteran and will serve at the pleasure of the Secretary of Administration.

(f) Powers and duties of the Special Advisor for Veterans’ Programs.

(1) The Office of Administration will provide the Special Advisor for Veterans’ Programs a copy of the results of audits conducted by the Commission under 71 Pa.C.S. § 3304 (relating to audits of application of veterans’ preference).

(2) The Special Advisor for Veterans’ Programs may recommend investigations, as authorized under 71 Pa.C.S. § 2202(a)(10) (relating to duties of Office of Administration), of appointments or changes in employment in the classified service to ensure compliance with 51 Pa.C.S. Chapter 71.

This section cited in 4 Pa. Code § 610.21 (relating to content of certification).

4 Pa. Code § 608.5 Age preference.

(a) In accordance with the act, this subpart and section 2203-A(b) of The Administrative Code of 1929 (71 P.S. § 581-3(b)), the Department of Aging shall give preference to eligibles who are 60 years of age or older and within the rule of three or applicable alternate rule.

(b) Certified eligible lists issued to the Department of Aging will indicate those applicants with age preference status.

(c) Where a certified eligible list issued to the Department of Aging contains the names of an eligible qualifying for veterans’ preference under 51 Pa.C.S. Chapter 71 (relating to veterans’ preference), and an eligible qualifying for age preference under section 2203-A(b) of The Administrative Code of 1929, the Department of Aging may select either eligible for appointment.

This section cited in 4 Pa. Code § 610.21 (relating to content of certification).

4 Pa. Code § 608.6 Reasonable accommodations.

(a) Equal employment opportunity. The Commonwealth is an equal opportunity employer. Accordingly, the Office of Administration will ensure that vacancy postings, applications and examinations are accessible to individuals with disabilities, thereby providing an opportunity to fairly compete for and pursue career opportunities.

(b) Reasonable accommodations. Reasonable accommodations in the application and examination process will be provided to an individual with a disability upon request to the Office of Administration, in accordance with Federal and State law. Information on submitting requests for accommodations in the application and examination process shall be available on the Office of Administration’s website.

4 Pa. Code § 608.7 Service to departments, boards and commissions, agencies and political subdivisions; reimbursement for services.

(a) Acquisition of services. The merit system employment services and facilities of the Office of Administration, and its staff, will be made available to departments, boards, commissions or agencies, and political subdivisions of the Commonwealth, under the following terms and conditions:

(1) A formal request for extension of the merit system employment services of the Office of Administration shall be made in writing and shall be signed by the executive head or chair of the requesting department, board, commission or agency, or the proper official of the political subdivision. If appropriate, the written request shall be accompanied by a resolution or similar document adopted by the board, commission or agency, or by the proper official of the political subdivision.

(2) Granting of the request shall be evidenced by a formal written contract or agreement, consistent with this section, between the department, board, commission, agency or political subdivision and the Office of Administration. The written contract or agreement shall include a provision addressing the termination of the contract or agreement.

(b) Reimbursement for services. Reimbursement for services provided by the Office of Administration shall be done in accordance with 71 Pa.C.S. § 2901 (relating to service and cooperation). At the request of the Office of Administration, the number of employees in the classified service in each appointing authority serviced shall be reported to the Office of Administration.

(c) Compliance with the act, regulations and contract. A personnel action taken by a department, board, commission, agency or political subdivision under contract with the Office of Administration shall conform to the act, this subpart and the contract executed under subsection (a)(2).

(d) Existing contracts. Nothing in this section may be interpreted to impair a contract entered into under 71 Pa.C.S. § 2901 prior to the effective date of this subpart.

This section cited in 4 Pa. Code § 609.1 (relating to general).

4 Pa. Code § 608.8 Electronic records and signatures.

The Office of Administration or an appointing authority may, in its discretion, utilize and accept, in the form and manner prescribed by the Office of Administration or appointing authority, electronic records and electronic signatures, where written documents, forms, signatures or other required submissions are required by this subpart, provided that these records and signatures comply with Chapter 3 of the Electronic Transactions Act (73 P.S. § § 2260.301—2260.312), and other laws governing electronic records and signatures.

Chapter 609 Classification System

4 Pa. Code § 609.1 General.

In accordance with 71 Pa.C.S. § 2504 (relating to classification and compensation), the Office of Administration will utilize the Commonwealth’s classification system, as established by the board, for those positions within the classified service unless otherwise set forth in a written contract or agreement under § 608.7(a)(2) (relating to service to departments, boards and commissions, agencies and political subdivisions; reimbursement for services).

4 Pa. Code § 609.2 Trainee job classifications.

Subject to the approval of the board, the Office of Administration, in cooperation with the appointing authorities, may designate specific job classifications for training purposes, provided the trainee classification corresponds to a working level job classification.

4 Pa. Code § 609.3 Intern job classifications.

Subject to the approval of the board, the Office of Administration, in cooperation with the appointing authorities, may designate specific job classifications for internship purposes, provided the intern classification corresponds to one or more trainee job classifications or working level job classifications.

4 Pa. Code § 609.4 Minimum qualifications.

(a) Applicants. To ensure that all employees in the classified service are qualified for their respective positions, applicants must meet the minimum qualifications for employment in the job classification for which the applicant applied.

(b) Employees. Employees in the classified service must meet the minimum qualifications for employment in the job classification in which the employee is employed. When the Office of Administration determines that an employee does not meet the minimum qualifications of the job classification in which the employee is employed, the Office of Administration shall take appropriate action to ensure conformance with the act.

This section cited in 4 Pa. Code § 610.6 (relating to evaluation of applications).

4 Pa. Code § 609.5 Unclassified service.

(a) Requests for inclusion in the unclassified service. If an appointing authority believes that a position or group of positions should be included in the unclassified service, as defined by 71 Pa.C.S. § 2103 (relating to definitions), the appointing authority shall submit to the Office of Administration a written request to include the position or group of positions in the unclassified service. The written request must include the basis for the request and all supporting documentation.

(b) Requests based on participation in policy decisions. When reviewing a request submitted under subsection (a), which is based on the position’s participation in policy decisions, the Office of Administration may consider the following:

(1) The level of participation in policy decisions required of the position, including the level of independence and discretion exercised by the position in the formulation or implementation of agency policy.

(2) The degree of decision-making exercised by the position.

(3) The position’s organizational placement and pay assignment.

(c) Requests based on limited term special study, project or internship. When reviewing a request submitted under subsection (a), which is based on the position being used for a special study, project or internship that is scheduled to be completed after a fixed or limited period of time, the Office of Administration may consider the following:

(1) The type and nature of work performed by the position.

(2) The expected duration of the special study, project or internship.

(3) The reason the duties of the position should not be performed by a position in the classified service.

(4) Whether the position offers general work experience for a student enrolled in an educational program.

(5) Whether the position is an entry-level employment opportunity for a student enrolled in an educational program.

Chapter 614 Personnel Actions

4 Pa. Code § 614.1 Personnel actions.

When used in the act or this subpart, the term ‘‘personnel action’’ shall be limited to the following:

(1) Appointment.

(2) Promotion.

(3) Removal, including the removal of a probationary employee before the expiration of the probationary period.

(4) Suspension.

(5) Acceptance of resignation.

(6) Demotion.

(7) Furlough.

(8) Transfer.

(9) Reassignment.

(10) Leave of absence.

(11) Extension or reduction of probationary period.

(12) Compensation changes, except salary increments, general pay increases or special pay for things such as overtime or out-of-class work.

(13) Performance evaluation.

(14) Reclassification.

(15) Return to a position or job classification held prior to promotion.

4 Pa. Code § 614.2 Notice of personnel actions.

(a) Required. An appointing authority shall provide written notice of a personnel action to the affected employee.

(b) Content. A written notice of a removal, furlough, involuntary demotion or suspension issued to a regular employee shall include a clear statement of the reason for the personnel action, sufficient to apprise the employee of the grounds upon which the personnel action is based. A written notice of a removal, furlough, involuntary demotion or suspension shall provide information on the employee’s right to appeal the personnel action to the State Civil Service Commission.

(c) Effective date of personnel action. Unless otherwise required by the Office of Administration or stated in the notice by the appointing authority, the personnel action will take effect immediately upon the provision of notice to the employee by the appointing authority.

(d) Simultaneous copy. When the appointing authority notifies an employee of a furlough or a suspension, it shall simultaneously submit a copy of the notice to the Office of Administration. Copies of other notices of personnel actions shall be provided to the Office of Administration upon request.

(e) Mandatory requirements. Except as provided in subsection (f), the requirements in this section are mandatory. Failure to adhere to the notice requirements set forth in this section may nullify the personnel action.

(f) Acceptance of resignation. The requirements of this section do not apply to an appointing authority’s acceptance of an employee’s resignation, which are governed by § § 612.8—612.10 (relating to resignation).

4 Pa. Code § 614.3 Signatory authority.

(a) Generally. A notice of personnel action shall be signed by the head of the appointing authority or an authorized designee.

(b) Authorized designee. Unless otherwise provided for in writing by the head of an appointing authority, an authorized designee of the head of an appointing authority includes a deputy secretary, a bureau director, an office director, a superintendent, a deputy superintendent or an equivalent position employed by the appointing authority; a human resources director or an equivalent position supporting the appointing authority; or an individual who is delegated signatory authority on behalf of the head of the appointing authority in the manner prescribed by the Office of Administration. For purposes of performance evaluations, an employee’s immediate supervisor shall be deemed the authorized designee of the head of the appointing authority without the need for delegation of signatory authority.

(c) No further delegation. An authorized designee of the head of an appointing authority may not further delegate signatory authority.

(d) Rebuttable presumption. A notice of personnel action bearing the signature of the head of the appointing authority or an authorized designee shall create a rebuttable presumption that the head of the appointing authority or the authorized designee signed the notice and had the proper authority to issue the notice.