Title 12 Pa. Code — Commerce, Trade and Local Government

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Part I General Administration

Subpart A General Information

Chapter 1 Preliminary Provisions

12 Pa. Code § 1.1 Definitions.

The following words and terms, when used in this part, have the following meanings, unless the context clearly indicates otherwise: Department—The Department of Community and Economic Development. PERC System—A system of formalized lines of communication within the Department which is designed to expedite the review and evaluation of grant requests and applications through the Department. The procedure applies to the review of applications in the areas of housing, redevelopment, planning, certain transportation applications and Act IX applications. It does not apply to areas where there already exists a formally established review board, for example, Conservation and Recreation Bond Program, Training Employment Assistance and Manpower Program and the Neighborhood Assistance Program. Regional field office—One of the five divisional offices of the Department with responsibility for regional administration of Department functions. Regional specialists—A professionally trained expert on community programs. One such specialist is employed at each of the regional field offices of the Department. Secretary—The Secretary of the Department.

The provisions of this § 1.1 adopted August 11, 1972, effective August 12, 1972, 2 Pa.B. 1516; renumbered from 13 Pa. Code § 1.1 and 16 Pa. Code § 1.1, May 16, 1997, effective May 17, 1997, 27 Pa.B. 2415. Immediately preceding text appears at serial pages (161451) and (216317).

History

  • Authority: The provisions of this Chapter 1 issued under section 506 of The Administrative Code of 1929 (71 P.S. § 186), unless otherwise noted.
  • Source: The provisions of this § 1.3 renumbered from 16 Pa. Code § 1.2, May 16, 1997, effective May 17, 1997, 27 Pa.B. 2415. Immediately preceding text appears at serial page (216318).
12 Pa. Code § 1.2 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.

The provisions of this § 1.2 adopted July 25, 1975, effective July 26, 1975, 5 Pa.B. 1911; renumbered from 16 Pa. Code § 1.2, May 16, 1997, effective May 17, 1997, 27 Pa.B. 2415. Immediately preceding text appears at serial page (216317).

History

  • Authority: The provisions of this Chapter 1 issued under section 506 of The Administrative Code of 1929 (71 P.S. § 186), unless otherwise noted.
  • Source: The provisions of this § 1.3 renumbered from 16 Pa. Code § 1.2, May 16, 1997, effective May 17, 1997, 27 Pa.B. 2415. Immediately preceding text appears at serial page (216318).
12 Pa. Code § 1.3 Department regional offices.

The addresses of the regional field offices of the Department are the following:

The provisions of this § 1.3 renumbered from 16 Pa. Code § 1.2, May 16, 1997, effective May 17, 1997, 27 Pa.B. 2415. Immediately preceding text appears at serial page (216318).

This section cited in 12 Pa. Code § 133.5 (relating to Department regional offices).

History

  • Authority: The provisions of this Chapter 1 issued under section 506 of The Administrative Code of 1929 (71 P.S. § 186), unless otherwise noted.
  • Source: The provisions of this § 1.3 renumbered from 16 Pa. Code § 1.2, May 16, 1997, effective May 17, 1997, 27 Pa.B. 2415. Immediately preceding text appears at serial page (216318).

Chapter 2 Commerce Information System

12 Pa. Code § 2.1 General provisions.

The Department maintains a public information system which consists of documents issued as regulations, statements of policy, program rulings, notices and commerce information.

History

  • Authority: The provisions of this Chapter 2 issued under section 506 of The Administrative Code of 1929 (71 P. S. § 186), unless otherwise noted.
  • Source: The provisions of this Chapter 2 adopted July 14, 1989, effective July 15, 1989, 19 Pa.B. 3035; renumbered from 13 Pa. Code Chapter 2, May 16, 1997, effective May 17, 1997, 27 Pa.B. 2415. Immediately preceding text appears at serial pages (138213) to (138216).
12 Pa. Code § 2.2 Regulations.

The Department promulgates regulations under its statutory authority. The regulations are codified in this title. Eligibility and participation requirements for program applicants are prescribed in the regulations. The regulations implement and interpret law and prescribe policy as well as practice and procedure before the Department.

History

  • Authority: The provisions of this Chapter 2 issued under section 506 of The Administrative Code of 1929 (71 P. S. § 186), unless otherwise noted.
  • Source: The provisions of this Chapter 2 adopted July 14, 1989, effective July 15, 1989, 19 Pa.B. 3035; renumbered from 13 Pa. Code Chapter 2, May 16, 1997, effective May 17, 1997, 27 Pa.B. 2415. Immediately preceding text appears at serial pages (138213) to (138216).
12 Pa. Code § 2.3 Statements of policy.

(a) For the purposes of providing guidance to the general public and to program applicants and participants and of interpreting law and regulations, the Department issues statements of policy. The statements of policy are codified in this title.

(b) Statements of policy are issued under the authority of the Secretary or a deputy secretary. A program applicant or participant may rely on a statement of policy only insofar as the statement binds the Department to follow a stated course of action. Periodically, the Department may revise prospectively a statement of policy, and program applicants and participants are cautioned to determine whether a statement of policy relied upon is current.

History

  • Authority: The provisions of this Chapter 2 issued under section 506 of The Administrative Code of 1929 (71 P. S. § 186), unless otherwise noted.
  • Source: The provisions of this Chapter 2 adopted July 14, 1989, effective July 15, 1989, 19 Pa.B. 3035; renumbered from 13 Pa. Code Chapter 2, May 16, 1997, effective May 17, 1997, 27 Pa.B. 2415. Immediately preceding text appears at serial pages (138213) to (138216).
12 Pa. Code § 2.4 Program rulings.

(a) The Department issues program rulings in two forms as follows:

(1) Private rulings. Upon request, the Department issues private rulings to program applicants or participants based upon specific factual information provided in writing by the applicant or participant. Private rulings are not formally published, but copies with identifying and confidential material deleted may be obtained upon request from the Department of Community and Economic Development, Office of Chief Counsel, Commonwealth Keystone Building, 400 North Street, 4th Floor, Harrisburg, Pennsylvania 17120, (717) 783-8452. The purpose of a private ruling is to advise a program applicant or participant of the Department’s application of the law and regulations to a specific factual situation unique to the applicant or participant. Private rulings may be relied upon only by the particular program applicant or participant concerned, based upon the facts supplied, absent statutory or regulatory change or rescission by the Department.

(2) Program rulings. At its sole discretion, the Department issues program rulings to provide guidance and interpretation of law and regulations to a general factual situation. Program rulings are not formally published but a list of program rulings currently in force and effect will be published annually as a notice in the Pennsylvania Bulletin. Copies of program rulings may be obtained upon request from the Department of Community and Economic Development, Office of Chief Counsel, Commonwealth Keystone Building, 400 North Street, 4th Floor, Harrisburg, Pennsylvania 17120, (717) 783-8452. The purpose of a program ruling is to advise Department personnel and interested persons of the Department’s application of law and regulations to a general factual situation. Program rulings may be relied upon by a program applicant or participant only to the extent of the facts relied upon and the assumptions made in the ruling itself, absent statutory or regulatory change or rescission by the Department. Periodically, the Department may revise prospectively a program ruling, and program applicants and participants are cautioned to determine whether a program ruling relied upon is current.

(b) The Department has discretionary authority to issue private rulings. This discretion is exercised in light of relevant circumstances. Examples of areas where private rulings normally will not be issued include, but are not limited to, the following:

(1) Issues under extensive study or review, or subject to imminent legislative action.

(2) Alternative plans of proposed transactions or hypothetical situations.

(3) Matters upon which a lower court decision adverse to the Department has been handed down and the appeal period thereon is still open and the question of following the decision or litigating the matter further has not been resolved.

History

  • Authority: The provisions of this Chapter 2 issued under section 506 of The Administrative Code of 1929 (71 P. S. § 186), unless otherwise noted.
  • Source: The provisions of this Chapter 2 adopted July 14, 1989, effective July 15, 1989, 19 Pa.B. 3035; renumbered from 13 Pa. Code Chapter 2, May 16, 1997, effective May 17, 1997, 27 Pa.B. 2415. Immediately preceding text appears at serial pages (138213) to (138216).
12 Pa. Code § 2.5 Notices.

The Department issues notices under statutory and regulatory authority. Notices are published in the Pennsylvania Bulletin.

History

  • Authority: The provisions of this Chapter 2 issued under section 506 of The Administrative Code of 1929 (71 P. S. § 186), unless otherwise noted.
  • Source: The provisions of this Chapter 2 adopted July 14, 1989, effective July 15, 1989, 19 Pa.B. 3035; renumbered from 13 Pa. Code Chapter 2, May 16, 1997, effective May 17, 1997, 27 Pa.B. 2415. Immediately preceding text appears at serial pages (138213) to (138216).
12 Pa. Code § 2.6 Commerce information.

The Department issues written informational materials in the form of guidelines, application forms and packets, brochures, press releases, pamphlets and the like. The purpose of these materials is to call attention to Department procedure or to well-established interpretations or applications of law and regulations without application to a specific set of facts. These materials also provide general information regarding tourism, marketing and economic development efforts of the Department. The materials are issued by various offices within the Department when it is believed that general information will assist program applicants, participants or the general public. These informational materials are available from the appropriate office upon request.

History

  • Authority: The provisions of this Chapter 2 issued under section 506 of The Administrative Code of 1929 (71 P. S. § 186), unless otherwise noted.
  • Source: The provisions of this Chapter 2 adopted July 14, 1989, effective July 15, 1989, 19 Pa.B. 3035; renumbered from 13 Pa. Code Chapter 2, May 16, 1997, effective May 17, 1997, 27 Pa.B. 2415. Immediately preceding text appears at serial pages (138213) to (138216).

Subpart B Local Government Unit Debt Act Administrative Rules andProcedures

Chapter 11 Local Government Unit Debt Act Administrative Rules and Procedures

12 Pa. Code § 11.1 Purpose, scope and authority.

(a) This chapter sets forth the practice and procedure before the Department in adjudicatory proceedings relating to complaints and petitions filed with the Department under section 8211 of the act (relating to petitions for declaratory orders and complaints to department).

(b) This chapter is not applicable to a proceeding to the extent that the act sets forth inconsistent practice or procedure.

(c) Adjudicatory proceedings under section 8211 of the act will be governed by the rules in 1 Pa. Code Part II (relating to general rules of administrative practice and procedure), except if inconsistent with the procedures in this chapter or in the act.

History

  • Authority: The provisions of this Chapter 11 issued under section 810 of the Local Government Unit Debt Act (53 P. S. § 6780-360), unless otherwise noted. (Editor’s Note: The Local Government Unit Debt Act currently appears at 53 Pa.C.S. § § 8001—8271. Section 810 is now 53 Pa.C.S. § 3210.)
  • Source: The provisions of this Chapter 11 adopted May 22, 1992, effective May 23, 1992, 22 Pa.B. 2711; renumbered from 16 Pa. Code Chapter 4, May 16, 1997, effective May 17, 1997, 27 Pa.B. 2415. Immediately preceding text appears at serial pages (169845) to (169853).
12 Pa. Code § 11.2 Definitions.

The following terms and phrases, when used in this chapter, have the following meanings, unless the context clearly indicates otherwise: Act—53 Pa.C.S. § § 8001—8271 (relating to the Local Government Unit Debt Act). Complainant—A local government unit, a taxpayer of the local government unit or other interested party authorized by the act to file a complaint under section 8211 of the act (relating to petitions for declaratory orders and complaints to department) asserting the validity or invalidity of proceedings for the incurring of debt or for the issuance of tax anticipation notes or for the exclusion of debt as self-liquidating or subsidized. Office of the Department—For purposes of the receipt of filings, documents and other materials, the issuance and entry of orders, and other matters related to adjudicatory proceedings filed under section 901 of the act, the Department of Community and Economic Development, Office of Chief Counsel, Commonwealth Keystone Building, 400 North Street, 4th Floor, Harrisburg, Pennsylvania 17120. Local government unit—An entity as defined in section 8002(c) of the act (relating to definitions). Petitioner—A local government unit, a taxpayer of the local government unit or other interested party as authorized by the act to file a petition for declaratory order asserting the validity or invalidity of proceedings for the incurring of debt or for the issuance of tax anticipation notes, or for the exclusion of debt as self-liquidating or subsidized, as authorized by section 8211 of the act. Respondent—A local government unit, an official of a local government unit or another person named, or the real party in interest, in a complaint or petition filed under section 8211 of the act. Secretary—The Secretary of the Department.

History

  • Authority: The provisions of this Chapter 11 issued under section 810 of the Local Government Unit Debt Act (53 P. S. § 6780-360), unless otherwise noted. (Editor’s Note: The Local Government Unit Debt Act currently appears at 53 Pa.C.S. § § 8001—8271. Section 810 is now 53 Pa.C.S. § 3210.)
  • Source: The provisions of this Chapter 11 adopted May 22, 1992, effective May 23, 1992, 22 Pa.B. 2711; renumbered from 16 Pa. Code Chapter 4, May 16, 1997, effective May 17, 1997, 27 Pa.B. 2415. Immediately preceding text appears at serial pages (169845) to (169853).
12 Pa. Code § 11.3 Timely filing.

(a) Complaints or petitions shall be received for filing at the office of the Department within the time limits prescribed by section 8211 of the act (relating to petitions for declaratory orders and complaints to department). Other pleadings, submittals or other documents required or permitted to be filed shall be received for filing at the office of the Department within the time limits prescribed in this chapter or, if applicable, as prescribed by the presiding officer.

(b) The date of receipt at the office of the Department, as recorded by the Department, and not the date of deposit in the mails is determinative of the date of filing. The complainant or petitioner will be notified in writing by the Department of receipt of the filing of a complaint or petition.

(c) Section 1908 of Title 1 of the Pennsylvania Consolidated Statutes (relating to computation of time) applies for purposes of computing time for filing and notice requirements in this chapter.

(d) This section supersedes 1 Pa. Code § 31.11 (relating to timely filing required).

History

  • Authority: The provisions of this Chapter 11 issued under section 810 of the Local Government Unit Debt Act (53 P. S. § 6780-360), unless otherwise noted. (Editor’s Note: The Local Government Unit Debt Act currently appears at 53 Pa.C.S. § § 8001—8271. Section 810 is now 53 Pa.C.S. § 3210.)
  • Source: The provisions of this Chapter 11 adopted May 22, 1992, effective May 23, 1992, 22 Pa.B. 2711; renumbered from 16 Pa. Code Chapter 4, May 16, 1997, effective May 17, 1997, 27 Pa.B. 2415. Immediately preceding text appears at serial pages (169845) to (169853).
12 Pa. Code § 11.4 Entry of orders.

(a) In computing a period of time involving the date of entry of an order by the Department, the date of entry shall be the day the office of the Department mails or hand delivers copies of the order to the parties. The date of entry of an order may or may not be the day of its adoption by the Department. The Department will clearly indicate on each order the date of its entry. As prescribed by Pa.R.A.P. No. 1512, the period within which an appeal to Commonwealth Court, under section 8211(d) of the act (relating to petitions for declaratory orders and complaints to department), shall be filed is 15-calendar days from the date of entry of the appropriate order by the Department.

(b) Orders of the Department will be effective as of the dates of entry, unless otherwise specifically provided in the orders.

(c) This section supersedes 1 Pa. Code § § 31.13 and 31.14 (relating to issuance of agency orders; and effective dates of agency orders).

History

  • Authority: The provisions of this Chapter 11 issued under section 810 of the Local Government Unit Debt Act (53 P. S. § 6780-360), unless otherwise noted. (Editor’s Note: The Local Government Unit Debt Act currently appears at 53 Pa.C.S. § § 8001—8271. Section 810 is now 53 Pa.C.S. § 3210.)
  • Source: The provisions of this Chapter 11 adopted May 22, 1992, effective May 23, 1992, 22 Pa.B. 2711; renumbered from 16 Pa. Code Chapter 4, May 16, 1997, effective May 17, 1997, 27 Pa.B. 2415. Immediately preceding text appears at serial pages (169845) to (169853).
12 Pa. Code § 11.5 Appearance before the Department.

(a) An individual complainant or petitioner may appear on his own behalf. An authorized officer or employe of a local government unit may represent the local government unit before the Department.

(b) Representation of parties by an attorney is permitted as provided by 1 Pa. Code § 31.22 (relating to appearance by attorney).

(c) Subsection (a) supersedes 1 Pa. Code § 31.21 (relating to appearance in person).

History

  • Authority: The provisions of this Chapter 11 issued under section 810 of the Local Government Unit Debt Act (53 P. S. § 6780-360), unless otherwise noted. (Editor’s Note: The Local Government Unit Debt Act currently appears at 53 Pa.C.S. § § 8001—8271. Section 810 is now 53 Pa.C.S. § 3210.)
  • Source: The provisions of this Chapter 11 adopted May 22, 1992, effective May 23, 1992, 22 Pa.B. 2711; renumbered from 16 Pa. Code Chapter 4, May 16, 1997, effective May 17, 1997, 27 Pa.B. 2415. Immediately preceding text appears at serial pages (169845) to (169853).
12 Pa. Code § 11.6 Filings.

(a) Pleadings, submittals and other documents, other than correspondence, shall be bound at the top of the page, with two-hole fasteners approximately 2 3/4 inches from the edge of each side of each page.

(b) Except as otherwise provided by this chapter, a single pleading or other submittal may be accepted for filing with respect to a particular proceeding and one or more related proceedings. If offered with respect to one or more related proceedings, the pleading or submittal shall reference the other proceedings in its caption or title.

(c) No pleading, submittal or other document filed in respect of a section 8211 adjudicatory proceeding is required to be accompanied by a filing fee.

(d) Except as may be otherwise provided by this chapter, or as may be ordered or requested by the Department, pleadings, submittals or other documents filed with the Department shall consist of an original and two conformed copies, including exhibits, if any.

(e) No submission by facsimile machine will be accepted.

(f) This section supersedes 1 Pa. Code § § 33.2(c), 33.4, 33.15, 33.21 and 33.22.

History

  • Authority: The provisions of this Chapter 11 issued under section 810 of the Local Government Unit Debt Act (53 P. S. § 6780-360), unless otherwise noted. (Editor’s Note: The Local Government Unit Debt Act currently appears at 53 Pa.C.S. § § 8001—8271. Section 810 is now 53 Pa.C.S. § 3210.)
  • Source: The provisions of this Chapter 11 adopted May 22, 1992, effective May 23, 1992, 22 Pa.B. 2711; renumbered from 16 Pa. Code Chapter 4, May 16, 1997, effective May 17, 1997, 27 Pa.B. 2415. Immediately preceding text appears at serial pages (169845) to (169853).
12 Pa. Code § 11.7 Complaints.

(a) A person authorized to file a complaint with the Department under section 8211 of the act (relating to petitions for declaratory orders and complaints to department) may file a complaint at the office of the Department within the time limits prescribed in section 8211 of the act.

(1) Complaints shall be by letter or other writing, typewritten or legibly printed, as required by 1 Pa. Code § 33.2 (relating to form) and this chapter, and shall contain the following:

(i) The name, address and interest of each complainant.

(ii) The name and address of each respondent.

(iii) A statement of the facts and legal grounds which form the basis for the conclusion that there has been a violation of the act.

(2) The allegations shall concern matters within the jurisdiction of the Department under the act, pertaining to the regularity of the debt or other proceedings filed before the Department, the validity of the bonds, notes, tax anticipation notes or other obligations of a local government unit, or the legality of the purpose for which the obligations are to be issued.

(3) The complaint also shall include an identification of the relief sought and the legal basis for the relief.

(4) Supporting material may be submitted with the complaint.

(5) Notice pleading will not be permitted.

(6) If ordered by the Department, a complainant shall amend a complaint in the manner and within the time period prescribed in the order.

(7) A copy of the complaint will be mailed by the Department to the respondent named thereon or who, in the determination of the Department, will be called upon to address the allegations of the complaint or answer the same under § 11.9 (relating to answers to complaints and petitions).

(b) Joinder of complaints or petitions will be permitted in accordance with 1 Pa. Code § 35.11 (relating to joinder of formal complaints).

(c) Upon the filing of a document purporting to be a complaint or petition in the office of the Department, a determination will be made by the Department as to whether the filing constitutes a complaint or petition and whether it has been timely filed.

(1) If a determination is made that the pleading, as filed, is insufficient to meet the requirements of a complaint or petition under the act, a further determination will be made by the Department, in its discretion, whether to:

(i) Permit the filing of an amended complaint or petition.

(ii) Issue an order dismissing the complaint or petition, with or without prejudice.

(iii) Schedule a conference with the parties.

(iv) Take other action deemed just and appropriate by the Department.

(2) If a determination is made that the pleading is untimely filed, the Department will issue an order dismissing the complaint or petition, with prejudice.

(d) If, in the judgment of the Department, a complaint has been filed within the purview of section 8211 of the act, the Department will either invite the parties to an informal conference, set the matter for a formal hearing or take other action which in the judgment of the Department is just and appropriate. Complainants shall be required to attend a conference or hearing held on the complaint.

(e) This section supersedes 1 Pa. Code § § 35.1, 35.2, 35.5, 35.7, 35.9, 35.11 and 35.14.

History

  • Authority: The provisions of this Chapter 11 issued under section 810 of the Local Government Unit Debt Act (53 P. S. § 6780-360), unless otherwise noted. (Editor’s Note: The Local Government Unit Debt Act currently appears at 53 Pa.C.S. § § 8001—8271. Section 810 is now 53 Pa.C.S. § 3210.)
  • Source: The provisions of this Chapter 11 adopted May 22, 1992, effective May 23, 1992, 22 Pa.B. 2711; renumbered from 16 Pa. Code Chapter 4, May 16, 1997, effective May 17, 1997, 27 Pa.B. 2415. Immediately preceding text appears at serial pages (169845) to (169853).
12 Pa. Code § 11.8 Petitions for declaratory order.

(a) A person authorized to file a petition for declaratory order asserting the validity of proceedings filed with the Department under section 8211 of the act (relating to petitions for declaratory orders and complaints to department) may do so at the office of the Department within the time limits prescribed in section 901 of the act. A copy of the petition will be mailed by the Department to the named respondent or who, in the determination of the Department, will be called upon to answer the allegations. If a local government unit files a petition with the Department, the Department may require service of the petition by publication on taxpayers of the local government unit as the circumstances warrant.

(b) A petition shall be in writing, shall state the name and address of the petitioner and respondent, the interest of the petitioner in the subject matter, the issues which are the subject of the petition, a complete statement of the facts and legal grounds prompting the petition, the relief sought and shall reference the specific sections of the act, or other appropriate statutory authority, relied upon for the relief.

(c) This section supersedes 1 Pa. Code § § 35.17—35.20, 35.23 and 35.24 (relating to petitions; and protests).

History

  • Authority: The provisions of this Chapter 11 issued under section 810 of the Local Government Unit Debt Act (53 P. S. § 6780-360), unless otherwise noted. (Editor’s Note: The Local Government Unit Debt Act currently appears at 53 Pa.C.S. § § 8001—8271. Section 810 is now 53 Pa.C.S. § 3210.)
  • Source: The provisions of this Chapter 11 adopted May 22, 1992, effective May 23, 1992, 22 Pa.B. 2711; renumbered from 16 Pa. Code Chapter 4, May 16, 1997, effective May 17, 1997, 27 Pa.B. 2415. Immediately preceding text appears at serial pages (169845) to (169853).
12 Pa. Code § 11.9 Answers to complaints and petitions.

(a) Upon the determination of the Department to accept a timely filing as a complaint or petition, the Department will mail a copy of the filing to each respondent. Answers to the complaints and petitions shall be filed by the respondent at the office of the Department within 10-calendar days of the date of mailing by the Department of the complaint or petition, as applicable, unless for cause shown the Department with or without motion prescribes a different time.

(1) A respondent who fails to file an answer within the applicable period shall be deemed in default, and the relevant basic facts, but no conclusions of law, stated in the complaint or petition shall be deemed admitted.

(2) Answers shall be in writing, and so drawn as fully and completely to advise the parties and the Department as to the nature of the defense.

(3) The answer shall admit or deny specifically and in detail each material allegation of the pleading answered, and state clearly and concisely the facts and provisions of the act relied upon.

(4) By answering a complaint the respondent shall be deemed, if appropriate, to request a certificate of approval of the relevant proceedings of the local government unit under section 8204 of the act (relating to certificate of approval of transcript) and no other affirmative relief shall be requested by the respondent.

(b) A party may file a responsive amendment, modification or supplement to a complaint, petition, answer or other pleading within 7-calendar days of the date of service of the preceding pleading, unless otherwise prescribed by the Department.

(c) This section supersedes 1 Pa. Code § § 35.35—35.41 (relating to answers).

This section cited in 12 Pa. Code § 11.7 (relating to complaints).

History

  • Authority: The provisions of this Chapter 11 issued under section 810 of the Local Government Unit Debt Act (53 P. S. § 6780-360), unless otherwise noted. (Editor’s Note: The Local Government Unit Debt Act currently appears at 53 Pa.C.S. § § 8001—8271. Section 810 is now 53 Pa.C.S. § 3210.)
  • Source: The provisions of this Chapter 11 adopted May 22, 1992, effective May 23, 1992, 22 Pa.B. 2711; renumbered from 16 Pa. Code Chapter 4, May 16, 1997, effective May 17, 1997, 27 Pa.B. 2415. Immediately preceding text appears at serial pages (169845) to (169853).
12 Pa. Code § 11.10 Withdrawal of pleadings.

(a) A party may withdraw a pleading filed with the office of the Department at any time, with or without cause. The withdrawal shall be effective immediately upon filing notice thereof with the office of the Department.

(b) This section supersedes 1 Pa. Code § 35.51 (relating to withdrawal of pleadings).

History

  • Authority: The provisions of this Chapter 11 issued under section 810 of the Local Government Unit Debt Act (53 P. S. § 6780-360), unless otherwise noted. (Editor’s Note: The Local Government Unit Debt Act currently appears at 53 Pa.C.S. § § 8001—8271. Section 810 is now 53 Pa.C.S. § 3210.)
  • Source: The provisions of this Chapter 11 adopted May 22, 1992, effective May 23, 1992, 22 Pa.B. 2711; renumbered from 16 Pa. Code Chapter 4, May 16, 1997, effective May 17, 1997, 27 Pa.B. 2415. Immediately preceding text appears at serial pages (169845) to (169853).
12 Pa. Code § 11.11 Motions.

(a) A respondent may file prior to or with his answer a motion that the allegations in, or legal grounds for, the complaint or petition be made more definite and certain. A motion shall point out the defects complained of and details desired. The Department will determine if an amendment to the complaint or petition is warranted and, if so, prescribe a time period for an amended complaint or petition to be filed.

(b) A respondent may file at any time, before or after the filing of his answer, a motion to dismiss a complaint or petition.

(1) The motion may be filed with supporting affidavits or documents, including additional items or proceedings of the local government unit submitted to the Department under the act.

(2) The complainant or petitioner shall have an opportunity to file responsive affidavits or documents.

(3) The complaint or petition shall be dismissed if the pleadings, together with affidavits or documents, if any, and the proceedings of the local government unit which are the subject matter of the complaint or petition show that there is no genuine issue as to a material fact and that the moving party is entitled to dismissal of the complaint or petition as a matter of law.

(c) The presiding officer at any time may schedule oral argument on a motion. Written notice of the time, date and place of the oral argument shall be mailed to each party at least 7-calendar days prior to the date set down for oral argument. The presiding officer may prescribe the format and conditions for the conduct of an oral argument, including, without limitation, the order of the proceeding, and the filing of briefs and responsive submittals. The presiding officer shall issue an order promptly on the motion and, if deemed appropriate by the presiding officer, file a written opinion thereon, or shall prepare a report for submission to the Secretary, as permitted by this chapter.

(d) This section supersedes 1 Pa. Code § § 35.54, 35.55 and 35.177—35.180.

History

  • Authority: The provisions of this Chapter 11 issued under section 810 of the Local Government Unit Debt Act (53 P. S. § 6780-360), unless otherwise noted. (Editor’s Note: The Local Government Unit Debt Act currently appears at 53 Pa.C.S. § § 8001—8271. Section 810 is now 53 Pa.C.S. § 3210.)
  • Source: The provisions of this Chapter 11 adopted May 22, 1992, effective May 23, 1992, 22 Pa.B. 2711; renumbered from 16 Pa. Code Chapter 4, May 16, 1997, effective May 17, 1997, 27 Pa.B. 2415. Immediately preceding text appears at serial pages (169845) to (169853).
12 Pa. Code § 11.12 Hearings.

(a) After receipt of a complaint or petition, the Department, with or without motion, may schedule a hearing to hear and determine procedural and substantive matters within the jurisdiction of the Department under the act arising from the proceedings of a local government unit taken under the act.

(b) The scope of the hearing may be limited by the presiding officer to specified legal or factual issues presented in the pleadings or a motion. The holding of a hearing may be conditional on the outcome of an initial hearing or oral argument on a motion to dismiss or other preliminary motion and a determination thereon by the presiding officer.

(c) This section supersedes 1 Pa. Code § § 35.101 and 35.102 (relating to general).

Hearing

The Department may only hold a hearing on a complaint or petition if fraudulent conduct is alleged and supported by specific allegations. Since no fraud was alleged, it was error for the Department to conduct a hearing, and it’s decision made following the hearing was reversed. Northampton County v. Department of Community and Economic Development, 785 A.2d 1082 (Pa. Cmwlth. 2001); appeal granted 808 A.2d 573 (Pa. 2002); and order vacated 825 A.2d 1245 (Pa. 2003).

History

  • Authority: The provisions of this Chapter 11 issued under section 810 of the Local Government Unit Debt Act (53 P. S. § 6780-360), unless otherwise noted. (Editor’s Note: The Local Government Unit Debt Act currently appears at 53 Pa.C.S. § § 8001—8271. Section 810 is now 53 Pa.C.S. § 3210.)
  • Source: The provisions of this Chapter 11 adopted May 22, 1992, effective May 23, 1992, 22 Pa.B. 2711; renumbered from 16 Pa. Code Chapter 4, May 16, 1997, effective May 17, 1997, 27 Pa.B. 2415. Immediately preceding text appears at serial pages (169845) to (169853).
12 Pa. Code § 11.13 Notice of hearings.

(a) Written notice of hearings which are ordered by the Department will be mailed by the Department to all parties at least 7-calendar days prior to the date fixed for the hearing. Notice in writing will be provided to each party of the time, date and place of an initial hearing and of a reconvened, rescheduled or subsequent hearing unless announcement was made thereof by the presiding officer at the adjournment of an earlier hearing or oral argument.

(b) In fixing the time and date of a hearing, the interests of convenience and availability of the parties and their attorneys shall be balanced against the exigencies arising from the transaction described in the proceedings and pleadings, and circumstances in the financial marketplace. Hearings shall be held at the offices of the Department unless extraordinary circumstances exist which the presiding officer determines require a different location.

(c) This section supersedes 1 Pa. Code § § 35.103—35.106 (relating to notice of hearing).

History

  • Authority: The provisions of this Chapter 11 issued under section 810 of the Local Government Unit Debt Act (53 P. S. § 6780-360), unless otherwise noted. (Editor’s Note: The Local Government Unit Debt Act currently appears at 53 Pa.C.S. § § 8001—8271. Section 810 is now 53 Pa.C.S. § 3210.)
  • Source: The provisions of this Chapter 11 adopted May 22, 1992, effective May 23, 1992, 22 Pa.B. 2711; renumbered from 16 Pa. Code Chapter 4, May 16, 1997, effective May 17, 1997, 27 Pa.B. 2415. Immediately preceding text appears at serial pages (169845) to (169853).
12 Pa. Code § 11.14 Presiding officer.

(a) A complaint or petition, upon filing with the Department, will be assigned to a presiding officer who will be appointed by the Secretary for that purpose.

(b) The presiding officer will have powers and authority, subject to this chapter and the act, to:

(1) Receive pleadings, documents and submittals in respect of an adjudicatory proceeding filed under section 8211 of the act (relating to petitions for declaratory orders and complaints to department).

(2) Regulate the course, conduct and scope of hearings and oral arguments, including the scheduling thereof, and the recessing, reconvening and adjournment thereof.

(3) Administer oaths and affirmations.

(4) Issue subpoenas.

(5) Rule upon offers of proof and receive evidence.

(6) Take or cause depositions or other discovery to be taken.

(7) Dispose of procedural matters, including motions, except those motions which render a final determination of the proceedings.

(8) Allow and fix time for the presentation of oral argument, as the presiding officer deems appropriate, at or before the close of the taking of testimony.

(9) Promptly prepare and certify to the Secretary, upon the conclusion of the presentation of the matter before the presiding officer, or upon receipt of a motion to dismiss or other motion and related documents involving the final determination of the proceeding, the formal record, including briefs, if any, and a report of the presiding officer which includes the findings of fact and conclusions of law of the presiding officer.

(c) If a presiding officer at any time becomes unavailable, the Secretary will either designate another presiding officer, or will cause the record to be certified to the Secretary for decision, as may be deemed appropriate, after giving notice to the parties.

(d) This section supersedes 1 Pa. Code § § 35.185—35.187, 35.190 and 35.203—35.207.

History

  • Authority: The provisions of this Chapter 11 issued under section 810 of the Local Government Unit Debt Act (53 P. S. § 6780-360), unless otherwise noted. (Editor’s Note: The Local Government Unit Debt Act currently appears at 53 Pa.C.S. § § 8001—8271. Section 810 is now 53 Pa.C.S. § 3210.)
  • Source: The provisions of this Chapter 11 adopted May 22, 1992, effective May 23, 1992, 22 Pa.B. 2711; renumbered from 16 Pa. Code Chapter 4, May 16, 1997, effective May 17, 1997, 27 Pa.B. 2415. Immediately preceding text appears at serial pages (169845) to (169853).
12 Pa. Code § 11.15 Final orders.

(a) Upon receipt of the formal records, briefs, if any, and report of the presiding officer, the Secretary will promptly review the materials and issue a final order.

(b) The Secretary may accept the report of the presiding officer, or modify, or reverse findings of fact or conclusions of law of the presiding officer as shall appear just and proper on the basis of the evidence submitted and issues presented in the case.

(c) A copy of the final order of the Secretary will promptly be entered by the Department and mailed to the parties to the proceedings.

(d) The right of appeal from the final report and order of the Secretary shall be governed by section 8211(d) of the act (relating to petitions for declaratory orders and complaints to department) and Pa.R.A.P.

(e) This section supersedes 1 Pa. Code § § 35.201, 35.202, 35.211—35.214, 35.221, 35.225, 35.226 and 35.251.

History

  • Authority: The provisions of this Chapter 11 issued under section 810 of the Local Government Unit Debt Act (53 P. S. § 6780-360), unless otherwise noted. (Editor’s Note: The Local Government Unit Debt Act currently appears at 53 Pa.C.S. § § 8001—8271. Section 810 is now 53 Pa.C.S. § 3210.)
  • Source: The provisions of this Chapter 11 adopted May 22, 1992, effective May 23, 1992, 22 Pa.B. 2711; renumbered from 16 Pa. Code Chapter 4, May 16, 1997, effective May 17, 1997, 27 Pa.B. 2415. Immediately preceding text appears at serial pages (169845) to (169853).

Subpart E Commercial Motion Picture Sales Tax Exemption Certificate

Chapter 33 Commercial Motion Picture Sales Tax Exemption Certificate

12 Pa. Code § 33.1 Form required.

Producers of motion pictures, who are qualified to take advantage of the Pennsylvania Sales and Use Tax exemption provided by section 204(54) of the Tax Reform Code of 1971 (72 P. S. § 7204(54)), shall use a Pennsylvania Exemption Certificate (FORM REV-1220).

History

  • Authority: The provisions of this Chapter 33 issued under section 204(54) of the Tax Reform Code of 1971 (72 P. S. § 7204(54)), unless otherwise noted.
  • Source: The provisions of this Chapter 33 adopted June 16, 2000, effective June 17, 2000, and apply retroactively to May 7, 1997, 30 Pa.B. 3035, unless otherwise noted.

Part II Workforce and Technology Development

Chapter 41 Small Business Incubator Program

12 Pa. Code § 41.1 Scope.

This chapter delineates the general requirements and conditions for participation in the Small Business Incubator Program established under the act. More specific information concerning the requirements for application and participation is found in an applicant manual that may be obtained from the Board by writing to: Ben Franklin/IRC Partnership, Commonwealth Keystone Building, 400 North Street, 4th Floor, Harrisburg, Pennsylvania 17120 (717) 787-4147.

History

  • Authority: The provisions of this Chapter 41 issued under section 7 of the Small Business Incubators Act (73 P. S. § 395.7), unless otherwise noted.
  • Source: The provisions of this Chapter 41 adopted January 9, 1987, effective January 10, 1987, 17 Pa.B. 171; renumbered from 13 Pa. Code Chapter 69, May 16, 1997, effective May 17, 1997, 27 Pa.B. 2415. Immediately preceding text appears at serial pages (113861) to (113870) and (120841).
12 Pa. Code § 41.2 Definitions.

The following words and terms, when used in this chapter, have the following meanings, unless the context clearly indicates otherwise: Act—Small Business Incubators Act (73 P. S. § § 395.1—395.12). Advanced Technology Center (ATC)—One of the four Ben Franklin Technology Centers receiving funding under the act of July 2, 1993 (P. L. 439, No. 64) (73 P. S. § § 400.1—400.21), known as the Ben Franklin/IRC Partnership Act. Anchor tenant—A tenant other than a retail enterprise which has an incubator lease of more than 2 years. Board—The Board of the Ben Franklin/IRC Partnership Fund, as established by the Ben Franklin Partnership Act. Business development services—Physical, financial and management assistance offered to incubator tenants. Departure procedure—Policies established by the local sponsor governing when a tenant will move from the incubator and locate in its own building or in leased industrial or commercial space. The policies include, but are not limited to, a regular review of tenant ability to depart from the incubator and to operate successfully outside the incubator. Distressed community—A community designated as distressed by the Department. Eligible project costs—Those costs for which funds awarded by the Board may be used, including costs for the acquisition of existing buildings and land, the rehabilitation of buildings or other facilities and the purchase of equipment and furnishings necessary for the establishment of the incubator. Entry procedure—Policies established by the local sponsor regarding the conditions under which businesses will be accepted in the incubator. The policies include, but are not limited to, a regular review of prospective tenant eligibility. Incubator—A facility in which small units of space may be leased by tenants at low cost, in which the local sponsor maintains or provides access to business development services for use by the tenants, and in which the local sponsor maintains tenant entry and departure procedures. Local advisory committee—A committee established by the local sponsor to advise in the development and operation of the incubator, particularly in establishing entry and departure procedures and reviewing business development services provided to incubator tenants. Local sponsor—An organization that enters into a written agreement with the Board to establish, operate and administer a small business incubator and that is responsible for compliance with the terms and conditions of a loan agreement, including loan repayment, or a grant agreement, or both. Eligible local sponsors include municipalities, local development districts of the Appalachian Regional Commission, industrial and commercial development authorities established under the Industrial and Commercial Development Authority Law (73 P. S. § § 371—385), redevelopment authorities established under the Urban Redevelopment Law (35 P. S. § § 1701—1747), municipal authorities established under the Municipality Authorities Act of 1945 (53 P. S. § § 301—401) and industrial development corporations or private nonprofit or for-profit organizations that can demonstrate to the Board that they possess the management capability and financing to meet the objectives of this program. Manufacturing—An enterprise engaged in giving new shapes, new qualities or new combinations to matter by the application of skill and labor. Mixed use—Incubator facilities that house tenants engaged in manufacturing, product development and research and development or a combination of these activities. Nonprofit enterprise—An organization organized as a domestic corporation not-for-profit, or an organization that has been issued a certificate of authority from the Department of State to conduct business in this Commonwealth as a foreign corporation not-for-profit under 15 Pa.C.S. § § 7101—7990 (relating to corporation not-for-profit code), or an organization that holds an exemption under section 501(c)(3) of the Internal Revenue Code (26 U.S.C.A. § 501(c)(3)) from the United States Treasury Department, including a government agency or charitable organization. Nonprofit research and development enterprise—A nonprofit enterprise that is principally engaged in conducting research in technology or technical areas with the intent of offering the results of that research to for-profit enterprises for commercial use. Operator—An organization that provides day-to-day management of an incubator. Personal service enterprise—An organization that sells or provides a service, rather than a good, to a final user. The term includes, but is not limited to, travel agents, real estate brokers and barbers. Product development—The production or development of new products, processes and technologies. The term includes but is not limited to, electronic information processing and more efficient production processes. Professional enterprise—An organization that provides a professional or technical service, rather than a good or personal service, to a business for use in that business. The term includes, but is not limited to, accountants, lawyers and consultants. Program—Small Business Incubator Program. Retail enterprise—A commercial operation that sells goods purchased from another firm directly to a final user. Tenant—A sole proprietorship, business partnership or corporation operating a business for profit, or a nonprofit research and development enterprise or other organization that is eligible as a tenant under § 41.7 (relating to tenant eligibility), which leases or otherwise occupies space in an incubator. Wholesale enterprise—A commercial operation that sells goods purchased from another firm to retail enterprises or other nonfinal users.

History

  • Authority: The provisions of this Chapter 41 issued under section 7 of the Small Business Incubators Act (73 P. S. § 395.7), unless otherwise noted.
  • Source: The provisions of this Chapter 41 adopted January 9, 1987, effective January 10, 1987, 17 Pa.B. 171; renumbered from 13 Pa. Code Chapter 69, May 16, 1997, effective May 17, 1997, 27 Pa.B. 2415. Immediately preceding text appears at serial pages (113861) to (113870) and (120841).
12 Pa. Code § 41.3 Application.

(a) Application. Participation in the program shall be initiated by local sponsors by application on forms prescribed by the Board. The Board is specifically authorized to develop forms, applicant manuals and other materials as may be reasonably necessary for administration of the program.

(b) Information required. Local sponsors wishing to establish a small business incubator shall supply the Board with the following information:

(1) A demonstration of need for the incubator through the preparation and submission of a feasibility report.

(2) An explanation of whether the incubator is designed for manufacturing, product development, research and development or mixed use.

(3) A description of the building to be used for the incubator and documentation, including zoning and ownership, pertaining thereto.

(4) A description of the management of the incubator and the marketing plan to be used to recruit businesses to the incubator.

(5) Financial statements of the local sponsor and, if the local sponsor is a private for-profit organization, of the principal owners or shareholders, as required by the Board.

(6) Letters of commitment to finance the incubator from other financing sources and identification of the use of the financing.

(7) Membership of the local advisory committee and the committee’s policies, including entry and departure procedures for the incubator.

(8) A description of business development services that will be offered and identification of the provider of the services.

(9) Certification that the local sponsor, operator and tenants will not discriminate against an employe or applicant for employment on the basis of race, religion, color, national origin, sex or age.

(10) The identity of the anchor tenant, if any, and at least two firms that are prepared to move into the incubator once space is available.

(11) Other information or documentation required by the Board.

History

  • Authority: The provisions of this Chapter 41 issued under section 7 of the Small Business Incubators Act (73 P. S. § 395.7), unless otherwise noted.
  • Source: The provisions of this Chapter 41 adopted January 9, 1987, effective January 10, 1987, 17 Pa.B. 171; renumbered from 13 Pa. Code Chapter 69, May 16, 1997, effective May 17, 1997, 27 Pa.B. 2415. Immediately preceding text appears at serial pages (113861) to (113870) and (120841).
12 Pa. Code § 41.4 Application review and awards.

(a) Review of application. The Board will review applications based on the following criteria:

(1) The ability of the local sponsor to demonstrate its management capability.

(2) The economic impact of the incubator on the community as measured by the number of firms that could be housed in the proposed facility, the job creation potential of the firms, the actual need for the type of space and services offered by the incubator and other factors that are identified in a feasibility report.

(3) Linkage with area-wide and local economic development plans including the regional strategy of the ATC serving the geographic area in which the incubator is located.

(4) The location of the incubator, in order to encourage geographic distribution of incubators across this Commonwealth.

(5) The level, quality and long-term commitment of local support for the proposed incubator.

(6) The ability of the local sponsor to meet the financial commitments of operating an incubator, including repayment of a small business incubator loan and repayment of other financial obligations incurred in establishing the facility. In evaluating this criterion, the Board will consider:

(i) Equity of the local sponsor in relation to total project cost.

(ii) Income in relation to total project cost.

(iii) Extraordinary items of income and expenses reflected in income statement.

(iv) Cash flow in relation to project debt service.

(v) Current working capital.

(vi) Total debt to equity ratio.

(vii) Net income, contingent liabilities and the ability to finance the working capital.

(7) Availability of physical, financial and management support services.

(8) The extent to which the incubator serves an economically distressed area or an enterprise development area.

(b) Limitation on awards. The Board will award loans and grants up to the limit of available funds. If funds are not available, the Board will consider additional applications but will not make awards until additional funds are available.

History

  • Authority: The provisions of this Chapter 41 issued under section 7 of the Small Business Incubators Act (73 P. S. § 395.7), unless otherwise noted.
  • Source: The provisions of this Chapter 41 adopted January 9, 1987, effective January 10, 1987, 17 Pa.B. 171; renumbered from 13 Pa. Code Chapter 69, May 16, 1997, effective May 17, 1997, 27 Pa.B. 2415. Immediately preceding text appears at serial pages (113861) to (113870) and (120841).
12 Pa. Code § 41.5 Responsibilities of local sponsor.

A local sponsor shall comply with the following:

(1) The local sponsor may operate the small business incubator or it may delegate this responsibility to an operator. Funds awarded to the local sponsor may be provided to the operator by the local sponsor but the local sponsor shall remain ultimately responsible for compliance with the terms and conditions of loan agreement, including loan repayment, and a grant agreement, and for all aspects of the operation of the small business incubator.

(2) The local sponsor shall either own or lease the building housing the incubator. If leased, the local sponsor shall obtain an option to purchase the building and shall exercise the option within 3 years of loan application.

(3) Management of the physical development of the incubator is the responsibility of the local sponsor. Physical development includes common conference rooms or meeting space, furniture and equipment and business services as specified in § 41.6 (relating to business development services).

(4) The local sponsor shall develop a plan to market the incubator to eligible tenants and shall actively execute the plan. As part of the plan, the local sponsor shall address how tenant competition will affect existing private firms in the area.

(5) The local sponsor shall establish and maintain contact with the ATC that serves the area in which the incubator is located.

(6) The local sponsor is responsible for establishing a local advisory committee. Advisory committee members may not be affiliated financially with the local sponsor or a tenant of the incubator, and shall represent fields that can contribute to the operation of the facility, such as accounting, financial, legal, academic and small business. The number of members to serve on the committee is at the discretion of the local sponsor.

(7) The local sponsor, in conjunction with the local advisory committee shall:

(i) Develop policies for admission of a firm as an incubator tenant. The entry policies shall specify types of eligible firms, procedures for reviewing admission applications, criteria for evaluating applicants and permissible tenant activities. A substantial change in entry procedures shall be submitted to the Board for approval.

(ii) Establish policies governing the operation and administration of the incubator.

(iii) Develop policies for the departure of tenants from the incubator. Departure policies shall establish standards against which a tenant’s growth will be measured to determine if a tenant can successfully operate outside of the incubator. A substantial change in departure procedures shall be submitted to the Board for approval.

History

  • Authority: The provisions of this Chapter 41 issued under section 7 of the Small Business Incubators Act (73 P. S. § 395.7), unless otherwise noted.
  • Source: The provisions of this Chapter 41 adopted January 9, 1987, effective January 10, 1987, 17 Pa.B. 171; renumbered from 13 Pa. Code Chapter 69, May 16, 1997, effective May 17, 1997, 27 Pa.B. 2415. Immediately preceding text appears at serial pages (113861) to (113870) and (120841).
12 Pa. Code § 41.6 Business development services.

(a) General. The local sponsor shall establish and maintain basic business development services for incubator tenants. The local sponsor shall initially attempt to obtain basic business development services through ATCs, the Small Business Development Centers and the Local Development Districts.

(b) User fees. Basic business development services for which a user fee may be charged include:

(1) Physical services:

(i) Security.

(ii) Janitorial/maintenance.

(iii) Furniture.

(iv) Conference room.

(2) General management services:

(i) Mail.

(ii) Copier.

(iii) Clerical/receptionist.

(iv) Computer access.

(c) No user fee. The following basic business development services shall be available to tenants without charge on a limited basis:

(1) Financial services:

(i) Insurance counseling.

(ii) Technical assistance in applying for government loans and grants.

(iii) Technical assistance in applying for equity and debt financing.

(2) Management services:

(i) Assistance in the preparation of business plans.

(ii) Assistance in the preparation of relocation plans.

(iii) Assistance in using computing and information processing.

(d) Additional services. The local sponsor may offer other business development services to tenants and the services may be included in an extended package of services or billed separately to the user.

(e) No liability. No local sponsor or operator is liable to incubator tenants for advice offered or assistance provided as part of basic business development services.

This section cited in 12 Pa. Code § 41.5 (relating to responsibilities of local sponsor).

History

  • Authority: The provisions of this Chapter 41 issued under section 7 of the Small Business Incubators Act (73 P. S. § 395.7), unless otherwise noted.
  • Source: The provisions of this Chapter 41 adopted January 9, 1987, effective January 10, 1987, 17 Pa.B. 171; renumbered from 13 Pa. Code Chapter 69, May 16, 1997, effective May 17, 1997, 27 Pa.B. 2415. Immediately preceding text appears at serial pages (113861) to (113870) and (120841).
12 Pa. Code § 41.7 Tenant eligibility.

(a) General. Except as provided in subsection (c), tenants of the incubator shall be recently established small firms engaged in manufacturing, product development, research and development, professional services or some combination of these activities.

(b) Limitations. Except as provided in subsection (c), retail enterprises, nonprofit enterprises—except for nonprofit research and development enterprises—wholesale enterprises and personal service enterprises are not eligible tenants.

(c) Exceptions. The following types of organizations or enterprises may be eligible tenants for an incubator under the conditions specified:

(1) Local sponsors or operators that are nonprofit organizations may occupy space in the incubator but only space as is necessary to manage the incubator and provide services to tenants.

(2) Nonprofit enterprises, such as Small Business Development Centers, whose primary mission is to provide business development services, may be located in the incubator if they provide a substantial portion of their services to incubator tenants.

(3) Established law and accounting firms that provide pro bono services to incubator tenants may be tenants of the incubator.

(4) Anchor tenants may be an enterprise other than a retail enterprise and may occupy up to a total of 20% of the useful square footage of an incubator.

(d) Policies of incubators. Incubator tenants shall conform to policies established by the local sponsor, including policies pertaining to entry into and departure from the incubator. Anchor tenants are exempt from departure procedures.

This section cited in 12 Pa. Code § 41.2 (relating to definitions).

History

  • Authority: The provisions of this Chapter 41 issued under section 7 of the Small Business Incubators Act (73 P. S. § 395.7), unless otherwise noted.
  • Source: The provisions of this Chapter 41 adopted January 9, 1987, effective January 10, 1987, 17 Pa.B. 171; renumbered from 13 Pa. Code Chapter 69, May 16, 1997, effective May 17, 1997, 27 Pa.B. 2415. Immediately preceding text appears at serial pages (113861) to (113870) and (120841).
12 Pa. Code § 41.8 Loan and grant conditions.

(a) General conditions. The following conditions are applicable to awards of both loans and grants:

(1) The aggregate amount of funds awarded by the Board for a project may not exceed 50% of the total eligible project costs or $650,000—whichever is less.

(2) Funds awarded may be used only for the acquisition of existing buildings and land, the rehabilitation of buildings or other facilities and the purchase of equipment and furnishings necessary for the establishment of the incubator.

(3) Funds awarded may not be used for operating expenses, incubator feasibility studies or management fees for facility management.

(4) The local sponsor, at its expense, shall obtain the services of a professional engineer or architect licensed in this Commonwealth who will certify to the Board during building renovations that the expenses were incurred and were in accordance with plans approved by the Board.

(5) As a condition to receiving a loan or grant, the local sponsor shall agree to operate the incubator in accordance with the act and this chapter and the guidelines for the small business incubator program adopted by the Board.

(6) The Board may award the full amount of a loan or grant requested, but it reserves the right to award an amount less than the amount requested.

(b) Additional conditions for loans. Loans approved by the Board are also subject to the following conditions:

(1) Loans may be for a term of 10 years or the average useful life of the property as established by the United States Internal Revenue Service, whichever is greater, but the term may not be greater than 20 years. The average useful life shall be calculated using the mid-point life listed in the table of Asset Guideline Classes, IRS Publication # 534 (entitled Depreciation).

(2) Loan repayments may be deferred by the Board for up to 2 years. A deferral may be requested either at the time of the loan application or during the course of the loan repayment period. During a deferral period, interest shall continue to accrue and shall be added to the principal. The original term of the loan shall remain unchanged.

(3) The interest rate on loans will be set periodically by the Secretary and will be published as a notice in the Pennsylvania Bulletin.

(4) Funds loaned shall be secured by lien positions on collateral at the highest level of priority which can accommodate the local sponsor’s ability to raise sufficient debt and equity capital.

(5) Loan agreements entered into between the local sponsor and the Board will set forth the conditions that constitute default, and will detail the remedies available to the Board if this circumstance arises.

(6) The Board may impose other conditions as it deems necessary in order to fulfill the purposes of, and its responsibilities under, the act.

(c) Additional conditions for grants. Grants awarded by the Board shall also be subject to the following conditions:

(1) Grants awarded under the small business incubator program may not exceed $240,000.

(2) Grants shall be awarded only for incubators proposed to be located in distressed communities.

(3) Grant agreements entered into between the local sponsor and the Board will set forth the conditions under which the grant may be terminated and the grant repaid wholly or partially to the Board, and will specify other remedies available to the Board.

(4) The Board may consider an application for a grant as an application for a loan.

(5) The Board may impose other conditions as it deems necessary in order to fulfill the purposes of and its responsibilities under the act.

(d) Certificate of Occupancy. Before the incubator is occupied, the local sponsor shall submit to the Board a copy of the Certificate of Occupancy issued by the Department of Labor and Industry or, if the incubator is located in the cities of Philadelphia, Pittsburgh or Scranton, the similar document issued by the building inspection office of the respective city.

(e) Conformance to building codes. Before the incubator is occupied, the local sponsor shall submit a document to the Board from the appropriate jurisdiction certifying that the building conforms to applicable building and energy codes.

History

  • Authority: The provisions of this Chapter 41 issued under section 7 of the Small Business Incubators Act (73 P. S. § 395.7), unless otherwise noted.
  • Source: The provisions of this Chapter 41 adopted January 9, 1987, effective January 10, 1987, 17 Pa.B. 171; renumbered from 13 Pa. Code Chapter 69, May 16, 1997, effective May 17, 1997, 27 Pa.B. 2415. Immediately preceding text appears at serial pages (113861) to (113870) and (120841).
12 Pa. Code § 41.9 Monitoring.

The performance of the local sponsor, and the incubator operator when applicable, will be monitored by the ATC serving the geographical area in which the incubator is located. The Board will monitor loan agreements and contracts between the Board and local sponsors for compliance with applicable program requirements.

History

  • Authority: The provisions of this Chapter 41 issued under section 7 of the Small Business Incubators Act (73 P. S. § 395.7), unless otherwise noted.
  • Source: The provisions of this Chapter 41 adopted January 9, 1987, effective January 10, 1987, 17 Pa.B. 171; renumbered from 13 Pa. Code Chapter 69, May 16, 1997, effective May 17, 1997, 27 Pa.B. 2415. Immediately preceding text appears at serial pages (113861) to (113870) and (120841).
12 Pa. Code § 41.10 Reporting.

A local sponsor that has received a loan to establish an incubator shall submit an annual report to the Board on or before January 31 of each year for the previous calendar year. The following shall be included in the report:

(1) A financial statement for the incubator signed by a Certified Public Accountant.

(2) A list of tenants of the incubator during the calendar year, their entry or departure date, or both, and the date of lease renewals.

(3) Evidence that a tenant meets the eligibility requirements of the act and this chapter.

(4) The number of jobs provided by a tenant.

(5) The occupancy rate of the incubator—percentage of rentable square footage—during the calendar year.

(6) A report on the current status of firms that have left the incubator since the establishment of the incubator, including their current employment figures and product line.

History

  • Authority: The provisions of this Chapter 41 issued under section 7 of the Small Business Incubators Act (73 P. S. § 395.7), unless otherwise noted.
  • Source: The provisions of this Chapter 41 adopted January 9, 1987, effective January 10, 1987, 17 Pa.B. 171; renumbered from 13 Pa. Code Chapter 69, May 16, 1997, effective May 17, 1997, 27 Pa.B. 2415. Immediately preceding text appears at serial pages (113861) to (113870) and (120841).
12 Pa. Code § 41.11 Waiver.

The Board may waive the requirements of this chapter if it determines that a waiver is necessary to fulfill the purpose of the program and the waiver does not conflict with the act.

History

  • Authority: The provisions of this Chapter 41 issued under section 7 of the Small Business Incubators Act (73 P. S. § 395.7), unless otherwise noted.
  • Source: The provisions of this Chapter 41 adopted January 9, 1987, effective January 10, 1987, 17 Pa.B. 171; renumbered from 13 Pa. Code Chapter 69, May 16, 1997, effective May 17, 1997, 27 Pa.B. 2415. Immediately preceding text appears at serial pages (113861) to (113870) and (120841).
12 Pa. Code § 41.12 Sunset.

Under section 12 of the act (73 P. S. § 395.12) no incubator loans, loan guarantees or grants may be approved by the Board after June 30, 1987.

History

  • Authority: The provisions of this Chapter 41 issued under section 7 of the Small Business Incubators Act (73 P. S. § 395.7), unless otherwise noted.
  • Source: The provisions of this Chapter 41 adopted January 9, 1987, effective January 10, 1987, 17 Pa.B. 171; renumbered from 13 Pa. Code Chapter 69, May 16, 1997, effective May 17, 1997, 27 Pa.B. 2415. Immediately preceding text appears at serial pages (113861) to (113870) and (120841).

Part III Business Financing

Subpart A Grants

Chapter 51 Industrial Development Assistance

12 Pa. Code § 51.1 Definitions.

The following words and terms, when used in this chapter, have the following meanings, unless the context clearly indicates otherwise: Act—The Industrial Development Assistance Law (73 P. S. § § 351—358). Agency—A nonprofit corporation, organization, association or agency which is designated as an industrial development agency, by proper resolution of the governing body, as the agency authorized to make application to and receive industrial development assistance grants from the Department. Governing bodies—A county, city, borough, town or township. The body empowered to enact ordinances or to adopt resolutions for the governance of the county, city, borough, town and township. Grant—The industrial development assistance grant.

The provisions of this § 51.1 adopted September 29, 1972, effective September 30, 1972, 2 Pa.B. 1795.

History

  • Authority: The provisions of this Chapter 51 issued under section 7 of the Industrial Development Assistance Law (73 P. S. § 357), unless otherwise noted.
  • Source: The provisions of this § 51.36 adopted November 9, 1979, effective November 10, 1979, 9 Pa.B. 3745.
12 Pa. Code § 51.2 Authority for grants.

Section 5 of the act (73 P. S. § 355) authorizes the Department to make grants to recognized industrial development agencies, to assist the agencies in the financing of their operational costs for the purposes of making studies, surveys and investigations, the compilation of data and statistics, and in the carrying out of planning and promotional programs.

The provisions of this § 51.2 adopted September 29, 1972, effective September 30, 1972, 2 Pa.B. 1795.

History

  • Authority: The provisions of this Chapter 51 issued under section 7 of the Industrial Development Assistance Law (73 P. S. § 357), unless otherwise noted.
  • Source: The provisions of this § 51.36 adopted November 9, 1979, effective November 10, 1979, 9 Pa.B. 3745.
12 Pa. Code § 51.3 Purpose of program.

The purpose of the Industrial Development Assistance Program is to provide, from the Commonwealth, a part of the funds necessary for research, planning, and promotional activities relating to local industrial development on a countywide or regional, that is, intercounty, basis.

The provisions of this § 51.3 adopted September 29, 1972, effective September 30, 1972, 2 Pa.B. 1795.

History

  • Authority: The provisions of this Chapter 51 issued under section 7 of the Industrial Development Assistance Law (73 P. S. § 357), unless otherwise noted.
  • Source: The provisions of this § 51.36 adopted November 9, 1979, effective November 10, 1979, 9 Pa.B. 3745.
12 Pa. Code § 51.11 County organizations.

In each county of this Commonwealth one organization shall be eligible to receive financial assistance for the industrial development promotional purposes set forth in the act.

The provisions of this § 51.11 adopted September 29, 1972, effective September 30, 1972, 2 Pa.B. 1795.

History

  • Authority: The provisions of this Chapter 51 issued under section 7 of the Industrial Development Assistance Law (73 P. S. § 357), unless otherwise noted.
  • Source: The provisions of this § 51.36 adopted November 9, 1979, effective November 10, 1979, 9 Pa.B. 3745.
12 Pa. Code § 51.12 Resolutions of governing bodies.

(a) Agencies shall be designated by resolution of the board of county commissioners, except in first class counties, as the organization representing the entire county under this program. It is necessary that the governing bodies of townships, towns, boroughs or cities representing a total of 50% or more of the population of the county, as determined by the latest decennial United States Census, concur in the resolution. A suggested county resolution form is attached hereto and made a part of this regulation as Exhibit A. Similarly, a suggested concurring resolution form is attached hereto and made a part of this regulation as Exhibit B.

RESOLUTION NO.

History

  • Authority: The provisions of this Chapter 51 issued under section 7 of the Industrial Development Assistance Law (73 P. S. § 357), unless otherwise noted.
  • Source: The provisions of this § 51.36 adopted November 9, 1979, effective November 10, 1979, 9 Pa.B. 3745.
12 Pa. Code § 51.13 Multicounty organizations.

Two or more counties may designate one agency to serve them jointly under the Industrial Development Assistance Program.

The provisions of this § 51.13 adopted September 29, 1972, effective September 30, 1972, 2 Pa.B. 1795.

History

  • Authority: The provisions of this Chapter 51 issued under section 7 of the Industrial Development Assistance Law (73 P. S. § 357), unless otherwise noted.
  • Source: The provisions of this § 51.36 adopted November 9, 1979, effective November 10, 1979, 9 Pa.B. 3745.
12 Pa. Code § 51.14 Agencies of county governments not created.

The designating resolutions of the governing bodies do not have the effect of creating an agency of county government, but rather, provide a means through which the people of the county may express themselves formally in designating an industrial development organization, already in existence or to be formed, to act for them in taking advantage of the grant made possible by the act.

The provisions of this § 51.14 adopted September 29, 1972, effective September 30, 1972, 2 Pa.B. 1795.

History

  • Authority: The provisions of this Chapter 51 issued under section 7 of the Industrial Development Assistance Law (73 P. S. § 357), unless otherwise noted.
  • Source: The provisions of this § 51.36 adopted November 9, 1979, effective November 10, 1979, 9 Pa.B. 3745.
12 Pa. Code § 51.21 Application forms.

(a) Application for the grants shall be made upon a completed Industrial Development Assistance Grant Application in duplicate. The form, available from the Department, requests information on past industrial development promotional activities and on proposed uses of matching grants.

(b) Two copies of the appropriate resolutions and concurring resolutions shall be submitted along with the application forms.

The provisions of this § 51.21 adopted September 29, 1972, effective September 30, 1972, 2 Pa.B. 1795.

History

  • Authority: The provisions of this Chapter 51 issued under section 7 of the Industrial Development Assistance Law (73 P. S. § 357), unless otherwise noted.
  • Source: The provisions of this § 51.36 adopted November 9, 1979, effective November 10, 1979, 9 Pa.B. 3745.
12 Pa. Code § 51.22 Approval of application.

Grants shall be allocated after approval of the application by the Department.

The provisions of this § 51.22 adopted September 29, 1972, effective September 30, 1972, 2 Pa.B. 1795.

History

  • Authority: The provisions of this Chapter 51 issued under section 7 of the Industrial Development Assistance Law (73 P. S. § 357), unless otherwise noted.
  • Source: The provisions of this § 51.36 adopted November 9, 1979, effective November 10, 1979, 9 Pa.B. 3745.
12 Pa. Code § 51.23 Evidence of matching funds.

Prior to receiving the grant, the agency shall give evidence that it will match with its own funds the grant available from the Commonwealth.

The provisions of this § 51.23 adopted September 29, 1972, effective September 30, 1972, 2 Pa.B. 1795.

History

  • Authority: The provisions of this Chapter 51 issued under section 7 of the Industrial Development Assistance Law (73 P. S. § 357), unless otherwise noted.
  • Source: The provisions of this § 51.36 adopted November 9, 1979, effective November 10, 1979, 9 Pa.B. 3745.
12 Pa. Code § 51.31 Reimbursement.

(a) At the end of each 3-month period, the agency shall provide evidence of the expenditures and accomplishments during the period, on a completed Statement for Reimbursement available from the Department.

(b) After approval, the grant allocated for the 3-month period shall be paid to the agency.

The provisions of this § 51.31 adopted September 29, 1972, effective September 30, 1972, 2 Pa.B. 1795.

History

  • Authority: The provisions of this Chapter 51 issued under section 7 of the Industrial Development Assistance Law (73 P. S. § 357), unless otherwise noted.
  • Source: The provisions of this § 51.36 adopted November 9, 1979, effective November 10, 1979, 9 Pa.B. 3745.
12 Pa. Code § 51.32 Grant limitation.

Grants shall be limited to a maximum of 1/10 of $1 for each inhabitant of the county or counties represented by the designated agency.

The provisions of this § 51.32 adopted September 29, 1972, effective September 30, 1972, 2 Pa.B. 1795.

History

  • Authority: The provisions of this Chapter 51 issued under section 7 of the Industrial Development Assistance Law (73 P. S. § 357), unless otherwise noted.
  • Source: The provisions of this § 51.36 adopted November 9, 1979, effective November 10, 1979, 9 Pa.B. 3745.
12 Pa. Code § 51.33 Program projects.

(a) The grants available through the act are not to replace but are to supplement funds normally raised or to be made available for industrial development promotional work in counties or groups of counties. Activities financed by matching funds shall strengthen and broaden the industrial and economic promotional programs and activities of Commonwealth areas.

(b) The following are examples of activities which might be undertaken by an agency with assistance funds:

(1) Planning, printing and mailing of folders, brochures, area booklets of a promotional nature and the use of other advertising media.

(2) Surveys and studies of data pertaining to natural resources and raw materials.

(3) Preparation of studies or analyses of such industrial location factors as population, distribution, markets, labor and wages and community facilities.

(4) Engineering surveys and planning of industrial sites and districts.

(5) Preparation of maps and aerial views of industrial sites, highways, railroad facilities, rivers, streams, electric power, gas distribution systems, and the like.

(6) Salaries, wages and office expenses used in connection with activities related to the general industrial development program and salaries and expenses, except entertainment, in prospect solicitation and visitation by qualified representatives of the industrial development organization.

(7) Activities and projects that would prove to be useful in the overall promotion of the development and expansion of commerce and industry in the area.

The provisions of this § 51.33 adopted September 29, 1972, effective September 30, 1972, 2 Pa.B. 1795.

History

  • Authority: The provisions of this Chapter 51 issued under section 7 of the Industrial Development Assistance Law (73 P. S. § 357), unless otherwise noted.
  • Source: The provisions of this § 51.36 adopted November 9, 1979, effective November 10, 1979, 9 Pa.B. 3745.
12 Pa. Code § 51.34 Grant declaration.

An executed grant declaration between the Department and the agency shall be required for payment of grants.

The provisions of this § 51.34 adopted September 29, 1972, effective September 30, 1972, 2 Pa.B. 1795.

History

  • Authority: The provisions of this Chapter 51 issued under section 7 of the Industrial Development Assistance Law (73 P. S. § 357), unless otherwise noted.
  • Source: The provisions of this § 51.36 adopted November 9, 1979, effective November 10, 1979, 9 Pa.B. 3745.
12 Pa. Code § 51.35 Grant audit.

(a) Upon submission of the Final Statement for Reimbursement the agency shall submit a completed Audited Financial Statement.

(b) The grant amount allocated for the final 3-month period may not be paid to the agency unless a completed Audited Financial Statement is submitted and approved by the Department.

The provisions of this § 51.35 adopted November 9, 1979, effective November 10, 1979, 9 Pa.B. 3745.

History

  • Authority: The provisions of this Chapter 51 issued under section 7 of the Industrial Development Assistance Law (73 P. S. § 357), unless otherwise noted.
  • Source: The provisions of this § 51.36 adopted November 9, 1979, effective November 10, 1979, 9 Pa.B. 3745.
12 Pa. Code § 51.36 Antidiscrimination compliance.

The agency shall agree that it shall comply with all applicable antidiscrimination laws, regulations and standards in carrying out the activities for which the grant is made.

The provisions of this § 51.36 adopted November 9, 1979, effective November 10, 1979, 9 Pa.B. 3745.

History

  • Authority: The provisions of this Chapter 51 issued under section 7 of the Industrial Development Assistance Law (73 P. S. § 357), unless otherwise noted.
  • Source: The provisions of this § 51.36 adopted November 9, 1979, effective November 10, 1979, 9 Pa.B. 3745.

Subpart B Bonds

Chapter 61 Private Activity Bonds—Statement of Policy

12 Pa. Code § 61.1 Definitions.

The following words and terms, when used in this chapter, have the following meanings, unless the context clearly indicates otherwise: Act—The Tax-Exempt Bond Allocation Act (73 P. S. § § 397.1—397.8). Enterprise zone—An area certified by the Secretary under 12 Pa. Code Chapter 121 (relating to enterprise zone program—statement of policy). The term includes an area designated as a full zone as well as a planning zone. Exempt facility—A project which is determined by the Federal government not to be subject to small issue project limitations. Examples are airports and waste disposal facilities. IDA Law—The Industrial and Commercial Development Authority Law (73 P. S. § § 371—385). Net new job—A full-time job, or its equivalent, which increases the number of jobs at the project site above the number of jobs present before the project is started. The term does not include a job which is one of the following:

(i) Being relocated from within this Commonwealth.

(ii) Created by the construction of the project.

(iii) Not intended to be permanent. Project—An activity for which tax-exempt bonds may be used. Unused tax-exempt bond authority—The total tax-exempt bond allocation for the Commonwealth, minus the amount allocated to approved projects as of a particular date.

The provisions of this § 61.1 adopted January 10, 1986, effective January 1, 1986, 16 Pa.B. 129; amended January 30, 1987, effective retroactively to January 1, 1987, 17 Pa.B. 571. Immediately preceding text appears at serial pages (103701) to (103702).

History

  • Authority: The provisions of this Chapter 61 issued under the Tax-Exempt Bond Allocation Act (73 P. S. § § 397.1—397.8), unless otherwise noted.
  • Source: The provisions of this § 61.7 adopted January 10, 1986, effective January 1, 1986, 16 Pa.B. 129; amended January 30, 1987, effective retroactively to January 1, 1987, 17 Pa.B. 571; amended August 23, 1991, effective August 24, 1991, 21 Pa.B. 3825; amended April 17, 1992, effective April 18, 1992, 22 Pa.B. 1928. Immediately preceding text appears at serial page (161470).
12 Pa. Code § 61.2 Initial allocations for Commonwealth agencies.

Other than allocations specifically authorized in Chapter 63 (relating to private activity bonds—allocations), no Commonwealth agency will be authorized a specific allocation. A Commonwealth agency may apply to the Secretary for an allocation for worthwhile projects consistent with section 5(a)(2)(i) and (iv) of the act (73 P. S. § 397.5(a)(2)(i) and (iv)) and § § 61.4 and 61.5 (relating to project selection; and allocations of tax-exempt bond authority). The Secretary, in consultation with the Secretary of the Budget and the agency, will determine what portion of an allocation request a particular Commonwealth agency will receive.

The provisions of this § 61.2 adopted January 10, 1986, effective January 1, 1986, 16 Pa.B. 129; amended January 30, 1987, effective retroactively to January 1, 1987, 17 Pa.B. 571; amended January 22, 1988, effective retroactively to January 1, 1988, 18 Pa.B. 386; amended August 23, 1991, effective August 24, 1991, 21 Pa.B. 3825. Immediately preceding text appears at serial page (125620).

History

  • Authority: The provisions of this Chapter 61 issued under the Tax-Exempt Bond Allocation Act (73 P. S. § § 397.1—397.8), unless otherwise noted.
  • Source: The provisions of this § 61.7 adopted January 10, 1986, effective January 1, 1986, 16 Pa.B. 129; amended January 30, 1987, effective retroactively to January 1, 1987, 17 Pa.B. 571; amended August 23, 1991, effective August 24, 1991, 21 Pa.B. 3825; amended April 17, 1992, effective April 18, 1992, 22 Pa.B. 1928. Immediately preceding text appears at serial page (161470).
12 Pa. Code § 61.3 Restrictions on county allocations.

(a) Except as provided in subsection (b), allocations of tax-exempt bond authority to counties under § 61.5(3) (relating to allocations of tax-exempt bond authority) for small issue projects are subject to the following restrictions:

(1) A project shall be expected to generate at least one net new job or preserve one full-time job for every $50,000 of bond authority, within 3 years of the closing of the financing, to be eligible to receive an allocation. In order to satisfy this requirement, the applicant shall submit a letter, on the applicant’s letterhead, certifying that as an inducement for the Department to approve its allocation request, the applicant expects to create or preserve the requisite number of jobs. Included in the letter shall be a statement enumerating the jobs to be preserved and created in each of the following categories: professional, skilled, semiskilled, unskilled and others. This letter shall be submitted with the preliminary allocation request.

(2) An applicant who had a project approved after January 1, 1984 and who failed to meet its job projections within 3 years of closing, is not eligible to receive approvals on subsequent allocation requests.

(b) The Secretary may, on a project by project basis, waive the restrictions imposed in subsection (a) if the Secretary determines that the waiver carries out the purposes of the act. The Secretary will waive the restrictions for projects in enterprise areas and in Federal disaster relief areas. Waiver requests will be evaluated by the Secretary in accordance with section 4(a)(2) of the act (73 P. S. § 397.4(a)(2)).

The provisions of this § 61.3 adopted January 10, 1986, effective January 1, 1986, 16 Pa.B. 129; amended January 30, 1987, effective retroactively to January 1, 1987, 17 Pa.B. 571. Immediately preceding text appears at serial pages (103702) to (103704).

This section cited in 12 Pa. Code § 61.6 (relating to allocation procedures).

History

  • Authority: The provisions of this Chapter 61 issued under the Tax-Exempt Bond Allocation Act (73 P. S. § § 397.1—397.8), unless otherwise noted.
  • Source: The provisions of this § 61.7 adopted January 10, 1986, effective January 1, 1986, 16 Pa.B. 129; amended January 30, 1987, effective retroactively to January 1, 1987, 17 Pa.B. 571; amended August 23, 1991, effective August 24, 1991, 21 Pa.B. 3825; amended April 17, 1992, effective April 18, 1992, 22 Pa.B. 1928. Immediately preceding text appears at serial page (161470).
12 Pa. Code § 61.4 Project selection.

In selecting projects which exceed a county’s initial allocation, are exempt facilities, are to be funded from the 50% contingency reserve pool or are to be funded in the final allocation, the Secretary will select projects based on the following criteria:

(1) Size of project.

(2) Number of net new jobs created.

(3) Economic distress of the area.

(4) The project’s consistency with the economic development plans of the Commonwealth and of municipalities and regions.

(5) The amount of private funds leveraged by tax-exempt financing.

(6) The ability to undertake the project without tax free financing.

(7) The date the bonds are to be issued.

The provisions of this § 61.4 adopted January 10, 1986, effective January 1, 1986, 16 Pa.B. 129; amended January 30, 1987, effective retroactively to January 1, 1987, 17 Pa.B. 571. Immediately preceding text appears at serial page (103704).

This section cited in 12 Pa. Code § 61.2 (relating to initial allocations for Commonwealth agencies); and 12 Pa. Code § 61.7 (relating to reallocation).

History

  • Authority: The provisions of this Chapter 61 issued under the Tax-Exempt Bond Allocation Act (73 P. S. § § 397.1—397.8), unless otherwise noted.
  • Source: The provisions of this § 61.7 adopted January 10, 1986, effective January 1, 1986, 16 Pa.B. 129; amended January 30, 1987, effective retroactively to January 1, 1987, 17 Pa.B. 571; amended August 23, 1991, effective August 24, 1991, 21 Pa.B. 3825; amended April 17, 1992, effective April 18, 1992, 22 Pa.B. 1928. Immediately preceding text appears at serial page (161470).
12 Pa. Code § 61.5 Allocations of tax-exempt bond authority.

The act allocates the Commonwealth’s tax-exempt bond authority to five categories as follows:

(1) Housing related bonds. An amount equal to $160 million will be allocated for housing related bonds, including qualified residential rental projects and qualified mortgage bonds as defined by sections 142(d) and 143(a) of the Internal Revenue Code (26 U.S.C.A. § § 142(d) and 143(a)). Requests to apply the housing related bond allocation to specific projects or uses, including mortgage credit certificate programs, will be reviewed and may be approved or disapproved by the Board of the Housing Finance Agency. Application for housing related bond allocations shall be made to the Executive Director of the Housing Finance Agency.

(2) Qualified student loan bonds. An amount equal to $50 million will be allocated to the Pennsylvania Higher Education Assistance Agency for qualified student loan bonds provided by section 144(b) of the Internal Revenue Code (26 U.S.C.A. § 144(b)).

(3) Qualified small issue bonds. An amount equal to $175 million will be allocated for qualified small issue bonds under section 144(a) of the Internal Revenue Code. This amount will be allocated in accordance with the formula in § 63.1(d) (relating to allocations). Requests to apply this allocation to specific projects or uses will be reviewed and may be approved or disapproved by the Secretary. Application for allocations shall be made to the Private Capital Financing Office in the Department. The Secretary will provide allocations for qualified small issue bonds utilizing the procedure and subject to the requirements in § 63.3 (relating to procedures).

(4) Other qualified private activity bonds. An amount equal to $166 million will be allocated to other qualified private activity bonds, including qualified redevelopment bonds as defined by section 144(c) of the Internal Revenue Code, exempt facility bonds as defined by section 142 (excluding section 142(d)) of the Internal Revenue Code, and enterprise zone bonds as defined by section 1394 of the Internal Revenue Code (26 U.S.C.A. § 1394), all of which are subject to the volume cap provided by section 146 of the Internal Revenue Code (26 U.S.C.A. § 146). Requests to apply this allocation to specific projects or uses will be reviewed and may be approved or disapproved by the Secretary. Applications for allocations shall be made to the Private Capitol Financing Office in the Department. An allotment of at least 25% of the allocation provided in this paragraph is reserved for solid waste disposal projects.

(5) Special allocation pool. The Secretary may utilize not more than $50 million for a special allocation pool for projects which require more bond authority than a given county has currently available to it. To qualify for consideration to use this pool, local issuing authorities shall demonstrate to the Secretary’s satisfaction that they have acted responsibly in selecting projects which maximize long-term net new job creation, consistent with the intent of the act. Decisions regarding use of the special allocation pool for small issue purposes will be based upon the characteristics and merits of individual projects proposed, and upon the record of the issuing authority in utilizing industrial development financing to create or retain jobs. A project may be considered if the entire allocation for the county in which the project is proposed has been obligated. In determining approval or disapproval of allocation requests from this pool, the Secretary will consider the following:

(i) The amount of the allocation available.

(ii) The size of the project.

(iii) The level of economic distress.

(iv) The number of net new jobs to be created.

(v) The ability to undertake the project without approval of the tax exempt financing.

(vi) The amount of private funds leveraged.

(vii) The project’s consistency with the economic development plans of the Commonwealth and of municipalities and regions.

(viii) The date the bonds are to be issued.

The provisions of this § 61.5 adopted January 10, 1986, effective January 1, 1986, 16 Pa.B. 129; amended January 30, 1987, effective retroactively to January 1, 1987, 17 Pa.B. 571; amended January 22, 1988, effective January 1, 1988, 18 Pa.B. 386; amended April 1, 1988, effective retroactively to January 1, 1988, 18 Pa.B. 1492; corrected April 22, 1988, effective retroactively to January 1, 1988, 18 Pa.B. 1933; amended August 23, 1991, effective August 24, 1991, 21 Pa.B. 3825; amended April 17, 1992, effective April 18, 1992, 22 Pa.B. 1928; amended August 6, 1993, effective August 7, 1993, 23 Pa.B. 3705; amended May 27, 1994, effective May 28, 1994, 24 Pa.B. 2704; amended March 24, 1995, effective March 25, 1995, 25 Pa.B. 1082; amended June 21, 1996, effective June 22, 1996, 26 Pa.B. 2923; amended March 14, 1997, effective March 15, 1997, 27 Pa.B. 1369; amended February 27, 1998, effective February 28, 1998, 28 Pa.B. 1139. Immediately preceding text appears at serial pages (230854) to (230857).

This section cited in 12 Pa. Code § 61.2 (relating to initial allocations for Commonwealth agencies); 12 Pa. Code § 61.3 (relating to restrictions on county allocations); and 12 Pa. Code § 61.6 (relating to allocation procedures).

History

  • Authority: The provisions of this Chapter 61 issued under the Tax-Exempt Bond Allocation Act (73 P. S. § § 397.1—397.8), unless otherwise noted.
  • Source: The provisions of this § 61.7 adopted January 10, 1986, effective January 1, 1986, 16 Pa.B. 129; amended January 30, 1987, effective retroactively to January 1, 1987, 17 Pa.B. 571; amended August 23, 1991, effective August 24, 1991, 21 Pa.B. 3825; amended April 17, 1992, effective April 18, 1992, 22 Pa.B. 1928. Immediately preceding text appears at serial page (161470).
12 Pa. Code § 61.6 Allocation procedures.

Under the allocations in § 61.5 (relating to allocations of tax-exempt bond authority), to apply for approval of allocations for specific projects the following procedures shall be followed:

(1) Approval requirements. The approval of an allocation for small issue and exempt facilities private activity bonds requires submission of a preliminary allocation request, submitted prior to the issuance of the bonds, and submission of a final allocation request and a copy of IRS Form 8038, Information Return for Private Activity Bond Issues, within 15 calendar days after closing.

(2) Preliminary allocation request (PAR).

(i) A PAR will not be accepted until the project is approved by the Department if approval is required under the IDA Law.

(ii) A PAR shall be submitted by the industrial development authority or other authorized issuer. A PAR will not be accepted from the applicant’s attorney. If submitted by an authorized issuer other than an industrial development authority, the PAR shall have attached sufficient information to determine use and eligibility for allocation.

(iii) A PAR, if properly completed and submitted, will be approved on a timely basis by the Department.

(iv) A PAR shall be properly completed. An improperly completed or submitted PAR will be returned for revision or correction.

(v) A PAR is valid for 90 calendar days after approval or until December 31 of the year in which it is approved, whichever is earlier. Failure to close within the prescribed period will result in the automatic loss of the preliminary allocation.

(vi) For projects which are also requesting funding through an Urban Development Action Grant (UDAG) or through the Pennsylvania Economic Development Financing Authority (PEDFA), the PAR is valid for 180 calendar days after approval or until December 31 of the year in which it is approved, whichever is earlier.

(vii) If the PAR expires prior to closing for a project, there will be a penalty period of 60 calendar days, after the date of expiration, before the Department will accept a new PAR for that project. To avoid this, the issuer, the applicant and the parties involved should be in agreement regarding the closing date and should be certain that details can be finalized by that date, before the PAR is submitted.

(viii) If an increase is requested, a PAR shall be submitted for the increased amount only.

(ix) If a project has a PAR for the original tax-exempt amount and a PAR for an increase, the closing shall be effected by the expiration date of the earliest PAR if there is to be one issuance.

(x) Allocations will not be granted for projects using private activity bonds for interim financing purposes.

(xi) Allocations for small issue projects will be granted based on the chronological order of receipt and up to an amount which in the aggregate equals a county’s allocation.

(xii) A PAR is valid only during the calendar year in which it is approved.

(xiii) A PAR submitted in prior years is not valid for projects in subsequent years. A new PAR shall be submitted each year.

(xiv) A project closing prior to the issuance of a PAR, in excess of the approved amount of the PAR, closing after the PAR has expired or not filing a final allocation request (FAR) and IRS Form 8038 within the prescribed time periods will automatically have its allocation rescinded and risk loss of its tax-exempt status. Subsequent allocations granted with respect to financings which lost allocations for those reasons will require second closings to insure the tax-exempt status of the financings.

(xv) Neither project applications nor a PAR will be approved without the land cost, if the land is being financed.

(xvi) As required by § 61.3(a)(1) (relating to restrictions on county allocations), an applicant shall submit a letter, on the applicant’s letterhead,along with its PAR, certifying that as an inducement for the Department to approve its allocation request, the applicant expects to create or preserve the requisite number of jobs.

(3) Final Allocation Request (FAR). A project receiving approval of a PAR shall submit a completed IRS Form 8038 and a FAR within 15 calendar days of the closing or the allocation will be rescinded, as indicated in this section, and the 60-calendar-day penalty period will be imposed.

(i) A FAR will not be accepted without IRS Form 8038. The date of closing and the tax-exempt amount shall be the same on both forms.

(ii) If the issuance amount on the FAR is less than the preliminary allocation amount approved by the Department, a decrease letter will be sent automatically, unless otherwise instructed by the authority.

The provisions of this § 61.6 adopted January 10, 1986, effective January 1, 1986, 16 Pa.B. 129; amended January 30, 1987, effective retroactively to January 1, 1987, 17 Pa.B. 571; amended January 22, 1988, effective retroactively to January 1, 1988, 18 Pa.B. 386; amended August 23, 1991, effective August 24, 1991, 21 Pa.B. 3825; amended April 17, 1992, effective April 18, 1992, 22 Pa.B. 1928. Immediately preceding text appears at serial pages (161467) to (161469).

This section cited in 12 Pa. Code § 63.1 (relating to allocations).

History

  • Authority: The provisions of this Chapter 61 issued under the Tax-Exempt Bond Allocation Act (73 P. S. § § 397.1—397.8), unless otherwise noted.
  • Source: The provisions of this § 61.7 adopted January 10, 1986, effective January 1, 1986, 16 Pa.B. 129; amended January 30, 1987, effective retroactively to January 1, 1987, 17 Pa.B. 571; amended August 23, 1991, effective August 24, 1991, 21 Pa.B. 3825; amended April 17, 1992, effective April 18, 1992, 22 Pa.B. 1928. Immediately preceding text appears at serial page (161470).
12 Pa. Code § 61.7 Reallocation.

The act specifies that a two-tier reallocation process, for unused tax-exempt bond authority, is to occur each August 1 and November 1.

(1) August 1 reallocation. On August 1 of each year in which the act applies, the Secretary will determine the amount of unused tax-exempt bond authority available at the close of business July 31 of that year and reallocate this unused portion by September as follows:

(i) Fifty percent will be allocated for small issue use by local issuers.

(ii) Fifty percent will be retained by the Secretary as a contingency reserve for projects which are sponsored by Commonwealth agencies, exceed a county’s reallocated amount or are exempt facilities. Allocations for these projects will be made at the Secretary’s discretion.

(2) November 1 reallocation. On November 1 of each year in which the act applies, the Secretary will determine the amount of unused tax-exempt bond authority available at the close of business October 31 of that year and reallocate the unused portion at the Secretary’s discretion consistent with the purposes of the act and the criteria established in § 61.4 (relating to project selection).

The provisions of this § 61.7 adopted January 10, 1986, effective January 1, 1986, 16 Pa.B. 129; amended January 30, 1987, effective retroactively to January 1, 1987, 17 Pa.B. 571; amended August 23, 1991, effective August 24, 1991, 21 Pa.B. 3825; amended April 17, 1992, effective April 18, 1992, 22 Pa.B. 1928. Immediately preceding text appears at serial page (161470).

History

  • Authority: The provisions of this Chapter 61 issued under the Tax-Exempt Bond Allocation Act (73 P. S. § § 397.1—397.8), unless otherwise noted.
  • Source: The provisions of this § 61.7 adopted January 10, 1986, effective January 1, 1986, 16 Pa.B. 129; amended January 30, 1987, effective retroactively to January 1, 1987, 17 Pa.B. 571; amended August 23, 1991, effective August 24, 1991, 21 Pa.B. 3825; amended April 17, 1992, effective April 18, 1992, 22 Pa.B. 1928. Immediately preceding text appears at serial page (161470).

Chapter 63 Private Activity Bonds—Allocations

12 Pa. Code § 63.1 Allocations.

(a) Authority for allocations. The State unified volume cap for the issuance of qualified private activity bonds provided by section 146(d) of the Internal Revenue Code (26 U.S.C.A. § 146(d)) for calendar year 1998 will be allocated utilizing the authority provided by section 146(e) of the Internal Revenue Code and section 7(4) of the Tax-Exempt Bond Allocation Act (73 P.S. § 397.7(4)) in the manner provided by this chapter.

(b) Housing related bonds. An amount equal to $160 million will be allocated for housing related bonds, including qualified residential rental projects and qualified mortgage bonds as defined by sections 142(d) and 143(a) of the Internal Revenue Code (26 U.S.C.A. § § 142(d) and 143(a)). Requests to apply the housing related bond allocation to specific projects or uses, including mortgage credit certificate programs, will be reviewed and may be approved or disapproved by the Board of the Pennsylvania Housing Finance Agency. Applications for housing related bond allocations shall be made to the Executive Director of the Housing Finance Agency.

(c) Qualified student loan bonds. An amount equal to $50 million will be allocated to the Higher Education Assistance Agency for qualified student loan bonds provided by section 144(b) of the Internal Revenue Code (26 U.S.C.A. § 144(b)).

(d) Qualified small issue bonds.

(1) An amount equal to $175 million will be allocated for qualified small issue bonds under section 144(a) of the Internal Revenue Code. Of this amount, $26,800,000 will be used to allocate $400,000 to each county. The remaining $148,200,000 will be allocated among the counties in accordance with the following formula:

(i) The Secretary will determine the ratio of the county’s total 1996 and 1997 allocation usage to the sum of every county’s 1996 and 1997 allocation usage.

(ii) The Secretary will multiply the ratio determined in subparagraph (i) by $148,200,000.

(2) Requests to apply this allocation to specific projects or uses will be reviewed and may be approved or disapproved by the Secretary. Applications for allocations shall be made to the Private Capital Financing Office in the Department. The Secretary will provide allocations for qualified small issue bonds utilizing the procedures and subject to the requirements imposed by § 61.6 (relating to allocation procedures).

(e) Other qualified private activity bonds. An amount equal to $166 million will be allocated to other qualified private activity bonds, including qualified redevelopment bonds as defined by section 144(c) of the Internal Revenue Code, exempt facility bonds as defined by section 142 (excluding § 142(d)) of the Internal Revenue Code, and enterprise zone bonds as defined by section 1394 of the Internal Revenue Code, all of which are subject to the unified volume cap provided by section 146 of the Internal Revenue Code. Requests to apply this allocation to specific projects or uses will be reviewed and may be approved or disapproved by the Secretary. Applications for allocations shall be made to the Private Capital Financing Office in the Department. The Secretary will provide allocations for qualified private activity bonds utilizing the procedures and subject to the requirements imposed by § 63.3 (relating to procedures). An allotment of at least 25% of the total amount for other qualified private activity bonds is reserved for solid waste disposal projects.

(f) Special allocation pool. The Secretary may utilize not more than $50 million for a special allocation pool for projects which require more bond authority than a given county currently has available to it. To qualify for consideration to use this pool, local issuing authorities shall demonstrate to the Secretary’s satisfaction that they have acted responsibly in selecting projects which maximize long-term net new job creation, consistent with the intent of the Tax-Exempt Bond Allocation Act (73 P.S. § § 397.1—397.8). Decisions regarding use of the special allocation pool for small issue purposes will be based upon the characteristics and merits of individual projects proposed, and upon the record of the issuing authority in utilizing industrial development financing to create or retain jobs. A project may be considered if the entire allocation for the county in which the project is proposed has been obligated. In determining approval or disapproval of allocation requests from this pool, the Secretary will consider the following:

(1) The amount of the allocation available.

(2) The size of the project.

(3) The level of economic distress.

(4) The number of net new jobs to be created.

(5) The ability to undertake the project without approval.

(6) The amount of private funds leveraged.

(7) The project’s consistency with the economic development plans of the Commonwealth and of municipalities and regions.

(8) The date the bonds are to be issued.

The provisions of this § 63.1 amended under section 7(4) of the Tax-Exempt Bond Allocation Act (73 P.S. § 397.7(4)) (Repealed).

The provisions of this § 63.1 adopted January 16, 1987, effective retroactively to January 1, 1987, 17 Pa.B. 247; amended January 22, 1988, effective retroactively to January 1, 1988, 18 Pa.B. 333; amended April 1, 1988, effective retroactively to January 1, 1988, 18 Pa.B. 1486; amended June 16, 1989, effective June 17, 1989, 19 Pa.B. 2541; amended April 20, 1990, effective April 21, 1990, 20 Pa.B. 2154; amended August 23, 1991, effective August 24, 1991, 21 Pa.B. 3812; amended April 24, 1992, effective April 25, 1992, 22 Pa.B. 2240; amended July 30, 1993, effective July 31, 1993, 23 Pa.B. 3578; amended May 27, 1994, effective May 28, 1994, 24 Pa.B. 2697; amended May 5, 1995, effective May 6, 1995, 25 Pa.B. 1770; amended June 21, 1996, effective June 22, 1996, 26 Pa.B. 2905; amended April 4, 1997, effective April 5, 1997, 27 Pa.B. 1646; amended September 11, 1998, effective September 12, 1998, 28 Pa.B. 4629. Immediately preceding text appears at serial pages (230861) to (230863).

This section cited in 12 Pa. Code § 61.5 (relating to allocations of tax-exempt bond authority); and 12 Pa. Code § 63.4 (relating to reallocations).

History

  • Authority: The provisions of this § 63.4 issued under sections 6 and 7(4) of the Tax-Exempt Bond Allocation Act (73 P.S. § 397.7(4)) (Repealed).
  • Source: The provisions of this § 63.4 adopted January 22, 1988, effective retroactively to January 1, 1988, 18 Pa.B. 333; amended June 16, 1989, effective June 17, 1989, 19 Pa.B. 2541; amended September 21, 1990, effective September 22, 1990, 20 Pa.B. 4861; amended April 24, 1992, effective April 25, 1992, 22 Pa.B. 2240. Immediately preceding text appears at serial page (161475).
12 Pa. Code § 63.2 Provisions of the Tax-Exempt Bond Allocation Act suspended.

Provisions of the Tax-Exempt Bond Allocation Act (73 P.S. § § 397.1—397.8) inconsistent with this chapter and 4 Pa. Code § § 7.331—7.338 (relating to 1987 allocations of the unified volume cap under the Tax Reform Act of 1986) are suspended as provided by section 6(a) of the Tax-Exempt Bond Allocation Act (73 P.S. § 397.5(a)). The suspended portions of the Tax-Exempt Bond Allocation Act include the following provisions:

(1) Section 5(a) of the Tax-Exempt Bond Allocation Act (73 P.S. § 397.5(a)) insofar as the subsection does not provide allocations for housing related bonds.

(2) Section 5(a)(1) insofar as paragraph (1) required 2/3 of the State ceiling to be allocated under a formula.

(3) Section 5(a)(2) insofar as paragraph (2) allocated only 1/3 of the State ceiling for projects not funded using the formula contained in section 5(a)(1).

(4) Section 5(a)(2)(iv) insofar as subparagraph (iv) establishes a procedure for making allocations to the Higher Education Assistance Agency and provides allocations to the agency using the 1/3 allocation provided by section 5(a)(2).

(5) Section 5(b) and (c) insofar as the subsections do not provide reallocations for housing related bonds.

(6) The definition of ‘‘exempt facilities’’ in section 3 of the Tax-Exempt Bond Allocation Act (73 P.S. § 397.3) insofar as an example of an exempt facility project is a pollution control facility. The other portions of the ‘‘exempt facilities’’ definition remain in force and effect.

(7) Section 5(a) insofar as that section requires the Secretary to allocate, by December 1 of the following calendar year rather than by February 1 of the same calendar year, the tax-exempt bond authority.

The provisions of this § 63.2 amended under sections 6 and 7(4) of the Tax-Exempt Bond Allocation Act (73 P.S. § § 397.6 and 397.7(4)) (Repealed).

The provisions of this § 63.1 adopted January 16, 1987, effective retroactively to January 1, 1987, 17 Pa.B. 247; amended January 22, 1988, effective retroactively to January 1, 1988, 18 Pa.B. 333; amended June 16, 1989, effective June 17, 1989, 19 Pa.B. 2541; amended September 21, 1990, effective September 22, 1990, 20 Pa.B. 4861; amended April 24, 1992, effective April 25, 1992, 22 Pa.B. 2240. Immediately preceding text appears at serial pages (161473) to (161474).

(Editor’s Note: This regulation was promulgated under section 6(b) of the Regulatory Review Act (71 P.S. § 745.6(b)) which provides that it takes effect for 120 days.)

History

  • Authority: The provisions of this § 63.4 issued under sections 6 and 7(4) of the Tax-Exempt Bond Allocation Act (73 P.S. § 397.7(4)) (Repealed).
  • Source: The provisions of this § 63.4 adopted January 22, 1988, effective retroactively to January 1, 1988, 18 Pa.B. 333; amended June 16, 1989, effective June 17, 1989, 19 Pa.B. 2541; amended September 21, 1990, effective September 22, 1990, 20 Pa.B. 4861; amended April 24, 1992, effective April 25, 1992, 22 Pa.B. 2240. Immediately preceding text appears at serial page (161475).
12 Pa. Code § 63.3 Procedures.

(a) Procedures for the administration of private activity bond allocations shall be as provided by Chapter 61 (relating to private activity bonds—statement of policy), except to the extent the procedures are inconsistent with the requirements of this chapter.

(b) The Secretary may establish additional policies, guidelines, forms and reporting requirements necessary to carry out the purposes of the Tax-Exempt Bond Allocation Act (73 P.S. § § 397.1—397.8) and this chapter.

(c) State agencies and other entities involved with the issuance or approval of qualified private activity bonds related to this chapter will cooperate with the Department in implementing this allocation system.

(d) Issuers failing to comply with requirements of this chapter will be denied allocation approvals until compliance is achieved.

The provisions of this § 63.3 amended under section 7(4) of the Tax-Exempt Bond Allocation Act (73 P.S. § 397.7(4)) (Repealed).

The provisions of this § 63.3 adopted January 16, 1987, effective retroactively to January 1, 1987, 17 Pa.B. 247; amended January 22, 1988, effective retroactively to January 1, 1988, 18 Pa.B. 333; amended June 16, 1989, effective June 17, 1989, 19 Pa.B. 2542. Immediately preceding text appears at serial page (125632).

This section cited in 12 Pa. Code § 61.5 (relating to allocations of tax-exempt bond authority); and 12 Pa. Code § 63.1 (relating to allocations).

History

  • Authority: The provisions of this § 63.4 issued under sections 6 and 7(4) of the Tax-Exempt Bond Allocation Act (73 P.S. § 397.7(4)) (Repealed).
  • Source: The provisions of this § 63.4 adopted January 22, 1988, effective retroactively to January 1, 1988, 18 Pa.B. 333; amended June 16, 1989, effective June 17, 1989, 19 Pa.B. 2541; amended September 21, 1990, effective September 22, 1990, 20 Pa.B. 4861; amended April 24, 1992, effective April 25, 1992, 22 Pa.B. 2240. Immediately preceding text appears at serial page (161475).
12 Pa. Code § 63.4 Reallocations.

The unused portion of an allocation provided under § 63.1(b)—(e) (relating to allocations) will be reallocated by the Secretary in cooperation with the Executive Director of the Higher Education Assistance Agency in the manner provided by section 5(b) and (c) of the Tax-Exempt Bond Allocation Act (73 P.S. § 397.5(b) and (c)). Reallocations under section 5(b)(1)(ii) of the Tax-Exempt Bond Allocation Act may be made to an eligible project or use provided by § 63.1(b)—(e).

The provisions of this § 63.4 issued under sections 6 and 7(4) of the Tax-Exempt Bond Allocation Act (73 P.S. § 397.7(4)) (Repealed).

The provisions of this § 63.4 adopted January 22, 1988, effective retroactively to January 1, 1988, 18 Pa.B. 333; amended June 16, 1989, effective June 17, 1989, 19 Pa.B. 2541; amended September 21, 1990, effective September 22, 1990, 20 Pa.B. 4861; amended April 24, 1992, effective April 25, 1992, 22 Pa.B. 2240. Immediately preceding text appears at serial page (161475).

(Editor’s Note: This regulation was promulgated under section 6(b) of the Regulatory Review Act (71 P.S. § 745.6(b)).

History

  • Authority: The provisions of this § 63.4 issued under sections 6 and 7(4) of the Tax-Exempt Bond Allocation Act (73 P.S. § 397.7(4)) (Repealed).
  • Source: The provisions of this § 63.4 adopted January 22, 1988, effective retroactively to January 1, 1988, 18 Pa.B. 333; amended June 16, 1989, effective June 17, 1989, 19 Pa.B. 2541; amended September 21, 1990, effective September 22, 1990, 20 Pa.B. 4861; amended April 24, 1992, effective April 25, 1992, 22 Pa.B. 2240. Immediately preceding text appears at serial page (161475).

Part V Community Affairs and Development

Subpart A Strategic Planning and Operation

Chapter 111 Grants-In-Aid to Flood-Prone Municipalities

12 Pa. Code § 111.1 Policy.

The Department has determined that the public welfare is served by assisting persons in flood-prone municipalities to protect themselves against flood losses with the insurance coverage available under the National Flood Insurance Act of 1968 (42 U.S.C.A. § § 4001—4127). Under Federal law, these persons cannot obtain subsidized flood insurance unless the municipalities in which they are located are eligible to participate in the National Flood Insurance program. To encourage municipalities to seek eligibility and to enact prudent flood plain land use controls, the Department will not approve a grant-in-aid application from a flood prone municipality unless the municipality is eligible for the National Flood Insurance program.

The provisions of this § 111.1 adopted October 26, 1973, effective October 27, 1973, 3 Pa.B. 2464; corrected November 4, 1988, effective May 7, 1988, 18 Pa.B. 4941. Immediately preceding text appears at serial page (24442).

This section cited in 12 Pa. Code § 111.3 (relating to implementation); and 12 Pa. Code § 111.4 (relating to administrative procedures for implementation).

History

  • Authority: The provisions of this Chapter 111 issued and amended under section 2501-C of The Administrative Code of 1929 (71 P. S. § 670.101), unless otherwise noted.
  • Source: The provisions of this § 111.4 adopted December 19, 1975, effective December 20, 1975, 5 Pa.B. 3272; corrected November 4, 1988, effective May 7, 1988, 18 Pa.B. 4941; amended December 18, 1992, effective December 19, 1992, 22 Pa.B. 6026. Immediately preceding text appears at serial pages (169843) to (169844).
12 Pa. Code § 111.2 Applicability.

(a) This chapter applies to programs administered by the Department under the following laws: The Land and Water Conservation and Reclamation Act (32 P. S. § § 5101—5121); the Land and Water Conservation Fund Act of 1965 (16 U.S.C.A. § § 460l-4—460l-11); Reorganization Plan No. 2 of 1966, act of July 11, 1966, P. L. 8 (71 P. S. § 752-2); the act of August 2, 1954 (68 Stat. 641) (40 U.S.C.A. § § 461 (repealed) and 462); and section 4 of the Housing and Redevelopment Assistance Law (35 P. S. § 1664(b)—(c)).

(b) Notwithstanding subsection (a), the Department may, by regulation, otherwise provide in its programs for the applicability of this chapter.

(c) Notwithstanding subsection (a), an applicant who filed a letter of intent for assistance exclusively under the Land and Water Conservation Fund Act of 1965 prior to December 1, 1975, and who is approved for funding in the 1975-76 fiscal year, shall be governed by the regulations of the Department regarding grants-in-aid to flood-prone municipalities which were in effect on December 1, 1975.

The provisions of this § 111.2 adopted October 26, 1973, effective October 27, 1973, 3 Pa.B. 2464; amended December 28, 1973, effective December 29, 1973, 3 Pa.B. 2954; amended December 19, 1975, effective December 20, 1975, 5 Pa.B. 3272; corrected November 4, 1988, effective May 7, 1988, 18 Pa.B. 4941. Immediately preceding text appears at serial pages (24442) to (24443).

History

  • Authority: The provisions of this Chapter 111 issued and amended under section 2501-C of The Administrative Code of 1929 (71 P. S. § 670.101), unless otherwise noted.
  • Source: The provisions of this § 111.4 adopted December 19, 1975, effective December 20, 1975, 5 Pa.B. 3272; corrected November 4, 1988, effective May 7, 1988, 18 Pa.B. 4941; amended December 18, 1992, effective December 19, 1992, 22 Pa.B. 6026. Immediately preceding text appears at serial pages (169843) to (169844).
12 Pa. Code § 111.3 Implementation.

Implementation of § 111.1 (relating to policy) shall be in accordance with § 111.4 (relating to administrative procedures for implementation). The Department may adopt, by regulation, different administrative procedures for implementation in a program. In the event of inconsistency or conflict between § 111.4 and other Department regulations adopting administrative procedures for implementation, the other Department regulations shall prevail.

The provisions of this § 111.3 adopted October 26, 1973, effective October 27, 1973, 3 Pa.B. 2464; amended December 19, 1975, effective December 20, 1975, 5 Pa.B. 3272; corrected November 4, 1988, effective May 7, 1988, 18 Pa.B. 4941. Immediately preceding text appears at serial page (24443).

History

  • Authority: The provisions of this Chapter 111 issued and amended under section 2501-C of The Administrative Code of 1929 (71 P. S. § 670.101), unless otherwise noted.
  • Source: The provisions of this § 111.4 adopted December 19, 1975, effective December 20, 1975, 5 Pa.B. 3272; corrected November 4, 1988, effective May 7, 1988, 18 Pa.B. 4941; amended December 18, 1992, effective December 19, 1992, 22 Pa.B. 6026. Immediately preceding text appears at serial pages (169843) to (169844).
12 Pa. Code § 111.4 Administrative procedures for implementation.

(a) Municipal applicants other than counties. A municipal application from other than a county shall conform with the following:

(1) On receipt of an application or letter of intent from a municipality other than a county for funds under a program to which this chapter applies, the regional office shall determine, using Federal, State and local data, whether the applicant is a flood-prone municipality.

(2) If the applicant is found flood-prone, the Department will determine whether the applicant has qualified for National Flood Insurance. If the applicant has so qualified, the application review process shall continue as usual.

(3) If the applicant has filed a resolution of interest and a resolution of compliance with program requirements, seeking qualification for National Flood Insurance, although the applicant has not qualified, the regional office will accept the application or letter of intent for Department funds. If the regional office has not received a completed National Flood Insurance Program application or a copy of the transmittal letter for the completed Program application, within 60 days from acceptance, the regional office will return the application or letter of intent for Department funds to the applicant.

(4) The regional office will not forward an application or letter of intent for Department funds to the central office of the Department for processing until the applicant has qualified for National Flood insurance.

(b) Other applicants. Section 111.1 (relating to policy) governs certain applications from counties and applicants other than municipalities. The administrative procedures for implementation applicable to those applications shall be set forth separately for each Department program.

(c) Department staff. Department staff are available to assist a municipality in qualifying for National Flood Insurance. Requests for assistance and questions regarding Department policy should be directed to the Governor’s Center for Local Government Services, Department of Community and Economic Development, Commonwealth Keystone Building, 400 North Street, 4th Floor, Harrisburg, Pennsylvania 17120, or a planning analyst at one of the Department’s regional offices.

The provisions of this § 111.4 adopted December 19, 1975, effective December 20, 1975, 5 Pa.B. 3272; corrected November 4, 1988, effective May 7, 1988, 18 Pa.B. 4941; amended December 18, 1992, effective December 19, 1992, 22 Pa.B. 6026. Immediately preceding text appears at serial pages (169843) to (169844).

This section cited in 12 Pa. Code § 111.3 (relating to implementation).

History

  • Authority: The provisions of this Chapter 111 issued and amended under section 2501-C of The Administrative Code of 1929 (71 P. S. § 670.101), unless otherwise noted.
  • Source: The provisions of this § 111.4 adopted December 19, 1975, effective December 20, 1975, 5 Pa.B. 3272; corrected November 4, 1988, effective May 7, 1988, 18 Pa.B. 4941; amended December 18, 1992, effective December 19, 1992, 22 Pa.B. 6026. Immediately preceding text appears at serial pages (169843) to (169844).

Chapter 113 Floodplain Management

12 Pa. Code § 113.1 Definitions.

The following words and terms, when used in this chapter, have the following meanings, unless the context clearly indicates otherwise: Act—The Flood Plain Management Act (32 P. S. § § 679.101—679.601). Department—The Department of Community and Economic Development of the Commonwealth. Development—A man-made change to improved or unimproved real estate including, but not limited to, buildings or other structures, mining, dredging, filling, grading, paving, excavation or drilling operations. FEMA—The Federal Emergency Management Agency, successor to the United States Department of Housing and Urban Development, Federal Insurance Administration. Flood—A general but temporary condition of partial or complete inundation of normally dry land areas from the overflow of streams, rivers or other waters of this Commonwealth. Flood-fringe area—That portion of the 100-year floodplain outside of the floodway. Flood hazard area—The 100-year floodway and that maximum area of land that is likely to be flooded by a 100-year flood, as shown on the floodplain maps provided by FEMA. Floodplain management—The operation of a program or activities which may consist of both corrective and preventive measures for reducing flood damage including, but not limited to, such things as emergency preparedness plans, flood control works and floodplain management regulations. Floodplain management regulations—Zoning ordinances, subdivision and land development regulations, building codes, health regulations, special purpose ordinances and other applications of the police power. The term describes the State or local regulations in any combination thereof, which provide standards for the purpose of flood damage prevention and reduction. Floodproofing—Structural or other changes or adjustments to properties or obstructions for the reduction or elimination of flood damages to the properties and obstructions or to the contents of any structure. Floodway—The portion of the 100-year floodplain including the watercourse itself and an adjacent land area that must be kept open in order to carry the water of a 100-year flood. At a minimum, a floodway must be large enough to carry the water of the 100-year flood without causing an increase of more than 1 foot in the elevation of the existing 100-year flood. Freeboard—A margin of safety, expressed in feet, above the 100-year flood elevation. Identified municipality—A municipality which has been formally notified by FEMA that it has been identified as having an area subject to flooding. Mobile home—A transportable, single-family dwelling intended for permanent occupancy, office or place of assembly which is contained in one unit or in two units designed to be joined into one integral unit capable of again being separated for repeated towing which arrives at a site complete and ready for occupancy except for minor and incidental unpacking and assembly operations, and which is constructed so that it may be used without a permanent foundation. The term does not include recreational vehicles or travel trailers. Municipality—A city, borough, town, township or a similar general purpose unit of government; a county or other governmental unit when acting as an agent thereof; or any combination thereof acting jointly. New mobile home park or mobile home subdivision—A parcel or contiguous parcels of land divided into two or more mobile home lots for rent or sale for which the construction of facilities for servicing the lot on which the mobile home is to be affixed—including at a minimum, the installation of utilities, either final site grading or the pouring of concrete pads, and the construction of streets—is completed on or after the effective date of the floodplain management regulations adopted by a municipality. Obstruction—A structure or assembly of materials including fill above or below the surface of land or water and an activity which might impede, retard or change flood flows. The planting, cultivation and harvesting of field and orchard crops or the grazing of livestock including the maintenance of necessary appurtenant agricultural fencing is not considered an obstruction under this definition and is not subject to regulation under this chapter. 100-year flood—The highest level of flooding that on the average, is likely to occur every 100 years, that is, that has a 1% chance of occurring each year. 100-year floodplain or floodplain—The 100-year floodway and that maximum area of land that is likely to be flooded by a 100-year flood as shown on the floodplain maps provided by FEMA to the municipality. Pollution—The contamination of waters of this Commonwealth that will create or is likely to create a nuisance or to render the waters harmful, detrimental or injurious to public health, safety or welfare; or to domestic, municipal, commercial, industrial, agricultural, recreational or other legitimate beneficial uses; or to livestock, wild animals, birds, fish or other aquatic life, including, but not limited to, the contamination by: alteration of the physical, chemical or biological properties of the waters; change in temperature, taste, color or odor thereof, or the discharge of a liquid, gaseous, radioactive, solid or other substances into the waters. Program—The National Flood Insurance Program. Special permit—A special exception. For the purposes of this chapter, the term ‘‘special permit’’ is being substituted for the term ‘‘special exception’’ as used in section 301 of the act (32 P. S. § 679.301). A special permit is required for the uses and activities listed in § 113.6 (relating to regulation of particular obstructions). Structure—A walled and roofed building, including a gas or building, and building, liquid storage tank, that is principally above ground as well as a mobile home. Substantial additions to mobile home parks—A repair, reconstruction or improvement of an existing mobile home park or mobile home subdivision where the repair, reconstruction or improvement of the streets, utilities and pads will equal or exceed 50% of the value of the streets, utilities and pads before the repair, reconstruction or improvement is started. Substantial improvements—A repair, reconstruction or improvement of a structure, the cost of which equals or exceeds 50% of the market value of the structure either before the improvement or repair is started, or, if the structure has been damaged and is being restored, before the damage occurred. For the purposes of this definition, substantial improvement is considered to occur when the first alteration of a wall, ceiling, floor or other structural part of the building commences, whether or not that alteration affects the external dimensions of the structure. The term does not, however, include either a project for improvement of a structure to comply with existing State or local health, sanitary or safety code specifications which are solely necessary to assure safe living conditions or any alteration to a structure listed on the National Register or Historic Register of the State Inventory of Historic Places. Watershed—The entire region or area drained by a river or other body of water, whether natural or artificial.

History

  • Authority: The provisions of this Chapter 113 issued under the Flood Plain Management Act (32 P. S. § § 679.101—679.601), unless otherwise noted.
  • Source: The provisions of this Appendix IV adopted June 12, 1980, effective June 14, 1980, 10 Pa.B. 2979; reserved December 18, 1992, effective December 19, 1992, 22 Pa.B. 6029. Immediately preceding text appears at serial page (103729).
12 Pa. Code § 113.2 Purpose and intent.

(a) The basic purpose of the act, as set forth in section 103 of the act (32 P. S. § 679.103), and of this chapter, is to:

(1) Encourage planning and development in floodplains which are consistent with sound land use practices.

(2) Protect people and property in floodplains from the dangers and damage of floodwaters and from materials carried by the floodwaters.

(3) Prevent and eliminate urban and rural blight which results from the damages of flooding.

(4) Authorize a comprehensive and coordinated program of floodplain management, based upon the program, designed to preserve and restore the efficiency and carrying capacity of the streams and floodplains of the Commonwealth.

(5) Assist municipalities in qualifying for the program.

(6) Provide for and encourage local administration and management of floodplains.

(7) Minimize the expenditure of public and private funds for flood control projects and for relief, rescue and recovery efforts.

(b) This chapter is intended to set forth procedures and requirements to be followed by the State and local municipalities in carrying out the various duties and responsibilities assigned to each by the act so as to avoid unnecessary expenditures of time, effort and money, thereby making floodplain management activities undertaken within this Commonwealth as effective and beneficial as possible.

(c) The standards and requirements of the program and the act concerning floodplain management are minimal only. The act specifically states that it contains no provisions that limit the powers of a municipality from adopting more restrictive codes, ordinances and regulations concerning the management of its flood-prone areas.

(d) A good program of floodplain management involves more than simply meeting the minimum Federal and State requirements. The Department will be available to assist an interested municipality in developing a better management program.

History

  • Authority: The provisions of this Chapter 113 issued under the Flood Plain Management Act (32 P. S. § § 679.101—679.601), unless otherwise noted.
  • Source: The provisions of this Appendix IV adopted June 12, 1980, effective June 14, 1980, 10 Pa.B. 2979; reserved December 18, 1992, effective December 19, 1992, 22 Pa.B. 6029. Immediately preceding text appears at serial page (103729).
12 Pa. Code § 113.3 Municipal participation in the program.

(a) Each identified municipality is required by the act to gain eligibility to participate in the program within 6 months of the effective date of the act, or 6 months from the date of notification by FEMA that it has been identified as having an area or areas subject to flooding, whichever is first. The eligibility is gained by submitting an application to FEMA, requesting acceptance into the program.

(b) The Department will contact identified municipalities not participating in the program, for the purpose of bringing to their attention the fact that participation is required by the act and to offer technical assistance to help the municipality apply for eligibility to participate in the program.

(c) Application forms, information and assistance may be obtained from a regional office of the Department.

(d) When the Department receives notification from FEMA that FEMA has approved an application for eligibility to participate in the program from a municipality, the Department will notify the appropriate county planning commission.

History

  • Authority: The provisions of this Chapter 113 issued under the Flood Plain Management Act (32 P. S. § § 679.101—679.601), unless otherwise noted.
  • Source: The provisions of this Appendix IV adopted June 12, 1980, effective June 14, 1980, 10 Pa.B. 2979; reserved December 18, 1992, effective December 19, 1992, 22 Pa.B. 6029. Immediately preceding text appears at serial page (103729).
12 Pa. Code § 113.4 Adoption of floodplain management regulations by identified municipalities.

(a) Each identified municipality is required by the act to adopt floodplain management regulations which at a minimum comply with the requirements of the program, the act and this chapter. The act requires adoption of the required regulations by a municipality within 6 months after the date of receipt from FEMA of a Flood Hazard Boundary Map or Flood Insurance Study.

(b) Municipalities required to adopt floodplain management regulations will be notified by the Department and requested to forward a copy of the adopted regulations and amendments thereto to FEMA for approval in accordance with the requirements of the program. Two copies of the regulations and amendments thereto shall also be forwarded to the appropriate regional office of the Department for its review and approval in accordance with the requirements of the act and this chapter.

(c) The Department will, in consultation with the Department of Environmental Protection, review all the required floodplain management regulations and will notify each municipality of its approval or disapproval of the regulations within 30 days of receipt of the regulations by the Department. If the regulations are not approved by the Department, the Department will explain in what ways they are deficient and what must be done in order to correct the deficiencies. A copy of the notification shall also be sent to the appropriate county planning commission. In addition, the Department will offer the technical assistance the municipality may need in order to correct the deficiency.

(d) When the Department receives notification from FEMA that FEMA has approved the regulations for a municipality, the Department will notify the appropriate county planning commission.

History

  • Authority: The provisions of this Chapter 113 issued under the Flood Plain Management Act (32 P. S. § § 679.101—679.601), unless otherwise noted.
  • Source: The provisions of this Appendix IV adopted June 12, 1980, effective June 14, 1980, 10 Pa.B. 2979; reserved December 18, 1992, effective December 19, 1992, 22 Pa.B. 6029. Immediately preceding text appears at serial page (103729).
12 Pa. Code § 113.5 Municipal loss of eligibility to participate in the program.

(a) If a municipality is suspended or loses its eligibility to participate in the program for any reason, it is required by the act to regain the eligibility from FEMA within 90 days of the date of suspension or loss of eligibility.

(b) Whenever a municipality receives notice from FEMA that it is being suspended from the program, the Department will offer to provide whatever technical assistance the municipality may need in order to regain its program eligibility.

(c) In regaining its eligibility, a municipality shall send the requested number of copies of required information and documentation to FEMA and two copies to the appropriate regional office of the Department for its information and review.

(d) When the Department receives a notification from FEMA that a municipality has regained eligibility to participate in the program, the Department will notify the appropriate county planning commission.

History

  • Authority: The provisions of this Chapter 113 issued under the Flood Plain Management Act (32 P. S. § § 679.101—679.601), unless otherwise noted.
  • Source: The provisions of this Appendix IV adopted June 12, 1980, effective June 14, 1980, 10 Pa.B. 2979; reserved December 18, 1992, effective December 19, 1992, 22 Pa.B. 6029. Immediately preceding text appears at serial page (103729).
12 Pa. Code § 113.6 Regulation of particular obstructions.

(a) The Department is required by section 301 of the act (32 P. S. § 679.301) to publish a list of certain obstructions which present a special hazard to the health and safety of the public or occupants or may result in significant pollution, increased flood levels or flows, or debris endangering life and property when the obstructions are located in all or a designated portion of a floodplain. The construction, enlargement or expansion of a structure or commencement of an activity listed as a special hazard shall be prohibited in a floodplain unless a special permit has been issued for the proposed construction or activity.

(b) In accordance with section 301 of the act (32 P. S. § 679.301), the following list of obstructions and activities which present special hazards in floodplains is included in this chapter:

(1) Hospitals—public or private.

(2) Nursing homes—public or private.

(3) Jails.

(4) New mobile home parks and mobile home subdivisions, and substantial improvements to the existing parks and subdivisions.

(c) A construction, enlargement or expansion of the obstructions or commencement of the activities listed in subsection (b) may not be undertaken unless a special permit has been issued to the applicant either by the municipality within which the use or activity is proposed, or by the Department, whichever is applicable.

(d) Municipalities which administer floodplain management regulations and which are in compliance with the requirements of the act and this chapter, may issue special permits.

(e) If a municipality has been notified by the Department that it is in violation of the act or this chapter, it may not issue special permits. A municipality that has been notified by the Department that it is in violation of this chapter and therefore not authorized to issue special permits may forward applications for special permits to the Department for review and approval.

(f) Application procedures for special permits shall be as follows:

(1) In municipalities issuing special permits, the following procedures shall apply:

(i) Applications shall be submitted to the municipality for review and processing in accordance with the applicable procedures and requirements of the municipality and of subsection (g).

(ii) If a municipality receives an application which is incomplete it shall notify the applicant in writing, stating in what respects the application is deficient.

(iii) Upon receipt of a completed application, the municipality shall forward a complete copy of the application to the county planning commission for its information, review and comment, by registered or certified mail, within 3 working days following receipt of the complete application. The county may send comments it may have concerning the application to the municipality and Department.

(iv) When a municipality approves an application for a special permit, it shall file written notice of the approval together with the application and pertinent information with the Department within 5 working days after approval by registered or certified mail.

(v) The special permit does not become effective until 30 days after the notice has been received by the Department unless the Department disapproves the special permit.

(vi) The Department will review the application and communicate its decision or comments to the municipality and county planning commission within 30 days after it has received the notice or the Department will forfeit its right to do so.

(vii) Review by the Department will be limited to checking for compliance with the requirements of the act and this chapter.

(viii) If the special permit is disapproved by the Department, it will notify the municipality and applicant in writing, by registered or certified mail, of its reasons for the disapproval.

(2) When a municipality is not authorized to issue special permits and it forwards an application to the Department for review and approval, the following procedures shall apply:

(i) Applications shall be forwarded to the Governor’s Center for Local Government Services; Department of Community and Economic Development; Commonwealth Keystone Building, 400 North Street, 4th Floor, Harrisburg, Pennsylvania 17120. A completed application shall consist of the items specified in subsection (g).

(ii) Upon receipt of a completed application, the Department will forward a copy of the application and pertinent information to the county planning commission for its review and comment, by registered or certified mail, within 3 working days following receipt of the completed application. The county planning commission shall have 30 days from the date of receipt of the application to submit comments to the Department.

(iii) The Department will either approve or disapprove the application and send written notification of its decision to the applicant within 45 days following receipt of the application. The Department will also send written notification to the municipality and county planning commission, within 5 days, of the determination the Department makes concerning applications it receives for special permits.

(iv) If the Department receives an application which is incomplete, it will send written notification to the applicant, within 5 working days after the Department receives the incomplete application, stating in what respects the application is deficient.

(g) Applications for special permits shall consist of five copies of the following items:

(1) A written request including a completed application form.

(2) A plan of the entire site, clearly and legibly drawn at a scale of 1 inch being equal to 100 feet or less, showing the following:

(i) North arrow, scale and date.

(ii) A map, which may be drawn at a smaller scale, of the general area of the municipality which provides enough information to enable a person who is unfamiliar with the municipality to accurately determine the location of the site or property involved.

(iii) Topography based upon the National Geodetic Vertical Datum of 1929, showing existing and proposed contours at intervals of 2 feet.

(iv) Property and lot lines including dimensions and the size of the site expressed in acres or square feet.

(v) The location of existing streets, drives, other accessways and parking areas with information concerning widths, pavement types and construction and elevations.

(vi) The location of existing bodies of water or watercourses; buildings, structures and other public or private facilities including railroad tracks and facilities; and other natural and man-made features affecting or affected by the proposed activity or development.

(vii) The location of the floodplain boundary line, information and spot elevations concerning the 100-year flood elevations and information concerning the flow of water including direction and velocities.

(viii) A general plan of the entire site accurately showing the location of proposed buildings, structures, utilities and other improvements.

(ix) Other information which the municipality considers necessary for adequate review of the application.

(3) Plans of proposed buildings, structures and other improvements, clearly and legibly drawn at suitable scale showing the following:

(i) Sufficiently detailed architectural or engineering drawings including floor plans, sections and exterior building elevations, as appropriate.

(ii) The proposed finished floor elevations of a proposed building.

(iii) Complete information concerning flood depths, pressures, velocities, impact and uplift forces, and other factors associated with the 100-year flood.

(iv) Detailed information concerning proposed floodproofing measures.

(v) Cross-section drawings for proposed streets, drives, other access-ways and parking areas, showing rights-of-way and pavement widths.

(vi) Profile drawings for proposed streets, drives and vehicular accessways including existing and proposed grades.

(vii) Plans and profiles of proposed sanitary and storm sewer systems, water supply systems and other utilities and facilities.

(4) The following data and documentation:

(i) Certification from the applicant that the site upon which the activity or development is proposed is an existing separate and single parcel, owned by the applicant or the client he represents.

(ii) Certification from a registered professional engineer, architect or landscape architect that the proposed construction has been adequately designed to protect against damage from the 100-year flood.

(iii) A statement certified by a registered professional engineer, architect, landscape architect or other qualified person which contains a complete and accurate description of the nature and extent of pollution that might possibly occur from the development during the course of a 100-year flood including a statement concerning the effects the pollution may have on human life.

(iv) A statement certified by a registered professional engineer, architect or landscape architect which contains a complete and accurate description of the effects the proposed development will have on 100-year flood elevations and flows.

(v) A statement certified by a registered professional engineer, architect or landscape architect which contains a complete and accurate description of the kinds and amounts of any loose buoyant materials or debris that may possibly exist or be located on the site below the 100-year flood elevation and the effects such materials and debris may have on 100-year flood elevations and flows.

(vi) The appropriate component of the Department of Environmental Protection ‘‘Planning Module for Land Development.’’

(vii) Where an excavation or grading is proposed, a plan meeting the requirements of the Department of Environmental Protection to implement and maintain erosion and sedimentation control.

(viii) Other applicable permits, such as, but not limited to, a permit for an activity regulated by the Department of Environmental Protection under section 302 of the act (32 P. S. § 679.302).

(ix) An evacuation plan which fully explains the manner in which the site will be safely evacuated before or during the course of a 100-year flood.

(h) An application for a special permit will not be approved by either a municipality or the Department unless it can be determined that the structure or activity will be located, constructed and maintained in a fashion which will comply with the following:

(1) Protect the health and safety of the public and occupants. At a minimum, new structures shall be designed, located and constructed so that:

(i) The structure will survive inundation by waters of the 100-year flood without a lateral movement or damage to either the structure itself or to any of its equipment or contents below the 100-year flood level.

(ii) The first-floor elevation will be at least 1 1/2 feet above the 100-year flood elevation.

(iii) The occupants of the structure can be safely evacuated at any time during a 100-year flood.

(2) Prevent a significant possibility of pollution, increased flood levels or flows or debris endangering life and property.

(3) Comply with the requirements of the program.

(i) A municipality issuing special permits may, upon request from an applicant, consider the possibility of modifying the freeboard requirement of subsection (h)(1)(ii), provided that the applicant can demonstrate and the municipality can determine:

(1) That there are unique physical circumstances, including such things as exceptional topographical, or other existing conditions peculiar to the property.

(2) That because of the physical circumstances and conditions the proposed development cannot be reasonably designed and constructed in compliance with the applicable requirements and that a modification is therefore necessary.

(3) That failure to grant the requested modification will result in exceptional hardship to the applicant.

(4) That approval of the request will not result in an increased flood heights within a designated floodway.

(5) That approval of the request will not result in an additional threat to public health and safety, result in an extraordinary public expense or create a nuisance.

(6) That approval of the request will not result in a conflict with other applicable laws or regulations.

(j) In approving a request for a reduction in the required freeboard, a municipality shall comply with the following:

(1) Authorize the least reduction necessary to provide relief.

(2) Notify the applicant in writing that approval of the request will result in increased premium rates for flood insurance and increase risks to the structure, its contents and occupants. The notification shall be included with the municipality records, as required in paragraph (3).

(3) Maintain a complete record of requests which have been approved authorizing reductions in freeboard.

(4) Report the requests which have been approved in its annual report to the Department.

This section cited in 12 Pa. Code § 113.1 (relating to definitions).

History

  • Authority: The provisions of this Chapter 113 issued under the Flood Plain Management Act (32 P. S. § § 679.101—679.601), unless otherwise noted.
  • Source: The provisions of this Appendix IV adopted June 12, 1980, effective June 14, 1980, 10 Pa.B. 2979; reserved December 18, 1992, effective December 19, 1992, 22 Pa.B. 6029. Immediately preceding text appears at serial page (103729).
12 Pa. Code § 113.7 Development which may endanger human life.

(a) Section 207 of the act (32 P. S. § 679.207) requires the Department to prohibit the construction or substantial improvement of structures which may endanger human life within any area which has been determined to be a flood hazard area by the Environmental Quality Board.

(b) The floodplain management regulations adopted by municipalities shall include provisions regulating the construction or substantial improvement of a structure located within a flood hazard area, which structure will be used for the production or storage of a material or substance listed in subsection (c); which will be used for an activity requiring the maintenance of a supply—more than 550 gallons on other comparable volume—of materials or substances on the premises; or which structure will involve the production, storage or use of an amount of radioactive substances. The regulations adopted by municipalities shall require at a minimum the following:

(1) That, within a flood hazard area as determined by the Environmental Quality Board except for a delineated floodway area, the construction or substantial improvement shall be prohibited unless it is elevated or floodproofed to remain dry up to at least 1 1/2 feet above the 100-year flood elevation.

(2) That, within any delineated floodway area the construction or substantial improvement is prohibited.

(c) The following list of materials and substances shall be considered dangerous to human life:

(1) Acetone.

(2) Ammonia.

(3) Benzene.

(4) Calcium carbide.

(5) Carbon disulfide.

(6) Celluloid.

(7) Chlorine.

(8) Hydrochloric acid.

(9) Hydrocyanic acid.

(10) Magnesium.

(11) Nitric acid and oxides of nitrogen.

(12) Petroleum products—gasoline, fuel oil and the like.

(13) Phosphorous.

(14) Potassium.

(15) Sodium.

(16) Sulphur and sulphur products.

(17) Pesticides including insecticides, fungicides and rodenticides.

(18) Radioactive substances insofar as the substances are not otherwise subject to regulation.

(d) A municipality which is in compliance with the act and this chapter may, upon request from an applicant, consider the possibility of modifying the freeboard requirement for the kind of development regulated by this section provided that the applicant can demonstrate and the municipality can determine:

(1) That there are unique physical circumstances, including exceptional topographical or other existing natural or man-made conditions peculiar to the property.

(2) That because of the physical circumstances and conditions, the proposed substantial improvement cannot be reasonably designed and constructed in compliance with the applicable requirements, and that a reduction is therefore necessary.

(3) That failure to grant the request will result in exceptional hardship to the applicant.

(4) That approval of the request will not result in increased flood heights within any designated floodway.

(5) That approval of the request will not result in an additional threat to public health and safety, result in an extraordinary public expense or create a nuisance.

(6) That approval of the request will not result in a conflict with other applicable laws or regulations.

(e) In approving a request for a reduction in the required freeboard, a municipality shall do the following:

(1) Authorize the least reduction necessary to provide relief.

(2) Notify the applicant in writing that approval of the request will result in increased premium rates for flood insurance and increase risks to the structure, its contents or occupants. The notification shall be included with the municipal records, as required in paragraph (3).

(3) Maintain a complete record of requests which have been approved, authorizing reductions in freeboard.

(4) Report the requests which have been approved in its annual report to the Department.

History

  • Authority: The provisions of this Chapter 113 issued under the Flood Plain Management Act (32 P. S. § § 679.101—679.601), unless otherwise noted.
  • Source: The provisions of this Appendix IV adopted June 12, 1980, effective June 14, 1980, 10 Pa.B. 2979; reserved December 18, 1992, effective December 19, 1992, 22 Pa.B. 6029. Immediately preceding text appears at serial page (103729).
12 Pa. Code § 113.8 Coordination and uniform enforcement of municipal floodplain management regulations.

(a) Section 205 of the act (32 P. S. § 679.205) requires the Department to adopt regulations establishing certain criteria and standards for the coordination and uniform enforcement of municipal floodplain management regulations. In order to carry out this responsibility, the following criteria, standards and requirements are established:

(1) As municipalities develop their individual floodplain management plans, programs and regulations, consideration shall be given to the comprehensive planning and land use activities being undertaken by other municipalities within the watershed.

(2) The floodplain management plans, programs and activities undertaken by individual municipalities within a watershed shall be coordinated and compatible with the needs and circumstances of the watershed generally and with a floodplain management or stormwater management plan which has been adopted by a group of municipalities, county or river basin commission.

(3) The technical aspects and requirements of the floodplain management regulations enacted by individual municipalities within a particular watershed shall be coordinated and compatible with those of other municipalities within the watershed.

(4) Floodplain delineations shall be continuous from one adjacent municipality to another and coordinated throughout the watershed.

(5) At a minimum the floodplain management regulations of municipalities shall apply to the following kinds of construction and development activities within areas subject to the 100-year flood:

(i) Completely new buildings or structures.

(ii) Substantial improvements to existing buildings or structures.

(iii) A man-made change to improved or unimproved real estate, including, but not limited to, filling, grading, paving, excavation, mining, dredging and drilling operations.

(6) The floodplain management regulations enacted by municipalities shall be thoroughly and equitably administered by each municipality or combination of municipalities.

(7) Identified municipalities shall forward a complete set of their up-to-date floodplain management regulations to the Department and county planning commission and shall also notify the Department and county planning commission of future changes or amendments to those regulations within 30 days following the date a change or amendment is enacted.

(8) Identified municipalities shall forward an annual report to the appropriate regional office of the Department. The report shall be on forms provided by the Department. In addition, the Department may require other pertinent information that it considers necessary in order to satisfactorily carryout its responsibilities.

(b) Where the floodplain management regulations or activities of a municipality are uncoordinated or inconsistent with those of another municipality, the Department will be available to assist with the resolution of the situation. Where two or more municipalities are unable to reconcile problems or differences, the Department will make a final determination which will be based upon the needs and circumstances of the municipalities involved and of the watershed generally. In those instances when the Department must assist with the resolution of problems or differences, it shall notify the appropriate county planning commission of information and assistance it may be able to provide.

History

  • Authority: The provisions of this Chapter 113 issued under the Flood Plain Management Act (32 P. S. § § 679.101—679.601), unless otherwise noted.
  • Source: The provisions of this Appendix IV adopted June 12, 1980, effective June 14, 1980, 10 Pa.B. 2979; reserved December 18, 1992, effective December 19, 1992, 22 Pa.B. 6029. Immediately preceding text appears at serial page (103729).
12 Pa. Code § 113.9 Inspections.

(a) Sections 402 and 403 of the act (32 P. S. § § 679.402 and 679.403) give municipalities and the Department the authority to investigate complaints, enter upon land for the purpose of surveying floodplains, enter land in a floodplain for the purpose of ascertaining the location and condition of obstructions, and to enter land or, while under construction, a structure located in a floodplain, for the purpose of ascertaining the compliance or noncompliance with applicable floodplain management regulations.

(b) An employe or agent of the Department may not undertake any of the activities listed in subsection (a) except in accordance with the following:

(1) The municipality within which the activity is to occur shall be given prior notification of the activity, at least 24 hours in advance.

(2) The owner or occupant, or both, of a premises shall be given prior notice of the activity at least 24 hours in advance.

(3) The activities shall take place only during normal weekday business hours unless other suitable arrangements are made.

(4) The individual conducting the inspection shall present his Department employe identification card prior to the inspection, and upon request during the inspection.

(c) Whenever an agent or employe of the Department or a municipality has been refused access to property for the purposes of conducting a survey or inspection, or reasonably requires access to the property without prior notice to the owner, the agent or employe may apply for an inspection warrant to a Commonwealth official authorized by law to issue a search or inspection warrant, to enable him to have access and inspect the property. It shall be sufficient probable cause to issue an inspection warrant that the inspection is necessary to properly enforce the provisions of the act and this chapter.

History

  • Authority: The provisions of this Chapter 113 issued under the Flood Plain Management Act (32 P. S. § § 679.101—679.601), unless otherwise noted.
  • Source: The provisions of this Appendix IV adopted June 12, 1980, effective June 14, 1980, 10 Pa.B. 2979; reserved December 18, 1992, effective December 19, 1992, 22 Pa.B. 6029. Immediately preceding text appears at serial page (103729).
12 Pa. Code § 113.10 Enforcement by the Department and appeals.

(a) When the Department finds that a municipality has failed to comply with the requirements of the act or regulations adopted by the Department pursuant thereto, the following procedures apply:

(1) The Department will send a written notice of violation to the municipality by registered or certified mail. The notice shall state the nature of the violation and what the municipality must do in order to correct the violation.

(2) Within 60 days of receipt of the notice of violation, the municipality shall report to the Department the action which the municipality is taking to comply with the requirement or regulations.

(3) If the municipality has failed to comply with the requirement or regulation within 180 days of the receipt of the notice of violation, the Department will notify the State Treasurer, who shall hold in escrow funds payable to the municipality from the General Fund, or other fund.

(4) When a municipality achieves or regains compliance, the Department will notify the State Treasurer accordingly, within 3 working days after the Department has been notified or has determined that the compliance has occurred.

(b) The Department may also enforce a violation of the act or this chapter by instituting a civil action to restrain, prevent or abate the violation.

(c) A person aggrieved by an action of the Department shall have the right to appeal the action and request a hearing in accordance with 2 Pa.C.S. § § 501—508 and 701—704 (relating to the Administrative Agency Law). The appeal and request for a hearing shall be taken within 30 days of receipt of the notice of the action taken by the Department.

History

  • Authority: The provisions of this Chapter 113 issued under the Flood Plain Management Act (32 P. S. § § 679.101—679.601), unless otherwise noted.
  • Source: The provisions of this Appendix IV adopted June 12, 1980, effective June 14, 1980, 10 Pa.B. 2979; reserved December 18, 1992, effective December 19, 1992, 22 Pa.B. 6029. Immediately preceding text appears at serial page (103729).
12 Pa. Code § 113.11 Reimbursements and grants to municipalities.

(a) Section 404 of the act (32 P. S. § 679.404) authorizes the Department to administer reimbursements and grants to municipalities to assist or reimburse them for costs incurred in complying with the requirements of the act. Grants and reimbursements shall be available from the Department in accordance with this section, provided that money is appropriated by the General Assembly for such purposes.

(b) Grants will be available from the Department to municipalities to reimburse them for allowable costs incurred in complying with the requirements of the act. Reimbursements will be for the following activities:

(1) Fifty per cent of the allowable costs set forth in subsection (d) incurred for the preparation and enactment, including required revisions, of the floodplain management regulations necessary to comply with the requirements of the act and this chapter.

(2) Fifty percent of the allowable costs set forth in subsection (d) for the administration, enforcement and implementation activities undertaken as required by the act.

(c) Grants will also be available from the Department to municipalities to reimburse them for allowable costs incurred in complying with either section 1910.3(c) or (d) (now section 60.3(c) or (d)) of the program regulations prior to October 4, 1978, the effective date of the act. The reimbursements will be for the following activities:

(1) Fifty percent of allowable costs set forth in subsection (d) incurred for the preparation and enactment, including required revisions, of the floodplain management regulations necessary to comply with the requirements of the program.

(2) Fifty percent of the allowable costs set forth in subsection (d) incurred for the administration, enforcement and implementation activities undertaken as necessitated by the requirements of the program.

(d) Allowable costs shall be those expenses incurred by a municipality in order to comply with the requirements of the act and this chapter. Allowable costs do not include those costs which are offset by permit fees imposed by the municipality. Costs incurred for the following items and activities shall be considered allowable costs for the purposes of this chapter.

(1) Preparation and enactment of floodplain management regulations, including the following:

(i) Costs of technical and legal services necessary to prepare regulations, administrative forms, maps and the like required by the act.

(ii) Costs of technical and legal services necessary for required public hearings.

(iii) Costs of technical and legal services necessary for enactment of the required regulations.

(2) Administrative, enforcement and implementation activities, including the following:

(i) Costs of review and processing of applications for required permits, including clerical activities.

(ii) Fees of special consultants necessary for technical consultation or plan review and permit processing matters.

(iii) Costs of monitoring and inspection activities, including fees for special consultants for technical consultation on specific matters.

(iv) Costs of technical and legal services incurred in enforcing the regulations including the restraining of violations, prosecutions and defending against appeals.

(v) Mileage expenses incurred by the permit officer in undertaking any of the administrative activities set forth in subparagraphs (i)—(iv).

(e) The Department will not reimburse municipalities for legal fees resulting from an appeal or suit against the Commonwealth; for the purchase of clothing or clothing allowance, for the printing or reproduction of regulations, forms or maps; or for another activity or expense not directly related to the requirements of the act or this chapter.

(f) Requests for a reimbursement shall be submitted to the appropriate regional office of the Department and shall be made in accordance with the following:

(1) Requests shall be submitted annually, within 3 months after the end of the fiscal year for which reimbursement is being requested, using an application form provided by the Department.

(2) An itemized statement shall accompany the application which statement provides the following information:

(i) The total expenses incurred and paid by the municipality in performing the duties necessitated by the requirements of the act.

(ii) The total amount of fees and other money earned—including uncollected fees—by the municipality in performing its duties.

(iii) The difference between expenses incurred and income, and the amount of reimbursement being requested.

(iv) Certification as to the accuracy of the information being submitted by the chief executive officer of the municipality and the individual who prepared the statement.

(g) If, in a fiscal year, appropriations are insufficient to cover the reimbursements and grants to municipalities for compliance with the requirements of the act and this chapter, the Department will report this fact to the General Assembly and will request the appropriation of additional funds. If a deficiency appropriation is not enacted, a municipality which has not received its reimbursement because of lack of funds will be given first priority when funds become available.

(h) Grants may also be made by the Department to municipalities for certain other activities such as surveys, studies, investigations, research and analyses related to the specific purposes and requirements of the act. The grants will be made at the sole discretion of the Department and will not be awarded unless there is a thoroughly documented need or value to the undertaking. Requests for a grant shall be submitted to the Governor’s Center for Local Government Services; Department of Community and Economic Development; Commonwealth Keystone Building, 400 North Street, 4th Floor, Harrisburg, Pennsylvania 17120 for consideration. The request shall be in the form of a written proposal consisting of a narrative which clearly and thoroughly describes the work proposed to be undertaken and the itemized cost estimate, including a complete list of the people to be involved and their specific responsibilities regarding the work to be undertaken. In addition, the Department may require other reasonable information it deems necessary in order to satisfactorily evaluate any proposal or to satisfactorily monitor any work being undertaken, or both.

(i) Grants from the Commonwealth will be in addition to grants for similar purposes made to a municipality by the Federal government; provided that the grants be limited so that the total of State and Federal grants does not exceed 50% of the allowable costs incurred by the municipality.

(j) Application forms and related information concerning reimbursements may be obtained from any Department regional office.

(k) Municipalities shall keep accurate records and accounts of allowable costs incurred for a period of 3 years following the submission of an application to the Department for reimbursement. During this time the Department will, upon request, have access to the records and accounts for monitoring and auditing purposes.

While not required by the act, the National Flood Insurance Program, or these regulations, the following recommendations and suggestions are offered to municipalities for their consideration as they undertake their various floodplain management activities:

(a) Municipalities are encouraged to contact any regional office of the Department for any information or assistance they may need concerning the act, the National Flood Insurance Program, and floodplain management generally.

(b) There are numerous other excellent sources of information and assistance such as county and regional planning commission, the U. S. Corps of Engineers, the U. S. Soil Conservation Service, the U. S. Geological Survey, the Federal Insurance Administration, and the various river basin commissions.

(c) Floodplain management should involve more than the adoption of codes and ordinances which regulate development in areas subject to flooding. Among other things, floodplain management can and should include many other activities such as the establishment of flood warning systems, evacuation and recovery plans, relocation and redevelopment efforts to reduce or eliminate problems, and the promotion of flood insurance.

(d) Despite the obvious importance as an individual issue, floodplain management is nevertheless only one of numerous other community planning and development considerations. Thus, any floodplain management activities undertaken by a municipality must be coordinated and integrated with other planning and related efforts underway locally and at other levels.

(e) Municipalities are encouraged to adopt regulations which more adequately control the use and development of areas which are subject to flooding. For example, a municipality could more closely regulate the kinds of uses and activities locating within its flood-prone areas. It could also require new buildings and other structures to be elevated or flood-proofed up to an elevation (preferably 1 1/2 feet) above the existing 100-year flood elevation. Numerous other possibilities also exist.

(f) Before adopting any regulations, municipalities are encouraged to send a copy of the proposed regulations to the Department for review and comment. This should avoid the need for a municipality to go back and amend a recently enacted ordinance or code because something was deficient or omitted.

The provisions of this Appendix IV adopted June 12, 1980, effective June 14, 1980, 10 Pa.B. 2979; reserved December 18, 1992, effective December 19, 1992, 22 Pa.B. 6029. Immediately preceding text appears at serial page (103729).

History

  • Authority: The provisions of this Chapter 113 issued under the Flood Plain Management Act (32 P. S. § § 679.101—679.601), unless otherwise noted.
  • Source: The provisions of this Appendix IV adopted June 12, 1980, effective June 14, 1980, 10 Pa.B. 2979; reserved December 18, 1992, effective December 19, 1992, 22 Pa.B. 6029. Immediately preceding text appears at serial page (103729).

Chapter 115 Financially Distressed Municipalities Program

12 Pa. Code § 115.1 Definitions.

The following words and terms, when used in this chapter, have the following meanings, unless the content clearly indicates otherwise: Act—The Financially Distressed Municipalities Act (53 P. S. § § 11701.101—11701.501). Secretary—The Secretary of the Department.

History

  • Authority: The provisions of this Chapter 115 issued under section 121 of the Municipalities Financial Recovery Act (53 P. S. § 11701.121), unless otherwise noted.
  • Source: The provisions of this § 115.3 adopted July 7, 1989, effective July 8, 1989, 19 Pa.B. 2948; corrected July 21, 1989, effective July 8, 1989, 19 Pa.B. 3104.
12 Pa. Code § 115.2 Annual survey of financial condition.

By March 15 of each year, each municipality within this Commonwealth shall file with the Department a completed survey of its financial condition covering the preceding year. A municipality which has failed to file its annual survey of financial condition is prohibited from receiving payments to which the municipality may otherwise be entitled to receive under The Liquid Fuels Tax Act (72 P. S. § § 2611a—2611z).

History

  • Authority: The provisions of this Chapter 115 issued under section 121 of the Municipalities Financial Recovery Act (53 P. S. § 11701.121), unless otherwise noted.
  • Source: The provisions of this § 115.3 adopted July 7, 1989, effective July 8, 1989, 19 Pa.B. 2948; corrected July 21, 1989, effective July 8, 1989, 19 Pa.B. 3104.
12 Pa. Code § 115.3 Determination of municipal financial distress.

(a) The criteria used in the determination of municipal financial distress will be the criteria in section 201 of the act (53 P. S. § 11701.201). The criteria are:

(1) The municipality has maintained a deficit over a 3-year period, with a deficit of at least 1% in each of the previous fiscal years.

(2) The municipality’s expenditures have exceeded revenues for a period of at least 3 years.

(3) The municipality has defaulted in payment of principal or interest on a bond or note, or in payment of rentals due an authority.

(4) The municipality has missed a payroll for 30 days.

(5) The municipality has failed to make required payments to judgment creditors for 30 days beyond the date of the recording of the judgment.

(6) The municipality, for a period of at least 30 days beyond the due date, has failed to forward taxes withheld on the income of employes, or has failed to transfer employer or employe contributions for Social Security.

(7) The municipality has accumulated and has operated for each of 2 successive years a deficit equal to at least 5% of its revenues.

(8) The municipality has failed to make the budgeted payment of its minimum municipal obligation as required by section 302 of the Municipal Pension Plan Funding Standard and Recovery Act (53 P. S. § 895.302), with respect to a pension fund during the fiscal year for which the payment was budgeted, and has failed to take action within that time period to make required payments.

(9) A municipality has sought to negotiate resolution or adjustment of a claim in excess of 30% against a fund or budget, and has failed to reach an agreement with creditors.

(10) A municipality has filed a Municipal Debt Readjustment Plan, under 11 U.S.C.A. § § 901—946 (relating to adjustment of debts of a municipality).

(11) The municipality has experienced a decrease in a quantified level of municipal service from the preceding fiscal year, which has resulted from the municipality reaching its legal limit in levying real estate taxes for general purposes. For determining levels of municipal service for the year 1987, the Department will utilize annual statistical data since the year 1982 to determine a pattern of decrease in delivery of municipal services since 1982.

(b) The Department may review and assess relevant information on the municipality’s financial condition to determine whether the existence of section 201 factors validly indicate the fiscal distress of the municipality.

(c) The procedures for securing municipal distress determination are as follows:

(1) A municipal financial distress determination may be initiated by one or more of the following:

(i) The Department, under section 202(1) of the act.

(ii) A creditor with matured claim to whom the municipality owes at least $10,000 if the creditor agrees to forbear legal action under section 202(3) of the act.

(iii) Ten percent of the number of electors of the municipality who voted at the last municipal election, under section 202(4) of the act (53 P. S. § 11701.202(4)).

(iv) A trustee of a municipal pension fund, an actuary for a pension fund or at least 10% of the beneficiaries of a pension fund, under section 202(5) of the act.

(v) Ten percent of the employes of the municipality who have not been paid in over 30 days from the time of a missed payroll, under section 202(6) of the act.

(vi) The trustees or paying agents of a municipal bond indenture.

(vii) The elected auditors, appointed independent auditors or elected controllers of a municipality, under section 202(8) of the act.

(viii) The governing body of the municipality, upon passing a resolution by a majority vote of the governing body after special public meeting advertised as provided by law.

(2) A party with standing may petition the Secretary for a determination that the municipality involved is a financially distressed municipality. The petition shall be signed by a party with standing, and it shall be sealed and notarized. The petition shall:

(i) Allege the petitioner has standing.

(ii) State why the petitioner believes the municipality is distressed under section 201 of the act. If the petitioner is a municipality, the petition may state why manifestation of section 201 criteria is imminent and inevitable, instead of why the petitioner believes the municipality is distressed under section 201 of the act.

(iii) Include a listing of judgments recorded against the municipality.

(iv) Include material allegations justifying the relief afforded by the act.

(d) The Department will use a standardized form reflecting criteria in section 201 of the act to allow filing for a determination of distress by those parties with standing to seek the determination.

(e) The Department may conduct a consultative investigation and hold public hearings to determine whether a municipality meets the criteria for a determination of distress under the act.

(f) A municipality will not be deemed to be distressed for circumstances from the Commonwealth’s failure to make a payment of money due the municipality, including Federal money which passes through the Commonwealth, due the municipality when the payment is due.

(g) If a determination of distress is made, the Department will appoint a coordinator within 30 days of the determination.

(h) A distress determination will remain in effect until rescinded by the Secretary.

(i) If a municipal debt adjustment under 11 U.S.C.A. § § 901—946 has occurred, the municipality will be deemed to be distressed under the act and a coordinator will be appointed.

(j) It is the policy of the Department to encourage the development of recovery plans and to provide emergency grants and loans to restore basic municipal services to minimal levels consistent with public health and safety.

(k) This determination is subject to appeal by the municipality under 2 Pa.C.S. § § 101—754 (relating to administrative law and procedure).

The provisions of this § 115.3 adopted July 7, 1989, effective July 8, 1989, 19 Pa.B. 2948; corrected July 21, 1989, effective July 8, 1989, 19 Pa.B. 3104.

History

  • Authority: The provisions of this Chapter 115 issued under section 121 of the Municipalities Financial Recovery Act (53 P. S. § 11701.121), unless otherwise noted.
  • Source: The provisions of this § 115.3 adopted July 7, 1989, effective July 8, 1989, 19 Pa.B. 2948; corrected July 21, 1989, effective July 8, 1989, 19 Pa.B. 3104.
12 Pa. Code § 115.4 Municipal distress coordinator.

(a) The coordinator is responsible for developing and filing a plan for the financial recovery of the municipality.

(b) The coordinator shall be an individual or firm experienced in municipal finance and administration.

(c) The coordinator may be an employe of the Department, a consultant or a firm. The coordinator may not be an elected official or an employe of the municipality.

(1) A coordinator will be selected by the Secretary.

(2) The Secretary may consider the municipality’s preference in the selection of the coordinator.

(3) The Department will maintain a list of eligible, qualified coordinators.

(4) The salary and expenses of the coordinator will be paid by the Department.

(d) The coordinator may not seek elective office within the municipality for 2 years after final adoption of the distressed municipality’s financial recovery plan.

History

  • Authority: The provisions of this Chapter 115 issued under section 121 of the Municipalities Financial Recovery Act (53 P. S. § 11701.121), unless otherwise noted.
  • Source: The provisions of this § 115.3 adopted July 7, 1989, effective July 8, 1989, 19 Pa.B. 2948; corrected July 21, 1989, effective July 8, 1989, 19 Pa.B. 3104.
12 Pa. Code § 115.5 Municipal recovery plans.

(a) The coordinator’s plan will be subject to a public hearing. The coordinator may revise the plan as necessary to address comments or meet objections.

(b) The municipality may adopt or reject the coordinator’s plan.

(c) If the coordinator’s plan is rejected by the municipality, the municipality shall develop its own plan which will be subject to approval by the Secretary.

(d) If the Secretary rejects the municipal plan, Commonwealth funds will be withheld from the municipality under sections 251 and 264(d) of the act (53 P. S. § § 11701.251 and 11701.264(d)).

(e) If the municipality’s plan is adopted, a person designated by the governing body or by the chief executive officer in a home rule municipality, will assume the duties of plan coordinator.

History

  • Authority: The provisions of this Chapter 115 issued under section 121 of the Municipalities Financial Recovery Act (53 P. S. § 11701.121), unless otherwise noted.
  • Source: The provisions of this § 115.3 adopted July 7, 1989, effective July 8, 1989, 19 Pa.B. 2948; corrected July 21, 1989, effective July 8, 1989, 19 Pa.B. 3104.
12 Pa. Code § 115.6 Emergency loans.

(a) After a determination of distress, but prior to the adoption of a recovery plan, the distressed municipality or the coordinator may apply for an interest-free short-term loan to assist with immediate cash shortfalls. Prior to issuing an emergency loan, the Department may conduct a consultative investigation to determine whether emergency funds are warranted and the amount of emergency funds needed. Short-term loans will be available if the applicant verifies that one of the following conditions exists:

(1) The municipality is in imminent danger of insolvency.

(2) There is a clear and present danger to the health and safety of the residents.

(b) An emergency loan shall come due within 9 months from the date of the loan. Based upon a detailed analysis of the municipality’s financial condition, the coordinator’s recovery plan may recommend conversion of all or part of an emergency loan to long-term loan.

(c) A distressed municipality or a coordinator on behalf of the municipality may apply to the Department for a long-term loan under the coordinator’s or municipality’s adopted recovery plan. An application for a long-term loan will be considered based upon the following criteria:

(1) The erosion of the municipal tax base measured over a 3-year period.

(2) A measurement of the change in locally generated municipal revenue over the 3-year period immediately preceding the filing of a financial distress petition.

(3) Measurable efforts of the municipality to raise revenue and cut expenditures prior to filing a petition for a determination of distress.

(4) Detailed financial analysis reported by the appointed municipal distress coordinator, that the municipality is clearly unable to repay a short-term loan.

(d) When municipal distress can be traced to a particular event, such as a major plant closing or a natural disaster, the difference between locally generated revenues before and after the event will be measured.

(e) When municipal distress cannot be traced to a particular event, locally generated revenues will be measured for a period of at least 3 years prior to the date of the petition for determination of distress was filed.

(f) The revenue sources to be used for the measurement made in this section will include real estate tax revenues, total real estate assessments, earned income tax revenue and occupational privilege tax revenue and other measurements that reflect specific conditions and employment trends within the municipality. Measurements will be adjusted for changes in tax rates, assessment valuations, changes of accounting bases or other factors affecting tax valuation.

(g) A public hearing will be held by the Department within 30 days after it receives an application for a long-term loan. The public hearing will provide a forum for considering the merits of the application and other relevant matters pertaining to the applicant’s financial status.

(h) If the Department determines that a long-term loan is in order, the maximum loan amount will be set and the applicant will be notified.

(i) The following procedures apply to the receipt of loans:

(1) A loan will be awarded only under a fully executed loan agreement and note between the Department and the applying municipality.

(2) The application for emergency and long-term loans shall be made in accordance with a resolution properly adopted by the governing body of the applicant municipality.

(3) If the Department approves a loan application, it will notify the applying municipality of the amount which may be awarded. The municipality shall then enact an ordinance authorizing the governing body to incur the indebtedness specified therein. The ordinance shall be enacted in compliance with notice requirements in the municipal code governing the municipality at the time of enactment.

(4) The ordinance authorizing the incurrence of indebtedness shall pledge the municipality’s full faith, credit and taxing power to satisfy the obligation incurred under the ordinance.

(5) The ordinance, along with the municipality’s final application for the loan, shall be submitted to the Department for approval.

(6) Upon approval of the documents specified in paragraph (5), the municipality shall execute a loan agreement and note with the Department for the amount approved by the Department.

(7) Upon execution of the loan agreement and note, the municipality shall file a financing statement for the loan amount, under 3 Pa.C.S. § § 1101—9507 (relating to the Uniform Commercial Code), further securing its indebtedness.

(8) The financing statement shall be filed once in the Office of the Prothonotary of the county in which the municipality is located, and once in the Office of the Secretary of the Commonwealth.

(j) The coordinator shall set forth a proposed payback schedule for long-term loans required to be addressed in the coordinator’s recovery plan. The payback schedule is subject to approval by the Department. There should be a multi-year ‘‘phase-in’’ process of loan repayment, and other adjustments as needed, such as tax increases, service cutbacks, employe reductions and negotiated creditor and debt adjustments.

History

  • Authority: The provisions of this Chapter 115 issued under section 121 of the Municipalities Financial Recovery Act (53 P. S. § 11701.121), unless otherwise noted.
  • Source: The provisions of this § 115.3 adopted July 7, 1989, effective July 8, 1989, 19 Pa.B. 2948; corrected July 21, 1989, effective July 8, 1989, 19 Pa.B. 3104.
12 Pa. Code § 115.7 Grants.

(a) A grant will be awarded only after a complete financial analysis of the municipality has been performed. The Department will give priority to grant applications which include plans for activities which are intended to accomplish the following:

(1) Reduce municipal costs.

(2) Share municipal services.

(3) Improve municipal productivity.

(4) Increase municipal revenues.

(5) Ease and assist the municipality through consolidation or merger.

(b) Grant eligibility and grant amounts will be determined using the set of criteria used for long-term loans—measured loss of revenue. In addition to the measured loss of revenue, the financial analysis will consider the following:

(1) The municipality’s borrowing ability or capacity.

(2) The municipality’s revenue raising capacity.

(3) The level of reduction of municipal services.

(c) A municipality may apply for a grant under section 302 of the act (53 P. S. § 11701.302) by adopting a resolution authorizing the governing body to apply for the grant.

History

  • Authority: The provisions of this Chapter 115 issued under section 121 of the Municipalities Financial Recovery Act (53 P. S. § 11701.121), unless otherwise noted.
  • Source: The provisions of this § 115.3 adopted July 7, 1989, effective July 8, 1989, 19 Pa.B. 2948; corrected July 21, 1989, effective July 8, 1989, 19 Pa.B. 3104.
12 Pa. Code § 115.8 Consolidation or merger of economically nonviable municipalities.

The coordinator, as part of the fiscal solvency plan, may recommend that a distressed municipality consolidate or merge with adjacent local governments. If a municipality is declared distressed, either the electors of the affected municipality by initiative, or by passage of an ordinance by the governing bodies of the municipalities proposed for consolidation or merger, may place the question of consolidation or merger on a referendum as provided in Chapter 4 of the act (53 P. S. § § 11701.401—11701.423). In either situation a referendum shall be held at the next primary or general election. A consolidation or merger may not become effective unless the referendum is approved by majority vote in each affected municipality. It is the policy of the Commonwealth to give priority to consolidated or merged municipalities in economic and community development programs funded by the Commonwealth. The Secretary will notify Commonwealth agencies of this priority.

History

  • Authority: The provisions of this Chapter 115 issued under section 121 of the Municipalities Financial Recovery Act (53 P. S. § 11701.121), unless otherwise noted.
  • Source: The provisions of this § 115.3 adopted July 7, 1989, effective July 8, 1989, 19 Pa.B. 2948; corrected July 21, 1989, effective July 8, 1989, 19 Pa.B. 3104.
12 Pa. Code § 115.9 Termination of municipal distress status.

Following the adoption of a municipal recovery plan, the Secretary may, either by the exercise of discretion or at the request of the governing body, convene a hearing to consider termination of the municipality’s distress status. Prior to the hearing, the Secretary may direct that a financial analysis be undertaken to determine the extent of the municipality’s actual financial recovery. If the Secretary is satisfied that the conditions which led to the earlier determination of municipal distress are no longer present and the objectives of the municipal recovery plan have been achieved, the Secretary will order the distress status terminated.

History

  • Authority: The provisions of this Chapter 115 issued under section 121 of the Municipalities Financial Recovery Act (53 P. S. § 11701.121), unless otherwise noted.
  • Source: The provisions of this § 115.3 adopted July 7, 1989, effective July 8, 1989, 19 Pa.B. 2948; corrected July 21, 1989, effective July 8, 1989, 19 Pa.B. 3104.
12 Pa. Code § 115.10 Public hearings conducted by the Department.

(a) Under sections 203, 242(e), 253 and 302(c)(1) of the act, the Department will hold public hearings in accordance with the Sunshine Act (65 P. S. § § 271—286). Notice of public hearings shall be published once in a newspaper of general circulation in the municipality, at least 3 days prior to the scheduled date of the hearing.

(b) A hearing will be conducted under 1 Pa. Code Part II (relating to general rules of administrative practice and procedure).

(c) The Secretary will designate presiding officers for public hearings under the act by giving notice of the appointment of them in the Pennsylvania Bulletin. The presiding officer shall produce a report identifying separately the issues, facts and findings pertaining to the financial distress determination of the applying municipality. The final report of the presiding officer shall, at its conclusion, recommend whether or not the municipality involved should be declared distressed.

History

  • Authority: The provisions of this Chapter 115 issued under section 121 of the Municipalities Financial Recovery Act (53 P. S. § 11701.121), unless otherwise noted.
  • Source: The provisions of this § 115.3 adopted July 7, 1989, effective July 8, 1989, 19 Pa.B. 2948; corrected July 21, 1989, effective July 8, 1989, 19 Pa.B. 3104.

Chapter 117 Local Government Capital Project Loan Fund

12 Pa. Code § 117.51 Authority for loans.

Authority for the Local Government Capital Projects Loan Program is provided in the Local Government Capital Projects Loan Fund Act (53 P. S. § § 6781-1—6781-9). Funding for the program is contained in the General Appropriation Acts of FY 1990-91 and FY 1991-92. The Department will provide low interest loans to qualifying municipalities.

The provisions of this § 117.51 issued under section 7 of the Local Government Capital Project Loan Fund Act (53 P. S. § 6781-7).

The provisions of this § 117.51 adopted August 21, 1992, effective August 22, 1992, 22 Pa.B. 4315.

History

  • Authority: The provisions of this § 117.96 issued under section 7 of the Local Government Capital Project Loan Fund Act (53 P. S. § 6781-7).
  • Source: The provisions of this § 117.96 adopted August 21, 1992, effective August 22, 1992, 22 Pa.B. 4315.
12 Pa. Code § 117.52 Objective of Local Government Capital Projects Loan Program.

The Local Government Capital Projects Loan Program (Program) provides financial aid from the Commonwealth to municipalities for the purchase of equipment and the purchase, construction, renovation or rehabilitation of facilities. The Program is intended to give small local governments, who find the cost of borrowing at conventional rates to be prohibitive, an opportunity to secure needed funds at an interest rate of 2% per annum. Repayment will be made over a period not to exceed either 10 years or the useful life of the equipment or facilities, whichever is less.

The provisions of this § 117.52 issued under section 7 of the Local Government Capital Project Loan Fund Act (53 P. S. § 6781-7).

The provisions of this § 117.52 adopted August 21, 1992, effective August 22, 1992, 22 Pa.B. 4315.

History

  • Authority: The provisions of this § 117.96 issued under section 7 of the Local Government Capital Project Loan Fund Act (53 P. S. § 6781-7).
  • Source: The provisions of this § 117.96 adopted August 21, 1992, effective August 22, 1992, 22 Pa.B. 4315.
12 Pa. Code § 117.53 Eligible applicants.

A municipality with a population of 12,000 or less is eligible to apply for funds.

The provisions of this § 117.53 issued under section 7 of the Local Government Capital Project Loan Fund Act (53 P. S. § 6781-7).

The provisions of this § 117.53 adopted August 21, 1992, effective August 22, 1992, 22 Pa.B. 4315.

History

  • Authority: The provisions of this § 117.96 issued under section 7 of the Local Government Capital Project Loan Fund Act (53 P. S. § 6781-7).
  • Source: The provisions of this § 117.96 adopted August 21, 1992, effective August 22, 1992, 22 Pa.B. 4315.
12 Pa. Code § 117.54 Loan limitations.

(a) Loans for equipment may not exceed $25,000 for a single piece of equipment or 50% of the total cost of the piece of equipment, whichever is less.

(b) Loans for facilities may not exceed $50,000 for a single facility or 50% of the total cost for purchasing, constructing, renovating or rehabilitating the facility, whichever is less.

(c) The remainder of project costs shall be provided as the local share. The local share may include, as appropriate, grants or loans from other sources, or assets or revenues of the municipality.

(d) The minimum amount of a loan is $1,000.

(e) Eligible municipalities may submit no more than one application in each funding cycle.

(f) Loans may not be used for operating expenditures or for the refinancing or reduction of a debt or obligation.

(g) Loans shall be repaid in a period not to exceed either 10 years or the useful life of the equipment or facility, whichever is less. A loan in the amount of $10,000 or less shall be for a period of not more than 5 years or the useful life of the equipment or facility, whichever is less.

(h) Loan repayments shall include principal plus interest at the rate of 2% per annum payable monthly on the unpaid principal, with the repayments to commence not later than 2 months after the date of the loan agreement and payable on the first day of each quarter thereafter throughout the term of the loan.

(i) A delinquency charge of 6% per annum will be imposed for a loan repayment that is 30 or more days after the original due date.

The provisions of this § 117.54 issued under section 7 of the Local Government Capital Project Loan Fund Act (53 P. S. § 6781-7).

The provisions of this § 117.54 adopted August 21, 1992, effective August 22, 1992, 22 Pa.B. 4315.

History

  • Authority: The provisions of this § 117.96 issued under section 7 of the Local Government Capital Project Loan Fund Act (53 P. S. § 6781-7).
  • Source: The provisions of this § 117.96 adopted August 21, 1992, effective August 22, 1992, 22 Pa.B. 4315.
12 Pa. Code § 117.55 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 Community and Economic Development of the Commonwealth. Fund—The Local Government Capital Projects Loans Fund.

The provisions of this § 117.55 issued under section 7 of the Local Government Capital Project Loan Fund Act (53 P. S. § 6781-7).

The provisions of this § 117.55 adopted August 21, 1992, effective August 22, 1992, 22 Pa.B. 4315.

History

  • Authority: The provisions of this § 117.96 issued under section 7 of the Local Government Capital Project Loan Fund Act (53 P. S. § 6781-7).
  • Source: The provisions of this § 117.96 adopted August 21, 1992, effective August 22, 1992, 22 Pa.B. 4315.
12 Pa. Code § 117.71 Application information.

Applications shall be submitted on forms provided by the Department. Copies of the application forms, application instructions and other information are available upon request from the Governor’s Center for Local Government Services, Department of Community and Economic Development, Commonwealth Keystone Building, 400 North Street, 4th Floor, Harrisburg, Pennsylvania 17120. Applications shall be submitted to this address. A letter of interest shall be forwarded to the Division for guidance on making applications for program funds.

The provisions of this § 117.71 issued under section 7 of the Local Government Capital Project Loan Fund Act (53 P. S. § 6781-7).

The provisions of this § 117.71 adopted August 21, 1992, effective August 22, 1992, 22 Pa.B. 4315.

History

  • Authority: The provisions of this § 117.96 issued under section 7 of the Local Government Capital Project Loan Fund Act (53 P. S. § 6781-7).
  • Source: The provisions of this § 117.96 adopted August 21, 1992, effective August 22, 1992, 22 Pa.B. 4315.
12 Pa. Code § 117.72 Application requirements.

Applicants shall submit to the Department three copies of the application, which shall include the following:

(1) A description of the proposed project, including each piece of equipment or each facility, and the proposed use of the equipment or facility.

(2) A statement concerning the impact of the project on the health, safety and welfare of the residents of the municipality.

(3) A statement concerning the sharing of the equipment or facility with other municipalities.

(4) A budget or outline of the financing of the proposed project, including information on the sources of funding for the project.

(5) A municipal resolution authorizing the submission of the application and committing the local share of the funds per Attachment A of the application.

(6) A statement of commitment for all sources of funding.

(7) Evidence of compliance with the Flood Plain Management Act (32 P. S. § § 679.101—679.601), or a resolution indicating intent to comply per Attachment B of the application.

(8) A copy of the municipal audit report for the last fiscal year.

(9) A plan specifying how the loan will be repaid per Attachment C of the application.

(10) A copy of plans/specifications for the project.

(11) Evidence of compliance with approval requirements of the Local Government Unit Debt Act (53 P. S. § § 6780-1—6780-609), when appropriate.

(12) If the application requests a score for intergovernmental cooperation, a resolution or letter of commitment from other municipalities participating in the project shall be submitted.

(13) Applications will not be accepted by the Department by facsimile machine.

The provisions of this § 117.72 issued under section 7 of the Local Government Capital Project Loan Fund Act (53 P. S. § 6781-7).

The provisions of this § 117.72 adopted August 21, 1992, effective August 22, 1992, 22 Pa.B. 4315.

History

  • Authority: The provisions of this § 117.96 issued under section 7 of the Local Government Capital Project Loan Fund Act (53 P. S. § 6781-7).
  • Source: The provisions of this § 117.96 adopted August 21, 1992, effective August 22, 1992, 22 Pa.B. 4315.
12 Pa. Code § 117.91 Factors in awarding loans.

(a) The Department will allocate 50% of the funds available in the Fund for equipment loans and 50% of the funds for facility loans. The Department may reallocate program funds as needed to maximize the use of the funds in accordance with the Local Government Capital Projects Loan Fund Act (53 P. S. § § 6781-1—6781-9).

(b) If the Department receives more applications for loans than there are funds available during an application period or funding cycle, it will rank the applications in order of priority according to the following criteria:

(1) Financial disadvantage as measured under the Department’s Early Warning System.

(2) The impact of the purchase of equipment or the purchase, construction, renovation or rehabilitation of facilities on the health, safety or welfare of the residents of the municipality.

(3) Commitment for the sharing of the equipment or facilities among two or more municipalities.

The provisions of this § 117.91 issued under section 7 of the Local Government Capital Project Loan Fund Act (53 P. S. § 6781-7).

The provisions of this § 117.91 adopted August 21, 1992, effective August 22, 1992, 22 Pa.B. 4315.

History

  • Authority: The provisions of this § 117.96 issued under section 7 of the Local Government Capital Project Loan Fund Act (53 P. S. § 6781-7).
  • Source: The provisions of this § 117.96 adopted August 21, 1992, effective August 22, 1992, 22 Pa.B. 4315.
12 Pa. Code § 117.92 Loans for facilities.

(a) Loan proceeds for facilities may be used for land acquisition, construction, renovation and rehabilitation including planning and design costs.

(b) Loans for construction, renovation or rehabilitation will be approved only under the condition that construction, renovation or rehabilitation begins within 6 months of the loan execution date.

(c) The loan shall be secured by a mortgage which shall be recorded in the office of the recorder of deeds of the county in which the land is located.

(d) Mortgage title insurance in the aggregate amount of the loan, insuring the interest of the Department as mortgagee, subject only to exceptions approved by the Department, shall be procured and paid by the municipality and delivered to the Department.

(e) For construction, renovation or rehabilitation of facilities a copy of the approved plans and specifications shall be submitted to and will be retained by the Department. The municipality is responsible for complying with applicable Federal, State and local laws. If a change to the plans and specifications is required by a governmental agency or similar body, the municipality 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 municipality shall complete the facility project 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 this case, the municipality shall notify the Department of the reasons for the delay and the anticipated completion date. Additions or changes may not be made to the plans and specifications or to a construction contract without the prior approval of the original approving agencies. Written notification of these approvals, additions or changes shall be submitted to the Department.

(f) The Department may conduct periodic inspections during construction and will conduct a final inspection after completion and prior to issuance of the final payment from the note proceeds. In lieu of the final inspection, the Department will accept a copy of the official Department of Labor and Industry inspection letter and a copy of the official certificate of occupancy.

(g) Proceeds of loans for the construction, renovation or rehabilitation of facilities will be disbursed to the municipality as follows:

(1) Thirty percent at the time of settlement.

(2) An additional 50% when 50% of the total costs of construction, renovation or rehabilitation (the Facility Project) are completed to the satisfaction of the Department.

(3) The balance of the loan when (the Facility Project) is completed and inspected by the Department. Prior to final disbursement, the Department may require copies of certificates, opinions of counsel, permits, letters, grants, authorizations and resolutions and approvals of government authorities, which the municipality shall procure and retain in its possession including certificates, opinions of counsel, permits, letters, grants, authorizations, and resolutions and approvals from governmental authorities which the municipality shall promote and retain in its possession. The facility project constructed shall comply with applicable building, zoning and planning statutes, ordinances, regulations and restrictions. The facility project shall be completed in accordance with the plans and specifications and the municipality shall provide the Department with a certificate of occupancy prior to final loan disbursement.

(h) Proceeds of loans for the acquisition of a facility shall be disbursed as a lump sum disbursement at settlement.

The provisions of this § 117.92 issued under section 7 of the Local Government Capital Project Loan Fund Act (53 P. S. § 6781-7).

The provisions of this § 117.92 adopted August 21, 1992, effective August 22, 1992, 22 Pa.B. 4315.

History

  • Authority: The provisions of this § 117.96 issued under section 7 of the Local Government Capital Project Loan Fund Act (53 P. S. § 6781-7).
  • Source: The provisions of this § 117.96 adopted August 21, 1992, effective August 22, 1992, 22 Pa.B. 4315.
12 Pa. Code § 117.93 Loans for equipment purchases.

(a) The municipality shall deliver to the Department a note, security agreement and financing statements describing the specific equipment, which shall be filed with the Department of State, Corporation Bureau 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 Department in the property acquired either in whole or in part by the municipality with proceeds from the Department loan.

(b) If a portion of the proceeds of a Department loan is used by the municipality for the purchase or other acquisition of a motor vehicle, the municipality shall supply to the Department the title to the vehicle being purchased and shall insure that a valid encumbrance is recorded in favor of the Department.

(c) If other sources are supplying funding in addition to the Department, the Department will accept a subordinate lien position.

(d) For new or used equipment purchases or procurement, the municipality shall submit one complete set of specifications of the item of equipment. The municipality is responsible for complying with applicable Federal, State or local laws with respect to equipment procurement.

(e) Loan proceeds for the acquisition of equipment shall be disbursed to the municipality at the time of settlement as a lump sum disbursement.

The provisions of this § 117.93 issued under section 7 of the Local Government Capital Project Loan Fund Act (53 P. S. § 6781-7).

The provisions of this § 117.93 adopted August 21, 1992, effective August 22, 1992, 22 Pa.B. 4315.

History

  • Authority: The provisions of this § 117.96 issued under section 7 of the Local Government Capital Project Loan Fund Act (53 P. S. § 6781-7).
  • Source: The provisions of this § 117.96 adopted August 21, 1992, effective August 22, 1992, 22 Pa.B. 4315.
12 Pa. Code § 117.94 Insurance.

(a) When requested, the municipality shall maintain the following types and amounts of insurance from insurers approved by the Department, and shall provide the Department with evidence of a valid policy of insurance naming the Department as a co-payee:

(1) Construction coverage.

(i) Worker’s compensation insurance and employer’s 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 $250 deductible provision for all losses.

(2) Fire coverage.

(3) Liability coverage.

(4) Collision coverage.

(5) Boiler coverage.

(6) Flood insurance.

(b) Policies issued shall contain standard mortgagee clauses making losses thereunder payable to the Department, the municipality and other mortgage holders. Policies or copies shall be deposited with the Department. Within 30 days prior to the expiration date of each of the policies, the municipality shall deliver to the Department satisfactory evidence of the renewal of each of the policies.

(c) In the event of loss or injury to the mortgage property, the municipality shall give immediate notice to the Department of the estimated monetary amount of the loss. The municipality shall make prompt proof of loss and furnish copies to the Department. The Department may make proof of loss if not made promptly by the municipality. A concerned insurer shall be authorized and directed by the municipality to make payment for the loss or injury to the Department and other mortgage holders jointly. The insurance proceeds or a part may be retained and applied by the Department toward payment of a loan outstanding by the Department to the municipality in priority and proportions as the Department deems proper. At the option of the Department, 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 Department designates.

The provisions of this § 117.94 issued under section 7 of the Local Government Capital Project Loan Fund Act (53 P. S. § 6781-7).

The provisions of this § 117.94 adopted August 21, 1992, effective August 22, 1992, 22 Pa.B. 4315.

History

  • Authority: The provisions of this § 117.96 issued under section 7 of the Local Government Capital Project Loan Fund Act (53 P. S. § 6781-7).
  • Source: The provisions of this § 117.96 adopted August 21, 1992, effective August 22, 1992, 22 Pa.B. 4315.
12 Pa. Code § 117.95 Interest.

The total amount of interest earned by the investment or reinvestment of all or a part of the principal of a loan shall be returned to the Department for deposit into the Fund and will not be credited as payment of principal or interest on the loan.

The provisions of this § 117.95 issued under section 7 of the Local Government Capital Project Loan Fund Act (53 P. S. § 6781-7).

The provisions of this § 117.95 adopted August 21, 1992, effective August 22, 1992, 22 Pa.B. 4315.

History

  • Authority: The provisions of this § 117.96 issued under section 7 of the Local Government Capital Project Loan Fund Act (53 P. S. § 6781-7).
  • Source: The provisions of this § 117.96 adopted August 21, 1992, effective August 22, 1992, 22 Pa.B. 4315.
12 Pa. Code § 117.96 Financial record requirements.

(a) The municipality is required to establish and maintain separate files and records of project transactions. This will include applications, correspondence, loan contracts, paid invoices and cancelled checks. Loan proceeds and local matching funds shall be deposited in a special project account.

(b) The Department may require the completion and submission of financial statements or audits, or both, prior to satisfaction of indebtedness.

The provisions of this § 117.96 issued under section 7 of the Local Government Capital Project Loan Fund Act (53 P. S. § 6781-7).

The provisions of this § 117.96 adopted August 21, 1992, effective August 22, 1992, 22 Pa.B. 4315.

History

  • Authority: The provisions of this § 117.96 issued under section 7 of the Local Government Capital Project Loan Fund Act (53 P. S. § 6781-7).
  • Source: The provisions of this § 117.96 adopted August 21, 1992, effective August 22, 1992, 22 Pa.B. 4315.

Chapter 119 Councils of Government Assistance Program

12 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: Act—Section 2501-C of The Administrative Code of 1929 (71 P. S. § 670.101). Center—The Center for Local Government Services of the Department. COG—This term shall be divided as follows:

(i) Group A. Any grouping of municipalities which have joined together formally to discuss, plan and act on matters of common concern and which is referred to in this chapter as a Council of Governments.

(ii) Group B. Any two or more municipalities that are considering joining together formally to discuss, plan and act on matters of common concern. Municipality—A city, borough, township or county.

History

  • Authority: The provisions of this Chapter 119 issued under The Administrative Code of 1929 (71 P. S. § 670.101), unless otherwise noted.
  • Source: The provisions of this Chapter 119 adopted July 2, 1970, amended September 22, 1972, 2 Pa.B. 1770; renumbered from 16 Pa. Code Chapter 31, May 16, 1997, effective May 17, 1997, 27 Pa.B. 2415. Immediately preceding text appears at serial pages (185787) to (185788), (161647) to (161648) and (183679) to (183680).
12 Pa. Code § 119.2 Authority for grants.

The act authorizes the Department to make grants to any two or more municipalities or another similar general purpose unit of government created by the General Assembly, or to a body which is authorized to act in behalf of two or more units of government, for the purpose of assisting them in acting in concert in the performance of a local governmental function, or for the purpose of conducting studies and investigations to determine the feasibility and desirability of acting in concert in the performance of local governmental functions.

History

  • Authority: The provisions of this Chapter 119 issued under The Administrative Code of 1929 (71 P. S. § 670.101), unless otherwise noted.
  • Source: The provisions of this Chapter 119 adopted July 2, 1970, amended September 22, 1972, 2 Pa.B. 1770; renumbered from 16 Pa. Code Chapter 31, May 16, 1997, effective May 17, 1997, 27 Pa.B. 2415. Immediately preceding text appears at serial pages (185787) to (185788), (161647) to (161648) and (183679) to (183680).
12 Pa. Code § 119.3 Purpose.

This chapter provides guidelines for making available to local governments the funds provided for in the act and future appropriations.

History

  • Authority: The provisions of this Chapter 119 issued under The Administrative Code of 1929 (71 P. S. § 670.101), unless otherwise noted.
  • Source: The provisions of this Chapter 119 adopted July 2, 1970, amended September 22, 1972, 2 Pa.B. 1770; renumbered from 16 Pa. Code Chapter 31, May 16, 1997, effective May 17, 1997, 27 Pa.B. 2415. Immediately preceding text appears at serial pages (185787) to (185788), (161647) to (161648) and (183679) to (183680).
12 Pa. Code § 119.4 Eligibility requirements.

(a) Group A. Eligibility requirements for Group A shall be as follows:

(1) To be eligible for program aid, a COG shall comply with the following requirements:

(i) The COG membership shall consist of at least two municipalities each of which shall have entered into a formal agreement or arrangement in forming the COG.

(ii) The COG shall be organized to continuously address itself to matters of areawide concern.

(iii) If the COG is formed to carry out a functional program, at least 2/3 of the COG membership shall participate in the program. Where a COG has only two members mutual consent shall be required.

(2) To be eligible for program aid it is not necessary that a grouping of municipalities be formally known as a COG.

(b) Group B. Two or more municipalities that are considering joining together formally to discuss, plan and act on matters of common concern.

History

  • Authority: The provisions of this Chapter 119 issued under The Administrative Code of 1929 (71 P. S. § 670.101), unless otherwise noted.
  • Source: The provisions of this Chapter 119 adopted July 2, 1970, amended September 22, 1972, 2 Pa.B. 1770; renumbered from 16 Pa. Code Chapter 31, May 16, 1997, effective May 17, 1997, 27 Pa.B. 2415. Immediately preceding text appears at serial pages (185787) to (185788), (161647) to (161648) and (183679) to (183680).
12 Pa. Code § 119.11 Statement of interest.

It is recommended that a letter of interest be forwarded to the Center as a preface to discussion and guidance on making application for program aid.

History

  • Authority: The provisions of this Chapter 119 issued under The Administrative Code of 1929 (71 P. S. § 670.101), unless otherwise noted.
  • Source: The provisions of this Chapter 119 adopted July 2, 1970, amended September 22, 1972, 2 Pa.B. 1770; renumbered from 16 Pa. Code Chapter 31, May 16, 1997, effective May 17, 1997, 27 Pa.B. 2415. Immediately preceding text appears at serial pages (185787) to (185788), (161647) to (161648) and (183679) to (183680).
12 Pa. Code § 119.12 Submission of application.

A grouping of municipalities may jointly apply for program aid through their formal organization and according to the established procedures of the Department of Community and Economic Development for making grant applications.

History

  • Authority: The provisions of this Chapter 119 issued under The Administrative Code of 1929 (71 P. S. § 670.101), unless otherwise noted.
  • Source: The provisions of this Chapter 119 adopted July 2, 1970, amended September 22, 1972, 2 Pa.B. 1770; renumbered from 16 Pa. Code Chapter 31, May 16, 1997, effective May 17, 1997, 27 Pa.B. 2415. Immediately preceding text appears at serial pages (185787) to (185788), (161647) to (161648) and (183679) to (183680).
12 Pa. Code § 119.13 Purpose of application.

An application for program aid shall be for one of the following purposes:

(1) To provide staffing for the ongoing operation of a COG.

(2) To finance the operation of a functional program designed to solve areawide problems, provide areawide services or make for more efficient operation of the area’s governmental units.

(3) To assist in financing studies to determine the feasibility and desirability of acting in concert in the performance of a local governmental function.

History

  • Authority: The provisions of this Chapter 119 issued under The Administrative Code of 1929 (71 P. S. § 670.101), unless otherwise noted.
  • Source: The provisions of this Chapter 119 adopted July 2, 1970, amended September 22, 1972, 2 Pa.B. 1770; renumbered from 16 Pa. Code Chapter 31, May 16, 1997, effective May 17, 1997, 27 Pa.B. 2415. Immediately preceding text appears at serial pages (185787) to (185788), (161647) to (161648) and (183679) to (183680).
12 Pa. Code § 119.14 Application documents.

(a) Group A. The following documents are required in applying for program aid:

(1) Three completed copies of the official application.

(2) Three copies of a brief narrative description of the proposed project, whether it involves general staffing of the COG or undertaking a functional program or study.

(3) A listing of the COG members which will participate in the project.

(4) Three copies of a basic analysis or outline of the financing of the proposed project, whether for staffing or for operating a functional program or study.

(5) A copy of the bylaws and articles of agreement establishing the COG.

(6) A minimum amount of copies of selected records or informational material necessary to indicate the following:

(i) The activities of the COG.

(ii) Financial support and participation of its members.

(iii) Short and long range planning for COG development.

(b) Group B. The following documents are required in applying for program aid:

(1) Three completed copies of the official application.

(2) Three copies of a brief narrative description and justification of the anticipated cooperative project.

(3) A resolution from each participating municipality authorizing a participating municipality to make application on its behalf.

History

  • Authority: The provisions of this Chapter 119 issued under The Administrative Code of 1929 (71 P. S. § 670.101), unless otherwise noted.
  • Source: The provisions of this Chapter 119 adopted July 2, 1970, amended September 22, 1972, 2 Pa.B. 1770; renumbered from 16 Pa. Code Chapter 31, May 16, 1997, effective May 17, 1997, 27 Pa.B. 2415. Immediately preceding text appears at serial pages (185787) to (185788), (161647) to (161648) and (183679) to (183680).
12 Pa. Code § 119.21 Factors in awarding grants.

(a) Group A. The following factors will be taken into consideration in the awarding of program aid to a COG:

(1) Whether the proposed use of requested aid by the COG relates to the solution of areawide problems, better provision of services and improvement of local government effectiveness.

(2) Whether the area and population covered by the COG, and the number of municipalities actively participating in the COG provide a logical base for the performance of the proposed function.

(3) Whether the members have evidenced support or intent to support (including financial support) the COG to make it an effective, ongoing instrument for dealing with areawide concerns. This shall include the demonstration of intent exemplified by the undertaking of a joint areawide functional program.

(4) Whether the COG is organized so that there is a minimum of overlap with the organization, activities and sphere of operation of another entity providing areawide services, such as another COG.

(5) Whether the proposed COG program is the most appropriate approach for the members of the COG to achieve their stated objectives.

(b) Group B. The following factors will be taken into consideration in the awarding of program aid to a COG:

(1) Whether the applicant’s proposed use of requested aid relates to the solution of areawide problems, provision of services and to local government effectiveness.

(2) Whether the area and population covered and the number of municipalities actively participating provide a logical base for the performance of the proposed function or study.

(3) Whether the members have evidenced support or intent to support (including financial support) the cooperative effort to make it an effective, ongoing instrument for dealing with areawide concerns. This shall include the demonstration of intent exemplified by the undertaking of a joint areawide functional program.

(4) Whether the intergovernmental activity provides for a minimum of overlap duplication or conflict with the organization, activities and sphere of operation of another entity providing area wide services, such as an existing COG.

(5) That the proposed intergovernmental activity is the most appropriate approach for the members of the COG to achieve their stated objectives.

(c) Significant funding considerations. The following will receive exceptional attention and consideration in the review and approval of applications:

(1) The geographical area and population to be served by the proposed intergovernmental activity, with a view toward maximum or optimum programmatic impact following an initial grant.

(2) The administrative performance of the grantee, particularly in administering any previous grants from the Department.

History

  • Authority: The provisions of this Chapter 119 issued under The Administrative Code of 1929 (71 P. S. § 670.101), unless otherwise noted.
  • Source: The provisions of this Chapter 119 adopted July 2, 1970, amended September 22, 1972, 2 Pa.B. 1770; renumbered from 16 Pa. Code Chapter 31, May 16, 1997, effective May 17, 1997, 27 Pa.B. 2415. Immediately preceding text appears at serial pages (185787) to (185788), (161647) to (161648) and (183679) to (183680).
12 Pa. Code § 119.22 Grant contract.

Upon approval of an application, a grant contract shall be executed between the Department and the applicant for the amount of the grant. The contract will stipulate the method of payment of the grant.

History

  • Authority: The provisions of this Chapter 119 issued under The Administrative Code of 1929 (71 P. S. § 670.101), unless otherwise noted.
  • Source: The provisions of this Chapter 119 adopted July 2, 1970, amended September 22, 1972, 2 Pa.B. 1770; renumbered from 16 Pa. Code Chapter 31, May 16, 1997, effective May 17, 1997, 27 Pa.B. 2415. Immediately preceding text appears at serial pages (185787) to (185788), (161647) to (161648) and (183679) to (183680).
12 Pa. Code § 119.23 Grant allocation and limitation.

(a) In general, the Department may contribute up to 50% of the net project or staffing cost.

(b) In proposed projects wherein a study or project of extraordinary regional significance is fully justified, the Department may contribute up to 90% of the net project cost.

(c) The grantee shall be required to provide at least l0% of the proposed project cost, whether for staffing, overhead, undertaking a functional program or studies. The required local share, when contributed directly by the grantee, may come from cash, personnel time, overhead, material, work or equipment. However, in the event and to the extent that the local matching contribution is not provided directly by the grantee, the matching contribution shall be in cash.

(d) The Secretary may adjust the ratios described in subsections (a)—(c) if, in his opinion, the interests of the Commonwealth so dictate.

History

  • Authority: The provisions of this Chapter 119 issued under The Administrative Code of 1929 (71 P. S. § 670.101), unless otherwise noted.
  • Source: The provisions of this Chapter 119 adopted July 2, 1970, amended September 22, 1972, 2 Pa.B. 1770; renumbered from 16 Pa. Code Chapter 31, May 16, 1997, effective May 17, 1997, 27 Pa.B. 2415. Immediately preceding text appears at serial pages (185787) to (185788), (161647) to (161648) and (183679) to (183680).
12 Pa. Code § 119.24 Auditing of grants.

(a) The Department of Community and Economic Development will audit grants made to COG’s in the following manner:

(1) Review of COG project records.

(2) Periodical onsite evaluative inspection by Department personnel.

(3) Other appropriate methods.

(b) The auditing of grants shall be to assure that Commonwealth funds have been expended appropriately, to evaluate the success of COG efforts where program grant monies are applied, and to evaluate the effectiveness of COGs in general and of each program in particular.

History

  • Authority: The provisions of this Chapter 119 issued under The Administrative Code of 1929 (71 P. S. § 670.101), unless otherwise noted.
  • Source: The provisions of this Chapter 119 adopted July 2, 1970, amended September 22, 1972, 2 Pa.B. 1770; renumbered from 16 Pa. Code Chapter 31, May 16, 1997, effective May 17, 1997, 27 Pa.B. 2415. Immediately preceding text appears at serial pages (185787) to (185788), (161647) to (161648) and (183679) to (183680).
12 Pa. Code § 119.25 Financial record requirements.

The grantee shall be required to establish and maintain separate files and records of project transactions. This will include all applications, correspondence, grant contract, force account payroll and expenditures and paid invoices and cancelled checks. All grant moneys and local matching funds shall be deposited in a special project account.

History

  • Authority: The provisions of this Chapter 119 issued under The Administrative Code of 1929 (71 P. S. § 670.101), unless otherwise noted.
  • Source: The provisions of this Chapter 119 adopted July 2, 1970, amended September 22, 1972, 2 Pa.B. 1770; renumbered from 16 Pa. Code Chapter 31, May 16, 1997, effective May 17, 1997, 27 Pa.B. 2415. Immediately preceding text appears at serial pages (185787) to (185788), (161647) to (161648) and (183679) to (183680).

Chapter 121 Enterprise Development Area Initiative—Statement of Policy

12 Pa. Code § 121.1 Goals.

The following is a list of program goals:

(1) To build the capacity of the local government in a disadvantaged municipality to improve the local business climate.

(2) To enable the local government in a disadvantaged municipality to facilitate growth in the quantity and quality of employment opportunities.

(3) To increase the capabilities of the local government in a distressed municipality to respond effectively to local business expansion opportunities and constraints.

(4) To assist the local government and the local business community in the formation of public/private partnerships which will develop and sustain increased rates of business investment and job creation in a disadvantaged municipality.

The provisions of this § 121.1 adopted February 11, 1983, effective February 12, 1983, 13 Pa.B. 747; amended April 1, 1988, effective April 2, 1988, 18 Pa.B. 1493. Immediately preceding text appears at serial pages (117009) to (117010).

History

  • Source: The provisions of this § 121.14 adopted April 1, 1988, effective April 2, 1988, 18 Pa.B. 1493.
12 Pa. Code § 121.2 Objectives.

The following is the list of program objectives:

(1) To enable local governments to formulate a business development strategy that will address local needs for economic growth.

(2) To provide, or arrange the provision of, site identification or expansion facility identification services.

(3) To increase the access of local firms to financing by lending institutions on mutually advantageous terms.

(4) To provide, or to arrange the provision of, expert business development technical or financial assistance, or both, to specific smaller firms in the enterprise zone as identified and requested by each firm’s principals.

(5) When requested by principals of firms located in, or committed to location in, the enterprise zone, to do the following:

(i) Arrange assistance in opportunities for export market expansion.

(ii) Arrange assistance in technology transfer applications or new product line technology assessments.

(iii) Improve community infrastructure facilities, such as streets and water and sewer systems, which will meet the stated business development needs of firms with contingent commitments to expand, start up or locate in enterprise zones.

(iv) Enable local governments in disadvantaged communities to increase the number and value of tax ratables in their municipal tax bases.

The provisions of this § 121.2 adopted February 11, 1983, effective February 12, 1983, 13 Pa.B. 747; amended April 1, 1988, effective April 2, 1988, 18 Pa.B. 1493. Immediately preceding text appears at serial page (117010).

History

  • Source: The provisions of this § 121.14 adopted April 1, 1988, effective April 2, 1988, 18 Pa.B. 1493.
12 Pa. Code § 121.3 Enterprise zone program funding sequence.

Enterprise zone program funds are available for enterprise planning zone funding, designated enterprise zone funding and designated enterprise zone refunding. Planning funds are awarded to enable the municipality to prepare a local business development strategy for its proposed enterprise zone. The completed strategy document will provide the basis for application for designation of the enterprise zone by the Secretary. Designated enterprise zone funding and subsequent refunding are available to implement the local business development strategy.

The provisions of this § 121.3 adopted February 11, 1983, effective February 12, 1983, 13 Pa.B. 747; amended April 1, 1988, effective April 2, 1988, 18 Pa.B. 1493. Immediately preceding text appears at serial pages (117010) and (103721).

History

  • Source: The provisions of this § 121.14 adopted April 1, 1988, effective April 2, 1988, 18 Pa.B. 1493.
12 Pa. Code § 121.4 Support from other Commonwealth resources.

(a) The Department will give priority, in rating applications for its other programs, to local governments having designated enterprise zones or local nonprofit organizations applying for funds for use in the municipality. These programs include housing and redevelopment assistance, neighborhood assistance and employment and community conservation.

(b) The Department will encourage other Commonwealth agencies to give similar priority consideration in rating applications for assistance under their programs.

The provisions of this § 121.4 adopted February 11, 1983, effective February 12, 1983, 13 Pa.B. 747; amended April 1, 1988, effective April 2, 1988, 18 Pa.B. 1493. Immediately preceding text appears at serial page (103721).

History

  • Source: The provisions of this § 121.14 adopted April 1, 1988, effective April 2, 1988, 18 Pa.B. 1493.
12 Pa. Code § 121.5 Planning for an enterprise zone.

(a) Eligibility to apply for planning funds. An applicant shall be a financially disadvantaged municipality under the Financially Disadvantaged Municipalities Matching Assistance Act (73 P. S. § § 398.1—398.9).

(b) Application procedure:

(1) An eligible municipality can apply directly to the Department or through a redevelopment authority for planning funding for a proposed enterprise zone. The application shall be accompanied by a copy of a resolution by the local governing body authorizing submittal of the application directly to the Department or on behalf of the local governing body by the county redevelopment authority.

(2) In those instances in which the functional area of a proposed zone overlaps municipal boundaries, the Department encourages a joint application from the involved municipalities. An approved joint application would be funded by the Department through a county in which the proposed zone is located, or through a regional agency serving the county. The application shall include a copy of a resolution from each participating local governing body authorizing the method of submittal selected.

(3) If a multi-municipal enterprise planning zone application involves a third-class or larger city with a city redevelopment authority, the application may be submitted by the city government on behalf of the other participating municipalities. Multi-municipal applications involving third-class or larger cities shall include signed resolutions from each participating municipality authorizing the submittal of the application by the city government on behalf of the participating municipalities.

(4) Smaller municipalities preparing an application for funding are encouraged by the Department to utilize the small business development experience and expertise of existing agencies or consultants having a proven track record of assistance to successful small business development projects.

(c) Priority in selection for funding.

(1) A municipality determined by the Secretary of the Department to be financially distressed under the Financially Distressed Municipalities Act (53 P. S. § § 11701.101—11701.501), may be given priority consideration for enterprise zone planning grants.

(2) Priority in selection for funding will be accorded to a municipality proposing a zone containing the largest number of smaller firms or organizations within the municipality which market products or services outside the metropolitan or multi-county regional area. Examples of the export firms are: industrial, manufacturing, fabricating, molding and assembly plants; regional medical centers; regional or national headquarters of financial institutions and data services; and construction and engineering firms.

(i) Export firms customarily employ a range of skill levels compensated at greater than minimum wage, and the structure of their work forces offers opportunity for advancement. Export firms export products or services and import cash earnings creating the opportunity for continuing business expansion in the community. Export firms also provide superior opportunities for spin off new firms or expansion of firms with objectives, such as additional product or service innovation or as local supplier firms. Export firms produce multiplier effects on community employment through the secondary firms they help to create.

(ii) Proposed zones which exhibit potential to develop a predominance of export firms are acceptable.

(iii) Proposed zones selected for a planning grant, especially in smaller municipalities, will often include a mix of business firms. Although retail, commercial and consumer services firms are not included in the primary focus of the enterprise zone program, approval for the use of program resources to assist these firms will be granted where the assistance can be shown to strengthen the strategy to assist export firms.

(3) Special consideration will be given to awarding planning funds for at least one proposed zone in an urban area, or a proposed zone in a rural area including several small municipalities, which will involve technical assistance and day-by-day project administration by a multi-county regional planning and development commission. The applications should provide ample and regular opportunity for input by the applicant local elected officials and reserve for them the final determination of the direction the project is to take.

(d) Size of proposed zone. No specific criteria govern the size of a proposed zone. Consideration should be given to the practicality of size in view of the availability of local financial and technical assistance resources for economic development. The greater business firm density of urban areas is generally accompanied by greater availability of financial and technical business development resources of financial institutions and other economic development organizations. The lower business firm density of small municipalities in predominantly rural areas provides a reasonable prospect of even one economic development professional working effectively with firms spread over a larger geographical area than would be possible in an urban area. In most rural and in many smaller urban areas, adherence to the program priority on export firms will likely indicate proposed zone boundaries. In rural areas, this consideration may suggest combining areas within contiguous municipalities into a single proposed zone. In the central cities, the density of business development may justify a proposed zone which is essentially neighborhood in size.

(e) Application contents. The application for planning funds shall contain the following:

(1) A clear and complete description of the boundaries of the proposed zone, accompanied by a map in which each item in the description is clearly legible. The description and the map should indicate the names of perimeter and interior streets, bridges, streams and creeks, as well as other natural and manmade landmarks and monuments. Approximate total acreage or square mileage and the most recent population, employment and percentage of poverty figures for the proposed zone should also be included.

(2) A brief narrative concerning what is generally known about the following items in relation to the proposed zone:

(i) The business environment of the area in terms of prevailing patterns of business expansion or contraction.

(ii) The impact of subparagraph (i) on recent employment opportunities and unemployment rates.

(iii) Particular area characteristics which either facilitate or impede business expansion, such as: labor costs, composition, reliability and availability; convenience of transportation; access to customers and suppliers; the current availability of business sites and structures at competitive prices with adequate infrastructure and energy availability; adequacy of transportation services and facilities to the proposed zone; proximity to educational and training institutions relevant to business work forces; area quality of life in terms of environmental quality, cost of living, availability of cultural amenities and recreational facilities; business climate in terms of government responsiveness and community attitudes toward business; corporate or university research and development facilities nearby; capital availability in terms of conventional commercial credit, seed and venture capital and government financing programs available to firms in the proposed zone; regulation of development by local government within the proposed zone; and capital budget and capital improvement programs utilized by the local government in which the proposed zone is located.

(3) A commitment to undertake a business development survey interview of firms located within the proposed zone. No specific criteria govern the extent of the firms to be surveyed. The percentage of firms in the proposed zone to be included in the survey will depend upon the business density and will be determined by the applicant. The budget for the application should reserve a portion of the anticipated planning grant or indicate other resources which are available for the survey task. The business development survey serves two important objectives:

(i) To gain an understanding on a firm-by-firm basis of the business development opportunities and constraints of firms in the proposed zone.

(ii) On the basis of subparagraph (i) to allocate business development resources available to the proposed zone in a manner which will lower business costs, increase business investment and increase the quantity and quality of employment opportunities. The survey process may be divided into seven parts, each of which should appear as a work element in the narrative work program of the application:

(A) The survey interview of firms in the proposed zone. Survey forms are available from the Department; however, other forms may be used with prior Departmental approval in order to assure comparability of survey results.

(B) Identification of types of business development assistance needed on a firm-by-firm basis to undertake business expansion or to remove local constraints to business expansion.

(C) Inventory of all sources of business development technical and financial assistance which can be made available to firms in the proposed zone to assist in their expansion. Typical of important services are the following:

(I) Small business incubator technical assistance.

(II) Business plan preparation/revision assistance.

(III) Business loan/grant packaging.

(IV) Federal government procurement bid assistance.

(V) Foreign export market development assistance.

(VI) Job training assistance.

(VII) Technology transfer applications technical assistance.

(VIII) Development/commercialization of new technologies assistance.

(IX) Production site location services.

(X) Arrangement with each prospective provider agency of business development technical assistance to respond to requests from the zone coordinator for assistance to individual firms in the proposed zone.

(D) Preparation of a business file and an individualized business expansion plan of assistance for each surveyed firm requesting the assistance, based on findings from the survey interview.

(E) Provision, or arrangement of provision, through referral to appropriate business development resources, of the indicated types of assistance to each surveyed firm requesting the assistance.

(F) Follow-up with each firm requesting assistance to ensure that the assistance is being delivered as promptly and effectively as possible, that the desired impact is being achieved and that new opportunities or constraints identified in the interim are being responded to.

(G) Upon completion of this first cycle, adaptation of the process to a suitable continuous and cyclical activity for the enterprise planning zone local business development strategy document which, in turn, will be the basis of the application to the Secretary for zone designation. The types of modifications made and the length anticipated for each cycle should be described and explained in the strategy document.

(f) Application submission. Four copies of the application shall be submitted to the Department. One copy shall be submitted to the appropriate regional office and three copies shall be submitted to the Strategic Planning and Operations Office. Addresses of these offices will be published annually as a notice in the Pennsylvania Bulletin.

The provisions of this § 121.5 adopted February 11, 1983, effective February 12, 1983, 13 Pa.B. 747; amended April 1, 1988, effective April 2, 1988, 18 Pa.B. 1493. Immediately preceding text appears at serial page (103722).

History

  • Source: The provisions of this § 121.14 adopted April 1, 1988, effective April 2, 1988, 18 Pa.B. 1493.
12 Pa. Code § 121.6 Planning grant administration.

Successful applicants for enterprise planning funds should immediately obtain the services of an individual knowledgeable in economic development to administer the project, if the arrangement has not been made before the award. If administration has been delegated to an agency with previous successful business development program administrative experience, the delegate agency shall assign one member of that agency’s staff to be responsible for project administration and to report to the enterprise zone organization as it may require. The Department’s regional office staff is available to assist successful applicants in selecting an administrator.

The provisions of this § 121.6 adopted February 11, 1983, effective February 12, 1983, 13 Pa.B. 747; corrected February 25, 1983, effective February 12, 1983, 13 Pa.B. 833; amended April 1, 1988, effective April 2, 1988, 18 Pa.B. 1493. Immediately preceding text appears at serial pages (103722) to (103725).

History

  • Source: The provisions of this § 121.14 adopted April 1, 1988, effective April 2, 1988, 18 Pa.B. 1493.
12 Pa. Code § 121.7 Enterprise zone organization.

(a) Successful applicants for enterprise planning zone grants are expected to develop an enterprise zone organization with membership which is representative of the vital interests of the local business community and includes representation from other community interest groups. Since the purpose of the organization is business development, representatives of the local business community should comprise a majority of the voting members of the organization. Owners and managers of local firms should be prominently represented. Other members of this majority segment should include commercial loan officers from local financial institutions and, if possible, a faculty member from the business department and one from the engineering department of a local college or university. Representatives of local unions should be invited to become members of the zone organization to provide additional insights on labor/management relations.

(b) The balance of membership should include, in addition to the chief elected municipal official or designee and a member of council, at least one member from each of the following:

(1) A representative who can speak knowledgeably on behalf of neighborhood organizations or interests.

(2) A member knowledgeable about the training capabilities of local institutions, including vo-tech schools, community colleges and other training and educational institutions.

The provisions of this § 121.7 adopted February 11, 1983, effective February 12, 1983, 13 Pa.B. 747; corrected February 25, 1983, effective February 12, 1983, 13 Pa.B. 833; amended April 1, 1988, effective April 2, 1988, 18 Pa.B. 1493. Immediately preceding text appears at serial pages (103725) to (103727).

History

  • Source: The provisions of this § 121.14 adopted April 1, 1988, effective April 2, 1988, 18 Pa.B. 1493.
12 Pa. Code § 121.8 Length of planning cycle.

To accommodate grantees encountering unusual problems in the completion of the local business development strategy during the first year of planning, the Department will consider a request to extend the duration of the first year planning grant. The initial grant is the extent of financial assistance available under the enterprise zone program for completion of the strategy, unless exceptional circumstances occur which require limited additional resources to complete the business strategy.

The provisions of this § 121.8 adopted February 11, 1983, effective February 12, 1983, 13 Pa.B. 747; corrected February 25, 1983, effective February 12, 1983, 13 Pa.B. 833; amended April 1, 1988, effective April 2, 1988, 18 Pa.B. 1493. Immediately preceding text appears at serial pages (103727) and (103728).

History

  • Source: The provisions of this § 121.14 adopted April 1, 1988, effective April 2, 1988, 18 Pa.B. 1493.
12 Pa. Code § 121.9 Local business development strategy document.

(a) The end product of the planning process is the strategy document resulting from the business interview cycle. The strategy document should contain a list of individual items of assistance to be undertaken at the request of the principals of individual firms in the proposed zone. The list should include technical assistance which may range from small business development services to technical assistance on municipal land controls, building codes, municipal infrastructure maintenance and services. The list may also include financial assistance to secure conventional financing and financial assistance for required infrastructure installation. Each item of assistance should include a contingent commitment by the prospective business beneficiary in terms of the approximate amount of business investment and jobs that will be created, by the anticipated month and year.

(b) The strategy document should describe 5-year objectives which address the substantive improvements which the applicant expects to achieve in the proposed zone—the applicant’s view of what the proposed zone can and should become in 5 years. These objectives should refer to, and be justified by, findings from the business survey. Annual reassessment of the target estimates listed in this subsection will be included in applications for refunding in subsequent years. The objectives should set quantified 5-year target estimates for the following:

(1) Amount of new/expansion business investment.

(2) Number of new jobs.

(3) Amount of nonenterprise zone program public investment.

(4) Dollar value increase in taxable business property.

(c) The strategy document should list the amount and source of funding likely to be required to implement the 5-year objectives, by the estimated year in which each project could be most advantageously undertaken for small business development purposes within the proposed zone.

(d) The strategy document shall be submitted to the Department with the application for enterprise zone designation and second-year funding of a basic grant.

The provisions of this § 121.9 adopted April 1, 1988, effective April 2, 1988, 18 Pa.B. 1493.

History

  • Source: The provisions of this § 121.14 adopted April 1, 1988, effective April 2, 1988, 18 Pa.B. 1493.
12 Pa. Code § 121.10 Application for enterprise zone designation and second-year funding.

(a) Eligibility to apply. An applicant shall have completed the enterprise zone planning cycle, including development of the required local business development strategy for the proposed zone in order to be eligible to apply.

(b) Type of grant. Applicants granted enterprise zone designation and approval for funding receive a basic grant for administrative support and seed money for projects relatively modest in scale.

(c) Application contents. The application for zone designation and second-year funding shall contain the following:

(1) A clear and complete description of the boundaries of the proposed zone, accompanied by a map in which each item in the description is clearly legible. Copies of clear boundary descriptions and maps from the applicant’s enterprise planning zone application are acceptable. Approximate total acreage or square mileage and the most recent population, employment and percentage of poverty figures for the proposed zone should be included.

(2) A summary of the description in the applicant’s preceding enterprise planning zone application concerning particular area characteristics which either facilitate or impede business expansion. Representative case examples, from the small business survey interview results included in the strategy document, which either confirm or modify what was previously known about business expansion opportunities or constraints in the zone should also be listed. The general size of the firms in terms of small, medium or large work force and the type of product or service provided by the firm should be indicated, although the names of individual firms do not need to be provided in the case example. The significance of the selected case examples to the earlier description should be briefly explained.

(3) The types and costs of resources needed to increase or redirect the economic development capacity of the applicant in order to implement the local business development strategy with continued funding for the designated enterprise zone. The amounts of funds needed and identification of funding source should be included under the proper column of the budget form for this application when expenditures for this purpose are required. Examples of budget items include establishment of a development corporation, hiring or reassignment of qualified staff or contracting with an experienced consultant.

(4) A brief general summary of the methods and activities that will be used to accomplish the objectives of the strategy, including the types of assistance typically requested by firms in the proposed zone, and the activities to be implemented to respond to these requests. The strategy document should be the source of these descriptions.

(5) A project sheet for each item of assistance requested by individual firms as identified in the strategy document and the enterprise zone program application budget sheet. Project sheets and the budget sheet are provided in the grant application package. A project sheet should be completed for each business assistance activity which is expected to account for a significant part of the anticipated enterprise zone program grant, and the budget sheet should reflect the activities as budget line items. A signed letter on the business letterhead of the prospective beneficiary firm requesting the assistance should be attached to the completed project sheet. The letter should contain contingent commitments to approximate amounts of new/additional business investment and new jobs. The project sheet should list the private and public resources identified as available, and additional private and public resources required for successful implementation of the project. For each required resource not yet available, an expected date of availability should be listed.

(6) Documentation from business survey findings of a need for business development finance services to justify a revolving loan fund work activity and budget line item. This work activity shall include provision for counseling and technical assistance in review and revision or preparation as needed of a creditable business plan for each prospective revolving loan fund applicant to ensure that conventional bank financing, Pennsylvania Industrial Development Assistance, and other sources are available to the maximum extent and on the most advantageous terms possible. A local inter-bank commitment of pooled resources should be negotiated to supplement enterprise zone program capitalization of the revolving loan fund. Local bank commercial loan officers and local business people should comprise the bulk of the loan review committee. Effort should be made to secure participation from minority and women among local business firms and banks. Applicants without at least 3 years of successful experience in the administration of business loan funds shall name a cooperative agency with appropriate experience to administer the revolving loan fund. Documentation should be provided of the nature and length of the proposed administering agency’s experience, a copy of the agency’s loan policies, additional detail required to identify sources of capitalization in the revolving loan fund, the composition by qualification of the loan committee, and a general but quantitative review of performance of outstanding loans in terms of payment regularity, defaults and nonperforming loans.

(d) Application submission. Four copies of the application shall be submitted to the Department with one sent to the appropriate regional office and three sent to the Strategic Planning and Operations Office. Addresses of these offices will be published annually as a notice in the Pennsylvania Bulletin.

The provisions of this § 121.10 adopted April 1, 1988, effective April 2, 1988, 18 Pa.B. 1493.

History

  • Source: The provisions of this § 121.14 adopted April 1, 1988, effective April 2, 1988, 18 Pa.B. 1493.
12 Pa. Code § 121.11 Application for refunding 3rd through 5th year.

(a) Eligibility to apply. Applicants who previously received zone designation and second-year funding may apply for refunding at the end of the grant period. The basis for the application is an annual review and updating of the local business development strategy.

(b) Type of grant. Basic grants are available for administrative support and seed money for modestly sized projects.

(c) Application contents. The application should contain the following:

(1) A status report of the overall strategy 5-year objectives including the quantified objectives and the current status—quantified—of achieving each objective.

(2) A description and analysis of outstanding business development successes during the current year, and the degree to which they confirm the effectiveness of the current strategy and priorities for the coming year, or the degree to which they suggest changes for enhanced effectiveness for the coming year.

(3) A description and analysis of instructively unsuccessful projects related to pursuit of the present strategy and priorities which suggest changes for enhanced effectiveness during the coming year. This information is vital for the Department’s periodic assessment of the effectiveness of Departmental policies. It is not the Department’s view that an unsuccessful project is a sign of an ineffective agency. It has often been noted that the most successful agencies are the least inhibited in discussing their unsuccessful projects.

(4) A brief description of each project successfully or unsuccessfully concluded during the current year. For designated enterprise zones experiencing a pattern of frustration in their business development projects, the Department will attempt, in consultation with the applicant, to arrange expert technical assistance to reduce problems mutually identified to manageable proportions within present or achievable agency capabilities.

(5) Updated project sheets for projects active but not completed during the current year, which are to be continued during the coming year. These projects should be identified as ‘‘Continuing’’ at the top of the front page of each project sheet.

(6) Project sheets for new projects to be undertaken during the coming year.

(7) A line-item budget for the anticipated grant.

(8) A detailed and legible map of enterprise zone boundaries, approximate total acreage or square miles, and the most recent population, unemployment and percentage of poverty figures for the designated enterprise zone.

(d) Amendment to zone boundaries. Once during a fiscal year an applicant may propose a change in the zone boundary. An addition to the zone shall involve only an area contiguous to the existing zone. The applicant shall state how the change would complement the local business development strategy and how the change would affect the zone’s ability to achieve the goals of the strategy.

(e) Application submission. Four copies of the application shall be submitted to the Department. One copy shall be sent to the appropriate regional office and three copies shall be sent to the Strategic Planning and Operations Office. Addresses of the offices listed in this subsection will be published annually as a notice in the Pennsylvania Bulletin.

The provisions of this § 121.11 adopted April 1, 1988, effective April 2, 1988, 18 Pa.B. 1493.

History

  • Source: The provisions of this § 121.14 adopted April 1, 1988, effective April 2, 1988, 18 Pa.B. 1493.
12 Pa. Code § 121.12 Application for refunding 6th year and beyond.

(a) Eligibility to apply. The Department will inform each municipality having a designated enterprise zone whether it is eligible to apply for refunding for a 6th year and beyond. Eligibility to apply for a 6th year of funding will be determined by the Department based upon its examination, during the 5th year of funding for a zone, of the degree to which the 5-year objectives have been achieved, either as originally stated or as most recently accepted in amended form by the Department.

(1) Factors considered during the examination will include the following:

(i) The overall pattern of development occurring within the zone as compared to the dominant pattern of development sought in the 5-year objectives.

(ii) The number of new jobs created.

(iii) The amount of new/additional business investment.

(iv) Current strategy objectives.

(v) Business development.

(vi) New job creation prospects.

(vii) The increase in available financial resources for implementation developed over the 5-year period.

(2) Examples of the factors listed in paragraph (1) include: documented arrangements with county or regionally-administered business loan funds and customized job training organizations for prompt consideration of zone-business development finance or skill training requests; access to pooled area banks’ or municipal CDBG funds’ capitalization of a small business revolving loan fund; arrangements with Senior Corps of Retired Executives financial executives to provide assistance to small business start-ups and small expanding firms in need of help to prepare or revise their business plans; and arrangements with a regional agency to provide or arrange assistance in preparation of a Federal procurement contract bid, export market development or technology transfer application.

(3) Assessments of each zone will be individualized to the extent permitted by available data to avoid unfair comparisons of raw numbers between metropolitan and nonmetropolitan zones. Special circumstances will be carefully considered and may influence an assessment, but will rarely provide the basis for the Department’s conclusions about each zone’s 5-year performance.

(4) Eligibility of a municipality to apply for funding beyond the 6th year will be determined by the Department based upon its annual reviews.

(b) Type of grant. Basic grants are available for administrative support and seed money for modestly sized projects.

(c) Application contents.

(1) For the 6th year and for each subsequent year of funding, applicants should produce clear evidence of progress toward attainment of project objectives of improved job quality which include increased full-time employment or opportunities for full-time employment at above minimum wage levels with fringe benefits and opportunity for advancement.

(2) Updated project sheets shall be provided for projects active but incomplete during the current year, which are to be continued during the coming year. These projects should be identified as ‘‘Continuing’’ at the top of the front page of each project sheet. Project sheets for new projects to be undertaken during the coming year and a line-item budget for the anticipated grant should also be included.

(d) Application submission. Four copies of the application shall be submitted to the Department. One copy shall be sent to the appropriate regional office and three copies shall be sent to the Strategic Planning and Operations Office. The addresses listed in this subsection will be published annually in the Pennsylvania Bulletin.

(e) Phase down or discontinuation of basic grants. The Department generally will not extend designated zone basic grant funding beyond a maximum of 8 years. The persistence on a multi-year basis of an absence of progress on job quality objectives within the zone may result in reduced or discontinued funding. The final 2 years of basic grant funding for successful zones will be at reduced levels, but the zones will remain eligible for priority access to other Commonwealth resources. Municipalities with more than one zone may opt for continuation of basic grants beyond the 8th year, or may opt for closing of the zones and apply for planning grants for new zones.

The provisions of this § 121.12 adopted April 1, 1988, effective April 2, 1988, 18 Pa.B. 1493.

History

  • Source: The provisions of this § 121.14 adopted April 1, 1988, effective April 2, 1988, 18 Pa.B. 1493.
12 Pa. Code § 121.13 Competitive grants.

In addition to basic grant funding, additional support is available through competitive grants for implementation of the local business development strategy or new opportunities that would have a significant impact on the designated enterprise zone. The competitive grant is reserved for projects of larger scale and greater impact requiring commensurately larger resources to facilitate higher levels of new job generation or job retention, or both, and business investment and for which other contingent investment commitments are in place. Priority will be given to applicants for competitive grants that demonstrate a direct benefit to the applicant in its award of these funds to a business through assumption of an equity position or other assets of the business.

(1) Eligibility to apply. Designated enterprise zones are eligible to apply for competitive grants beginning with 2nd-year basic grant funding and annually through zone termination.

(2) Eligible uses of funds. It is the intent of the Department to utilize the competitive grant component of the enterprise zone program as a catalyst for targets of opportunity that will retain or create employment within the designated enterprise zone. Eligible activities include the following:

(i) Stabilization of existing export business or industry so that the firms will become competitive as a result of the requested funds.

(ii) Expansion of existing export businesses’ or industries’ facilities or operations or production capabilities.

(iii) Modernization of the methods used by export firms without displacing current employes.

(iv) Attraction of new export firms to the enterprise zone as a direct result of funds requested under the competitive grants component of the enterprise zone program.

(v) New technology ventures approved for funding support through the Ben Franklin Partnership are eligible for use of competitive grant funds.

(3) Eligible costs. Eligible costs include infrastructure development, purchases or improvement of equipment and machinery, and property acquisition or improvements. The Department will also consider as eligible up to 40% of the total cost of working capital or inventory costs, based on documentation of market prospects to support the request.

(4) Application contents. An applicant shall show how the proposed project to be supported by the competitive grant would fit into an economic development strategy for the designated enterprise zone and result in jobs which are in export firms. Proposed projects resulting in jobs in commercial and retail operations will receive low priority. The application shall include evidence of firm financial commitment on the part of business and lending institutions and evidence that the project will be under construction within 120 days of receipt of a grant contract. The Department is interested in funding projects which will result in the creation of at least one job for every $15,000 of enterprise zone program competitive grant funds invested, and in which at least 50% of the jobs created will be of higher than minimum wage.

(5) Amount of grant. It is the Department’s intention to award a limited number of competitive grants each fiscal year, subject to the availability of required funding. If the total available appropriation is committed for a fiscal year, applications received subsequently will be held until funds become available. No municipality may receive a competitive grant which when added to basic grants to zones in the municipality would be more than 20% of the total enterprise zone program appropriation. No competitive grant will be in excess of 30% of the project cost.

(6) Submission of application. Three copies of the application shall be submitted to the Department’s Strategic Planning and Operations Office and one copy shall be submitted to the appropriate regional office. Applications will be accepted throughout the year.

The provisions of this § 121.13 adopted April 1, 1988, effective April 2, 1988, 18 Pa.B. 1493.

History

  • Source: The provisions of this § 121.14 adopted April 1, 1988, effective April 2, 1988, 18 Pa.B. 1493.
12 Pa. Code § 121.14 Termination of zones.

(a) Termination at the request of the municipality. Designated zones which develop and sustain increased rates of business investment and job creation in a shorter period of time than originally expected will be encouraged to enter the final 2 phase-down years of reduced funding promptly. These successful grantees are encouraged to submit applications for enterprise planning zone grants within the same municipalities, or in the case of multi-municipal zones, within a nearby distressed municipality. Successful applicants for new planning funds would proceed through the enterprise planning zone cycle of activities described in this chapter.

(b) Termination by action of the Department. If, as a result of an annual review, the Department determines there is no evidence of progress in implementing the local business development strategy or in achieving goals of the strategy, or no evidence of the capacity of the grantee to manage the program, the Department will take action to terminate the zone.

The provisions of this § 121.14 adopted April 1, 1988, effective April 2, 1988, 18 Pa.B. 1493.

History

  • Source: The provisions of this § 121.14 adopted April 1, 1988, effective April 2, 1988, 18 Pa.B. 1493.

Chapter 123 Community Revitalization Program—Statement of Policy

12 Pa. Code § 123.1 Introduction.

(a) The CRP provides grants for community revitalization and improvement projects throughout this Commonwealth. CRP funds may be used for projects consistent with Act 38A of 2008. Eligible projects are defined in § 123.3(b) (relating to eligibility).

(b) Assistance from the CRP is in the form of grants from the Commonwealth to eligible applicants for projects which, in the judgment of the Department, comply with Act 38A of 2008, are in accordance with the program guidelines in this chapter and meet the requirements of the Department’s Single Application for Assistance.

(c) Applications under CRP may also be considered by the Department for other programs administered by the Department.

(d) Care in preparation of the application will assist the Department in the approval process.

The provisions of this § 123.1 amended August 25, 2000, effective August 26, 2000, 30 Pa.B. 4434; amended August 31, 2001, effective September 1, 2001, 31 Pa.B. 4966; amended August 23, 2002, effective August 24, 2002, 32 Pa.B. 4161; amended January 23, 2004, effective January 24, 2004, 34 Pa.B. 488; amended September 3, 2004, effective September 4, 2004, 34 Pa.B. 4925; amended September 23, 2005, effective September 24, 2005, 35 Pa.B. 5270; amended October 20, 2006, effective October 21, 2006, 36 Pa.B. 6411; amended September 28, 2007, effective September 29, 2007, 37 Pa.B. 5266; amended September 5, 2008, effective September 6, 2008, 38 Pa.B. 4915. Immediately preceding text appears at serial page (329927).

History

  • Source: The provisions of this § 123.9 adopted October 20, 2006, effective October 21, 2006, 36 Pa.B. 6411; amended September 5, 2008, effective September 6, 2008, 38 Pa.B. 4915. Immediately preceding text appears at serial pages (329934) to (329935).
12 Pa. Code § 123.2 Definitions.

The following words and terms, when used in this chapter, have the following meanings, unless the context clearly indicates otherwise: Application—The Department’s Single Application for Assistance. CRP—The Community Revitalization Program. Department—The Department of Community and Economic Development of the Commonwealth.

History

  • Source: The provisions of this § 123.9 adopted October 20, 2006, effective October 21, 2006, 36 Pa.B. 6411; amended September 5, 2008, effective September 6, 2008, 38 Pa.B. 4915. Immediately preceding text appears at serial pages (329934) to (329935).
12 Pa. Code § 123.3 Eligibility.

(a) Eligible applicants. The following are eligible for CRP grants:

(1) Local governments, including, but not limited to, counties, cities, boroughs, townships and home rule municipalities.

(2) Municipal and redevelopment authorities and agencies.

(3) Industrial development authorities and agencies.

(4) Nonprofit organizations incorporated under the laws of the Commonwealth.

(5) Community organizations engaged in activities consistent with the program guidelines as determined by the Department.

(b) Eligibility of projects. CRP funds may be used for community revitalization and improvement projects consistent with Act 38A of 2008.

(1) Eligible projects must meet one or more of the following criteria:

(i) Improve the stability of the community.

(ii) Promote economic development, community development or both.

(iii) Improve existing or develop new, or both, civic, cultural, recreational, industrial and other facilities or activities.

(iv) Assist in business retention, expansion, creation or attraction.

(v) Promote the creation of jobs and employment opportunities.

(vi) Enhance the health, welfare and quality of life of citizens of this Commonwealth.

(2) Projects for the sole benefit of a for-profit entity are not eligible for program funding.

(3) Grants may not be used to fund revolving loan programs.

(4) Repayment of debt not incurred as the direct result of the project is an ineligible use. Indebtedness incurred prior to July 1 of the fiscal year in which the grant is approved will be presumed to not be indebtedness incurred as the direct result of the project and therefore will be an ineligible use.

(c) Conditions on certain applicants.

(1) Private clubs and organizations (Rotary, Elks and the like). The following conditions apply:

(i) A private club or organization must be a not-for-profit organization.

(ii) A private club or organization may not discriminate on the basis of race, creed, color, place of national origin or sexual preference in accepting members or selecting participants, but may establish appropriate qualifications for program participation and benefits such as age or income level.

(iii) A private club or organization may apply for grant funds for the following projects:

(A) Equipment, supplies, food and other operational expenses for use in community activities such as parades, tournaments and the like.

(B) Program expenses for community service programs, including parades, tournaments, educational, social and cultural projects, and the like.

(C) Erection and maintenance of public memorials in public places.

(D) Construction or renovations, or both, to a club facility, provided the private club or organization can demonstrate that one of the following applies:

(I) A significant number of community events are held at its facility and these events are open to the public with no entry fee or with a nominal fee.

(II) Its facility is made available to community groups for their programs free of charge or at a discounted rate.

(2) Religious organizations (churches, schools and the like). The following conditions apply:

(i) Funds may not be used for religious purposes, including religious observances, or for tuition, scholarships or other financial assistance to or administrative expenses of parochial schools including charter schools that advance religious education, except as otherwise permitted in this section.

(ii) A religious organization may apply for grant funds for the following projects:

(A) Equipment, supplies (for example, playground and sports equipment, supplies or other consumables) and community outreach programs with no religious component.

(B) Construction or renovations to a facility owned or leased by a religious organization provided the facility is to be used exclusively for nonreligious activities for the ‘‘useful life’’ of the construction or renovations.

(C) Capital improvements to the exterior of church-owned buildings provided the buildings have been determined eligible for listing or are already listed in the National Register of Historic Places under the National Historic Preservation Act (16 U.S.C.A. § § 470—470x-6).

(3) Fiduciary organizations. An applicant is a fiduciary organization if all or a portion of the requested funds are to be used by any organization other than the applicant. In these cases, the following conditions apply:

(i) The fiduciary organization shall demonstrate that it and proposed subgrantees are eligible applicants.

(ii) The fiduciary organization shall provide a grant narrative and budget covering funds to be expended by the fiduciary organization and all subgrantees. Alternatively, the fiduciary organization may provide in its narrative and budget the guidelines, uses and budgets under which subgrants will be made and utilized.

(iii) Subgrantees and projects to be undertaken by subgrantees must be eligible under the guidelines contained in this chapter.

(iv) For subgrants of $5,000 or more, prior to disbursing grant funds to subgrantees, the fiduciary organization shall provide the Department with copies of all written subgrant agreements, as well as proof of the subgrantees’ eligibility under the guidelines contained in this chapter.

(v) A fiduciary organization shall submit to the Department a closeout report or, if the grant amount exceeds $100,000, an audit for all grant funds expended by the grantee and each subgrantee. Failure to do so will make the fiduciary organization and any subgrantee not providing required documentation of expenditures ineligible for further financial assistance from the Department. A subgrantee may submit its own closeout or audit report to avoid ineligibility.

(vi) A fiduciary organization is responsible for ensuring that grant funds are used by subgrantees for eligible purposes in accordance with the approved budget. Fiduciary organizations may not receive administrative or management fees from subgrant funds.

(vii) A fiduciary organization shall establish and utilize guidelines that evaluate a subgrantee’s eligibility for financial assistance. The guidelines must include, at a minimum, the following:

(A) The subgrantees benefit demographics. (for example, age group, special needs or economic status).

(B) The subgrantees credit history, including financial statements and tax returns, if available.

(C) The subgrantees’ program goals.

(D) A budget outlining the use of the grant funds and the sources of any additional funding utilized by the subgrantee.

(viii) An organization that has chapters, offices or other entities that operate under the general direction of the parent organization (for example, Boys and Girls Clubs, YMCA’s and Special Olympics) will not be considered a ‘‘fiduciary organization’’ and may submit a single comprehensive program and budget narrative and closeout report or audit.

(ix) The Office of Chief Counsel of the Department will make final determination of an organization’s eligibility and capacity to serve as a fiduciary organization under this section.

The provisions of this § 123.3 amended August 25, 2000, effective August 26, 2000, 30 Pa.B. 4434; amended August 31, 2001, effective September 1, 2001, 31 Pa.B. 4966; amended August 23, 2002, effective August 24, 2002, 32 Pa.B. 4161; amended January 23, 2004, effective January 24, 2004, 34 Pa.B. 488; amended September 3, 2004, effective September 4, 2004, 34 Pa.B. 4925; amended September 23, 2005, effective September 24, 2005, 35 Pa.B. 5270; amended October 20, 2006, effective October 21, 2006, 36 Pa.B. 6411; amended September 28, 2007, effective September 29, 2007, 37 Pa.B. 5266; amended September 5, 2008, effective September 6, 2008, 38 Pa.B. 4915. Immediately preceding text appears at serial pages (329928) to (329930).

This section cited in 12 Pa. Code § 123.1 (relating to introduction).

History

  • Source: The provisions of this § 123.9 adopted October 20, 2006, effective October 21, 2006, 36 Pa.B. 6411; amended September 5, 2008, effective September 6, 2008, 38 Pa.B. 4915. Immediately preceding text appears at serial pages (329934) to (329935).
12 Pa. Code § 123.4 Program requirements and instructions.

The following requirements apply to CRP:

(1) Project applications shall be submitted using the Department’s Electronic Single Application for Assistance by means of www.newpa.com/find-and-apply-for-funding/funding-and-program-finder/index.aspx or www.NewPa. com. Paper applications are no longer acceptable. Electronic applications will be accepted throughout the fiscal year up to the March 21, 2011, submission deadline, subject to § 123.5 (relating to application submission and approval procedure).

(2) The Department reserves the right to request additional information, explanation, clarification or revision of funding requests.

(3) Incomplete applications may be rejected. An applicant shall follow the detailed instructions for completing the Department’s Single Application for Assistance. The narrative must include:

(i) A description of the applicant, including a general purpose or mission statement.

(ii) Identification of the need for CRP assistance and the applicant’s project goals.

(iii) Identification of the measurable outcomes, including jobs created or retained, number of people trained, land or buildings acquired or renovated, and the like.

(iv) A project schedule with key milestones and dates.

(v) Documentation to support projected budget costs. A detailed scope of services must be submitted with the application for any consulting, legal or accounting fees included in the project budget.

(vi) Documentation of matching dollars, such as commitment letters, receipts, and the like.

(vii) A religious disclaimer assuring that the grant funds will not be used for religious purposes.

The provisions of this § 123.4 amended August 31, 2001, effective September 1, 2001, 31 Pa.B. 4966; amended January 23, 2004, effective January 24, 2004, 34 Pa.B. 488; amended September 23, 2005, effective September 24, 2005, 35 Pa.B. 5270; amended October 20, 2006, effective October 21, 2006, 36 Pa.B. 6411; amended September 28, 2007, effective September 29, 2007, 37 Pa.B. 5266; amended September 5, 2008, effective September 6, 2008, 38 Pa.B. 4915; amended May 28, 2010, effective May 29, 2010, 40 Pa.B. 2772. Immediately preceding text appears at serial pages (336350) to (336351).

History

  • Source: The provisions of this § 123.9 adopted October 20, 2006, effective October 21, 2006, 36 Pa.B. 6411; amended September 5, 2008, effective September 6, 2008, 38 Pa.B. 4915. Immediately preceding text appears at serial pages (329934) to (329935).
12 Pa. Code § 123.5 Application submission and approval procedure.

(a) The application is available at the Department’s web site www.newpa.com/find-and-apply-for-funding/funding-and-program-finder/index.aspx. Applications will be accepted throughout the fiscal year up to the March 21, 2011, submission deadline. Applications will be subject to § 123.7 (relating to limitations and penalties).

(b) CRP grant awards will be made in four funding rounds.

(c) Grant applications not funded in a particular round will be rolled over to the next round in the same fiscal year.

(d) Application deadlines and tentative announcement dates for each round are as follows:

Targeted grant announcement dates are subject to change without notice at the discretion of the Department.

(e) Any CRP funds remaining after the fourth round may be awarded by the Department up to the lapsing date of funds for the 2008-2009 fiscal year appropriation.

(f) Letters will not be sent to applicants after each funding round advising applicants that they have not been funded.

(g) Applicants that do not receive funding during any of the four rounds will be notified to reapply during the following fiscal year. Unsuccessful applicants shall submit a new application to be considered for funding the following fiscal year.

(h) Information on the status of submitted grant applications may be obtained from the Department’s Customer Service Center. An ‘‘assignment of account manager’’ letter constitutes confirmation of receipt of the application.

The provisions of this § 123.5 amended August 25, 2000, effective August 26, 2000, 30 Pa.B. 4434; amended August 31, 2001, effective September 1, 2001, 31 Pa.B. 4966; amended August 23, 2002, effective August 24, 2002, 32 Pa.B. 4161; amended January 23, 2004, effective January 24, 2004, 34 Pa.B. 488; amended September 3, 2004, effective September 4, 2004, 34 Pa.B. 4925; amended September 23, 2005, effective September 24, 2005, 35 Pa.B. 5270; amended October 20, 2006, effective October 21, 2006, 36 Pa.B. 6411; amended September 28, 2007, effective September 29, 2007, 37 Pa.B. 5266; amended September 5, 2008, effective September 6, 2008, 38 Pa.B. 4915; amended May 28, 2010, effective May 29, 2010, 40 Pa.B. 2772. Immediately preceding text appears at serial pages (336351) to (336352).

This section cited in 12 Pa. Code § 123.4 (relating to program requirements and instructions).

History

  • Source: The provisions of this § 123.9 adopted October 20, 2006, effective October 21, 2006, 36 Pa.B. 6411; amended September 5, 2008, effective September 6, 2008, 38 Pa.B. 4915. Immediately preceding text appears at serial pages (329934) to (329935).
12 Pa. Code § 123.6 Procedures.

(a) CRP grant award notifications will be issued by letter. The applicant will thereafter receive a contract and a payment requisition form to be signed and returned to the Department for execution.

(b) The applicant will maintain full and accurate records with respect to the project. The Department will have complete access to these records including invoices for goods and services and other relevant data and records, as well as the right to inspect all project work. The applicant will promptly furnish all data, reports, contracts, documents and other information requested by the Department.

(c) Approved grants in the amount of $100,000 or more require the grantee to provide an audit of the grant prepared by an independent certified public accountant as defined under Pennsylvania law. See The C.P.A. Law (63 P. S. § § 9.1—9.16b) and 49 Pa. Code Chapter 11 (relating to State Board of Accounting). The Single Audit performed for Federal audit purposes (A133) will not be accepted.

(d) Grants under $100,000 require the grantee to submit a closeout report with appropriate supporting documentation identifying expenditures of State funds consistent with the approved contract budget.

(e) Funds will be directly deposited into grantees’ bank accounts by means of an Automating Clearing House transfer of funds in accordance with the provisions of the contract between the grantee and the Department.

(f) Applications from organizations that are not compliant with audit or closeout report requirements for other contracts received by them from the Department are ineligible to receive additional financial assistance until the audit or closeout report requirements are met.

The provisions of this § 123.6 amended August 25, 2000, effective August 26, 2000, 30 Pa.B. 4434; amended August 31, 2001, effective September 1, 2001, 31 Pa.B. 4966; amended August 23, 2002, effective August 24, 2002, 32 Pa.B. 4161; amended January 23, 2004, effective January 24, 2004, 34 Pa.B. 488; amended September 3, 2004, effective September 4, 2004, 34 Pa.B. 4925; amended September 23, 2005, effective September 24, 2005, 35 Pa.B. 5270; amended October 20, 2006, effective October 21, 2006, 36 Pa.B. 6411; amended September 5, 2008, effective September 6, 2008, 38 Pa.B. 4915. Immediately preceding text appears at serial pages (329932) to (329933).

History

  • Source: The provisions of this § 123.9 adopted October 20, 2006, effective October 21, 2006, 36 Pa.B. 6411; amended September 5, 2008, effective September 6, 2008, 38 Pa.B. 4915. Immediately preceding text appears at serial pages (329934) to (329935).
12 Pa. Code § 123.7 Limitations and penalties.

(a) When a project is funded, the grantee shall place the grant funds in an interest bearing account. Interest earned on the invested grant funds must be returned to the Department.

(b) An applicant may not make or authorize any substantial change to an approved project without first obtaining the Department’s consent in writing.

(c) If the full amount of the grant is not required for the project, the unused portion shall be returned to the Department.

(d) Failure to comply with the guidelines contained in this chapter may result in penalties, including repayment of funds with interest.

The provisions of this § 123.7 amended August 31, 2001, effective September 1, 2001, 31 Pa.B. 4966; amended October 20, 2006, effective October 21, 2006, 36 Pa.B. 6411; amended September 5, 2008, effective September 6, 2008, 38 Pa.B. 4915. Immediately preceding text appears at serial page (329933) to (329934).

This section cited in 12 Pa. Code § 123.5 (relating to application submission and approval procedure).

History

  • Source: The provisions of this § 123.9 adopted October 20, 2006, effective October 21, 2006, 36 Pa.B. 6411; amended September 5, 2008, effective September 6, 2008, 38 Pa.B. 4915. Immediately preceding text appears at serial pages (329934) to (329935).
12 Pa. Code § 123.8 Contact information.

(a) Inquiries should be directed to:

Pennsylvania Department of Community andEconomic DevelopmentCustomer Service CenterCommonwealth Keystone Building400 North Street, Fourth FloorHarrisburg, Pennsylvania 17120-0225, (866) 466-3972e-mail: ra-dcedcs@state.pa.us.

(b) Applicants receiving a funding notice from the Department should direct inquiries to the account manager identified in the notice. The applicant should have the assigned application number available when contacting the account manager.

The provisions of this § 123.8 amended August 31, 2001, effective September 1, 2001, 31 Pa.B. 4966; amended October 20, 2006, effective October 21, 2006, 36 Pa.B. 6411; amended September 28, 2007, effective September 29, 2007, 37 Pa.B. 5266. Immediately preceding text appears at serial pages (323187) to (323188).

History

  • Source: The provisions of this § 123.9 adopted October 20, 2006, effective October 21, 2006, 36 Pa.B. 6411; amended September 5, 2008, effective September 6, 2008, 38 Pa.B. 4915. Immediately preceding text appears at serial pages (329934) to (329935).
12 Pa. Code § 123.9 Vendor registration.

(a) An applicant shall be registered with the Commonwealth’s Vendor Registration System before a grant may be approved. The system tracks information regarding vendors that do business with or receive grant funds from the Commonwealth and assigns a vendor number to the organization. In the event the application is funded, the organization shall be registered in this system before a contract can be issued.

(b) After submission of an application by means of the Department’s Electronic Single Application for Assistance, applicant will receive correspondence indicating its vendor registration status. The applicant should review this correspondence and follow the specified instructions.

(c) Questions regarding vendor registration status, should be referred to the Central Vendor Management Unit at the address and phone number in this section. Applicants should have their nine digit Federal Identification Number available when contacting the Central Vendor Management Unit.

Commonwealth of PennsylvaniaCentral Vendor Management UnitBureau of Financial Management6th Floor, Verizon Tower,Strawberry Square303 Walnut StreetHarrisburg, PA 17101-1830(866) 775-2868

(d) Applicants who are not registered with the Commonwealth’s Vendor Registration System should register at www.vendorregistration.state.pa.us. Applicants should click on the Nonprocurement Registration Form link and follow the instructions provided.

The provisions of this § 123.9 adopted October 20, 2006, effective October 21, 2006, 36 Pa.B. 6411; amended September 5, 2008, effective September 6, 2008, 38 Pa.B. 4915. Immediately preceding text appears at serial pages (329934) to (329935).

History

  • Source: The provisions of this § 123.9 adopted October 20, 2006, effective October 21, 2006, 36 Pa.B. 6411; amended September 5, 2008, effective September 6, 2008, 38 Pa.B. 4915. Immediately preceding text appears at serial pages (329934) to (329935).

Subpart B Community Empowerment

Chapter 131 Manpower Employment Assistance and Training Program

12 Pa. Code § 131.1 Purpose of the act.

The purpose of the act is to enable the Community Empowerment Office and Department to perform the following:

(1) Authorize the establishment or support of programs to utilize all available manpower services.

(2) Provide the necessary services, programs, incentives, and opportunities to create full employment in the regular economy.

(3) Develop useful skills through training, on-the-job supervision, and special work projects in order to create for individuals and their families financial independence, useful roles in the community, dignity and self-esteem.

History

  • Authority: The provisions of this Chapter 131 issued under the Manpower Employment Assistance and Training Act (43 P. S. § § 690.1—690.7), unless otherwise noted.
  • Source: The provisions of this § 131.51 adopted January 19, 1973, effective January 20, 1973, 3 Pa.B. 110; amended December 18, 1992, effective December 19, 1992, 22 Pa.B. 6027. Immediately preceding text appears at serial page (10358).
12 Pa. Code § 131.2 Purpose of the program.

(a) The purpose of the program is to help solve the critical problems of unemployment and under-employment through a comprehensive training or supportive program.

(b) Priority will be given to applicants who meet the following requirements:

(1) Help generate additional Federal dollars and a proportionate local share.

(2) Show a social dimension, particularly in training of ex-addicts, ex-offenders and recovered alcoholics.

(3) Through funding under the program, would help produce additional low-cost housing units in rural and urban areas including the associated supportive services involved.

(4) Are submitted by nonprofit, tax exempt agencies.

History

  • Authority: The provisions of this Chapter 131 issued under the Manpower Employment Assistance and Training Act (43 P. S. § § 690.1—690.7), unless otherwise noted.
  • Source: The provisions of this § 131.51 adopted January 19, 1973, effective January 20, 1973, 3 Pa.B. 110; amended December 18, 1992, effective December 19, 1992, 22 Pa.B. 6027. Immediately preceding text appears at serial page (10358).
12 Pa. Code § 131.3 Aims.

The aim of the Department, in accordance with the provisions of the act, is the following:

(1) Organize, initiate, develop and carry out or assist in the development of manpower programs for the employment of individuals.

(2) Adopt, and assist in the adoption of, practical methods of vocational training and guidance, or related programs of training and guidance.

(3) Establish, or assist in the establishment of, programs for the improvement of employment potential of individuals.

(4) Rehabilitate, or assist in the rehabilitation of, disadvantaged persons, unemployed persons or under-employed persons.

(5) Employ such personnel as may be necessary to carry out the purposes of the act.

(6) Exercise its powers to include, but not be limited to, the execution of the programs listed under section 4 of the act (43 P. S. § 690.4).

History

  • Authority: The provisions of this Chapter 131 issued under the Manpower Employment Assistance and Training Act (43 P. S. § § 690.1—690.7), unless otherwise noted.
  • Source: The provisions of this § 131.51 adopted January 19, 1973, effective January 20, 1973, 3 Pa.B. 110; amended December 18, 1992, effective December 19, 1992, 22 Pa.B. 6027. Immediately preceding text appears at serial page (10358).
12 Pa. Code § 131.11 Responsibility—grantor.

The responsibility for the administration of the act rests solely with the Department, however, the responsibility for the development, administration and internal evaluation of the programs lies with the applicant receiving a grant from the Department. The field representative of the Department, Office of Community Services, shall be responsible for monitoring the program as it progresses, and shall make evaluation visits and reports to the administrator.

History

  • Authority: The provisions of this Chapter 131 issued under the Manpower Employment Assistance and Training Act (43 P. S. § § 690.1—690.7), unless otherwise noted.
  • Source: The provisions of this § 131.51 adopted January 19, 1973, effective January 20, 1973, 3 Pa.B. 110; amended December 18, 1992, effective December 19, 1992, 22 Pa.B. 6027. Immediately preceding text appears at serial page (10358).
12 Pa. Code § 131.12 Eligibility.

The Department will contract with, cooperate with, enter into agreement with, make grants to, receive contributions or grants from any agency of the Federal Government, State or any county or municipality, authority, private and public corporations, organizations, association, individual or other persons in the furtherance of the powers contained in the act.

History

  • Authority: The provisions of this Chapter 131 issued under the Manpower Employment Assistance and Training Act (43 P. S. § § 690.1—690.7), unless otherwise noted.
  • Source: The provisions of this § 131.51 adopted January 19, 1973, effective January 20, 1973, 3 Pa.B. 110; amended December 18, 1992, effective December 19, 1992, 22 Pa.B. 6027. Immediately preceding text appears at serial page (10358).
12 Pa. Code § 131.13 Proposal requirements.

(a) The regional office of the Department shall be available to assist any applicant with technical assistance and advice for the preparation of a proposal to be submitted under the act.

(b) Every effort will be made by applicant to establish contact with other departments at the regional level which have relevant programs that may be packaged with program. Also, it is imperative that this same effort to package programs be made within the Department. All proposals must be submitted to the regional office for review and evaluation and approved by the Department before a grant will be made.

(c) The proposal shall contain the following specific information:

(1) Legal title and date of incorporation, address, telephone number, legal status, specific contact individuals and a history of the organization of the applicants.

(2) Characteristics, needs, and number of persons to be trained.

(3) Full description of the program.

(4) Purpose of the proposal in detail, including the following:

(i) Services to be established.

(ii) Authority for such services.

(iii) Number of people to be served.

(iv) Selection basis for participants.

(v) Specific program activities.

(vi) Specific referral activities for participants.

(vii) Priorities and procedure in selection of staff.

(5) A description of the type and the extent of the counselling to be used, indicating the role of State employment services, businesses, unions and other public or private agencies in recruiting, testing, counselling and selection through a written letter from those involved.

(6) No manpower training project will be approved without written comment on the project by a responsible organization or agency familiar with community manpower problems and requirements, such as the Chamber of Commerce, Urban Coalition, or unions.

(7) Presentation of a title and description of the occupations for which training is offered and an evidentiary presentation of a local need for the occupation, and justification of such a need.

(8) A description of the method and scope of training including the length of the cycles in weeks and hours of training.

(9) An indication of the role of the applicant agency, businesses, unions and other private or public agencies in the placement of ‘‘graduate’’ trainees.

(10) A description of the provisions for maintaining accurate trainee, program and financial records.

(11) The provision of a statement in writing on efforts made to obtain funding by agencies, local, State, or Federal, that provide the same services, and the amounts of money requested from these sources.

(12) A statement that the proposal is or is not to be an ongoing program and, if not, what efforts are being made to get other support to make this proposal an on-going activity.

(13) The provision of an inventory of existing and past sources of funding with proposal descriptions.

History

  • Authority: The provisions of this Chapter 131 issued under the Manpower Employment Assistance and Training Act (43 P. S. § § 690.1—690.7), unless otherwise noted.
  • Source: The provisions of this § 131.51 adopted January 19, 1973, effective January 20, 1973, 3 Pa.B. 110; amended December 18, 1992, effective December 19, 1992, 22 Pa.B. 6027. Immediately preceding text appears at serial page (10358).
12 Pa. Code § 131.14 Submission of proposals.

The proposed budget will be submitted on a form provided by the Department. Allowable administrative costs for any contractor applying for Program funds shall not exceed 10% of the total Program allocation being requested. Considered under administrative costs are project administration, recruitment, counselling services, supervision, job development, placement and any fringe benefits for staff or consulting services.

(1) Recruitment shall not be considered for funding under this program. Rather, it should be done through either local, private tax-exempt organizations, or organized neighborhood groups who are identified as working with eligible applicants. The local Bureau of Employment Security office should also be considered in the recruitment process.

(2) If remedial education is needed, effort shall be made to utilize programs of the Public School System or funding under the Manpower Development and Training Act (42 U.S.C.A. § 2571 et seq.) or 2508.3 funds for the Program for Industrial Training (24 P. S. § 24-2508.3) through the school district. If this is not possible, reasons should be given by the District itself in the proposal.

(3) Counselling services include the appraisal of the trainees’ interests, aptitude, abilities, personal characteristics. This also includes assisting the trainee through not only the scheduled counselling but the extra sessions which are most important as he tries to relate to the requirements and opportunities of this new field of work.

(4) Job development refers to the process of developing new training-related positions where no known openings exist.

(5) Referral and placement include processes whereby a trainee is assisted and placed into meaningful employment upon completion of the training period with the sponsor or elsewhere in the area’s community.

(6) Follow up is the method by which the progress of a trainee is measured and assistance is provided him as required after placement.

History

  • Authority: The provisions of this Chapter 131 issued under the Manpower Employment Assistance and Training Act (43 P. S. § § 690.1—690.7), unless otherwise noted.
  • Source: The provisions of this § 131.51 adopted January 19, 1973, effective January 20, 1973, 3 Pa.B. 110; amended December 18, 1992, effective December 19, 1992, 22 Pa.B. 6027. Immediately preceding text appears at serial page (10358).
12 Pa. Code § 131.21 Personnel: salaries, wages, overtime, hospitalization and insurance, other fringe benefits and payroll taxes.

These positions shall be completely itemized including the individual’s name and resume.

History

  • Authority: The provisions of this Chapter 131 issued under the Manpower Employment Assistance and Training Act (43 P. S. § § 690.1—690.7), unless otherwise noted.
  • Source: The provisions of this § 131.51 adopted January 19, 1973, effective January 20, 1973, 3 Pa.B. 110; amended December 18, 1992, effective December 19, 1992, 22 Pa.B. 6027. Immediately preceding text appears at serial page (10358).
12 Pa. Code § 131.22 Consultants and contract services: accounting, legal and stipends.

Trainees may receive stipends only. Wages and fringe benefits may not be paid to a trainee. A stipend may be paid to a trainee if he is involved in a ‘‘pure’’ training program. Under this type of program, the trainee cannot produce any item which may be sold for a profit. In addition, Federal and State employment taxes would not apply to stipends paid trainees. If there is any question on this matter, the regional office should be contacted.

History

  • Authority: The provisions of this Chapter 131 issued under the Manpower Employment Assistance and Training Act (43 P. S. § § 690.1—690.7), unless otherwise noted.
  • Source: The provisions of this § 131.51 adopted January 19, 1973, effective January 20, 1973, 3 Pa.B. 110; amended December 18, 1992, effective December 19, 1992, 22 Pa.B. 6027. Immediately preceding text appears at serial page (10358).
12 Pa. Code § 131.23 Travel: per diem, transportation, maintenance of vehicles rentals or owned.

Transportation costs will only be considered when no other agency can provide funds for this, when there are no stipends being paid, and when the work site, during the course of the training program, changes to merit consideration of such expenses.

History

  • Authority: The provisions of this Chapter 131 issued under the Manpower Employment Assistance and Training Act (43 P. S. § § 690.1—690.7), unless otherwise noted.
  • Source: The provisions of this § 131.51 adopted January 19, 1973, effective January 20, 1973, 3 Pa.B. 110; amended December 18, 1992, effective December 19, 1992, 22 Pa.B. 6027. Immediately preceding text appears at serial page (10358).
12 Pa. Code § 131.24 Space costs and rentals: rent, renovation and utilities.

(a) Renovations of a building either owned or rented by the contractor will not be allowed under the program.

(b) Rent shall only be considered where it pertains to nonpublic space not owned by the grantee.

History

  • Authority: The provisions of this Chapter 131 issued under the Manpower Employment Assistance and Training Act (43 P. S. § § 690.1—690.7), unless otherwise noted.
  • Source: The provisions of this § 131.51 adopted January 19, 1973, effective January 20, 1973, 3 Pa.B. 110; amended December 18, 1992, effective December 19, 1992, 22 Pa.B. 6027. Immediately preceding text appears at serial page (10358).
12 Pa. Code § 131.25 Consumable supplies.

Consumable supplies shall include office supplies, postage, office accessories under $50 per item, maintenance supplies and medical supplies.

History

  • Authority: The provisions of this Chapter 131 issued under the Manpower Employment Assistance and Training Act (43 P. S. § § 690.1—690.7), unless otherwise noted.
  • Source: The provisions of this § 131.51 adopted January 19, 1973, effective January 20, 1973, 3 Pa.B. 110; amended December 18, 1992, effective December 19, 1992, 22 Pa.B. 6027. Immediately preceding text appears at serial page (10358).
12 Pa. Code § 131.26 Rental or lease of equipment: rental or lease of office machines, furniture and fixtures, outdoor equipment, special equipment.

Purchase of equipment will not be allowed unless it is done through the use of Commonwealth excess or surplus property; or through the use of the act of July 9, 1971 (71 P. S. § 633(h)).

History

  • Authority: The provisions of this Chapter 131 issued under the Manpower Employment Assistance and Training Act (43 P. S. § § 690.1—690.7), unless otherwise noted.
  • Source: The provisions of this § 131.51 adopted January 19, 1973, effective January 20, 1973, 3 Pa.B. 110; amended December 18, 1992, effective December 19, 1992, 22 Pa.B. 6027. Immediately preceding text appears at serial page (10358).
12 Pa. Code § 131.27 Other costs: repair, insurance, telephone, publications and painting and other direct costs.

All costs in this category shall be completely and separately itemized before approval can be given.

History

  • Authority: The provisions of this Chapter 131 issued under the Manpower Employment Assistance and Training Act (43 P. S. § § 690.1—690.7), unless otherwise noted.
  • Source: The provisions of this § 131.51 adopted January 19, 1973, effective January 20, 1973, 3 Pa.B. 110; amended December 18, 1992, effective December 19, 1992, 22 Pa.B. 6027. Immediately preceding text appears at serial page (10358).
12 Pa. Code § 131.31 Eligibility.

(a) Eligibility requirements for a trainee to be enrolled in a project that applies for Program funds are as follows:

(1) The trainee shall reside in an impoverished area.

(2) The trainee shall be within the income guidelines established by the Federal Office of Economic Opportunity.

(3) The trainee shall be between the ages of 18 and 50 and either unemployed or underemployed.

(4) The trainee may not have participated in any Federal or State administered manpower training program within the past 2 years.

(5) Preference will be given to the following:

(i) Public Assistance recipients, especially those with dependents

(ii) Ex-offenders

(iii) Ex-addicts

(iv) Reformed alcoholics

(b) Verification of trainees’ status utilizing the above criteria shall be submitted to the Department within 2 weeks of the beginning date of each training cycle.

History

  • Authority: The provisions of this Chapter 131 issued under the Manpower Employment Assistance and Training Act (43 P. S. § § 690.1—690.7), unless otherwise noted.
  • Source: The provisions of this § 131.51 adopted January 19, 1973, effective January 20, 1973, 3 Pa.B. 110; amended December 18, 1992, effective December 19, 1992, 22 Pa.B. 6027. Immediately preceding text appears at serial page (10358).
12 Pa. Code § 131.41 Agency responsibilities.

The Department, through its Office of Community Services, will be responsible for the overall administration of this program. The staff of the Office of Community Services will perform the following functions:

(1) Make copies of these regulations and the appropriate forms available to all interested parties requesting them.

(2) Give notice of the availability of the regulations for the act directly through the Department’s regional offices and indirectly through as many news media as will assure adequate announcement of the availability of the program.

(3) The Departmental procedure for processing a program request shall be the PERC system as outlined in the Executive Directive of the Department 1-7 dated January 20, 1970, copies of which are available from the regional office.

(4) Proposals shall be treated in the following manner:

(i) Proposals will be reviewed in the regional office and submitted to a Regional PERC. If approved the proposal will be forwarded to the Office of Community Services.

(ii) The Office of Community Services will review and evaluate the proposal as to feasibility, funding and legality. If not disapproved by the Bureau, the proposal will be forwarded to other State agencies for comment before submitting the proposal to PERC.

(iii) PERC will review and evaluate the proposal and return the complete proposal to the Office Director stating it is approved, disapproved or tabled.

(iv) The Office Director will notify the appropriate regional office of the disposition of the proposal.

(v) The regional office will notify the applicant of the final disposition of the proposal.

(vi) The Office Director will initiate preparation of the contract of approved proposals.

History

  • Authority: The provisions of this Chapter 131 issued under the Manpower Employment Assistance and Training Act (43 P. S. § § 690.1—690.7), unless otherwise noted.
  • Source: The provisions of this § 131.51 adopted January 19, 1973, effective January 20, 1973, 3 Pa.B. 110; amended December 18, 1992, effective December 19, 1992, 22 Pa.B. 6027. Immediately preceding text appears at serial page (10358).
12 Pa. Code § 131.51 Grantee responsibilities.

(a) In the administration of their program, each agency shall conform with the following:

(1) Submit six copies of the proposal, containing work programs and budgets for each component, to the appropriate Department regional office. The Regional Office will acknowledge receipt of proposals and advise that they are being reviewed and that further information will be furnished following the review.

(2) After notification of the proposal’s approval, receive a contract form whereupon the agency will acknowledge and accept the terms of the contract by affixing the signatures required on the last page of the contract. This contract will then be returned to the Management Support Division for final signatures.

(3) Be bound by fact that the contract will be fully executed only when the required signatures are obtained, including that of the Governor in contracts exceeding $100,000, or the Secretary for grants not exceeding $100,000.

(4) Understand that no expenditures or obligations will be made against the contract grant until after the contract is signed by the Governor and dated.

(b) The Department reserves the right to make exceptions to grantee reimbursement if the criteria in subsection (a) have not been adhered to in recruitment.

(c) The Program Statistical Report Form for training programs and the Program Supportive Services Report Form are to be submitted on a monthly basis. These monthly reports are due in the central office by the tenth of the following month with a copy to the appropriate Regional Office. It is to be understood by the grantee that the Community Empowerment Office can suspend a program and the incurrence of expenses from the due date until the report is received.

The provisions of this § 131.51 adopted January 19, 1973, effective January 20, 1973, 3 Pa.B. 110; amended December 18, 1992, effective December 19, 1992, 22 Pa.B. 6027. Immediately preceding text appears at serial page (10358).

This section cited in 12 Pa. Code § 131.91 (relating to general information).

History

  • Authority: The provisions of this Chapter 131 issued under the Manpower Employment Assistance and Training Act (43 P. S. § § 690.1—690.7), unless otherwise noted.
  • Source: The provisions of this § 131.51 adopted January 19, 1973, effective January 20, 1973, 3 Pa.B. 110; amended December 18, 1992, effective December 19, 1992, 22 Pa.B. 6027. Immediately preceding text appears at serial page (10358).
12 Pa. Code § 131.61 Grantee-delegate responsibilities to grantor.

Every grantee funded under the Program, is completely responsible for the actions of every delegated activity or activities. To insure this premise, the grantee shall conform with the following:

(1) Contracts. A contract or agreement shall be executed in writing for the delegation of activities, signed by the Executive Director and Board Chairperson or President of the delegated agency.

(2) Submission. A copy or copies of the Delegate Agency Agreement shall be submitted to the grantor for approval, after which the agreement becomes an integral part of the grantee’s work program and budget.

(3) Stipulation. The grantee-delegate agreement shall stipulate the following conditions: work to be performed; delegate shall in a satisfactory manner as determined by the grantee, either perform all activities for the program of the grantee, as approved in the grant of the grantor to the grantee, or explicit description, in writing, of the obligation of the delegate.

(4) Compliance with approved program. All activities authorized by this grantee-delegate written agreement will be performed in accordance with the approved work program, the approved budget, the grant conditions and relevant grantor directives.

(5) Reports, records and evaluation. The grantee shall supervise, evaluate and provide guidance and direction to the delegate in the conduct of activities delegated under this contract. The delegate agrees to submit to the grantee such reports as may be required by grantor or by the grantee, including reports on work program progress for each delegated activity.

(6) Audits. Every grantee shall obtain from their delegates copies of interim and final audits, as a part of the grantee’s audit responsibility to the grantor. All delegates handling cash must submit a copy of a fidelity bond to the grantee. Such bond will provide coverage to meet the requirements listed in § 131.81 (relating to bonding). All earned interest on program funds must be turned over to the Department.

(7) Changes. Grantees may from time to time request changes in scope of services or budget changes for the delegate. All such requests for change must be in writing with complete justification showing original and revised budgets and approved by grantee and grantor.

(8) Time and attendance. Delegates must keep time and attendance records for all employes, signed jointly by the employe and the supervisor before payment for services.

(9) Compliance with local laws. Delegates shall comply with all applicable laws, ordinances and codes of the State and local governments. Furthermore delegates shall not discriminate against any employe or applicant for employment because of race, sex, creed, color or national origin. The grantee shall take affirmative action to ensure that applicants are employed, and that employes are treated during employment, without regard to their race, age, sex, creed, color or national origin.

(10) Covenant against contingent fees. The delegate warrants that no person or selling agency or other organization has been employed or retained to solicit or secure this contract upon an agreement or understanding for a commission, percentage or brokerage, or contingent fee. For breach or violation of this warrant the grantee or the grantor shall have the right to annul this contract without liability or at their discretion, to deduct from the contract, or otherwise recover the full amount of such commission, percentage, brokerage, or contingent fee, or to seek other remedies as legally may be available.

(11) Schedule of payment. Subject to receipt of funds from Commonwealth Program, the grantee agrees to reimburse the delegate for authorized expenditures. An advance of money, mutually agreed upon, will be paid to the delegate for estimated expenditures for a mutually agreed upon number of months. The delegate will submit to the grantee or grantor vouchers that are sufficient to support payment under the accounting procedures of the grantee or grantor established or approved by the accountant of the grantee or the accounting requirements of audits of the grantor. Within 30 days the grantee will approve or disapprove payment of the vouchers, and will make additional payments equal to the amount of such approved expenditures to the delegate. In no event, however, will the delegate receive reimbursement for any cost categories in excess of the approved budget, except as it has received prior written authorization from the grantee or the grantor, which is incorporated into and shall be attached to the grantee-delegate contract.

(12) Termination. The grantee may, by giving reasonable written notice specifying the effective date, terminate the grantee-delegate contract in whole or in part for cause, which shall include the following:

(i) Failure for any reason, of the delegate to fulfill in a timely and proper manner its obligations under this contract, including compliance with the approved program and attached conditions, and such statutes grantee or grantor directives, as may become generally applicable at any time.

(ii) Submission by the delegate to grantee or grantor of any required reports or statements that are incorrect or incomplete in any material respect.

(iii) Ineffective or improper use of funds provided under this contract.

(iv) Suspension or termination by grantor of the grant to the grantee under which this contract is made, or the portion thereof delegated by this contract.

(v) The delegate may terminate this contract with the grantee upon mutual agreement in writing, setting forth explicit reasons for such actions. In the event of any termination, all property and finished or unfinished documents, data, studies and reports prepared or equipment purchased by the delegate under this contract shall be disposed of according to grantee or grantor directives and the delegate shall be entitled to compensation for any unreimbursed expenses reasonably incurred in the satisfactory performance of the contract. Notwithstanding the above, the delegate shall not be relieved of liability to the grantee or grantor for any and all damages sustained by them by virtue of any breach of contract by the delegate and the grantee or grantor may withhold any reimbursement to the delegate for the purpose of set-off until such time as the exact amount of damages due the grantee or grantor from the delegate is agreed upon or otherwise determined. Finally, the grantee shall ensure that the individuals signing for the delegate agency are unequivocally authorized by the Agency’s controlling body to commit the delegate agency to the terms of this contract.

(13) Records and equipment retention. All records of transactions, such as time and attendance, internal controls, checkbook stubs, cancelled checks, cash receipts and cash disbursement journals and general ledgers shall be retained by the grantee-delegate for a period of 3 years, or turned over to the grantor upon request. Any and all equipment purchased with Program funds by delegates must be turned over to the grantee or grantor upon request for contract termination made for cause.

History

  • Authority: The provisions of this Chapter 131 issued under the Manpower Employment Assistance and Training Act (43 P. S. § § 690.1—690.7), unless otherwise noted.
  • Source: The provisions of this § 131.51 adopted January 19, 1973, effective January 20, 1973, 3 Pa.B. 110; amended December 18, 1992, effective December 19, 1992, 22 Pa.B. 6027. Immediately preceding text appears at serial page (10358).
12 Pa. Code § 131.71 Grant payments.

(a) Payments are rendered in four equal installments unless otherwise specified under the schedule of payment terms in contract. The first payment is an advance payment of 1/4 of the total entitlement. The second and third payments of 1/4 each of the entitlement will be made when the agency produces financial statements showing need for more funds predicated upon project expenditure patterns and fulfillment of work programs and established budgets. Reference should also be made to § 131.84 (relating to invoices).

(b) Final payment will not be released until an interim audit has been submitted. Reference should also be made to § 131.82 (relating to auditing and evaluation).

(c) All required statistical progress and fiscal reports shall be current in order for allotment requests to be approved for payment.

History

  • Authority: The provisions of this Chapter 131 issued under the Manpower Employment Assistance and Training Act (43 P. S. § § 690.1—690.7), unless otherwise noted.
  • Source: The provisions of this § 131.51 adopted January 19, 1973, effective January 20, 1973, 3 Pa.B. 110; amended December 18, 1992, effective December 19, 1992, 22 Pa.B. 6027. Immediately preceding text appears at serial page (10358).
12 Pa. Code § 131.72 Grant changes.

(a) The Commonwealth will not participate in any expenditures that were not included in the final work program and budget unless prior written permission has been obtained from the Community Empowerment Office.

(b) Agency must submit work program and budget change requests in writing and cannot make changes without acknowledgment and approval of the Bureau in writing.

(c) Proposal budget shall be on a form provided by the Department.

(d) All budget changes after the original department approvals shall be on a form provided by the Department to show new line budget covering all seven cost categories.

History

  • Authority: The provisions of this Chapter 131 issued under the Manpower Employment Assistance and Training Act (43 P. S. § § 690.1—690.7), unless otherwise noted.
  • Source: The provisions of this § 131.51 adopted January 19, 1973, effective January 20, 1973, 3 Pa.B. 110; amended December 18, 1992, effective December 19, 1992, 22 Pa.B. 6027. Immediately preceding text appears at serial page (10358).
12 Pa. Code § 131.81 Bonding.

Before the payment against the first invoice, all contracting agencies shall submit to their appropriate regional office a fidelity bond which will provide coverage to meet the following requirements:

(1) The bond shall be a Fidelity Bond on a name, position schedule form.

(2) Applicant agency shall be shown as the insured.

(3) The obligee, or beneficiary shall be shown to be the Commonwealth. This provision may appear in the body of the bond or as a rider.

(4) At no time shall this bond be an addendum to a bond for another State or Federal grant program unless the other State program is funded through the Office of Community Services, Department of Community and Economic Development.

(5) The bond must contain the contract number, the total amount of the grant, the project name and the program name (TEAM).

(6) The period of coverage will be for the length of the contract and shall be renewable until the end of such contract and whenever any premium rebates are made the rebated sum is made payable to the Commonwealth of Pennsylvania, Department of Community and Economic Development.

(7) Each person named on the schedule form shall be bonded for the largest amount to be invoiced at any time as provided under the terms of the contract.

(8) The persons’ names on the schedule form shall include:

(i) Each person authorized to sign a check. A suggested minimum number of names would be three.

(ii) The person or persons authorizing disbursement of funds.

This section cited in 12 Pa. Code 131.61 (relating to grantee-delegate responsibilities to grantor).

History

  • Authority: The provisions of this Chapter 131 issued under the Manpower Employment Assistance and Training Act (43 P. S. § § 690.1—690.7), unless otherwise noted.
  • Source: The provisions of this § 131.51 adopted January 19, 1973, effective January 20, 1973, 3 Pa.B. 110; amended December 18, 1992, effective December 19, 1992, 22 Pa.B. 6027. Immediately preceding text appears at serial page (10358).
12 Pa. Code § 131.82 Auditing and evaluation.

Grantees shall provide, within their budget, provision for interim and final audits made by an independent CPA or Public Auditing source. The audit will cover State grant expenditures, and be consistent with the approved budget allocations. Grantees also herein, agree to program and financial reviews of their State programs as often as the grantor deems such reviews necessary. Furthermore, grantee will permit the auditing of State grants by Department auditors or auditors from the office of Auditor General of the Commonwealth. Programmatic evaluations of each project shall be made, if feasible, three times during the course of the project at staggered intervals by staff members of the Department.

This section cited in 12 Pa. Code § 131.71 (relating to grant payments).

History

  • Authority: The provisions of this Chapter 131 issued under the Manpower Employment Assistance and Training Act (43 P. S. § § 690.1—690.7), unless otherwise noted.
  • Source: The provisions of this § 131.51 adopted January 19, 1973, effective January 20, 1973, 3 Pa.B. 110; amended December 18, 1992, effective December 19, 1992, 22 Pa.B. 6027. Immediately preceding text appears at serial page (10358).
12 Pa. Code § 131.83 Miscellaneous grantee fiscal responsibilities.

(a) Grantee shall return any or all unused State grants monies to grantor, upon demand, for cause.

(b) Cause shall be for any violation of contract, work program, or budgetary indiscretions.

(c) Grantee shall not commingle State grant moneys with any other fundings and shall maintain separate accounting and internal controls for State funds.

(d) All State grant moneys shall be placed in a savings account that are in excess of 2 months of operating costs. These moneys may be transferred back into a checking account when needed.

(e) Interest earned on all savings accounts shall be submitted to grantor at time such interest is received by the Agency.

(f) Interest checks shall be made payable to Commonwealth of Pennsylvania—Department of Community and Economic Development.

History

  • Authority: The provisions of this Chapter 131 issued under the Manpower Employment Assistance and Training Act (43 P. S. § § 690.1—690.7), unless otherwise noted.
  • Source: The provisions of this § 131.51 adopted January 19, 1973, effective January 20, 1973, 3 Pa.B. 110; amended December 18, 1992, effective December 19, 1992, 22 Pa.B. 6027. Immediately preceding text appears at serial page (10358).
12 Pa. Code § 131.84 Invoices.

(a) Each grantee submitting an invoice shall prepare an original and one copy to be sent to the appropriate regional office in addition to the copy to be sent to the Community Empowerment Office. A completely itemized invoice in accordance with the approved program budget must be submitted for each component part of the program. Should there be more than one component program a summary sheet is required for the total program. All invoices must reflect the period of time for which the payment is requested. The invoice heading shall include the type of grant, contract number, effective date of contract, number of invoice (first, second, third or fourth), amount requested, date of invoice and shall include the name and address of Grantee. The invoice shall also be attested by two key individuals of the agency such as Chairperson of the Board or Executive Director.

(b) The invoice shall include:

(1) Column I—Total Approved Budget Amount.

(2) Column II—Total Received to Date.

(3) Column III—Federal Share Expended to Date, if applicable.

(4) Column IV—State Share Expended to Date.

(5) Column V—Amount Requested this Invoice.

(6) Column VI—Remaining Balance.

(c) The columns shall be itemized according to the approved program budget reflecting all line items.

This section cited in 12 Pa. Code § 131.71 (relating to grant payments).

History

  • Authority: The provisions of this Chapter 131 issued under the Manpower Employment Assistance and Training Act (43 P. S. § § 690.1—690.7), unless otherwise noted.
  • Source: The provisions of this § 131.51 adopted January 19, 1973, effective January 20, 1973, 3 Pa.B. 110; amended December 18, 1992, effective December 19, 1992, 22 Pa.B. 6027. Immediately preceding text appears at serial page (10358).
12 Pa. Code § 131.85 Contract termination.

The following reasons may terminate a Grantee contract:

(1) When the grantee shall have completed all programs specified in the approved work plan budget, upon the date of expiration of this contract unless extended by written mutual agreement by the Department-grantor and Agency-grantee.

(2) This contract may be terminated prior to the expiration of the contract period by mutual written agreement of both parties. If through any cause the agency-grantee shall fail to fulfill in a timely and proper manner his obligations under this contract or in the event of violation of any of the covenants, agreements or stipulations of this contract, the Department-grantor shall thereupon have the right to terminate this contract by giving written notice to the Agency-grantee of such termination and specifying the effective date thereof, at least 5 days before the effective date of this termination. In such event all programs, records and unused grant moneys shall be turned over to the Department-grantor. The Agency-grantee shall not assign any interest in this contract and shall not transfer any interest in the same whether by assignment or novation. Grantee agrees that the monies so received will be used for the furtherance of the programs in this Commonwealth and that no part of the funds received as result of this contract will be used in a manner resulting in a reduction of local or private appropriations to this Agency-grantee. Grantee certifies that the agency-grantee is not founded, nor its activities conducted upon covenants which discriminate because of race, creed or color. Grantee agrees that it will use grant assistance under the Program to supplement and raise existing levels of local support for action against poverty and unemployment and not replace existing local efforts, and will establish or permit establishment of provisions for monitoring, evaluation and investigations of all programs using Program grant funds.

History

  • Authority: The provisions of this Chapter 131 issued under the Manpower Employment Assistance and Training Act (43 P. S. § § 690.1—690.7), unless otherwise noted.
  • Source: The provisions of this § 131.51 adopted January 19, 1973, effective January 20, 1973, 3 Pa.B. 110; amended December 18, 1992, effective December 19, 1992, 22 Pa.B. 6027. Immediately preceding text appears at serial page (10358).
12 Pa. Code § 131.91 General information.

(a) Capital expenditures will not be approved by the Department. This includes the purchase of real estate, facilities, automobiles and major items of equipment.

(b) Inquiries and application should be directed to the regional offices set forth in § 131.51 (relating to grantee responsibilities).

History

  • Authority: The provisions of this Chapter 131 issued under the Manpower Employment Assistance and Training Act (43 P. S. § § 690.1—690.7), unless otherwise noted.
  • Source: The provisions of this § 131.51 adopted January 19, 1973, effective January 20, 1973, 3 Pa.B. 110; amended December 18, 1992, effective December 19, 1992, 22 Pa.B. 6027. Immediately preceding text appears at serial page (10358).

Chapter 133 Community Action Agencies Program

12 Pa. Code § 133.1 Definitions.

The following words and terms, when used in this chapter, have the following meanings, unless the context clearly indicates otherwise: Act—The Community Action Agencies Act (62 P. S. § § 2801 and 2802). Agency—Any private or public nonprofit community action agency which is recognized under the Federal Economic Opportunity Act of 1964, as amended (42 U.S.C.A. § 2701 et seq.) and which coordinates economic opportunity programs for cities, boroughs, town, townships and counties within this Commonwealth. Program—The Community Action Agencies Program.

History

  • Authority: The provisions of this Chapter 133 issued under the Community Action Agencies Act (62 P. S. § § 2801 and 2802), unless otherwise noted.
  • Source: The provisions of this Chapter 133 adopted April 29, 1970; renumbered from 16 Pa. Code Chapter 13, May 16, 1997, effective May 17, 1997, 27 Pa.B. 2415. Immediately preceding text appears at serial pages (2135) to (2148) and (125665).
12 Pa. Code § 133.2 Purpose.

The purpose of the Program is to:

(1) Assist local agencies in providing the required matching effort for Federally-funded community action programs.

(2) Encourage local initiative in the development of community action programs for which Federal funding is not available.

(3) Stimulate local agencies to develop innovative program approaches to solving local community problems.

(4) Provide employment for poor people.

(5) Provide substantial benefits for the recipients of program services.

History

  • Authority: The provisions of this Chapter 133 issued under the Community Action Agencies Act (62 P. S. § § 2801 and 2802), unless otherwise noted.
  • Source: The provisions of this Chapter 133 adopted April 29, 1970; renumbered from 16 Pa. Code Chapter 13, May 16, 1997, effective May 17, 1997, 27 Pa.B. 2415. Immediately preceding text appears at serial pages (2135) to (2148) and (125665).
12 Pa. Code § 133.3 Authority of Department.

Section 2 of the act (62 P. S. § 2802) empowers the Department to:

(1) Develop guidelines and application forms to assist agencies in applying for State grants under the program.

(2) Assist agencies in developing acceptable work programs and budgets.

(3) Provide direction through technical assistance and provide fiscal forms and guidance to insure fiscal responsibility of agencies.

(4) Grant funds to agencies for community action programs.

(5) Terminate any grant-contract violation upon due cause, and compel return of unspent or unobligated State funds to the Commonwealth.

History

  • Authority: The provisions of this Chapter 133 issued under the Community Action Agencies Act (62 P. S. § § 2801 and 2802), unless otherwise noted.
  • Source: The provisions of this Chapter 133 adopted April 29, 1970; renumbered from 16 Pa. Code Chapter 13, May 16, 1997, effective May 17, 1997, 27 Pa.B. 2415. Immediately preceding text appears at serial pages (2135) to (2148) and (125665).
12 Pa. Code § 133.4 Responsibility of the Community Empowerment Office.

(a) The Office of Community Services is responsible for administration of the act and shall develop necessary amendments to this chapter for the administration of the act.

(b) Field and program representatives of the Bureau shall be responsible for monitoring the program, making evaluation visits to agencies and submitting reports to the program manager.

History

  • Authority: The provisions of this Chapter 133 issued under the Community Action Agencies Act (62 P. S. § § 2801 and 2802), unless otherwise noted.
  • Source: The provisions of this Chapter 133 adopted April 29, 1970; renumbered from 16 Pa. Code Chapter 13, May 16, 1997, effective May 17, 1997, 27 Pa.B. 2415. Immediately preceding text appears at serial pages (2135) to (2148) and (125665).
12 Pa. Code § 133.5 Department regional offices.

Inquiries and program applications shall be directed to one of the regional offices of the Department specified in § 1.3 (relating to Department regional offices).

History

  • Authority: The provisions of this Chapter 133 issued under the Community Action Agencies Act (62 P. S. § § 2801 and 2802), unless otherwise noted.
  • Source: The provisions of this Chapter 133 adopted April 29, 1970; renumbered from 16 Pa. Code Chapter 13, May 16, 1997, effective May 17, 1997, 27 Pa.B. 2415. Immediately preceding text appears at serial pages (2135) to (2148) and (125665).
12 Pa. Code § 133.11 Proposal assistance.

The Department regional offices and field representatives and program supervisors of the Office of Community Services shall be available to assist grant applicants in the preparation of a grant proposal.

History

  • Authority: The provisions of this Chapter 133 issued under the Community Action Agencies Act (62 P. S. § § 2801 and 2802), unless otherwise noted.
  • Source: The provisions of this Chapter 133 adopted April 29, 1970; renumbered from 16 Pa. Code Chapter 13, May 16, 1997, effective May 17, 1997, 27 Pa.B. 2415. Immediately preceding text appears at serial pages (2135) to (2148) and (125665).
12 Pa. Code § 133.12 Submission.

(a) All grant proposals, together with budgets, shall be submitted for final review and approval by the Department before a grant will be made.

(b) Grant proposals shall be submitted in four copies to the Department regional office in the county where the agency is located.

(c) The regional office shall acknowledge receipt of grant proposals and shall advise agencies that, upon review, further information shall be furnished.

History

  • Authority: The provisions of this Chapter 133 issued under the Community Action Agencies Act (62 P. S. § § 2801 and 2802), unless otherwise noted.
  • Source: The provisions of this Chapter 133 adopted April 29, 1970; renumbered from 16 Pa. Code Chapter 13, May 16, 1997, effective May 17, 1997, 27 Pa.B. 2415. Immediately preceding text appears at serial pages (2135) to (2148) and (125665).
12 Pa. Code § 133.13 Content requirements.

All grant proposals shall be in writing and shall contain the following specific information:

(1) Applicant’s name, address, telephone number, legal status and specific contact individuals, such as executive director and board chairperson or president of counties served by the agency.

(2) Needs and characteristics of the agency.

(3) Description of the community action program including:

(i) Statement of purpose of the proposal.

(ii) Description of the number and type of persons who will benefit as a group from the grant proposal, such as senior citizens, the poor and children.

(iii) Statement of the number and positions of persons that are to be employed as aides, supervisors, craftsmen and the like. When training is expected to be given to these persons, the method and scope of the training shall be fully explained, and the expected utilization of acquired skills in the job market shall be projected.

History

  • Authority: The provisions of this Chapter 133 issued under the Community Action Agencies Act (62 P. S. § § 2801 and 2802), unless otherwise noted.
  • Source: The provisions of this Chapter 133 adopted April 29, 1970; renumbered from 16 Pa. Code Chapter 13, May 16, 1997, effective May 17, 1997, 27 Pa.B. 2415. Immediately preceding text appears at serial pages (2135) to (2148) and (125665).
12 Pa. Code § 133.14 Plan for services.

The plan of the agency for providing services shall include the following:

(1) Background data. The basis for initiation of the plan, the extent of community involvement, the factual information showing the extent of the problem, the reason for selection of the project and the relationship of the project to related ones in the area.

(2) Approval. The approval of any Commonwealth agency currently providing like services.

(3) Funding.

(i) Efforts to obtain funding from local, State or Federal agencies providing like services shall be stated in writing.

(ii) Where the work program is not to be a continuing program, efforts to obtain continuing funding support for the program.

(iii) An inventory of present and past funding sources, together with proposal descriptions.

History

  • Authority: The provisions of this Chapter 133 issued under the Community Action Agencies Act (62 P. S. § § 2801 and 2802), unless otherwise noted.
  • Source: The provisions of this Chapter 133 adopted April 29, 1970; renumbered from 16 Pa. Code Chapter 13, May 16, 1997, effective May 17, 1997, 27 Pa.B. 2415. Immediately preceding text appears at serial pages (2135) to (2148) and (125665).
12 Pa. Code § 133.15 Budget plan.

A community action program budget for each component shall be submitted on a form provided by the Department and shall include the following seven cost categories:

(1) Personnel. Includes salaries, wages, overtime, hospitalization and insurance, other fringe benefits and payroll taxes.

(2) Consultants and Contract Services. Includes accounting, legal and other services.

(3) Travel. Includes per diem, transportation and maintenance costs of vehicles rented or owned.

(4) Space and Rentals. Includes rent, renovation and utility expenses.

(5) Consumable Supplies. Includes costs of office supplies, postage, office accessories under $50 per item, maintenance supplies and medical supplies.

(6) Rental or Lease of Equipment. Includes expenses for office machines, furniture and fixtures, outdoor equipment, special equipment, rented office machines, rented furniture and equipment, rented outdoor equipment and rented special equipment.

(7) Other Items. Includes expenses of transportation repairs, food, insurance, telephones and telegraphs, publications and printing, subscriptions, data processing and miscellaneous items.

This section cited in 12 Pa. Code § 133.23 (relating to approval of changes).

History

  • Authority: The provisions of this Chapter 133 issued under the Community Action Agencies Act (62 P. S. § § 2801 and 2802), unless otherwise noted.
  • Source: The provisions of this Chapter 133 adopted April 29, 1970; renumbered from 16 Pa. Code Chapter 13, May 16, 1997, effective May 17, 1997, 27 Pa.B. 2415. Immediately preceding text appears at serial pages (2135) to (2148) and (125665).
12 Pa. Code § 133.21 Grant payments.

(a) Grant payments will be rendered in three equal installments as follows:

(1) First payment will be an advance payment of 1/3 of the total entitlement.

(2) Second payment of 1/3 of the total entitlement will be made when the agency produces financial statements showing need for more funds predicated upon program expenditure patterns and fulfillment of work programs and established budgets.

(3) Third payment will be released only after an interim audit has been submitted as described § 133.34 (relating to auditing of agency).

(b) All regional statistical progress and fiscal reports shall be current in order for allotment requests to be approved for payment.

(c) The agency shall submit the original and four copies of the invoice to the Department for all payments. The invoice shall be:

(1) On the agency letterhead.

(2) Dated and shall describe work programs and amount of installment.

(3) Signed by the executive director and the board chairperson or president of the agency.

History

  • Authority: The provisions of this Chapter 133 issued under the Community Action Agencies Act (62 P. S. § § 2801 and 2802), unless otherwise noted.
  • Source: The provisions of this Chapter 133 adopted April 29, 1970; renumbered from 16 Pa. Code Chapter 13, May 16, 1997, effective May 17, 1997, 27 Pa.B. 2415. Immediately preceding text appears at serial pages (2135) to (2148) and (125665).
12 Pa. Code § 133.22 Grant limitations.

(a) Grants made through the Department will not exceed 10% of the program budget as officially approved in writing by the Office of Economic Opportunity.

(b) Unused portions of grants shall be returned to the Department.

History

  • Authority: The provisions of this Chapter 133 issued under the Community Action Agencies Act (62 P. S. § § 2801 and 2802), unless otherwise noted.
  • Source: The provisions of this Chapter 133 adopted April 29, 1970; renumbered from 16 Pa. Code Chapter 13, May 16, 1997, effective May 17, 1997, 27 Pa.B. 2415. Immediately preceding text appears at serial pages (2135) to (2148) and (125665).
12 Pa. Code § 133.23 Approval of changes.

(a) The Department will not participate in any expenditures not included in the final work program and budget except where prior written permission has been obtained from the Community Empowerment Office.

(b) The agency shall submit work program and budget change requests in writing and shall not make changes without written acknowledgment and approval by the Bureau in writing.

(c) Proposal budgets shall be on a form entitled, Budget For Component Project.

(d) Budget changes following the original Department approval shall be submitted on a form entitled, ‘‘Component Amendment.’’ When such form is approved, the agency shall submit another form entitled ‘‘Budget for Component Project,’’ to show a new line budget covering all seven cost categories as specified in § 133.15 (relating to budget plan).

History

  • Authority: The provisions of this Chapter 133 issued under the Community Action Agencies Act (62 P. S. § § 2801 and 2802), unless otherwise noted.
  • Source: The provisions of this Chapter 133 adopted April 29, 1970; renumbered from 16 Pa. Code Chapter 13, May 16, 1997, effective May 17, 1997, 27 Pa.B. 2415. Immediately preceding text appears at serial pages (2135) to (2148) and (125665).
12 Pa. Code § 133.24 General expenditures.

(a) Capital expenditures. The purchase of real estate, facilities, automobiles and major items of equipment will not be approved by the Department.

(b) Renovation of facilities.

(1) Renovation of existing facilities not to exceed 15% of the entitlement allowed under the act will be permitted.

(2) Bids on such renovations shall be reviewed by a regional office of the Department before awarding the contract.

History

  • Authority: The provisions of this Chapter 133 issued under the Community Action Agencies Act (62 P. S. § § 2801 and 2802), unless otherwise noted.
  • Source: The provisions of this Chapter 133 adopted April 29, 1970; renumbered from 16 Pa. Code Chapter 13, May 16, 1997, effective May 17, 1997, 27 Pa.B. 2415. Immediately preceding text appears at serial pages (2135) to (2148) and (125665).
12 Pa. Code § 133.25 Executed contracts.

(a) The contract shall be fully executed only when all required signatures are obtained, including the signatures of:

(1) the Governor in contracts exceeding $100,000; or

(2) the Secretary or his duly authorized deputy in contracts not exceeding $100,000.

(b) An agency shall accept the terms of the contract by affixing the signature of the board president or chairperson. The signature shall be attested to by the executive director, together with the corporate or official seal of the agency.

(c) The agency shall make no expenditures or obligations against the contract grant until the contract is signed as provided in subsection (a) and dated.

This section cited in 12 Pa. Code § 133.26 (relating to effective starting date) and 12 Pa. Code § 133.33 (relating to letter of intent).

History

  • Authority: The provisions of this Chapter 133 issued under the Community Action Agencies Act (62 P. S. § § 2801 and 2802), unless otherwise noted.
  • Source: The provisions of this Chapter 133 adopted April 29, 1970; renumbered from 16 Pa. Code Chapter 13, May 16, 1997, effective May 17, 1997, 27 Pa.B. 2415. Immediately preceding text appears at serial pages (2135) to (2148) and (125665).
12 Pa. Code § 133.26 Effective starting date.

The date of signature pursuant to § 133.25 (a) (relating to executed contracts) shall be the effective starting date of the contract.

History

  • Authority: The provisions of this Chapter 133 issued under the Community Action Agencies Act (62 P. S. § § 2801 and 2802), unless otherwise noted.
  • Source: The provisions of this Chapter 133 adopted April 29, 1970; renumbered from 16 Pa. Code Chapter 13, May 16, 1997, effective May 17, 1997, 27 Pa.B. 2415. Immediately preceding text appears at serial pages (2135) to (2148) and (125665).
12 Pa. Code § 133.31 General.

The agency receiving a grant under the program shall be responsible for the development and administration of its community action program.

History

  • Authority: The provisions of this Chapter 133 issued under the Community Action Agencies Act (62 P. S. § § 2801 and 2802), unless otherwise noted.
  • Source: The provisions of this Chapter 133 adopted April 29, 1970; renumbered from 16 Pa. Code Chapter 13, May 16, 1997, effective May 17, 1997, 27 Pa.B. 2415. Immediately preceding text appears at serial pages (2135) to (2148) and (125665).
12 Pa. Code § 133.32 Agency bond.

(a) An agency shall provide in the budget a sum of money to adequately protect the financial interests of the Commonwealth with a fidelity bond. The fidelity bond shall be for 1/3 of the total amount of grant entitlement or $25,000, whichever is greater. The bond shall be in favor of the Commonwealth and a copy shall be submitted to the Department.

(b) The period of coverage shall be for 1 year and shall be renewable for each succeeding fiscal year until the end of the programs.

(c) Whenever a fidelity insurance premium is paid with a State grant and the policy is cancelled, the rebate of the prepaid premium shall be returned to the Department.

History

  • Authority: The provisions of this Chapter 133 issued under the Community Action Agencies Act (62 P. S. § § 2801 and 2802), unless otherwise noted.
  • Source: The provisions of this Chapter 133 adopted April 29, 1970; renumbered from 16 Pa. Code Chapter 13, May 16, 1997, effective May 17, 1997, 27 Pa.B. 2415. Immediately preceding text appears at serial pages (2135) to (2148) and (125665).
12 Pa. Code § 133.33 Letter of intent.

Agencies shall submit a letter of intent from a bonding company stating that the fidelity bond shall be effective on the effective date of the contract. The letter shall accompany the contract returned for signature pursuant to § 133.25 (a) (relating to executed contracts).

History

  • Authority: The provisions of this Chapter 133 issued under the Community Action Agencies Act (62 P. S. § § 2801 and 2802), unless otherwise noted.
  • Source: The provisions of this Chapter 133 adopted April 29, 1970; renumbered from 16 Pa. Code Chapter 13, May 16, 1997, effective May 17, 1997, 27 Pa.B. 2415. Immediately preceding text appears at serial pages (2135) to (2148) and (125665).
12 Pa. Code § 133.34 Auditing of agency.

(a) Agencies shall provide provisions within the budget for making interim and final audits by an independent certified public accountant or public auditing source.

(b) Audits shall cover Commonwealth grant expenditures and shall conform to approved budget allocations.

(c) Agencies shall:

(1) agree to program and fiscal reviews of State programs where the Department deems necessary; and

(2) permit auditing of grants by Department auditors or auditors from the Department of the Auditor General.

This section cited in 12 Pa. Code § 133.21 (relating to grant payments).

History

  • Authority: The provisions of this Chapter 133 issued under the Community Action Agencies Act (62 P. S. § § 2801 and 2802), unless otherwise noted.
  • Source: The provisions of this Chapter 133 adopted April 29, 1970; renumbered from 16 Pa. Code Chapter 13, May 16, 1997, effective May 17, 1997, 27 Pa.B. 2415. Immediately preceding text appears at serial pages (2135) to (2148) and (125665).
12 Pa. Code § 133.35 Agency fiscal responsibilities.

(a) An agency shall return unused grant funds to the Department upon demand for any violation of contract, work program or budget.

(b) An agency shall not combine grant funds with any other funds and shall maintain separate accounting and internal controls for Commonwealth funds.

History

  • Authority: The provisions of this Chapter 133 issued under the Community Action Agencies Act (62 P. S. § § 2801 and 2802), unless otherwise noted.
  • Source: The provisions of this Chapter 133 adopted April 29, 1970; renumbered from 16 Pa. Code Chapter 13, May 16, 1997, effective May 17, 1997, 27 Pa.B. 2415. Immediately preceding text appears at serial pages (2135) to (2148) and (125665).
12 Pa. Code § 133.36 Financial Reports.

Monthly financial reports shall be submitted on form DCA-30 for each component and summary by the 15th day of the following month. Failure to do so will result in a hold being placed on funds.

History

  • Authority: The provisions of this Chapter 133 issued under the Community Action Agencies Act (62 P. S. § § 2801 and 2802), unless otherwise noted.
  • Source: The provisions of this Chapter 133 adopted April 29, 1970; renumbered from 16 Pa. Code Chapter 13, May 16, 1997, effective May 17, 1997, 27 Pa.B. 2415. Immediately preceding text appears at serial pages (2135) to (2148) and (125665).
12 Pa. Code § 133.37 Excess grant funds.

Grant funds in excess of two-months operating costs shall be handled in accordance with the following:

(1) Placed in a savings account, where interest earned shall be submitted to the grantor as received and interest checks shall be made payable to ‘‘Commonwealth of Pennsylvania—Department of Community and Economic Development.’’

(2) Transferred back into a checking account as needed.

History

  • Authority: The provisions of this Chapter 133 issued under the Community Action Agencies Act (62 P. S. § § 2801 and 2802), unless otherwise noted.
  • Source: The provisions of this Chapter 133 adopted April 29, 1970; renumbered from 16 Pa. Code Chapter 13, May 16, 1997, effective May 17, 1997, 27 Pa.B. 2415. Immediately preceding text appears at serial pages (2135) to (2148) and (125665).
12 Pa. Code § 133.38 General requirements.

The agency shall agree to the following:

(1) No interest in the contract shall be assigned or transferred whether by assignment or novation.

(2) No funds received under the contract shall be used in a manner resulting in a reduction of local or private appropriations to the agency.

(3) No discrimination because of race, creed or color shall be permitted by the agency in its activities.

(4) No existing local efforts against poverty shall be replaced, but shall only be supplemented and raised by grant assistance.

(5) Monitoring, evaluation and investigations of all programs using grant funds under the act shall be permitted or established.

History

  • Authority: The provisions of this Chapter 133 issued under the Community Action Agencies Act (62 P. S. § § 2801 and 2802), unless otherwise noted.
  • Source: The provisions of this Chapter 133 adopted April 29, 1970; renumbered from 16 Pa. Code Chapter 13, May 16, 1997, effective May 17, 1997, 27 Pa.B. 2415. Immediately preceding text appears at serial pages (2135) to (2148) and (125665).
12 Pa. Code § 133.41 General.

An agency shall be responsible for the actions of each delegated activity, and shall:

(1) Execute a contract or agreement, in writing, for the delegation of activities, signed by the executive director, and board chairperson or president of the delegated agency.

(2) Submit to the Department copies of the delegate agreement for approval, after which the agreement shall become an integral part of the work program and budget of the agency.

History

  • Authority: The provisions of this Chapter 133 issued under the Community Action Agencies Act (62 P. S. § § 2801 and 2802), unless otherwise noted.
  • Source: The provisions of this Chapter 133 adopted April 29, 1970; renumbered from 16 Pa. Code Chapter 13, May 16, 1997, effective May 17, 1997, 27 Pa.B. 2415. Immediately preceding text appears at serial pages (2135) to (2148) and (125665).
12 Pa. Code § 133.42 Performance.

Delegates shall, in a satisfactory manner as determined by the agency, either perform all activities for the agency, or the obligation of the delegate, as explicitly described in writing.

History

  • Authority: The provisions of this Chapter 133 issued under the Community Action Agencies Act (62 P. S. § § 2801 and 2802), unless otherwise noted.
  • Source: The provisions of this Chapter 133 adopted April 29, 1970; renumbered from 16 Pa. Code Chapter 13, May 16, 1997, effective May 17, 1997, 27 Pa.B. 2415. Immediately preceding text appears at serial pages (2135) to (2148) and (125665).
12 Pa. Code § 133.43 Compliance with approved program.

All activities authorized by the written agreement shall be performed in accordance with the approved work program, the approved budget, the grant conditions and relevant Department directives.

History

  • Authority: The provisions of this Chapter 133 issued under the Community Action Agencies Act (62 P. S. § § 2801 and 2802), unless otherwise noted.
  • Source: The provisions of this Chapter 133 adopted April 29, 1970; renumbered from 16 Pa. Code Chapter 13, May 16, 1997, effective May 17, 1997, 27 Pa.B. 2415. Immediately preceding text appears at serial pages (2135) to (2148) and (125665).
12 Pa. Code § 133.44 Reports, records and evaluation.

The agency shall supervise, evaluate and provide guidance and direction to the delegate in the conduct of activities delegated under the contract. The delegate shall submit to the agency such reports as may be required by the Department or by the agency, including reports on work program progress for each delegated activity, and financial statements on a form provided by the Department, wherein each component is fiscally reported and then summarized on the form. These requirements shall be on a monthly basis and every delegated expenditure shall be fully documented.

History

  • Authority: The provisions of this Chapter 133 issued under the Community Action Agencies Act (62 P. S. § § 2801 and 2802), unless otherwise noted.
  • Source: The provisions of this Chapter 133 adopted April 29, 1970; renumbered from 16 Pa. Code Chapter 13, May 16, 1997, effective May 17, 1997, 27 Pa.B. 2415. Immediately preceding text appears at serial pages (2135) to (2148) and (125665).
12 Pa. Code § 133.45 Audits.

Each agency shall obtain from delegates copies of interim and final audits, as a part of the agency audit responsibility to the Department. All delegates handling cash shall submit a copy of a fidelity bond to the agency for 1/3 of the total grant or $25,000, whichever is larger. The bond shall be in favor of the Commonwealth and shall become effective on the effective date of the contract. Bonds are renewable each year and whenever any premium rebates are made, the rebated sum shall be payable to the ‘‘Commonwealth of Pennsylvania—Department of Community and Economic Development.’’ All earned interest on program funds shall be turned over to the Department.

History

  • Authority: The provisions of this Chapter 133 issued under the Community Action Agencies Act (62 P. S. § § 2801 and 2802), unless otherwise noted.
  • Source: The provisions of this Chapter 133 adopted April 29, 1970; renumbered from 16 Pa. Code Chapter 13, May 16, 1997, effective May 17, 1997, 27 Pa.B. 2415. Immediately preceding text appears at serial pages (2135) to (2148) and (125665).
12 Pa. Code § 133.46 Changes.

The agency may from time to time request changes in scope of services or budget changes for the delegate. All such requests for change shall be in writing and shall take effect only when approved by the agency and the Department.

History

  • Authority: The provisions of this Chapter 133 issued under the Community Action Agencies Act (62 P. S. § § 2801 and 2802), unless otherwise noted.
  • Source: The provisions of this Chapter 133 adopted April 29, 1970; renumbered from 16 Pa. Code Chapter 13, May 16, 1997, effective May 17, 1997, 27 Pa.B. 2415. Immediately preceding text appears at serial pages (2135) to (2148) and (125665).
12 Pa. Code § 133.47 Time and attendance.

Delegates shall keep time and attendance records for all employes, signed jointly by employe and supervisor before payment shall be made for services.

History

  • Authority: The provisions of this Chapter 133 issued under the Community Action Agencies Act (62 P. S. § § 2801 and 2802), unless otherwise noted.
  • Source: The provisions of this Chapter 133 adopted April 29, 1970; renumbered from 16 Pa. Code Chapter 13, May 16, 1997, effective May 17, 1997, 27 Pa.B. 2415. Immediately preceding text appears at serial pages (2135) to (2148) and (125665).
12 Pa. Code § 133.48 Compliance with laws.

Delegates shall comply with all applicable laws, ordinances and codes of the Commonwealth and its political subdivisions. Delegates shall agree in writing to assure compliance with the Civil Rights Act of 1964 and its amendments (21 U.S.C.A. § 1981 et seq.).

History

  • Authority: The provisions of this Chapter 133 issued under the Community Action Agencies Act (62 P. S. § § 2801 and 2802), unless otherwise noted.
  • Source: The provisions of this Chapter 133 adopted April 29, 1970; renumbered from 16 Pa. Code Chapter 13, May 16, 1997, effective May 17, 1997, 27 Pa.B. 2415. Immediately preceding text appears at serial pages (2135) to (2148) and (125665).
12 Pa. Code § 133.49 Covenant against contingent fees.

The delegate shall warrant that no person, sales agency or other organization has been employed or retained to solicit or secure the contract upon an agreement or understanding for a commission, percentage or brokerage, or contingent fee. Breach of such warranty shall give the agency or the Department the right to annul the contract without liability, or at their discretion, to deduct from, or otherwise recover, the full amount of such commission, percentage, brokerage, or contingent fee, or to seek such other remedies as legally may be available.

History

  • Authority: The provisions of this Chapter 133 issued under the Community Action Agencies Act (62 P. S. § § 2801 and 2802), unless otherwise noted.
  • Source: The provisions of this Chapter 133 adopted April 29, 1970; renumbered from 16 Pa. Code Chapter 13, May 16, 1997, effective May 17, 1997, 27 Pa.B. 2415. Immediately preceding text appears at serial pages (2135) to (2148) and (125665).
12 Pa. Code § 133.50 Schedule of payment.

Subject to receipt of funds from the Department the agency shall reimburse the delegate for authorized expenditures. An advance of money, mutually agreed upon, shall be paid to the delegate for authorized expenditures. An advance of money, mutually agreed upon, shall be paid to the delegate for estimated expenditures for mutually agreed upon numbers of months. The delegate shall submit to the agency or the Department vouchers that are sufficient to support payment under accounting procedures established or approved by the accountant of the agency or the accounting requirements of the Department. Within 30 days the agency shall approve or disapprove payment of the vouchers, and shall make additional payments equal to the amount of such approved expenditures to the delegate. The delegate shall not be reimbursed for any cost categories in excess of the approved budget, except as it has received prior written authorization from the agency or the Department, which authorization shall be incorporated into and shall be attached to the contract.

History

  • Authority: The provisions of this Chapter 133 issued under the Community Action Agencies Act (62 P. S. § § 2801 and 2802), unless otherwise noted.
  • Source: The provisions of this Chapter 133 adopted April 29, 1970; renumbered from 16 Pa. Code Chapter 13, May 16, 1997, effective May 17, 1997, 27 Pa.B. 2415. Immediately preceding text appears at serial pages (2135) to (2148) and (125665).
12 Pa. Code § 133.51 Records and equipment retention.

All records of transactions, such as time and attendance, internal controls, checkbook stubs, cancelled checks, cash receipts and cash disbursement journals and general ledgers shall be retained by the delegate for a period of 3 years or turned over to the Department upon request. Equipment purchased with program funds by delegates shall be turned over to the agency or the Department upon request for contract termination made for cause.

History

  • Authority: The provisions of this Chapter 133 issued under the Community Action Agencies Act (62 P. S. § § 2801 and 2802), unless otherwise noted.
  • Source: The provisions of this Chapter 133 adopted April 29, 1970; renumbered from 16 Pa. Code Chapter 13, May 16, 1997, effective May 17, 1997, 27 Pa.B. 2415. Immediately preceding text appears at serial pages (2135) to (2148) and (125665).
12 Pa. Code § 133.52 Termination of delegate agreement.

The agency may, by giving reasonable written notice specifying the effective date, terminate a contract with a delegate in whole or in part for any of the following reasons:

(1) Failure of the delegate to fulfill for any reason the obligations under the contract, including compliance with the approved program and attached conditions, and such statutes, agency or Department directives as may become generally applicable at any time.

(2) Submission by the delegate to the agency or Department of any required reports or statements that are incorrect or incomplete in any material respect.

(3) Ineffective or improper use of funds provided under the contract.

(4) Suspension or termination by the Department of the grant to the agency under which the contract with the delegate is made, or the portion thereof delegated by the contract.

(5) Termination of the contract with the agency upon mutual agreement in writing which sets forth explicit reasons for such actions.

History

  • Authority: The provisions of this Chapter 133 issued under the Community Action Agencies Act (62 P. S. § § 2801 and 2802), unless otherwise noted.
  • Source: The provisions of this Chapter 133 adopted April 29, 1970; renumbered from 16 Pa. Code Chapter 13, May 16, 1997, effective May 17, 1997, 27 Pa.B. 2415. Immediately preceding text appears at serial pages (2135) to (2148) and (125665).
12 Pa. Code § 133.53 Termination procedure.

(a) In the event of termination of the delegate agreement the following provisions shall be followed:

(1) Disposal of property. All property and finished or unfinished documents, data, studies, and reports prepared, or equipment purchased by the delegate under the contract shall be disposed of according to agency or Department directives and the delegate shall be compensated for unreimbursed expenses reasonably incurred in the satisfactory performance of the contract.

(2) Release of liability. The delegate shall not be released of liability to the agency or Department for damages sustained by virtue of any breach of contract by the delegate.

(3) Reimbursement. The agency or Department may withhold reimbursement to the delegate for the purpose of setoff until such time as the exact amount of damages due the agency or Department from the delegate has been agreed upon.

(4) Authorization. The agency shall ensure that persons signing for the delegate have the specific authorization of the agency to commit the delegate.

(b) Upon termination of the contract all programs, records and unused grant monies shall be turned over to the Department.

History

  • Authority: The provisions of this Chapter 133 issued under the Community Action Agencies Act (62 P. S. § § 2801 and 2802), unless otherwise noted.
  • Source: The provisions of this Chapter 133 adopted April 29, 1970; renumbered from 16 Pa. Code Chapter 13, May 16, 1997, effective May 17, 1997, 27 Pa.B. 2415. Immediately preceding text appears at serial pages (2135) to (2148) and (125665).
12 Pa. Code § 133.61 Community Empowerment Office functions.

(a) The Office of Community Services shall make copies of this chapter and the appropriate forms available to all persons requesting them.

(b) The Office of Community Services shall give notice of the availibility of cash grants to community action agencies under this chapter:

(1) Directly through the Department regional offices.

(2) Indirectly through the news media.

History

  • Authority: The provisions of this Chapter 133 issued under the Community Action Agencies Act (62 P. S. § § 2801 and 2802), unless otherwise noted.
  • Source: The provisions of this Chapter 133 adopted April 29, 1970; renumbered from 16 Pa. Code Chapter 13, May 16, 1997, effective May 17, 1997, 27 Pa.B. 2415. Immediately preceding text appears at serial pages (2135) to (2148) and (125665).
12 Pa. Code § 133.62 Program Evaluation Review Committee system.

(a) The Department procedure for processing a grant proposal is the Program Evaluation Review Committee system.

(b) Grant proposals shall be reviewed according to the following procedure:

(1) The regional office shall review grant proposals, and after approval, shall forward them to the Office of Community Services.

(2) The Office of Community Services will evaluate the grant proposal as to its feasibility, funding and legality. Upon approval, the grant proposal will be forwarded to the Program Evaluation Review Committee.

(3) The Program Evaluation Review Committee will review and evaluate the grant proposal and shall return the completed proposal to the Director of the Office of Community Services stating that it is approved, disapproved or tabled.

(4) The Office of Community Services Director will notify the appropriate regional office of the disposition of the grant proposal.

(5) The regional office will notify the grant applicant of the final disposition of the grant proposal.

(6) The Director of the Office of Community Services will initiate preparation of a contract for approved grant proposals.

History

  • Authority: The provisions of this Chapter 133 issued under the Community Action Agencies Act (62 P. S. § § 2801 and 2802), unless otherwise noted.
  • Source: The provisions of this Chapter 133 adopted April 29, 1970; renumbered from 16 Pa. Code Chapter 13, May 16, 1997, effective May 17, 1997, 27 Pa.B. 2415. Immediately preceding text appears at serial pages (2135) to (2148) and (125665).
12 Pa. Code § 133.71 Termination by Department.

The Department may, by giving written notice 5 days in advance of the effective date of termination, terminate the contract with an agency, in whole or in part for:

(1) Failure of the agency to fulfill, for any reason, the obligations under the contract.

(2) Violation of any of the covenants, agreements or stipulations of the contract.

History

  • Authority: The provisions of this Chapter 133 issued under the Community Action Agencies Act (62 P. S. § § 2801 and 2802), unless otherwise noted.
  • Source: The provisions of this Chapter 133 adopted April 29, 1970; renumbered from 16 Pa. Code Chapter 13, May 16, 1997, effective May 17, 1997, 27 Pa.B. 2415. Immediately preceding text appears at serial pages (2135) to (2148) and (125665).
12 Pa. Code § 133.72 Termination within one year.

Unless extended by mutual agreement in writing by the Department and agency, the contract shall be terminated 1 year after the date of execution of the contract within which time the agency shall have completed:

(1) Programs specified in the approved work plan budget.

(2) Application for Community Grant within 1 year after date of execution of the contract.

History

  • Authority: The provisions of this Chapter 133 issued under the Community Action Agencies Act (62 P. S. § § 2801 and 2802), unless otherwise noted.
  • Source: The provisions of this Chapter 133 adopted April 29, 1970; renumbered from 16 Pa. Code Chapter 13, May 16, 1997, effective May 17, 1997, 27 Pa.B. 2415. Immediately preceding text appears at serial pages (2135) to (2148) and (125665).
12 Pa. Code § 133.73 Termination by mutual agreement.

The contract may be terminated prior to the expiration of the contract period by mutual written agreement between the Department and the agency.

History

  • Authority: The provisions of this Chapter 133 issued under the Community Action Agencies Act (62 P. S. § § 2801 and 2802), unless otherwise noted.
  • Source: The provisions of this Chapter 133 adopted April 29, 1970; renumbered from 16 Pa. Code Chapter 13, May 16, 1997, effective May 17, 1997, 27 Pa.B. 2415. Immediately preceding text appears at serial pages (2135) to (2148) and (125665).

Chapter 135 Neighborhood Assistance Program

12 Pa. Code § 135.1 Definitions.

The following words and terms, when used in this chapter, have the following meanings, unless the context clearly indicates otherwise: Act—The Neighborhood Assistance Act (62 P. S. § § 2081—2089). Agricultural enterprise—An enterprise which is engaged in business related to farming, agricultural endeavors or other related businesses and services supporting the development of agriculture, which by virtue of its size requires substantial capital and which by its nature and size has created or will create substantial employment opportunities. Business firm—A business entity authorized to do business in this Commonwealth and subject to taxes imposed under Article IV, VI—X or XIII—XVI of the Tax Reform Code of 1971. Commercial enterprise—An enterprise other than an agricultural, manufacturing, research and development or industrial enterprise which by its nature or size requires substantial capital and which by its nature or size has created, or offers reasonable likelihood of creating substantial employment opportunities. The term includes things such as wholesale, retail and other mercantile activities, office buildings, hotel or motel structures, shopping centers, department stores and facilities for international, national and regional headquarters, if with respect to redevelopment under a redevelopment proposal, there is no requirement concerning substantiality of capital or substantiality of creation of employment opportunities. Community economic development—The construction or rehabilitation of commercial or industrial buildings which will result in employment opportunities for low-income individuals, or the construction of residential housing for low- and moderate-income persons. Community services—Counseling and advice, emergency assistance or medical care furnished to individuals or groups in an impoverished area. Crime prevention—An activity which aids in the reduction of crime in an impoverished area. Education—Scholastic instruction or scholarship assistance to an individual who resides in an impoverished area that enables the individual to meet educational requirements for available employment or otherwise prepare for better life opportunities. For purposes of this program, the term does not include programs providing normal or routine educational needs—through grade school, high school, college—but may include demonstration, model or innovative programs which fulfill the purposes of the act, including literacy programs. Enterprise zone—A specific location with identifiable boundaries within an impoverished area which is designated as an enterprise zone by the Secretary. Enterprise Zone Tax Credit Program—A program administered by the Department under the act, which provides tax credits to private companies which make qualified investments to promote community economic development by rehabilitating, expanding or improving buildings or land in an enterprise zone. Impoverished area—An area in this Commonwealth which is certified as impoverished by the Department on the basis of Federal census studies and current indices of social and economic conditions. Industrial enterprise—An enterprise other than a mercantile, commercial or retail enterprise which by virtue of its size requires substantial capital and which by its nature and size has created or will create substantial employment opportunities. The term may include warehouse and terminal facilities and office buildings utilized as national or regional headquarters for the enterprise or as computer or clerical operations centers, if they require substantial capital and have or will create substantial employment opportunities. Job training—Instruction for individuals residing in impoverished areas which enables them to acquire vocational skills so that they may become employable or be able to seek a higher grade of employment. Low-income individual—An individual with an income equal to or less than 125% of the poverty income guidelines as published annually by the Federal Office of Management and Budget. Manufacturing enterprise—An enterprise which is engaged in the giving of new shapes, new qualities or new combinations to matter by the application of skill and labor. Neighborhood assistance—The furnishing of financial assistance, labor, material or technical advice to aid in the physical improvement of a part or all of an impoverished area. Neighborhood organization—A nonprofit organization approved by the Department which performs community services, offers neighborhood assistance, provides job training, education or crime prevention or promotes community economic development in an impoverished area, and which holds a ruling from the Internal Revenue Service that the organization is exempt from income taxation under the provisions of the Internal Revenue Code. Normal course of business—Those acts which are engaged in by a business firm with a view toward winning financial gain. Private company—An agricultural, industrial, manufacturing, commercial or research and development enterprise. Qualified investments—Investments made by a private company which promote community economic development under a plan developed in cooperation with and approved by a neighborhood organization operating under a plan for the administration of tax credits approved by the Department. Research and development enterprise—An enterprise for the discovery of new and the refinement of known substances, processes, products, theories and ideas. The term does not include activities directed primarily to the accumulation or analysis of commercial, financial or mercantile data. Secretary—The Secretary of the Department.

The provisions of this § 135.1 amended May 15, 1981, effective May 16, 1981, 11 Pa.B. 1647; corrected June 12, 1981, effective May 16, 1981, 11 Pa.B. 2047; amended March 4, 1988, effective March 5, 1988, 18 Pa.B. 937. Immediately preceding text appears at serial pages (67481) to (67482).

History

  • Authority: The provisions of this Chapter 135 issued under section 2501-C of The Administrative Code of 1929 (71 P. S. § 670.101); and the Neighborhood Assistance Act (62 P. S. § § 2081—2089), unless otherwise noted.
  • Source: The provisions of this § 135.54 amended March 18, 1977, effective March 19, 1977, 7 Pa.B. 747; amended November 25, 1977, effective August 12, 1977, 7 Pa.B. 3408; amended March 17, 1978, effective July 1, 1977, 8 Pa.B. 753; amended June 26, 1979, effective July 1, 1978, 8 Pa.B. 313; amended June 27, 1980, effective July 1, 1979, 10 Pa.B. 2574; amended May 15, 1981, effective May 16, 1981, 11 Pa.B. 1647; corrected November 13, 1981, effective November 14, 1981, 11 Pa.B. 4038. Immediately preceding text appears at serial pages (64162) to (64163).
12 Pa. Code § 135.2 Purpose of the Neighborhood Assistance Act.

The purpose of this chapter is to define the eligibility requirements and procedures necessary to provide tax credits under the Neighborhood Assistance Program to business firms which provide neighborhood assistance, job training, community services, education and crime prevention or which contribute to neighborhood organizations which provide the services. This chapter also defines the eligibility requirements and procedures necessary to provide tax credits under the Enterprise Zone Tax Credit Program to private companies which make qualified investments to rehabilitate, expand or improve buildings or land which promote community economic development and which occur in portions of impoverished areas that have been designated as enterprise zones.

The provisions of this § 135.2 amended May 15, 1981, effective May 16, 1981, 11 Pa.B. 1647; amended March 4, 1988, effective March 5, 1988, 18 Pa.B. 937. Immediately preceding text appears at serial page (67482).

History

  • Authority: The provisions of this Chapter 135 issued under section 2501-C of The Administrative Code of 1929 (71 P. S. § 670.101); and the Neighborhood Assistance Act (62 P. S. § § 2081—2089), unless otherwise noted.
  • Source: The provisions of this § 135.54 amended March 18, 1977, effective March 19, 1977, 7 Pa.B. 747; amended November 25, 1977, effective August 12, 1977, 7 Pa.B. 3408; amended March 17, 1978, effective July 1, 1977, 8 Pa.B. 753; amended June 26, 1979, effective July 1, 1978, 8 Pa.B. 313; amended June 27, 1980, effective July 1, 1979, 10 Pa.B. 2574; amended May 15, 1981, effective May 16, 1981, 11 Pa.B. 1647; corrected November 13, 1981, effective November 14, 1981, 11 Pa.B. 4038. Immediately preceding text appears at serial pages (64162) to (64163).
12 Pa. Code § 135.3 Objectives of the act.

(a) One objective of the act is to encourage private business firms as defined in the act to provide private capital as described in the act to generate, provide or establish projects which will improve impoverished neighborhoods by providing job training for both the unemployed and the underemployed, education, community services and crime prevention and by enhancing the living conditions of people in impoverished areas.

(b) Another objective of the act is to encourage private companies to invest in physical improvements in enterprise zones that result in community economic development.

(c) The goal of the act is to directly involve business firms in assisting and improving impoverished communities. The act provides for a wide range of innovative projects by offering a business firm the option of sponsoring its own project in the community or contributing to a nonprofit neighborhood organization. The purpose of the act is to help impoverished individuals or neighborhoods, or both, by using the business firm’s technical assistance abilities or resources, or both.

(d) The act is not intended to replace or lower the local effort by business and industrial firms in their usual contributions to nonprofit organizations. Projects which fail to clearly differentiate between the two types of assistance will not be considered.

The provisions of this § 135.3 amended May 15, 1981, effective May 16, 1981, 11 Pa.B. 3512; amended March 4, 1988, effective March 5, 1988, 18 Pa.B. 937. Immediately preceding text appears at serial page (64154).

History

  • Authority: The provisions of this Chapter 135 issued under section 2501-C of The Administrative Code of 1929 (71 P. S. § 670.101); and the Neighborhood Assistance Act (62 P. S. § § 2081—2089), unless otherwise noted.
  • Source: The provisions of this § 135.54 amended March 18, 1977, effective March 19, 1977, 7 Pa.B. 747; amended November 25, 1977, effective August 12, 1977, 7 Pa.B. 3408; amended March 17, 1978, effective July 1, 1977, 8 Pa.B. 753; amended June 26, 1979, effective July 1, 1978, 8 Pa.B. 313; amended June 27, 1980, effective July 1, 1979, 10 Pa.B. 2574; amended May 15, 1981, effective May 16, 1981, 11 Pa.B. 1647; corrected November 13, 1981, effective November 14, 1981, 11 Pa.B. 4038. Immediately preceding text appears at serial pages (64162) to (64163).
12 Pa. Code § 135.11 Designation of impoverished areas.

For the purpose of the Neighborhood Assistance Program and the Enterprise Zone Tax Credit Program, the Department will certify as impoverished those basic census units, parts of census units or combinations of adjacent census units which, in comparison to Statewide averages, have high incidence of any of the following social conditions:

(1) Persistent unemployment or underemployment.

(2) Dependence upon public assistance.

(3) Overcrowded, unsanitary or inadequate housing.

(4) Crime and delinquency.

(5) [Reserved].

(6) Disease or disability.

(7) Infant mortality.

(8) School dropouts or other evidence of low educational attainment.

(9) Other generally accepted indicators of widespread social problems or poverty conditions.

The provisions of this § 135.11 amended May 15, 1981, effective May 16, 1981, 11 Pa.B. 1647; amended March 4, 1988, effective March 5, 1988, 18 Pa.B. 937. Immediately preceding text appears at serial pages (64154) to (64155).

This section cited in 12 Pa. Code § 135.13 (relating to new designations).

History

  • Authority: The provisions of this Chapter 135 issued under section 2501-C of The Administrative Code of 1929 (71 P. S. § 670.101); and the Neighborhood Assistance Act (62 P. S. § § 2081—2089), unless otherwise noted.
  • Source: The provisions of this § 135.54 amended March 18, 1977, effective March 19, 1977, 7 Pa.B. 747; amended November 25, 1977, effective August 12, 1977, 7 Pa.B. 3408; amended March 17, 1978, effective July 1, 1977, 8 Pa.B. 753; amended June 26, 1979, effective July 1, 1978, 8 Pa.B. 313; amended June 27, 1980, effective July 1, 1979, 10 Pa.B. 2574; amended May 15, 1981, effective May 16, 1981, 11 Pa.B. 1647; corrected November 13, 1981, effective November 14, 1981, 11 Pa.B. 4038. Immediately preceding text appears at serial pages (64162) to (64163).
12 Pa. Code § 135.13 New designations.

Proposals concerning areas not presently certified as impoverished shall contain supporting evidence as to social conditions specified in § 135.11 (relating to designation of impoverished areas) in order to have the area certified as impoverished.

The provisions of this § 135.13 amended May 15, 1981, effective May 16, 1981, 11 Pa.B. 1647. Immediately preceding text appears at serial page (6809).

History

  • Authority: The provisions of this Chapter 135 issued under section 2501-C of The Administrative Code of 1929 (71 P. S. § 670.101); and the Neighborhood Assistance Act (62 P. S. § § 2081—2089), unless otherwise noted.
  • Source: The provisions of this § 135.54 amended March 18, 1977, effective March 19, 1977, 7 Pa.B. 747; amended November 25, 1977, effective August 12, 1977, 7 Pa.B. 3408; amended March 17, 1978, effective July 1, 1977, 8 Pa.B. 753; amended June 26, 1979, effective July 1, 1978, 8 Pa.B. 313; amended June 27, 1980, effective July 1, 1979, 10 Pa.B. 2574; amended May 15, 1981, effective May 16, 1981, 11 Pa.B. 1647; corrected November 13, 1981, effective November 14, 1981, 11 Pa.B. 4038. Immediately preceding text appears at serial pages (64162) to (64163).
12 Pa. Code § 135.21 General.

(a) The program will be administered by the Office of Community Services.

(b) The Office of Community Services will provide advice and assistance to businesses and neighborhood organizations and aid in the development of projects, processing of applications and arranging for the tax credits which are authorized for businesses participating in the program.

The provisions of this § 135.21 amended October 10, 1981, effective May 16, 1981, 11 Pa.B. 1647; corrected October 10, 1981, effective May 16, 1981, 11 Pa.B. 3512; amended March 4, 1988, effective March 5, 1988, 18 Pa.B. 937. Immediately preceding text appears at serial page (82855).

History

  • Authority: The provisions of this Chapter 135 issued under section 2501-C of The Administrative Code of 1929 (71 P. S. § 670.101); and the Neighborhood Assistance Act (62 P. S. § § 2081—2089), unless otherwise noted.
  • Source: The provisions of this § 135.54 amended March 18, 1977, effective March 19, 1977, 7 Pa.B. 747; amended November 25, 1977, effective August 12, 1977, 7 Pa.B. 3408; amended March 17, 1978, effective July 1, 1977, 8 Pa.B. 753; amended June 26, 1979, effective July 1, 1978, 8 Pa.B. 313; amended June 27, 1980, effective July 1, 1979, 10 Pa.B. 2574; amended May 15, 1981, effective May 16, 1981, 11 Pa.B. 1647; corrected November 13, 1981, effective November 14, 1981, 11 Pa.B. 4038. Immediately preceding text appears at serial pages (64162) to (64163).
12 Pa. Code § 135.22 Submission of proposals.

(a) Proposals may be submitted to the Department under the Neighborhood Assistance Program by either of the following:

(1) Business firms which provide neighborhood assistance, job training, community services, education or crime prevention.

(2) Neighborhood organizations seeking authorization to solicit tax credited contributions from business firms for projects which are operated by the neighborhood organizations and which provide neighborhood assistance, job training, community services, education or crime prevention.

(b) Prior to the start of any project or the solicitation of funds, proposals for projects must be submitted on the Community Empowerment Office’s Proposal Format and approved by the Secretary.

(c) Proposals shall be submitted in accordance with the following procedure:

(1) Five copies of the proposal shall be submitted to the appropriate regional office of the Department.

(2) The time frame for proposal submission will be announced by the Department annually and at such times as deemed necessary by the Department.

(3) The Department will respond to the submission of the applicant within 90 days from the date of submission.

The provisions of this § 135.22 amended May 15, 1981, effective May 16, 1981, 11 Pa.B. 1647; amended June 24, 1983, effective June 25, 1983, 13 Pa.B. 1994. Immediately preceding text appears at serial pages (64156) to (64157).

This section cited in 12 Pa. Code § 135.41b (relating to special program priorities).

History

  • Authority: The provisions of this Chapter 135 issued under section 2501-C of The Administrative Code of 1929 (71 P. S. § 670.101); and the Neighborhood Assistance Act (62 P. S. § § 2081—2089), unless otherwise noted.
  • Source: The provisions of this § 135.54 amended March 18, 1977, effective March 19, 1977, 7 Pa.B. 747; amended November 25, 1977, effective August 12, 1977, 7 Pa.B. 3408; amended March 17, 1978, effective July 1, 1977, 8 Pa.B. 753; amended June 26, 1979, effective July 1, 1978, 8 Pa.B. 313; amended June 27, 1980, effective July 1, 1979, 10 Pa.B. 2574; amended May 15, 1981, effective May 16, 1981, 11 Pa.B. 1647; corrected November 13, 1981, effective November 14, 1981, 11 Pa.B. 4038. Immediately preceding text appears at serial pages (64162) to (64163).
12 Pa. Code § 135.23 Review of proposals.

(a) Review procedures will be conducted through the regional offices of the Department. Recommendations by the regional offices and by the Community Empowerment Office’s central office will be presented to the Secretary.

(b) The Secretary will approve or disapprove the project and establish the amount of tax credit to be granted up to 50% of the approved budget request. Approval may be for 70% of the approved budget request if the project meets the conditions specified in § 135.41b (relating to special program priorities).

(c) Projects are approved for a 1-year period, corresponding with the fiscal year of the Commonwealth. Approval of any project is effective as of the effective date of the contract between the Department and the business firm or neighborhood organization. Approved project activities of business firms and neighborhood organizations and the solicitation of contributions by neighborhood organizations for approved project activities shall begin after the effective date of the contract.

The provisions of this § 135.23 amended May 15, 1981, effective May 16, 1981, 11 Pa.B. 1647; amended June 24, 1983, effective June 25, 1983, 13 Pa.B. 1994; amended March 4, 1988, effective March 5, 1988, 18 Pa.B. 937. Immediately preceding text appears at serial page (82856).

History

  • Authority: The provisions of this Chapter 135 issued under section 2501-C of The Administrative Code of 1929 (71 P. S. § 670.101); and the Neighborhood Assistance Act (62 P. S. § § 2081—2089), unless otherwise noted.
  • Source: The provisions of this § 135.54 amended March 18, 1977, effective March 19, 1977, 7 Pa.B. 747; amended November 25, 1977, effective August 12, 1977, 7 Pa.B. 3408; amended March 17, 1978, effective July 1, 1977, 8 Pa.B. 753; amended June 26, 1979, effective July 1, 1978, 8 Pa.B. 313; amended June 27, 1980, effective July 1, 1979, 10 Pa.B. 2574; amended May 15, 1981, effective May 16, 1981, 11 Pa.B. 1647; corrected November 13, 1981, effective November 14, 1981, 11 Pa.B. 4038. Immediately preceding text appears at serial pages (64162) to (64163).
12 Pa. Code § 135.24 Annual review.

(a) Business firms and neighborhood organizations desiring renewal for additional years shall submit their proposals through the appropriate regional office a minimum of 3 months prior to expiration of the Department’s contract. The project’s performance during previous years will be evaluated by the Department in its decision to approve or disapprove a renewal application.

(b) A new proposal shall be submitted for renewal each year.

(c) Organizations whose solicitation efforts would extend beyond 1 year, as in the case of corporate pledges, must indicate the total amount of effort to be extended and the duration of the effort. However, project approval will only be granted on the first year’s effort which must be clearly defined and budgeted.

(d) Neighborhood organizations shall submit a report on the amount of cash and in-kind or technical assistance contributions received by business and industrial firms at the end of the year. An audit for approved projects operated during the year shall also be submitted to the Department within 90 days after the termination of the contract between the Department and the neighborhood organization. One copy of the audit and report shall be sent to the regional office, and a second copy shall be sent to the central office.

(e) Business firms operating an approved program shall submit an audit of the project within 90 days after the termination of the contract between the Department and the business firm. One copy of the audit and report shall be sent to the regional office, and a second copy shall be sent to the central office.

(f) The cost of the audit required in subsections (d) and (e) will be considered an eligible budget cost.

The provisions of this § 135.24 adopted May 15, 1981, effective May 16, 1981, 11 Pa.B. 1647; amended March 4, 1988, effective March 5, 1988, 18 Pa.B. 937. Immediately preceding text appears at serial pages (82856), (64158) and (62208).

History

  • Authority: The provisions of this Chapter 135 issued under section 2501-C of The Administrative Code of 1929 (71 P. S. § 670.101); and the Neighborhood Assistance Act (62 P. S. § § 2081—2089), unless otherwise noted.
  • Source: The provisions of this § 135.54 amended March 18, 1977, effective March 19, 1977, 7 Pa.B. 747; amended November 25, 1977, effective August 12, 1977, 7 Pa.B. 3408; amended March 17, 1978, effective July 1, 1977, 8 Pa.B. 753; amended June 26, 1979, effective July 1, 1978, 8 Pa.B. 313; amended June 27, 1980, effective July 1, 1979, 10 Pa.B. 2574; amended May 15, 1981, effective May 16, 1981, 11 Pa.B. 1647; corrected November 13, 1981, effective November 14, 1981, 11 Pa.B. 4038. Immediately preceding text appears at serial pages (64162) to (64163).
12 Pa. Code § 135.41 Amount.

(a) If the projects of a business firm or a neighborhood organization have been approved, the Department of Revenue will grant a tax credit against tax which may be due from a business firm under Article IV, VI—X or XIII—XVI of the Tax Reform Code of 1971 (72 P. S. § § 7401—7412, 7601—8006 or 8301—8632).

(b) A business firm which administers or contributes to an approved project may not receive more than $250,000 tax credit annually.

(c) Tax credits will not be given to a business firm whose contributions are granted for activities that are a part of its normal course of business.

(d) A tax credit not used in the period the investment or the contribution was made may be carried over the next 5 succeeding calendar or fiscal years until the full credit has been allowed if the certification for credit has been requested through the Department within 6 months after the end of the Commonwealth’s fiscal year for which the project was approved.

(e) Approval for the allowance of tax credits will be granted to business firms and neighborhood organizations for 1 year only. Future tax credits will depend on the project being reapproved in a subsequent year.

(f) No credit will be given for funds expended or contributions received prior to the date of approval by the Secretary.

The provisions of this § 135.41 amended May 15, 1981, effective May 16, 1981, 11 Pa.B. 1647; amended March 4, 1988, effective March 5, 1988, 18 Pa.B. 937. Immediately preceding text appears at serial pages (62208) to (62209).

History

  • Authority: The provisions of this Chapter 135 issued under section 2501-C of The Administrative Code of 1929 (71 P. S. § 670.101); and the Neighborhood Assistance Act (62 P. S. § § 2081—2089), unless otherwise noted.
  • Source: The provisions of this § 135.54 amended March 18, 1977, effective March 19, 1977, 7 Pa.B. 747; amended November 25, 1977, effective August 12, 1977, 7 Pa.B. 3408; amended March 17, 1978, effective July 1, 1977, 8 Pa.B. 753; amended June 26, 1979, effective July 1, 1978, 8 Pa.B. 313; amended June 27, 1980, effective July 1, 1979, 10 Pa.B. 2574; amended May 15, 1981, effective May 16, 1981, 11 Pa.B. 1647; corrected November 13, 1981, effective November 14, 1981, 11 Pa.B. 4038. Immediately preceding text appears at serial pages (64162) to (64163).
12 Pa. Code § 135.41a Tax credits for capital construction campaigns.

(a) A capital construction campaign is the raising of funds for the construction or permanent improvement to property or the purchase of furniture or equipment to be used in the neighborhood organization’s facility.

(b) Capital construction campaign programs may be approved generally for up to a 3-year period. In addition, each year of the 3-year period shall be approved individually.

(c) Capital campaigns for the construction of buildings which are intended to provide in-patient overnight medical care may not be eligible under this program.

(d) A building not owned by a neighborhood organization to be renovated shall have a lease which would cover the useful life of the renovations.

(e) Capital campaign programs will only be approved up to $150,000 tax credits per year or up to $450,000 tax credits over an approved 3-year period, except by special approval by the Secretary.

(f) Capital campaigns may only be submitted for work to be accomplished.

(g) Campaign expenses such as fund raisers, materials, ads, rentals and the like may not be included as program costs.

(h) Costs incurred under the program shall be for construction-related costs only. Payment of interest on loans will not be considered.

(i) Capital construction projects shall provide appropriate plans and costs.

(j) In order for an organization which provides community-wide services to be eligible for tax-credited contributions for capital construction campaigns, the organization must provide specific programs for low income individuals. The programs shall be the type eligible under the act. The proposal of the organization shall include the following information in addition to other application requirements: a description of the program aimed towards low-income individuals; a statement of the number of individuals who are being served or who will be served by the program for low-income individuals; a statement as to how the capital construction will relate to the program for low-income individuals, that is how the new facility will be used in the program; and a statement of the total number of individuals who are being served or who will be served by the organization. The number of individuals served by the specific program for low-income individuals will be compared to the total number of individuals served by the organization to determine the percentage of low-income individuals aided by the organization. The tax credit for the capital construction campaign will then be determined by prorating the entire cost of the capital construction, excluding ineligible costs under this chapter, to the percentage of low-income individuals served by the organization. The amount of tax credits under this subsection will be subject to the limitations set forth in this chapter.

The provisions of this § 135.41a adopted May 15, 1981, effective May 16, 1981, 11 Pa.B. 1647; corrected May 15, 1981, effective May 16, 1981, 11 Pa.B. 2047.

History

  • Authority: The provisions of this Chapter 135 issued under section 2501-C of The Administrative Code of 1929 (71 P. S. § 670.101); and the Neighborhood Assistance Act (62 P. S. § § 2081—2089), unless otherwise noted.
  • Source: The provisions of this § 135.54 amended March 18, 1977, effective March 19, 1977, 7 Pa.B. 747; amended November 25, 1977, effective August 12, 1977, 7 Pa.B. 3408; amended March 17, 1978, effective July 1, 1977, 8 Pa.B. 753; amended June 26, 1979, effective July 1, 1978, 8 Pa.B. 313; amended June 27, 1980, effective July 1, 1979, 10 Pa.B. 2574; amended May 15, 1981, effective May 16, 1981, 11 Pa.B. 1647; corrected November 13, 1981, effective November 14, 1981, 11 Pa.B. 4038. Immediately preceding text appears at serial pages (64162) to (64163).
12 Pa. Code § 135.41b Special program priorities.

For Fiscal Year 1997-98, the special program priorities will be accepted in four categories: Community Development, Comprehensive Services, Affordable Housing Programs and Enterprise Zone Programs. Projects in each category shall relate to activities which will improve the physical and economic environment of low income neighborhoods or which will contribute to neighborhood stabilization by reversing patterns of deterioration and blight. The projects shall demonstrate the local commitment through partnerships of community based organizations, local government and the private sector. The following paragraphs set forth the requirements for the project to be eligible for tax credit valuation of 70%.

(1) Community development program. Required program characteristics include the following:

(i) Project activities are eligible for the 50% tax credit program.

(ii) Project activities shall be included in a community development plan for the prevention or elimination of physical blight and for educational, social and economic services to aid impoverished people within an urban neighborhood or rural community. A community development project shall include the components of clauses (A) and (B), and two of the remaining components in clauses (C)—(F).

(A) Job development—examples.

(I) Prevocational counseling of special supportive services for job related problems, such as transporation services, health examinations, social services and training stipends.

(II) Strong training components that emphasize learning habits and skills that are transferable to private employment.

(III) Activities which support the birth and expansion of small businesses. These activities shall assist the development of small businesses by providing valuable management skills, thereby increasing the effectiveness of community conservation efforts.

(IV) Activities which redirect the older displaced workers through retraining programs.

(V) Job training which will give low income and minority youth the opportunity to gain initial entry level work experience.

(B) Housing examples. Activities which reverse the decline of neighborhoods without displacement of residents, such as:

(I) Housing rehabilitation.

(II) Historic and neighborhood preservation.

(III) Development of low or moderate income housing.

(IV) Incentives for greater private investment in neighborhood housing.

(V) Housing rehabilitation activities with an emphasis on energy conservation such as the installation of energy conserving heating systems and furnace retrofits.

(C) Education—examples.

(I) Activities which improve the quality of the labor force through focus on vocational education.

(II) Programs to enhance employment opportunities for youth and minorities by improvement in general education through focusing on the applied sciences and technology, career counseling and placement services.

(III) General education and continuing education changes which aid in the retraining of older displaced workers.

(D) Health—examples.

(I) Health facilities.

(II) Treatment and rehabilitation centers such as those for victims of drug and alcohol abuse.

(E) Recreation—examples.

(I) Improvement of nonmunicipal recreational facilities that benefit impoverished persons.

(II) Improvement of nonmunicipal recreational facilities that physically improve impoverished areas.

(F) Social—examples.

(I) Activities which increase the availability of basic human services.

(II) Activities which support the development of human resources that will aid new economic growth and conserve the community.

(2) Affordable housing programs. Applicants shall be limited to nonprofit neighborhood organizations who produce or preserve through renovation, repair, rehabilitation or new construction affordable housing for low-income persons meeting the following requirements:

(i) Project activities shall be eligible for the 50% tax credit programs as set forth in § 135.22 (relating to submission of proposals).

(ii) Project activities shall benefit low income persons whose family income is no more than 125% of the official poverty line established by the Federal Office of Management and Budget.

(iii) Project activities shall demonstrate the development of local housing partnerships through community based organizations, local government and the private sector.

(iv) An applicant who meets the eligibility requirements of subparagraphs (i)—(iii) shall submit a plan for low-income housing rehabilitation, new residential construction or housing consultant support services for low-income persons, which contains the following provisions:

(A) Demonstration that upon completion of construction or rehabilitation of low-income rental housing units, rental costs may not exceed 30% of the renters’ adjusted gross income.

(B) Following the investment of tax credit supported contributions, a provision that the nonprofit organization may not, without Departmental approval, sell, lease or otherwise exchange property constructed, rehabilitated or supported by tax credits.

(C) A nondiscrimination clause which includes a provision that both housing and employment opportunities will be provided to minorities.

(D) A nondiscrimination clause providing that developers, contractors and subcontractors shall also be bound by the clause which extends employment opportunities to minorities and which is consistent with the nondiscrimination clause in § 135.51 (relating to nondiscrimination).

(E) Neighborhood organizations and business firms shall ensure that the opportunity for participation in contracts, subcontracts and service delivery is extended to minority and women owned firms for projects carried out under this program.

(v) Projects shall be responsive to members of rural community or urban neighborhoods. Applicants shall demonstrate the participation of low-income persons in the development of the proposed project. Applicants shall document low-income participation in project proposals submitted to the Department.

(vi) The proposed project shall include a plan to increase the availability of low-income housing in the affected community. Projects aimed at revitalizing housing shall be based on a survey that clearly provides evidence of distressed and blighted neighborhoods.

(vii) Projects shall include a significant commitment beyond contributed cash and materials, as follows:

(A) Managerial services such as accounting or financial management.

(B) Donation of full-time special personnel such as architects to assist in developing blue prints for constructions.

(viii) Projects shall be specifically designed to be able to demonstrate a significant leveraging effect on public and private resources to support projects. Examples include their ability to:

(A) Generate additional funds from other sources to aid in alleviating the problem of insufficient housing for low-income persons in the community.

(B) Generate community support by involvement of local residents in the planning process.

(C) Coordinate other activities with other organizations conducting similar housing programs.

(3) Enterprise Development Zone Programs. A project which is participating in Enterprise Zone Programs may be eligible for 70% tax credits. Enterprise zones are identified areas of disadvantaged communities designated by the Department under the Enterprise Zone Program. The program is described in a policy statement in Chapter 121 (relating to enterprise development area initiative—statement of policy). These areas involve private/public partnerships designed to enhance the economic climate and lead to new job creation. A project pertaining solely to land and building rehabilitation or improvement of public infrastructure which may receive tax credits under The Enterprise Zone Tax Credit Program under section 4 of the act (62 P. S. § 2084) may not be eligible for 70% tax credits under this section. To be eligible for 70% tax credits in an enterprise zone, a program shall meet the following requirements. A project activity shall:

(i) Be eligible for the 50% tax credit program in § 135.22.

(ii) Directly benefit residents of the enterprise zone.

(iii) Be developed in consultation with the enterprise zone coordinator for the designated enterprise zone.

(4) Comprehensive service programs. A program that proposes to transform a distressed community into a healthy stable community through the long-term joint efforts of a neighborhood/community organization and a major corporate sponsor for the development and implementation of a strategic neighborhood revitalization plan. Required program characteristics include the following:

(i) Program activities are eligible for the 50% tax credit program in § 135.22.

(ii) Program activities shall benefit low income persons whose family income is no more than 125% of the official poverty line established by the Federal Office of Management and Budget or who are residents of an economically distressed community, or both. The distressed community shall be specified by geographic boundaries in the plan.

(iii) The program shall have a major corporate sponsor who makes a significant commitment of contributed cash as well as other in-kind services such as financial advice, legal counsel, public relations, architectural assistance, managerial advice or other expertise that may be available within its corporate structure.

(iv) The program shall include the following components and goals for the economically distressed neighborhood:

(A) Housing. This component substantially improves housing for residents and provide for them both ownership and rental opportunities.

(B) Education. This component raises the educational and job readiness levels of community residents.

(C) Health and social services. This component builds the capacity of community/neighborhood based organizations and works creatively with county and State agencies so that social and health services are available for all residents including senior citizens and children.

(D) Community development. This component encourages and assists neighborhood based community development, particularly along the commercial districts, which will create jobs for area residents.

(E) Job training. This component creates job training and referral services for adults and young people, including summer job programs for ‘‘in-school’’ youth.

(F) Crime prevention. This component develops, in cooperation with State and local law enforcement agencies, local school districts, county and State health departments, an educational program for drug prevention and antiviolence initiatives.

(G) Community participation. This component enhances volunteer recruitment, training, placement and recognition to support comprehensive service project coalitions so that every resident becomes an active and effective citizen.

(v) The program shall include a comprehensive service plan that contains four essential components for the revitalization of a distressed neighborhood.

(A) Community partnerships. This component explains how community/neighborhood based organizations will transform a distressed neighborhood into a healthy community by creating significant and lasting partnerships among community based organizations, the private sector, and local and State government and the respective resources available.

(B) Strategic neighborhood revitalization plan. This component is designed to provide a cohesive, coordinated plan of action, with strong community support for the project. The plan should include an assessment of needs, identification of resources, assignment of priorities and determination of appropriate course of action and be organized to support a plan of action over a minimum of a 5-year period.

(C) Implementation of revitalization plan. This component sets forth the neighborhood’s/community’s vision for the future and identifies specific activities and resources needed to accomplish the tasks.

(D) Evaluation. This component establishes an assessment mechanism for measuring the status and progress of proposed activities in meeting the overall comprehensive service goals for the revitalization of the distressed community.

(vi) The program shall include a detailed budget that is a coordinated plan of financial action that supports the development and implementation of the proposed revitalization plan for the community/neighborhood.

(5) Limitations. During Fiscal Year 1997-98, the Department will allocate no more than $1.3 million of the available tax credits for valuation at 70%. No more than $1 million dollars of the tax credits will be allocated to the combined applicants for Community Development and Affordable Housing Projects, and no more than $300,000 will be awarded for Comprehensive Service Programs. Approval of projects under special program priorities will be contingent upon the availability of tax credits.

(6) Applicability. The special program priorities in this section are applicable to programs implemented during Fiscal Year 1997-98.

The provisions of this § 135.41b adopted May 15, 1981, effective May 16, 1981, 11 Pa.B. 1647; corrected November 13, 1981, effective November 14, 1981, 11 Pa.B. 4038; amended May 14, 1982, effective July 1, 1981, 12 Pa.B. 1561; amended June 24, 1983, effective July 1, 1982, 13 Pa.B. 1994; amended March 22, 1985, effective July 1, 1983, 15 Pa.B. 1076; amended July 3, 1986, effective immediately and will apply retroactively to July 1, 1985, 16 Pa.B. 2403; amended July 31, 1987, effective July 1, 1986, 17 Pa.B. 3207; amended August 19, 1988, effective upon publication and apply retroactively to July 1, 1987, 18 Pa.B. 3684; amended February 17, 1989, effective upon publication and apply retroactively to July 1, 1988, 19 Pa.B. 635; amended June 8, 1990, effective upon publication and apply retroactively to July 1, 1989, 20 Pa.B. 3056; amended June 29, 1990, effective June 30, 1990, 20 Pa.B. 3592; amended January 25, 1991, effective immediately and apply retroactively to July 1, 1990, 21 Pa.B. 359; amended November 27, 1991, effective November 30, 1991, 21 Pa.B. 5510; amended May 8, 1992, effective May 9, 1992, 22 Pa.B. 2449; amended November 19, 1993, effective November 20, 1993, 23 Pa.B. 5528; amended July 7, 1995, effective July 8, 1995, 25 Pa.B. 2718; amended December 6, 1996, effective December 7, 1996, 26 Pa.B. 5886; amended January 3, 1997, effective January 4, 1997, 27 Pa.B. 18; amended October 2, 1998, effective October 3, 1998, 28 Pa.B. 4893. Immediately preceding text appears at serial pages (231059) to (231064).

This section cited in 12 Pa. Code § 135.23 (relating to review of proposals).

History

  • Authority: The provisions of this Chapter 135 issued under section 2501-C of The Administrative Code of 1929 (71 P. S. § 670.101); and the Neighborhood Assistance Act (62 P. S. § § 2081—2089), unless otherwise noted.
  • Source: The provisions of this § 135.54 amended March 18, 1977, effective March 19, 1977, 7 Pa.B. 747; amended November 25, 1977, effective August 12, 1977, 7 Pa.B. 3408; amended March 17, 1978, effective July 1, 1977, 8 Pa.B. 753; amended June 26, 1979, effective July 1, 1978, 8 Pa.B. 313; amended June 27, 1980, effective July 1, 1979, 10 Pa.B. 2574; amended May 15, 1981, effective May 16, 1981, 11 Pa.B. 1647; corrected November 13, 1981, effective November 14, 1981, 11 Pa.B. 4038. Immediately preceding text appears at serial pages (64162) to (64163).
12 Pa. Code § 135.42 Computation.

(a) Contribution of property. Where the contribution consists of real or personal property, the value thereof will be determined by the Secretary by considering the amount normally allowed by the Internal Revenue Service as a charitable deduction for Federal income tax purposes by considering any other accepted business or accounting standards. However, where a greater value than that normally allowed as a contribution by the Internal Revenue Service is claimed by the applicant as a contribution to a qualifying neighborhood assistance project, the applicant shall support such value by documentation, which in the case of real property, shall include two separate and independent appraisals by qualified appraisers selected by the contributing business firm. The Department will review these appraisals as part of the project review for which the contribution of real property is intended. If the project is approved for tax credit, the actual costs of the appraisals may be included in the project costs for which tax credit is allowable with respect to the contributing business firm. Where there is a conveyance of real property for tax credits, the transfer tax may be included in the project cost. Where the business firm does not transfer full title to the real or personal property but merely grants the use thereof to the approved program, the tax credit shall be computed on the basis of the annual rental value as set forth in the written lease between the neighborhood organization and the contributor.

(b) Contributions in kind. When business firms make an in-kind contribution to neighborhood projects in the nature of operating supplies or maintenance, tax credits will be granted on the net cost of the items to the donor. Invoices or other documents showing proof of cost to the donor shall be submitted with the application for tax credits.

(c) Contributions of personnel. The cost of a business firm loaning personnel to a neighborhood organization in order to provide expertise and technical assistance will be considered contributions and will be eligible for a tax credit. Personnel time shall be prorated on an hourly wage and other benefits from the firm. The exact amount of time spent on the project shall be indicated and noted by the employe and signed by the neighborhood organization.

The provisions of this § 135.42 amended May 15, 1981, effective May 16, 1981, 11 Pa.B. 1647; corrected June 12, 1981, effective May 16, 1981, 11 Pa.B. 2047. Immediately preceding text appears at serial pages (6815) to (6816).

History

  • Authority: The provisions of this Chapter 135 issued under section 2501-C of The Administrative Code of 1929 (71 P. S. § 670.101); and the Neighborhood Assistance Act (62 P. S. § § 2081—2089), unless otherwise noted.
  • Source: The provisions of this § 135.54 amended March 18, 1977, effective March 19, 1977, 7 Pa.B. 747; amended November 25, 1977, effective August 12, 1977, 7 Pa.B. 3408; amended March 17, 1978, effective July 1, 1977, 8 Pa.B. 753; amended June 26, 1979, effective July 1, 1978, 8 Pa.B. 313; amended June 27, 1980, effective July 1, 1979, 10 Pa.B. 2574; amended May 15, 1981, effective May 16, 1981, 11 Pa.B. 1647; corrected November 13, 1981, effective November 14, 1981, 11 Pa.B. 4038. Immediately preceding text appears at serial pages (64162) to (64163).
12 Pa. Code § 135.44 Proof of contribution.

(a) For a business firm to receive a tax credit for a contribution under the act, the business firm shall submit an application on forms provided by the Department with documentation of the contribution.

(b) Documentation of the contribution may include, but not necessarily be limited to, one of the following:

(1) Cash contribution. Cash contributions may be shown by a photo copy of the cancelled checks. Checks shall be made payable to the neighborhood organization and noted specifically for that project.

(2) Real estate contribution. Real estate contributions may be shown by a copy of the deed and two independent appraisals.

(3) Equipment and supply contributions. Equipment and supply contributions may be shown by copies of invoices signed by the receiver of the goods. The invoices must reflect the net outlay of the contributor.

(4) Technical assistance. A statement itemizing time and rate spent on the project will be sufficient to indicate the technical assistance rendered. The statement shall be signed by the employe in question, the employer, the project director and the recipient of the service.

(5) Manpower training. Documentation shall include name, address, social security number, wages paid to each trainee and any approved costs incurred.

(6) Stock contribution. Stock contributions must be converted into cash before the agency receives the donation. Stock is to be sold and value derived on the amount received minus commission and tax. Consideration will not be given on the average stock cost.

The provisions of this § 135.44 amended May 15, 1981, effective May 16, 1981, 11 Pa.B. 1647; amended March 4, 1988, effective March 5, 1988, 18 Pa.B. 937. Immediately preceding text appears at serial pages (121398) and (97459).

History

  • Authority: The provisions of this Chapter 135 issued under section 2501-C of The Administrative Code of 1929 (71 P. S. § 670.101); and the Neighborhood Assistance Act (62 P. S. § § 2081—2089), unless otherwise noted.
  • Source: The provisions of this § 135.54 amended March 18, 1977, effective March 19, 1977, 7 Pa.B. 747; amended November 25, 1977, effective August 12, 1977, 7 Pa.B. 3408; amended March 17, 1978, effective July 1, 1977, 8 Pa.B. 753; amended June 26, 1979, effective July 1, 1978, 8 Pa.B. 313; amended June 27, 1980, effective July 1, 1979, 10 Pa.B. 2574; amended May 15, 1981, effective May 16, 1981, 11 Pa.B. 1647; corrected November 13, 1981, effective November 14, 1981, 11 Pa.B. 4038. Immediately preceding text appears at serial pages (64162) to (64163).
12 Pa. Code § 135.46 General.

(a) The Enterprise Zone Tax Credit Program will be administered by the Office of Community Services. The goal of the program is to create employment opportunities for low-income persons in enterprise zone areas through investment in community economic development projects.

(b) The Office of Community Services will provide advice and assistance to private companies and neighborhood organizations and aid in the development of projects, processing of applications and in arranging for the tax credits for which private companies participating in this program are eligible.

The provisions of this § 135.46 adopted March 4, 1988, effective March 5, 1988, 18 Pa.B. 937.

History

  • Authority: The provisions of this Chapter 135 issued under section 2501-C of The Administrative Code of 1929 (71 P. S. § 670.101); and the Neighborhood Assistance Act (62 P. S. § § 2081—2089), unless otherwise noted.
  • Source: The provisions of this § 135.54 amended March 18, 1977, effective March 19, 1977, 7 Pa.B. 747; amended November 25, 1977, effective August 12, 1977, 7 Pa.B. 3408; amended March 17, 1978, effective July 1, 1977, 8 Pa.B. 753; amended June 26, 1979, effective July 1, 1978, 8 Pa.B. 313; amended June 27, 1980, effective July 1, 1979, 10 Pa.B. 2574; amended May 15, 1981, effective May 16, 1981, 11 Pa.B. 1647; corrected November 13, 1981, effective November 14, 1981, 11 Pa.B. 4038. Immediately preceding text appears at serial pages (64162) to (64163).
12 Pa. Code § 135.47 Submission of plans.

(a) Plans shall be submitted to the Department under the Enterprise Zone Tax Credit Program by one of the following:

(1) Private companies proposing to make qualified investments to rehabilitate, expand or improve buildings or land located within portions of impoverished areas which have been designated as enterprise zones. Plans submitted by private companies shall be developed in cooperation with and approved by a neighborhood organization. The activities proposed may not detract from the existing enterprise zone area plan developed and approved under Chapter 121 (relating to enterprise development area initiative—statement of policy).

(2) Neighborhood organizations that are directly involved in the Department’s designated enterprise zone program or that are involved in community economic development activities within the enterprise zone area. Plans submitted by neighborhood organizations shall include commitments from one or more private companies that will make qualified investments to rehabilitate, expand or improve buildings or land located within portions of impoverished areas which have been designated as enterprise zones.

(b) Prior to the start of a project, plans shall be submitted to the Community Empowerment Office and receive conditional approval by the Secretary in order to be eligible for tax credits under this section.

(c) Plans shall be submitted in the format announced by the Department and shall include:

(1) Documentation that the applicant—private company or a neighborhood organization—meets the eligibility requirements for the program.

(2) A description of the private company’s planned activities to rehabilitate, expand or improve buildings or land including documentation of property ownership.

(3) Specific construction and renovation plans.

(4) Time frame for the planned activities for each fiscal year up to 2 years.

(5) Discussion of community economic development benefits for the enterprise zone and a commitment to avoid displacement of current residents.

(6) A budget that itemizes the construction and rehabilitation related project costs and contains an estimate of the amount of the investment that will be made during each fiscal year up to 2 years. Costs incurred and applied against this plan for tax credits shall be for construction related costs only. Costs may only be submitted for work to be accomplished.

(7) A certification by a neighborhood organization in the community that the private company’s plan has been developed in cooperation with and approved by the neighborhood organization.

The provisions of this § 135.47 adopted March 4, 1988, effective March 5, 1988, 18 Pa.B. 937.

History

  • Authority: The provisions of this Chapter 135 issued under section 2501-C of The Administrative Code of 1929 (71 P. S. § 670.101); and the Neighborhood Assistance Act (62 P. S. § § 2081—2089), unless otherwise noted.
  • Source: The provisions of this § 135.54 amended March 18, 1977, effective March 19, 1977, 7 Pa.B. 747; amended November 25, 1977, effective August 12, 1977, 7 Pa.B. 3408; amended March 17, 1978, effective July 1, 1977, 8 Pa.B. 753; amended June 26, 1979, effective July 1, 1978, 8 Pa.B. 313; amended June 27, 1980, effective July 1, 1979, 10 Pa.B. 2574; amended May 15, 1981, effective May 16, 1981, 11 Pa.B. 1647; corrected November 13, 1981, effective November 14, 1981, 11 Pa.B. 4038. Immediately preceding text appears at serial pages (64162) to (64163).
12 Pa. Code § 135.48 Review of plans.

(a) The Department will review plans in a timely fashion.

(b) The Secretary will approve or disapprove a project based on the results of the Department’s review and establish a maximum amount of tax credits to be granted.

(c) Projects are approved for a 1-year period, corresponding with the fiscal year of the Commonwealth. Approved project activities of private companies, neighborhood organizations, or both, shall begin after the project receives approval from the Secretary.

The provisions of this § 135.48 adopted March 4, 1988, effective March 5, 1988, 18 Pa.B. 937.

History

  • Authority: The provisions of this Chapter 135 issued under section 2501-C of The Administrative Code of 1929 (71 P. S. § 670.101); and the Neighborhood Assistance Act (62 P. S. § § 2081—2089), unless otherwise noted.
  • Source: The provisions of this § 135.54 amended March 18, 1977, effective March 19, 1977, 7 Pa.B. 747; amended November 25, 1977, effective August 12, 1977, 7 Pa.B. 3408; amended March 17, 1978, effective July 1, 1977, 8 Pa.B. 753; amended June 26, 1979, effective July 1, 1978, 8 Pa.B. 313; amended June 27, 1980, effective July 1, 1979, 10 Pa.B. 2574; amended May 15, 1981, effective May 16, 1981, 11 Pa.B. 1647; corrected November 13, 1981, effective November 14, 1981, 11 Pa.B. 4038. Immediately preceding text appears at serial pages (64162) to (64163).
12 Pa. Code § 135.49 Amount.

(a) If the investment of a private company or a neighborhood organization has been verified and a tax credit requested, the Department of Revenue will grant a tax credit against tax imposed under Article IV, VI—X or XIII—XVI of the Tax Reform Code of 1971, or a tax substituted in lieu of it.

(b) A private company may not receive more than $250,000 tax credits annually for the projects approved under this chapter.

(c) A tax credit not used in the period the investment was made may be carried over the next 5 succeeding calendar or fiscal years until the full credit has been allowed. Tax credits shall be requested by the end of the fiscal year during which the credit was made.

(d) Approval for the allowance of tax credits will be granted to private companies and neighborhood organizations for 1 year. Private companies may invest in the approved project for up to 2 years, if the original plan demonstrated the need to make the investment over a 2-year period and tax credits are requested at the end of the first year’s investment. A request to continue the project into the second year may be submitted at that time.

(e) No credit will be given for funds expended or investments made prior to the project date approved by the Secretary.

(f) Tax credits will not be granted if the project results in displacement of residents, unless changes in neighborhood residential patterns demonstrably promote community conservation and positive measures will be taken to assist in or minimize the cost of relocation of residents affected under a plan developed with and approved by a designated neighborhood organization.

(g) An enterprise zone shall be limited to 20% of the total tax credits available under this program.

The provisions of this § 135.49 adopted March 4, 1988, effective March 5, 1988, 18 Pa.B. 937; amended June 8, 1990, effective upon publication and apply retroactively to July 1, 1988, 20 Pa.B. 3056. Immediately preceding text appears at serial page (125686).

History

  • Authority: The provisions of this Chapter 135 issued under section 2501-C of The Administrative Code of 1929 (71 P. S. § 670.101); and the Neighborhood Assistance Act (62 P. S. § § 2081—2089), unless otherwise noted.
  • Source: The provisions of this § 135.54 amended March 18, 1977, effective March 19, 1977, 7 Pa.B. 747; amended November 25, 1977, effective August 12, 1977, 7 Pa.B. 3408; amended March 17, 1978, effective July 1, 1977, 8 Pa.B. 753; amended June 26, 1979, effective July 1, 1978, 8 Pa.B. 313; amended June 27, 1980, effective July 1, 1979, 10 Pa.B. 2574; amended May 15, 1981, effective May 16, 1981, 11 Pa.B. 1647; corrected November 13, 1981, effective November 14, 1981, 11 Pa.B. 4038. Immediately preceding text appears at serial pages (64162) to (64163).
12 Pa. Code § 135.49a Enterprise Zone Tax Credit Program—special program priorities.

(a) Applicability. The special program priorities in this section are applicable to projects for the Fiscal Year 1997-98.

(b) Special program priority status. For the Fiscal Year 1997-98, special program priority status may be granted for projects that will provide employment opportunities for low-income residents of this Commonwealth, or enhance public facilities. If approved under this section, projects will receive tax credits equal to 30% of eligible project costs, up to the maximum amount approved by the Department. The Commonwealth will consider all 20% tax credit requests prior to consideration of 30% tax credit addendum requests for Fiscal Year 1997-98. To qualify for the 30% tax credit, projects shall submit an addendum that addresses the following requirements:

(1) A demonstration that jobs will be created for low-income individuals as a result of the investment made through the Enterprise Zone Tax Credit Program. Project activities shall:

(i) Create at least one job for low-income individuals for each $15,000 of private investment.

(ii) Include coordination with a local private industry council, office of employment security or county assistance office to assure assistance in job placement of low-income individuals.

(2) A demonstration that the project will include construction of or substantial repairs to a publicly owned facility, for example, streets, sidewalks or street lights.

The provisions of this § 135.49a adopted March 4, 1988, effective March 5, 1988, 18 Pa.B. 937; amended June 8, 1990, effective upon publication and apply retroactively to July 1, 1988, 20 Pa.B. 3056; amended June 29, 1990, effective June 30, 1990, 20 Pa.B. 3592; amended January 25, 1991, effective immediately and apply retroactively to July 1, 1990, 21 Pa.B. 359; amended November 27, 1991, effective November 30, 1991, 21 Pa.B. 5510; amended May 8, 1992, effective May 9, 1992, 22 Pa.B. 2449; amended November 19, 1993, effective November 20, 1993, 23 Pa.B. 5528; amended July 7, 1995, effective July 8, 1995, 25 Pa.B. 2718; amended December 6, 1996, effective December 7, 1996, 26 Pa.B. 5886; amended January 3, 1997, effective January 4, 1997, 27 Pa.B. 18; amended October 2, 1998, effective October 3, 1998, 28 Pa.B. 4893. Immediately preceding text appears at serial pages (231069) to (231070).

This section cited in 12 Pa. Code § 135.50 (relating to computation for the Enterprise Zone Tax Credit Program).

History

  • Authority: The provisions of this Chapter 135 issued under section 2501-C of The Administrative Code of 1929 (71 P. S. § 670.101); and the Neighborhood Assistance Act (62 P. S. § § 2081—2089), unless otherwise noted.
  • Source: The provisions of this § 135.54 amended March 18, 1977, effective March 19, 1977, 7 Pa.B. 747; amended November 25, 1977, effective August 12, 1977, 7 Pa.B. 3408; amended March 17, 1978, effective July 1, 1977, 8 Pa.B. 753; amended June 26, 1979, effective July 1, 1978, 8 Pa.B. 313; amended June 27, 1980, effective July 1, 1979, 10 Pa.B. 2574; amended May 15, 1981, effective May 16, 1981, 11 Pa.B. 1647; corrected November 13, 1981, effective November 14, 1981, 11 Pa.B. 4038. Immediately preceding text appears at serial pages (64162) to (64163).
12 Pa. Code § 135.50 Computation for the Enterprise Zone Tax Credit Program.

(a) If approved, projects will receive tax credits equal to 20% of eligible project costs, up to the maximum amount approved by the Department. Projects requesting consideration and approved under § 135.49a (relating to Enterprise Zone Tax Credit Program—special program priorities) will receive tax credits equal to 30% of eligible project costs.

(b) Tax credits will be granted for investments made to rehabilitate, expand or improve buildings, land or infrastructure according to the approved plan. Approval of tax credits is subject to verification of the value of the investment.

(c) An applicant for tax credits shall support the value of the investments made with documentation itemizing the expenditures.

The provisions of this § 135.50 adopted March 4, 1988, effective March 5, 1988, 18 Pa.B. 937.

History

  • Authority: The provisions of this Chapter 135 issued under section 2501-C of The Administrative Code of 1929 (71 P. S. § 670.101); and the Neighborhood Assistance Act (62 P. S. § § 2081—2089), unless otherwise noted.
  • Source: The provisions of this § 135.54 amended March 18, 1977, effective March 19, 1977, 7 Pa.B. 747; amended November 25, 1977, effective August 12, 1977, 7 Pa.B. 3408; amended March 17, 1978, effective July 1, 1977, 8 Pa.B. 753; amended June 26, 1979, effective July 1, 1978, 8 Pa.B. 313; amended June 27, 1980, effective July 1, 1979, 10 Pa.B. 2574; amended May 15, 1981, effective May 16, 1981, 11 Pa.B. 1647; corrected November 13, 1981, effective November 14, 1981, 11 Pa.B. 4038. Immediately preceding text appears at serial pages (64162) to (64163).
12 Pa. Code § 135.50a Documentation of investments.

(a) Upon completion of the project or at the end of the fiscal year in which a tax credit is being sought, the private company shall submit to the Department documentation which verifies that the planned investment has been made. A financial audit of the project and a final report of the activities related to implementation of the plan shall be submitted.

(b) Documentation can only be submitted for those investments that were included in the approved plan. Documentation of the investment may include, but is not limited to, the following:

(1) Cash contributions to an approved neighborhood organization. Cash contributions may be evidenced by a photocopy of the cancelled check. Checks shall be made payable to the neighborhood organization and noted specifically for that project.

(2) Purchase of materials, fixtures and equipment. The purchase of materials, fixtures and equipment shall be demonstrated by a copy of invoices paid by the private company and signed by the receiver of the goods. The invoice shall be identified and associated with the approved project.

(3) Employe wages and salaries. Employe wages and salaries documentation shall include the name, address, social security number, hourly rate and number of hours assigned to this project.

(4) Technical services. Costs of engineering or architectural design, legal services, land clearance or similar services shall be documented by the fee for the service as shown on the provider’s invoice, signed by the private company.

The provisions of this § 135.50a adopted March 4, 1988, effective March 5, 1988, 18 Pa.B. 937.

History

  • Authority: The provisions of this Chapter 135 issued under section 2501-C of The Administrative Code of 1929 (71 P. S. § 670.101); and the Neighborhood Assistance Act (62 P. S. § § 2081—2089), unless otherwise noted.
  • Source: The provisions of this § 135.54 amended March 18, 1977, effective March 19, 1977, 7 Pa.B. 747; amended November 25, 1977, effective August 12, 1977, 7 Pa.B. 3408; amended March 17, 1978, effective July 1, 1977, 8 Pa.B. 753; amended June 26, 1979, effective July 1, 1978, 8 Pa.B. 313; amended June 27, 1980, effective July 1, 1979, 10 Pa.B. 2574; amended May 15, 1981, effective May 16, 1981, 11 Pa.B. 1647; corrected November 13, 1981, effective November 14, 1981, 11 Pa.B. 4038. Immediately preceding text appears at serial pages (64162) to (64163).
12 Pa. Code § 135.51 Nondiscrimination.

To participate in the program, the business firm and private company shall comply with the following requirements:

(1) The business firm or private company may not discriminate against an employe or applicant for employment because of race, sex, creed, color, age or national origin.

(2) The business firm or private company shall take affirmative action to ensure that applicants are employed, and that employes are treated during employment without regard to race, age, sex, creed, color or national origin. Affirmative action shall include, but not be limited to, employment, upgrading, demotion or transfer; recruitment or recruitment advertising; layoff or termination; rates of pay or other forms of compensation; and selection for training including apprenticeship.

(3) The business firm or private company shall agree to post in conspicuous places, available to employes and applicants for employment, notices setting forth the provisions of this section.

(4) In solicitations or advertisements for employes placed by, or on behalf of the business firm or private company, it shall be stated that qualified applicants will receive consideration for employment without regard to race, sex, creed, color or national origin.

(5) The business firm or private company shall send to each labor union or representative of workers with which the firm or company has a collective bargaining agreement or other contract of understanding, a notice of the business firm’s or private company’s commitments under this section and shall post copies of the notice in conspicuous places available to employes and applicants for employment.

(6) In the event of the business firm’s or private company’s noncompliance with this section or with rules, regulations or orders relating to this section, the project may be cancelled, terminated or suspended in whole or in part and the business firm or private company may be declared ineligible for tax credit.

The provisions of this § 135.51 amended March 4, 1988, effective March 5, 1988, 18 Pa.B. 937. Immediately preceding text appears at serial pages (97459) to (97460).

This section cited in 12 Pa. Code § 135.41b (relating to special program priorities).

History

  • Authority: The provisions of this Chapter 135 issued under section 2501-C of The Administrative Code of 1929 (71 P. S. § 670.101); and the Neighborhood Assistance Act (62 P. S. § § 2081—2089), unless otherwise noted.
  • Source: The provisions of this § 135.54 amended March 18, 1977, effective March 19, 1977, 7 Pa.B. 747; amended November 25, 1977, effective August 12, 1977, 7 Pa.B. 3408; amended March 17, 1978, effective July 1, 1977, 8 Pa.B. 753; amended June 26, 1979, effective July 1, 1978, 8 Pa.B. 313; amended June 27, 1980, effective July 1, 1979, 10 Pa.B. 2574; amended May 15, 1981, effective May 16, 1981, 11 Pa.B. 1647; corrected November 13, 1981, effective November 14, 1981, 11 Pa.B. 4038. Immediately preceding text appears at serial pages (64162) to (64163).

Subpart C Community Development and Housing

Chapter 141 Community Development Grant Program

12 Pa. Code § 141.1 Purpose.

This chapter promulgates policies, requirements and procedures for grant assistance to eligible local governments authorized by the act. Parts of this chapter pertain to FFY 1984 grant funds while other parts will pertain only to FFY 1985 and thereafter. Where these differences are applicable, they are noted.

The provisions of this § 141.1 adopted May 3, 1985, effective May 4, 1985, 15 Pa.B. 1614; amended March 21, 1986, effective March 22, 1986, 16 Pa. B. 943. Immediately preceding text appears at serial page (98877).

History

  • Authority: The provisions of this § 141.309 issued under the Community Development Block Grant Entitlement Program for Nonurban Counties and Certain Other Municipalities (35 P. S. § § 1751—1765).
  • Source: The provisions of this § 141.309 adopted August 21, 1992, effective August 22, 1992, 22 Pa.B. 4313; amended January 20, 2006, effective January 21, 2006, 36 Pa.B. 283. Immediately preceding text appears at serial pages (231106) to (231107).
12 Pa. Code § 141.2 Primary objective.

The primary objective for the use of funds authorized under the act shall be consistent with the objectives and requirements set forth in 24 CFR 570.2 (relating to primary objective). Not less than 51% of grant assistance under this program shall be used to benefit persons or families of a low to moderate income.

The provisions of this § 141.2 adopted May 3, 1985, effective May 4, 1985, 15 Pa.B. 1614; amended March 21, 1986, effective March 22, 1986, 16 Pa. B. 943. Immediately preceding text appears at serial page (98877).

This section cited in 12 Pa. Code § 141.101 (relating to primary objective); and 12 Pa. Code § 141.171 (relating to prerequisites).

History

  • Authority: The provisions of this § 141.309 issued under the Community Development Block Grant Entitlement Program for Nonurban Counties and Certain Other Municipalities (35 P. S. § § 1751—1765).
  • Source: The provisions of this § 141.309 adopted August 21, 1992, effective August 22, 1992, 22 Pa.B. 4313; amended January 20, 2006, effective January 21, 2006, 36 Pa.B. 283. Immediately preceding text appears at serial pages (231106) to (231107).
12 Pa. Code § 141.3 Definitions.

The following words and terms, when used in this chapter, have the following meanings, unless the context clearly indicates otherwise: Act—The Community Development Block Grant Entitlement Program for Nonurban Counties and Certain Other Municipalities (35 P. S. § § 1751—1765). CDBG—The Federal Community Development Block Grant Program administered directly by the United States Department of Housing and Urban Development, under Title I of the Housing and Community Development Act of 1974 (42 U.S.C.A. § § 5301—5320). County net population—The population of eligible municipalities within the county except entitled cities, boroughs, towns and townships.

Department—The Department of Community and Economic Development. Discretionary grant—For FFY 1984, the program funds allocated for grant assistance that are administered directly by the Department and distributed on a Statewide basis to eligible entities. For FFY 1985 and thereafter, funds allocated to the Department to provide assistance to nonentitlement entities and to eligible entitlement entities with populations less than 10,000. Eligible entitlement entity—An eligible county, city, borough, town or township that has a population of 4,000 or more, and has been designated as UDAG-eligible at the time of filing for funds under the Commonwealth program. Eligible local government—A county, city, borough, town, township or opt-out community eligible to participate in the Commonwealth program. The term does not include urban counties or their municipalities, metropolitan cities, boroughs or townships that receive annual CDBG entitlements. Entitlement grant—For FFY 1985 and thereafter, the total cumulative FFY funds available over a 3-year period that are allocated by the Department to an entitlement entity. The term includes minimum and additional funds as determined by formula under the act. FFY—Federal fiscal year. HUD—The United States Department of Housing and Urban Development. LPA—Local Public Agency—A redevelopment authority under the Urban Redevelopment Law (35 P. S. § § 1701—1747) or a housing authority under the Housing Authorities Law (35 P. S. § § 1541—1595.9). Low- and moderate-income household or lower-income household—A household which has an income equal to or less than the Section 8 lower-income limits as determined by HUD. Low- and moderate-income person or lower-income person—A member of a family who has an income equal to or less than the Section 8 lower income limit as determined by HUD for the Section 8 Housing Assistance Payments programs. Unrelated individuals are one person families. Low-income household—A household which has an income equal to or less than the Section 8 very low-income limit as determined by HUD for the Section 8 Housing Assistance Payments program. Low-income person—A member of a family having an income equal to or less than the Section 8 very-low income limit as determined by HUD for the Section 8 Housing Assistance Payments program. Unrelated individuals are one-person families. Metropolitan city, town or township—A municipality in this Commonwealth which has been so designated by HUD under the CDBG as of FFY 1984, and which receives a direct CDBG annual entitlement from HUD. Moderate-income household—A household which has an income equal to or less than the Section 8 lower-income limit and greater than the Section 8 very low-income limit, as determined by HUD for the Section 8 Housing Assistance Payments program. Moderate-income person—A member of a family which has an income equal to or less than the Section 8 lower-income limit and greater than the Section 8 very low-income limit, as determined by HUD for the Section 8 Housing Assistance Payments program. Unrelated individuals are one-person families. Population—The number of inhabitants of a local government or class of local governments listed in the 1980 decennial census. Program—The Community Development Block Grant Entitlement Program for Nonurban Counties and Certain Other Municipalities. Project—Related eligible activities undertaken by an eligible local government under an entitlement a discretionary grant from the Department. UDAG—The Federal Urban Development Action Grant program which periodically designates certain local governments as meeting UDAG current minimum standards of physical and economic distress. Urban county—A county in this Commonwealth which has been so designated by HUD under the CDBG as of FFY 1984, and which receives a direct CDBG annual entitlement from HUD.

The provisions of this § 141.3 adopted May 3, 1985, effective May 4, 1985, 15 Pa.B. 1614; amended March 21, 1986, effective March 22, 1986, 16 Pa. B. 943. Immediately preceding text appears at serial pages (98877) to (98879).

History

  • Authority: The provisions of this § 141.309 issued under the Community Development Block Grant Entitlement Program for Nonurban Counties and Certain Other Municipalities (35 P. S. § § 1751—1765).
  • Source: The provisions of this § 141.309 adopted August 21, 1992, effective August 22, 1992, 22 Pa.B. 4313; amended January 20, 2006, effective January 21, 2006, 36 Pa.B. 283. Immediately preceding text appears at serial pages (231106) to (231107).
12 Pa. Code § 141.21 Eligibility.

Eligible units of local government may apply for grant assistance under this program.

The provisions of this § 141.21 adopted May 3, 1985, effective May 4, 1985, 15 Pa.B. 1614; amended March 21, 1986, effective March 22, 1986, 16 Pa. B. 943. Immediately preceding text appears at serial page (98879).

History

  • Authority: The provisions of this § 141.309 issued under the Community Development Block Grant Entitlement Program for Nonurban Counties and Certain Other Municipalities (35 P. S. § § 1751—1765).
  • Source: The provisions of this § 141.309 adopted August 21, 1992, effective August 22, 1992, 22 Pa.B. 4313; amended January 20, 2006, effective January 21, 2006, 36 Pa.B. 283. Immediately preceding text appears at serial pages (231106) to (231107).
12 Pa. Code § 141.22 Capacity.

An applicant shall demonstrate adequate legal capacity to undertake assisted activities as specified in section 3 of the act (35 P. S. § 1753).

The provisions of this § 141.22 adopted May 3, 1985, effective May 4, 1985, 15 Pa.B. 1614; amended March 21, 1986, effective March 22, 1986, 16 Pa. B. 943. Immediately preceding text appears at serial page (98879).

History

  • Authority: The provisions of this § 141.309 issued under the Community Development Block Grant Entitlement Program for Nonurban Counties and Certain Other Municipalities (35 P. S. § § 1751—1765).
  • Source: The provisions of this § 141.309 adopted August 21, 1992, effective August 22, 1992, 22 Pa.B. 4313; amended January 20, 2006, effective January 21, 2006, 36 Pa.B. 283. Immediately preceding text appears at serial pages (231106) to (231107).
12 Pa. Code § 141.23 Community Development Plan.

A program applicant shall submit a 3-year Community Development Plan (CDP) to the Department for review and approval.

(1) The CDP shall include an analysis of the following needs:

(i) The major communitywide housing needs, especially those pertaining to the needs of low- to moderate-income families and persons.

(ii) The major communitywide needs for public/community facilities and improvements which are eligible for assistance under this program.

(iii) The major public service communitywide needs.

(iv) The major communitywide economic development needs, particularly for areas and population groups experiencing significant unemployment or underemployment.

(2) The CDP shall list the needs identified in paragraph (1) in terms of their importance, considering their magnitude, severity and urgency.

(3) The CDP shall identify the priorities in paragraph (2) in terms of both short-term and longer-term objectives to be met. A short-term objective is one to be accomplished within the proposed project period specified in the grant application. A long-term objective is one to be met over the next 3 years and which is not included as a short-term objective.

(4) The CDP shall specify sources used to provide the information required in paragraph (1).

(5) Beginning with FFY 1985 entitlement grants, there are certain CDP requirements in addition to the 3 year CDP referenced in this subsection that pertain only to entitlement entities.

(i) Counties shall submit a CDP which includes provisions for each entitlement grant administered on behalf of another entitlement entity within the county. These CDP’s may be developed by the county in cooperation with the affected entitlement entities.

(ii) Eligible entitlement entities—regardless of population size—located within urban counties are responsible for developing and submitting their respective CDP’s directly to the Department.

(iii) In the case of waived entitlement grants, as permitted under section 8(d)(2) of the act (35 P. S. § 1758(d)(2)), a CDP is not required, but the applicant shall provide an outline of the activities proposed to be undertaken in future years if the proposed waiver is approved.

The provisions of this § 141.23 adopted May 3, 1985, effective May 4, 1985, 15 Pa.B. 1614; amended March 21, 1986, effective March 22, 1986, 16 Pa. B. 943. Immediately preceding text appears at serial pages (98879) to (98880).

This section cited in 12 Pa. Code § 141.171 (relating to prerequisites).

History

  • Authority: The provisions of this § 141.309 issued under the Community Development Block Grant Entitlement Program for Nonurban Counties and Certain Other Municipalities (35 P. S. § § 1751—1765).
  • Source: The provisions of this § 141.309 adopted August 21, 1992, effective August 22, 1992, 22 Pa.B. 4313; amended January 20, 2006, effective January 21, 2006, 36 Pa.B. 283. Immediately preceding text appears at serial pages (231106) to (231107).
12 Pa. Code § 141.24 Projected use of funds.

An applicant shall provide budget forms to the Department and narratives required by the Department to document the planned use of requested grant funds. Beginning with FFY 1985 entitlement grants, entitlement entities shall comply with paragraphs (1) and (2).

(1) Counties. Counties shall provide separate budget documents for each entitlement grant administered.

(2) Waived grants. An applicant for a waived grant application shall submit a projected use of funds budget that includes the aggregate of both current and prior waived grant entitlement.

The provisions of this § 141.24 adopted May 3, 1985, effective May 4, 1985, 15 Pa.B. 1614; amended March 21, 1986, effective March 22, 1986, 16 Pa. B. 943. Immediately preceding text appears at serial page (98880).

History

  • Authority: The provisions of this § 141.309 issued under the Community Development Block Grant Entitlement Program for Nonurban Counties and Certain Other Municipalities (35 P. S. § § 1751—1765).
  • Source: The provisions of this § 141.309 adopted August 21, 1992, effective August 22, 1992, 22 Pa.B. 4313; amended January 20, 2006, effective January 21, 2006, 36 Pa.B. 283. Immediately preceding text appears at serial pages (231106) to (231107).
12 Pa. Code § 141.41 Competitive distribution.

FFY 1984 funds will be allocated on a Statewide competitive basis.

The provisions of this § 141.41 adopted May 3, 1985, effective May 4, 1985, 15 Pa.B. 1614; amended March 21, 1986, effective March 22, 1986, 16 Pa.B. 943. Immediately preceding text appears at serial page (98880).

History

  • Authority: The provisions of this § 141.309 issued under the Community Development Block Grant Entitlement Program for Nonurban Counties and Certain Other Municipalities (35 P. S. § § 1751—1765).
  • Source: The provisions of this § 141.309 adopted August 21, 1992, effective August 22, 1992, 22 Pa.B. 4313; amended January 20, 2006, effective January 21, 2006, 36 Pa.B. 283. Immediately preceding text appears at serial pages (231106) to (231107).
12 Pa. Code § 141.42 Limitations.

Grant funds shall be offered for competitive distribution based on the allocation formula prescribed in sections 9—12 of the act (35 P. S. § § 1759—1762).

The provisions of this § 141.42 adopted May 3, 1985, effective May 4, 1985, 15 Pa.B. 1614.

History

  • Authority: The provisions of this § 141.309 issued under the Community Development Block Grant Entitlement Program for Nonurban Counties and Certain Other Municipalities (35 P. S. § § 1751—1765).
  • Source: The provisions of this § 141.309 adopted August 21, 1992, effective August 22, 1992, 22 Pa.B. 4313; amended January 20, 2006, effective January 21, 2006, 36 Pa.B. 283. Immediately preceding text appears at serial pages (231106) to (231107).
12 Pa. Code § 141.43 Awards.

Grant awards shall be distributed directly by the Department only to units of eligible local government.

The provisions of this § 141.43 adopted May 3, 1985, effective May 4, 1985, 15 Pa.B. 1614; amended March 21, 1986, effective March 22, 1986, 16 Pa.B. 943. Immediately preceding text appears at serial page (98880).

History

  • Authority: The provisions of this § 141.309 issued under the Community Development Block Grant Entitlement Program for Nonurban Counties and Certain Other Municipalities (35 P. S. § § 1751—1765).
  • Source: The provisions of this § 141.309 adopted August 21, 1992, effective August 22, 1992, 22 Pa.B. 4313; amended January 20, 2006, effective January 21, 2006, 36 Pa.B. 283. Immediately preceding text appears at serial pages (231106) to (231107).
12 Pa. Code § 141.44 FFY 1985 and thereafter.

(a) Entitlement grants will be allocated as follows:

(1) Eighty-five percent of available FFY funds will be distributed under sections 4—7 of the act (35 P. S. § § 1754—1757).

(2) Individual entitlement grants will be adjusted to account for repayments of excess funds or underpayments received in FFY 1984 as specified in sections 10—12 of the act (35 P. S. § § 1760—1762).

(3) While the act provides an annual allocation of funds for units of local government in the entitlement classes, these allocations should be considered as a planning guide. The Department recognizes that funding allocations provided in the act may, in some cases, be less than adequate to fund projects of sufficient scope to meet community needs. The Department encourages applicants to utilize one of the following methods to finance larger projects:

(i) An eligible applicant may prepare a single or multipurpose 3-year funding plan for an integrated set of activities of sufficient scope to meet community needs.

(ii) An eligible applicant may waive the current year’s allocation and apply in one of the next 2 years for a grant including two or three annual allocations in a single funding year.

(iii) An eligible applicant may prepare an application for two or three times the amount of its minimum annual allocation and agree not to file an application for the subsequent grant years.

(4) Applications submitted under paragraph (3)(iii) will be competitively reviewed and selected by the appropriate administering authority. Unsuccessful applicants may reapply in future years for grants in excess of the minimum allocation.

(b) The balance of the FFY funds will be allocated as follows:

(1) Two percent of the FFY funds will be allocated for Departmental administration.

(2) Thirteen percent of the available FFY funds may be allocated for grant assistance as provided for in section 4(2) of the act (35 P. S. § 1754(2)), less funds required for repayment under section 12(b) of the act (35 P. S. § 1762(b)).

(c) Special conditions imposed on grants for FFY 1985 and thereafter include the following:

(1) Urban counties. Eligible entitlement entities located within urban counties, regardless of population size, shall directly apply for and receive their entitlement grants from the Department.

(2) Waiver provisions. Section 8(d)(2) of the act (35 P. S. § 1758(d)(2)) provides for grant waivers for eligible entitlement entities. The Department will evaluate each eligible entitlement grant application to determine if the application proposes activities sufficient to meet the scope of the entity’s community development needs—as required under section 3(3) of the act (35 P. S. § 1753(3))—and if particular FFY allocated funds are sufficient to address the identified community development needs. The eligible entitlement entity may request one or two entitlement grant waivers so meaningful and needed activities can be undertaken in the future. If an eligible entitlement entity requests a grant waiver, this request shall be authorized by an official resolution of the entity’s governing body. Where applicable, the request shall be submitted through the administering county, in writing, to the Department and specify whether one or two entitlement grants are being waived. If the Department approves a waiver of one or two entitlement grants for an entitlement entity, the Department will notify the affected entity of the waiver action to be taken. In the event the Department approves a waiver by an eligible entity, the Department will distribute those funds to eligible entitlement entities of the same class, under section 8(d)(2) of the act (35 P. S. § 1758(d)(2)).

(3) Use of waived funds. Waived entitlement grants shall be used and repaid under section 8(d)(3)—(5) of the act (35 P. S. § 1758(d)(3)—(5)).

(4) Failure to apply—counties. If a county either fails to apply for its own entitlement grant, or where the application is not determined to be of adequate scope and size to effectively address the applicant municipality’s community development needs, the Department will distribute those funds under section 7(c)(2) of the act (35 P. S. § 1757(c)(2)).

(5) Failure to apply—population under 10,000. If a county fails to apply for an entitlement grant for an entity with a population under 10,000, the entitlement entity may apply for its own grant.

(6) Failure to apply—cities, boroughs, towns and townships. If an entitlement city, entitlement borough, town or township fails to apply for its entitlement grant or submits an application for ineligible activities, the Department will distribute these funds under the act.

(7) Amended applications. If an eligible entitlement entity submits an application that is deemed to be inadequate in scope and size to meet that community’s development needs, or is deemed inconsistent with the requirements of State or Federal statutes, that community will be afforded a reasonable opportunity to cure its application. An applicant may not be required to submit an amended application in less than 45 days after it is notified in writing by the Department that its application cannot be approved as filed.

(8) Change in eligibility status. If the eligibility status of a local government changes, the change in status may not affect the particular eligibility of the local government for the purpose of funding allocation under the act until the next program year, unless the change in status occurs prior to the application submission deadline established by the Department for the current program funding allocations.

(9) Insufficient funds. If Federal appropriations to the program are insufficient to provide the full amount of entitlement grants authorized under the act, the entitlement grants will be reduced under section 5(b) of the act (35 P. S. § 1755(b)).

(10) Loss of funds. In the event that Federal funds cease to be available to this program, neither the Department nor the Commonwealth may be liable for a commitment or the completion of a partially completed or partially funded project as a result of this program.

The provisions of this § 141.44 adopted March 21, 1986, effective March 22, 1986, 16 Pa. B. 943.

History

  • Authority: The provisions of this § 141.309 issued under the Community Development Block Grant Entitlement Program for Nonurban Counties and Certain Other Municipalities (35 P. S. § § 1751—1765).
  • Source: The provisions of this § 141.309 adopted August 21, 1992, effective August 22, 1992, 22 Pa.B. 4313; amended January 20, 2006, effective January 21, 2006, 36 Pa.B. 283. Immediately preceding text appears at serial pages (231106) to (231107).
12 Pa. Code § 141.61 Coverage.

An applicant may apply for eligible activities listed in section 105 of Title I of the Housing and Community Development Act of 1974 (42 U.S.C.A. § 5305), as contained in 24 CFR Subpart C (relating to eligible activities).

The provisions of this § 141.61 adopted May 3, 1985, effective May 4, 1985, 15 Pa.B. 1614; amended March 21, 1986, effective March 22, 1986, 16 Pa. B. 943. Immediately preceding text appears at serial page (98881).

This section cited in 12 Pa. Code § 141.309 (relating to Department approval).

History

  • Authority: The provisions of this § 141.309 issued under the Community Development Block Grant Entitlement Program for Nonurban Counties and Certain Other Municipalities (35 P. S. § § 1751—1765).
  • Source: The provisions of this § 141.309 adopted August 21, 1992, effective August 22, 1992, 22 Pa.B. 4313; amended January 20, 2006, effective January 21, 2006, 36 Pa.B. 283. Immediately preceding text appears at serial pages (231106) to (231107).
12 Pa. Code § 141.62 Planning and administration.

Planning and administrative costs may not exceed 18% of each grant award. Planning activities authorized under 24 CFR 570.205 (relating to eligible planning and policy-planning-management-capacity-building activities) be funded within the 18% overall limitation for planning and administrative funds.

The provisions of this § 141.62 adopted May 3, 1985, effective May 4, 1985, 15 Pa.B. 1614; amended March 21, 1986, effective March 22, 1986, 16 Pa. B. 943. Immediately preceding text appears at serial page (98881).

This section cited in 12 Pa. Code § 141.309 (relating to Department approval).

History

  • Authority: The provisions of this § 141.309 issued under the Community Development Block Grant Entitlement Program for Nonurban Counties and Certain Other Municipalities (35 P. S. § § 1751—1765).
  • Source: The provisions of this § 141.309 adopted August 21, 1992, effective August 22, 1992, 22 Pa.B. 4313; amended January 20, 2006, effective January 21, 2006, 36 Pa.B. 283. Immediately preceding text appears at serial pages (231106) to (231107).
12 Pa. Code § 141.81 Coverage.

An activity not specified under section 105 of the CDBG law (42 U.S.C.A. § 4505) and which is specifically prohibited in 24 CFR 570.207 (relating to ineligible activities) is ineligible for program assistance.

The provisions of this § 141.81 adopted May 3, 1985, effective May 4, 1985, 15 Pa.B. 1614.

This section cited in 12 Pa. Code § 141.309 (relating to Department approval).

History

  • Authority: The provisions of this § 141.309 issued under the Community Development Block Grant Entitlement Program for Nonurban Counties and Certain Other Municipalities (35 P. S. § § 1751—1765).
  • Source: The provisions of this § 141.309 adopted August 21, 1992, effective August 22, 1992, 22 Pa.B. 4313; amended January 20, 2006, effective January 21, 2006, 36 Pa.B. 283. Immediately preceding text appears at serial pages (231106) to (231107).
12 Pa. Code § 141.101 Primary objective.

A program grant shall meet the primary national objective in § 141.2 (relating to primary objective). To determine if an activity qualifies as benefiting as low- and moderate-income, there are several different methods and tests that can be applied.

(1) Method one: assumed LMI benefit. There are certain activity types that, because of their nature, will automatically be presumed by the Department to meet the LMI requirement as follows:

(i) An activity that involves a facility designed for the specific use by senior citizens or the handicapped. A senior center is defined as one that involves participants who are 60 years of age or older.

(ii) An activity that has built-in income eligibility requirements which limit benefits to LMI persons.

(iii) An activity that is intended to remove material and architectural barriers which restrict the mobility and accessibility of elderly or handicapped persons to public or privately owned buildings and improvements for the same purpose.

(2) Method two: majority LMI benefit.

(i) An activity that directly benefits a neighborhood or area consisting of no fewer than 51% LMI persons. The boundaries of the LMI benefit area shall be clearly defined and there shall be documentation—data—that supports the inclusion of the claimed 51% or more LMI persons. The assisted activities need not be directly located within the target LMI area, but the direct LMI benefits to the target area shall be clearly intended and evident.

(ii) If no area within the recipient’s jurisdiction contains at least 51% LMI persons, the majority benefit criteria can be satisfied as follows:

(A) The area to be served has a larger proportion of LMI residents no less than 75% of other areas within the recipient’s jurisdiction.

(B) The activities clearly meet the identified needs of the LMI persons in the area to be served.

(C) The LMI persons to be directly benefited are proportionate in numbers to the overall LMI population share of the total target area population.

(iii) The activities involve facilities designed for the predominant use—at least 51%—of LMI persons.

(iv) Activities involving the creation or retention of permanent jobs of which at least 51% will be made available to LMI persons. This test can be met in several ways, using clauses (A), (B) or (C) in conjunction with (D):

(A) Specific set-asides. Where an activity specifically sets aside the majority of jobs for LMI persons.

(B) Nature of jobs made available. Where the majority of jobs made available are of the nature—in terms of skills, education and experience—that they are particularly relevant to LMI persons.

(C) Training. Where the assisted project involves training opportunities to enable LMI persons to become qualified for a majority of the job opportunities.

(D) Accessibility. Where the assisted project is located in or near an area with 51% or more LMI persons; is designed or intended to principally benefit and employ LMI persons from that area; and where there are specific attempts through advertising and recruitment to make the job opportunities known and available to the LMI residents of that area.

(3) Method three: necessary related activities. In some instances, a recipient may need to undertake one or more secondary activities in support of a primary objective. These secondary activities will be considered to benefit LMI persons to the extent and in the same proportion that:

(i) The secondary activities are directly related to or are an integral part of a primary activity the latter, which, has already been determined to principally benefit LMI persons.

(ii) The secondary support activities are clearly necessary for the accomplishment of the primary objective or activity.

(iii) The secondary support activities are reasonable in terms of their proportionate cost to the primary objective or activity cost.

(4) Method four: housing rehabilitation. These activity types will be considered to meet the LMI test only when:

(i) For single housing units, the unit to be assisted is or will be occupied by an LMI resident or household upon the completion of rehabilitation.

(ii) For multifamily or dwelling units, the majority of the units are or will be occupied by LMI persons. A two-unit structure can satisfy this requirement if one of the two units is so occupied.

The provisions of this § 141.101 adopted May 3, 1985, effective May 4, 1985, 15 Pa.B. 1614; amended March 21, 1986, effective March 22, 1986, 16 Pa. B. 943. Immediately preceding text appears at serial pages (98881) to (98888).

This section cited in 12 Pa. Code § 141.102 (relating to other national objectives); 12 Pa. Code § 141.171 (relating to prerequisites); and 12 Pa. Code § 141.309 (relating to Department approval).

History

  • Authority: The provisions of this § 141.309 issued under the Community Development Block Grant Entitlement Program for Nonurban Counties and Certain Other Municipalities (35 P. S. § § 1751—1765).
  • Source: The provisions of this § 141.309 adopted August 21, 1992, effective August 22, 1992, 22 Pa.B. 4313; amended January 20, 2006, effective January 21, 2006, 36 Pa.B. 283. Immediately preceding text appears at serial pages (231106) to (231107).
12 Pa. Code § 141.102 Other National objectives.

If activities cannot be qualified under § 141.101 (relating to primary objective), the activities may be qualified under one of the two remaining national objectives as follows:

(1) Prevention or elimination of slums and blight. Activities meeting one or more of the following criteria, in the absence of substantial evidence to the contrary, will be considered to aid in the prevention or elimination of slums or blight:

(i) Activities to address slums or blight on an area basis. An activity will be considered to address this objective in an area if:

(A) The area, delineated by the grantee, meets the definition of ‘‘blighted area’’ under § 21.1 (relating to definitions).

(B) There is a substantial number of deteriorated or deteriorating buildings throughout the area.

(C) Documentation is maintained by the recipient on the boundaries of the area and the conditions which qualified the area at the time of its designation.

(D) The assisted activity is designed to address one or more of the conditions which contributed to the deterioration of the area. Rehabilitation carried out in an area meeting the requirements in this clause will be considered to address the area’s slum or blight only where a building rehabilitated is considered substandard under local definition before rehabilitation, and deficiencies making a building substandard have been eliminated before less critical work on the building is undertaken. At a minimum, the local definition for this purpose shall be that residential buildings considered as substandard would also fail to meet the Existing Housing Quality Standards 24 CFR 882.109 (relating to housing quality standards).

(E) Notwithstanding the requirements of subparagraph (i), rehabilitation activity which benefits low- and moderate-income persons under clause (D) can be undertaken without regard to the area in which it is located or the extent or nature of rehabilitation assisted.

(ii) Activities to address slums or blight on a spot basis. Acquisition, demolition, rehabilitation, relocation and historic preservation activities designed to eliminate specific conditions of blight or physical decay on a spot basis not located in a slum or blighted area will meet this objective. Under this criterion, rehabilitation for other than low-and moderate-income persons is limited to the extent necessary to eliminate specific conditions detrimental to public health and safety.

(iii) Urban renewal completion. Activities included in the urban renewal plan most recently approved by HUD under Title I of the Housing Act of 1949 (42 U.S.C.A. § § 1450—1469c) which are necessary to complete an urban renewal project will meet this objective.

(2) Immediate situations that pose a threat to the health and safety of the community. Program assistance can be used for activities that are clearly designed to eliminate an immediate threat to the health and safety of a community. The activities can qualify for this assistance only to the extent that:

(i) The serious nature of the problem has become critical no longer than 18 months prior to the proposed use—through application—of program funds for this purpose.

(ii) The use of program funds is limited to the alleviation of the immediate threat, and not for the permanent resolution of the threat.

(iii) The recipient must certify to the Department that the recipient cannot finance the needed activity from its own financial resources nor can it find any other financial assistance to do so.

(3) Area benefit activities. For the purposes of determining compliance with one or more of the three National objectives in this chapter, activities of the same type that serve different areas will be considered separately on the basis of their individual service area.

(4) Planning and administrative costs. Planning and administrative funds, within the 18% allowable limit will be considered to address the National objectives qualified by the grantee in the same proportion as the objectives are met.

The provisions of this § 141.102 adopted May 3, 1985, effective May 4, 1985, 15 Pa.B. 1614.

This section cited in 12 Pa. Code § 141.309 (relating to Department approval).

History

  • Authority: The provisions of this § 141.309 issued under the Community Development Block Grant Entitlement Program for Nonurban Counties and Certain Other Municipalities (35 P. S. § § 1751—1765).
  • Source: The provisions of this § 141.309 adopted August 21, 1992, effective August 22, 1992, 22 Pa.B. 4313; amended January 20, 2006, effective January 21, 2006, 36 Pa.B. 283. Immediately preceding text appears at serial pages (231106) to (231107).
12 Pa. Code § 141.121 Religious structures.

Program funds may not be used for the acquisition, construction, reconstruction, rehabilitation or operation of religious structures for religious purposes.

The provisions of this § 141.121 adopted May 3, 1985, effective May 4, 1985, 15 Pa.B. 1614; amended March 21, 1986, effective March 22, 1986, 16 Pa. B. 943. Immediately preceding text appears at serial page (98885).

This section cited in 12 Pa. Code § 141.309 (relating to Department approval).

History

  • Authority: The provisions of this § 141.309 issued under the Community Development Block Grant Entitlement Program for Nonurban Counties and Certain Other Municipalities (35 P. S. § § 1751—1765).
  • Source: The provisions of this § 141.309 adopted August 21, 1992, effective August 22, 1992, 22 Pa.B. 4313; amended January 20, 2006, effective January 21, 2006, 36 Pa.B. 283. Immediately preceding text appears at serial pages (231106) to (231107).
12 Pa. Code § 141.122 Change of use.

The use of property acquired or improved with program funds may not be changed except as otherwise provided by statute or regulation.

The provisions of this § 141.122 adopted May 3, 1985, effective May 4, 1985, 15 Pa.B. 1614; amended March 21, 1986, effective March 22, 1986, 16 Pa. B. 943. Immediately preceding text appears at serial page (98885).

This section cited in 12 Pa. Code § 141.309 (relating to Department approval).

History

  • Authority: The provisions of this § 141.309 issued under the Community Development Block Grant Entitlement Program for Nonurban Counties and Certain Other Municipalities (35 P. S. § § 1751—1765).
  • Source: The provisions of this § 141.309 adopted August 21, 1992, effective August 22, 1992, 22 Pa.B. 4313; amended January 20, 2006, effective January 21, 2006, 36 Pa.B. 283. Immediately preceding text appears at serial pages (231106) to (231107).
12 Pa. Code § 141.123 Policies governing facilities.

Grantee use of program funds for facilities are governed by the special provisions of 24 CFR 570.200(b) (relating to general policies).

The provisions of this § 141.123 adopted May 3, 1985, effective May 4, 1985, 15 Pa.B. 1614.

This section cited in 12 Pa. Code § 141.309 (relating to Department approval).

History

  • Authority: The provisions of this § 141.309 issued under the Community Development Block Grant Entitlement Program for Nonurban Counties and Certain Other Municipalities (35 P. S. § § 1751—1765).
  • Source: The provisions of this § 141.309 adopted August 21, 1992, effective August 22, 1992, 22 Pa.B. 4313; amended January 20, 2006, effective January 21, 2006, 36 Pa.B. 283. Immediately preceding text appears at serial pages (231106) to (231107).
12 Pa. Code § 141.124 Special assessments.

The capital cost of public improvements funded in whole or in part by program funds cannot be recovered by assessing any amount against properties owned and occupied by persons of low and moderate income, including a fee charged or assessment made as a condition for obtaining access to assisted public improvements. This statutory prohibition (42 U.S.C.A. § 5306), is explained in 24 CFR 570.200(c) (relating to general policies) along with particular exceptions and other qualifications to this provision.

The provisions of this § 141.124 adopted May 3, 1985, effective May 4, 1985, 15 Pa.B. 1614; amended March 21, 1986, effective March 22, 1986, 16 Pa. B. 943. Immediately preceding text appears at serial page (98885).

This section cited in 12 Pa. Code § 141.309 (relating to Department approval).

History

  • Authority: The provisions of this § 141.309 issued under the Community Development Block Grant Entitlement Program for Nonurban Counties and Certain Other Municipalities (35 P. S. § § 1751—1765).
  • Source: The provisions of this § 141.309 adopted August 21, 1992, effective August 22, 1992, 22 Pa.B. 4313; amended January 20, 2006, effective January 21, 2006, 36 Pa.B. 283. Immediately preceding text appears at serial pages (231106) to (231107).
12 Pa. Code § 141.125 Countywide projects.

This section pertains to countywide or areawide projects that benefit an eligible entitlement entity under the State program or the Federal CDBG program within the county. To the extent that a county project under the State program will benefit an entitlement entity, the proportional cost of the project benefitting the entitlement entity or metropolitan city shall be met by funds not allocated to the county under the State program. The county is prohibited from paying the full costs from funds received under this act. The following requirements set standards in these instances:

(1) Meaning of benefit. A county project benefits an entitlement entity if there are clear and direct benefits to or within the entitlement entity, or both. Examples of direct benefits are as follows:

(i) An economic development project that creates jobs within or employs people from the entitled entity.

(ii) A public facility, such as a water or waste water facility that serves, in part, the entitled community.

(2) Determining proportionate share. The Department may not impose a standard for establishing proportional costs or the source of those costs with respect to the costs of the project benefitting a Federal or State entitlement entity. The Department reserves the right to review cost determinations to determine whether they are reasonable and consistent with the intent of section 8(c) of the act (35 P. S. § 1758(c)).

The provisions of this § 141.125 adopted March 21, 1986, effective March 22, 1986, 16 Pa.B. 943.

This section cited in 12 Pa. Code § 141.309 (relating to Department approval).

History

  • Authority: The provisions of this § 141.309 issued under the Community Development Block Grant Entitlement Program for Nonurban Counties and Certain Other Municipalities (35 P. S. § § 1751—1765).
  • Source: The provisions of this § 141.309 adopted August 21, 1992, effective August 22, 1992, 22 Pa.B. 4313; amended January 20, 2006, effective January 21, 2006, 36 Pa.B. 283. Immediately preceding text appears at serial pages (231106) to (231107).
12 Pa. Code § 141.141 Environmental review.

Grantees shall comply with the environmental review and clearance requirements and procedures set forth in the National Environmental Policy Act of 1969 (42 U.S.C.A. § § 4321—4370a) and 24 CFR Part 58 (relating to environmental review procedures for the community development block grant program) for every activity or project. In addition, grantees shall comply with other applicable environmental laws as contained in 24 CFR 58.5 (relating to Federal laws and authorities).

The provisions of this § 141.141 adopted May 3, 1985, effective May 4, 1985, 15 Pa.B. 1614.

This section cited in 12 Pa. Code § 141.191 (relating to grantees); and 12 Pa. Code § 141.309 (relating to Department approval).

History

  • Authority: The provisions of this § 141.309 issued under the Community Development Block Grant Entitlement Program for Nonurban Counties and Certain Other Municipalities (35 P. S. § § 1751—1765).
  • Source: The provisions of this § 141.309 adopted August 21, 1992, effective August 22, 1992, 22 Pa.B. 4313; amended January 20, 2006, effective January 21, 2006, 36 Pa.B. 283. Immediately preceding text appears at serial pages (231106) to (231107).
12 Pa. Code § 141.142 Labor standards.

Grantees shall comply with the labor standards contained in the following Federal statutes and regulations:

(1) Davis-Bacon Act (40 U.S.C.A. § § 276a—276a-5).

(2) Contract Work Hours and Safety Standards Act (40 U.S.C.A. § 327).

(3) Anti-Kickback Act (41 U.S.C.A. § § 51—54).

(4) 29 CFR Parts 1, 3, 5, 6 and 7 (relating to labor standards).

The provisions of this § 141.142 adopted May 3, 1985, effective May 4, 1985, 15 Pa.B. 1614; amended March 21, 1986, effective March 22, 1986, 16 Pa. B. 943. Immediately preceding text appears at serial page (98886).

This section cited in 12 Pa. Code § 141.191 (relating to grantees); and 12 Pa. Code § 141.309 (relating to Department approval).

History

  • Authority: The provisions of this § 141.309 issued under the Community Development Block Grant Entitlement Program for Nonurban Counties and Certain Other Municipalities (35 P. S. § § 1751—1765).
  • Source: The provisions of this § 141.309 adopted August 21, 1992, effective August 22, 1992, 22 Pa.B. 4313; amended January 20, 2006, effective January 21, 2006, 36 Pa.B. 283. Immediately preceding text appears at serial pages (231106) to (231107).
12 Pa. Code § 141.143 Civil rights.

Grantees shall comply with the following Federal and State statutes and regulations that prohibit discrimination and insure equal opportunity based on race, color, religious creed, ancestry, national origin, age, sex or physical limitations:

(1) Title VI of the Civil Rights Act of 1964 (42 U.S.C.A. § § 2000d—2000d-6) and as implemented by 24 CFR Part 1 (relating to nondiscrimination in Federally assisted programs of the Department of Housing and Urban Development—effectuation of Title VI of the Civil Rights Act of 1964).

(2) Section 109 of the Housing and Community Development Act of 1974 (42 U.S.C.A. § 5309), and as implemented by 24 CFR 570.602 (relating to section 109 of the act).

(3) Pennsylvania Human Rights Act (43 P. S. § § 951—963).

(4) Age Discrimination Act of 1975 (42 U.S.C.A. § § 6101—6107).

(5) Section 504 of the Rehabilitation Act of 1973 (29 U.S.C.A. § 794).

The provisions of this § 141.143 adopted May 3, 1985, effective May 4, 1985, 15 Pa.B. 1614.

This section cited in 12 Pa. Code § 141.191 (relating to grantees); and 12 Pa. Code § 141.309 (relating to Department approval).

History

  • Authority: The provisions of this § 141.309 issued under the Community Development Block Grant Entitlement Program for Nonurban Counties and Certain Other Municipalities (35 P. S. § § 1751—1765).
  • Source: The provisions of this § 141.309 adopted August 21, 1992, effective August 22, 1992, 22 Pa.B. 4313; amended January 20, 2006, effective January 21, 2006, 36 Pa.B. 283. Immediately preceding text appears at serial pages (231106) to (231107).
12 Pa. Code § 141.144 Employment.

Grantees shall comply with the following Federal statutes and regulations regarding fair and equal employment opportunities:

(1) Section 3 of the Housing and Urban Development Act of 1968 (12 U.S.C.A. § 1702u).

(2) Executive Order No. 11,246, 30 FR 12,319 (1965), as amended by Executive Order 12,086, 43 FR 46,501 (1978), and the regulations thereunder, 24 CFR Part 130 (relating to equal employment opportunity under HUD contracts and HUD assisted construction contracts) and 41 CFR Chapter 60 (relating to Office of Federal contract compliance programs, equal employment opportunity, Department of Labor).

(3) Executive Order 11,265, 36 FR 19,967 (1971), pertaining to minority business enterprise.

(4) Executive Order 12,138, 44 FR 29,637 (1979) pertaining to women’s business equity.

The provisions of this § 141.144 adopted May 3, 1985, effective May 4, 1985, 15 Pa.B. 1614.

This section cited in 12 Pa. Code § 141.191 (relating to grantees); and 12 Pa. Code § 141.309 (relating to Department approval).

History

  • Authority: The provisions of this § 141.309 issued under the Community Development Block Grant Entitlement Program for Nonurban Counties and Certain Other Municipalities (35 P. S. § § 1751—1765).
  • Source: The provisions of this § 141.309 adopted August 21, 1992, effective August 22, 1992, 22 Pa.B. 4313; amended January 20, 2006, effective January 21, 2006, 36 Pa.B. 283. Immediately preceding text appears at serial pages (231106) to (231107).
12 Pa. Code § 141.145 Fair housing.

Grantees shall comply with the following Federal statutes and regulations regarding the development, sale, rental, financing or provision of brokerage services in housing, in order to prohibit discrimination; to insure equal housing opportunity; and to affirmatively further fair housing:

(1) Title VIII of the Civil Rights Act of 1968 (42 U.S.C.A. § § 3601—3619).

(2) Executive Order 11,063, 27 FR 11,527 (1962), as amended by Executive Order 12,259, 46 FR 12,531 (1980), and implemented by 24 CFR Part 107 (relating to nondiscriminatory and equal opportunity in housing under Executive Order 11,063).

The provisions of this § 141.145 adopted May 3, 1985, effective May 4, 1985, 15 Pa.B. 1614.

This section cited in 12 Pa. Code § 141.191 (relating to grantees); and 12 Pa. Code § 141.309 (relating to Department approval).

History

  • Authority: The provisions of this § 141.309 issued under the Community Development Block Grant Entitlement Program for Nonurban Counties and Certain Other Municipalities (35 P. S. § § 1751—1765).
  • Source: The provisions of this § 141.309 adopted August 21, 1992, effective August 22, 1992, 22 Pa.B. 4313; amended January 20, 2006, effective January 21, 2006, 36 Pa.B. 283. Immediately preceding text appears at serial pages (231106) to (231107).
12 Pa. Code § 141.146 Architectural barriers.

Grantees shall comply with the Architectural Barriers Act of 1968 (42 U.S.C.A. § § 4151—4157), and 41 CFR 101-19.604 (relating to exceptions).

The provisions of this § 141.146 adopted May 3, 1985, effective May 4, 1985, 15 Pa.B. 1614.

This section cited in 12 Pa. Code § 141.191 (relating to grantees); and 12 Pa. Code § 141.309 (relating to Department approval).

History

  • Authority: The provisions of this § 141.309 issued under the Community Development Block Grant Entitlement Program for Nonurban Counties and Certain Other Municipalities (35 P. S. § § 1751—1765).
  • Source: The provisions of this § 141.309 adopted August 21, 1992, effective August 22, 1992, 22 Pa.B. 4313; amended January 20, 2006, effective January 21, 2006, 36 Pa.B. 283. Immediately preceding text appears at serial pages (231106) to (231107).
12 Pa. Code § 141.147 Displacement.

Grantees shall minimize the displacement of persons to the greatest extent possible as a result of program assisted activities and provide reasonable benefits when displacement becomes necessary. As a program requirement, each grantee shall develop, adopt and make public a statement of local policy indicating the steps that will be taken to minimize displacement of persons from their homes and neighborhoods and to mitigate the adverse effects of the action on low/moderate income persons.

The provisions of this § 141.147 adopted May 3, 1985, effective May 4, 1985, 15 Pa.B. 1614; amended March 21, 1986, effective March 22, 1986, 16 Pa. B. 943. Immediately preceding text appears at serial page (98888).

This section cited in 12 Pa. Code § 141.191 (relating to grantees); and 12 Pa. Code § 141.309 (relating to Department approval).

History

  • Authority: The provisions of this § 141.309 issued under the Community Development Block Grant Entitlement Program for Nonurban Counties and Certain Other Municipalities (35 P. S. § § 1751—1765).
  • Source: The provisions of this § 141.309 adopted August 21, 1992, effective August 22, 1992, 22 Pa.B. 4313; amended January 20, 2006, effective January 21, 2006, 36 Pa.B. 283. Immediately preceding text appears at serial pages (231106) to (231107).
12 Pa. Code § 141.148 Acquisition.

Grantees shall comply with the following requirements with respect to the taking of real property:

(1) To the greatest extent practicable under State statute, comply with sections 301 and 302 of Title III, Uniform Real Property Acquisition Policy, of the Uniform Relocation Assistance and Real Property Acquisition Policies Act of 1970 (42 U.S.C.A. § § 4651 and 4652) and comply with sections 303 and 304 of Title III (42 U.S.C.A. § § 4653 and 4654), and HUD implementing instructions at 24 CFR Part 42 (relating to uniform relocation assistance and real property acquisition).

(2) Inform affected persons of their rights and of the acquisition policies and procedures set forth at 24 CFR Part 42 and § 570.606 (relating to relocation and acquisition).

The provisions of this § 141.148 adopted May 3, 1985, effective May 4, 1985, 15 Pa.B. 1614.

This section cited in 12 Pa. Code § 141.191 (relating to grantees); and 12 Pa. Code § 141.309 (relating to Department approval).

History

  • Authority: The provisions of this § 141.309 issued under the Community Development Block Grant Entitlement Program for Nonurban Counties and Certain Other Municipalities (35 P. S. § § 1751—1765).
  • Source: The provisions of this § 141.309 adopted August 21, 1992, effective August 22, 1992, 22 Pa.B. 4313; amended January 20, 2006, effective January 21, 2006, 36 Pa.B. 283. Immediately preceding text appears at serial pages (231106) to (231107).
12 Pa. Code § 141.149 Relocation.

Grantees shall comply with the following requirements with respect to the relocation of persons:

(1) Title II, Uniform Relocation Assistance, of the Uniform Relocation Assistance and Real Property Acquisition Policies Act of 1970 (42 U.S.C.A. § § 4621—4638) and HUD implementing regulations at 24 CFR Part 42 (relating to uniform relocation assistance and real property acquisition) and 570.606(a) (relating to relocation and acquisition).

(2) The Eminent Domain Code (26 P. S. § § 1-101—1-903).

The provisions of this § 141.149 adopted May 3, 1985, effective May 4, 1985, 15 Pa.B. 1614.

This section cited in 12 Pa. Code § 141.191 (relating to grantees); and 12 Pa. Code § 141.309 (relating to Department approval).

History

  • Authority: The provisions of this § 141.309 issued under the Community Development Block Grant Entitlement Program for Nonurban Counties and Certain Other Municipalities (35 P. S. § § 1751—1765).
  • Source: The provisions of this § 141.309 adopted August 21, 1992, effective August 22, 1992, 22 Pa.B. 4313; amended January 20, 2006, effective January 21, 2006, 36 Pa.B. 283. Immediately preceding text appears at serial pages (231106) to (231107).
12 Pa. Code § 141.150 Political activities and conflict of interest.

Grantees shall comply with the limitations established for the political activities of their employes by the Hatch Political Activity Act, 5 U.S.C.A. § § 1501—1508.

The provisions of this § 141.150 adopted May 3, 1985, effective May 4, 1985, 15 Pa.B. 1614.

This section cited in 12 Pa. Code § 141.191 (relating to grantees); and 12 Pa. Code § 141.309 (relating to Department approval).

History

  • Authority: The provisions of this § 141.309 issued under the Community Development Block Grant Entitlement Program for Nonurban Counties and Certain Other Municipalities (35 P. S. § § 1751—1765).
  • Source: The provisions of this § 141.309 adopted August 21, 1992, effective August 22, 1992, 22 Pa.B. 4313; amended January 20, 2006, effective January 21, 2006, 36 Pa.B. 283. Immediately preceding text appears at serial pages (231106) to (231107).
12 Pa. Code § 141.151 Lead-based paint.

Grantees shall comply with section 401(b) of the Lead-Based Paint Poisoning Prevention Act (42 U.S.C.A. § 4831(b)) and 24 CFR Part 35 (relating to lead-based paint poisoning prevention in certain residential structures).

The provisions of this § 141.151 adopted May 3, 1985, effective May 4, 1985, 15 Pa.B. 1614.

This section cited in 12 Pa. Code § 141.191 (relating to grantees); and 12 Pa. Code § 141.309 (relating to Department approval).

History

  • Authority: The provisions of this § 141.309 issued under the Community Development Block Grant Entitlement Program for Nonurban Counties and Certain Other Municipalities (35 P. S. § § 1751—1765).
  • Source: The provisions of this § 141.309 adopted August 21, 1992, effective August 22, 1992, 22 Pa.B. 4313; amended January 20, 2006, effective January 21, 2006, 36 Pa.B. 283. Immediately preceding text appears at serial pages (231106) to (231107).
12 Pa. Code § 141.152 Floodplains.

Grantee communities which reside in flood prone areas will be required to adopt and implement an appropriate floodplain ordinance, if one does not exist, that brings the community into compliance with the Flood Plain Management Act (32 P. S. § § 679.101—679.601), and Chapter 38 (relating to flood plain management).

The provisions of this § 141.152 adopted May 3, 1985, effective May 4, 1985, 15 Pa.B. 1614.

This section cited in 12 Pa. Code § 141.191 (relating to grantees); and 12 Pa. Code § 141.309 (relating to Department approval).

History

  • Authority: The provisions of this § 141.309 issued under the Community Development Block Grant Entitlement Program for Nonurban Counties and Certain Other Municipalities (35 P. S. § § 1751—1765).
  • Source: The provisions of this § 141.309 adopted August 21, 1992, effective August 22, 1992, 22 Pa.B. 4313; amended January 20, 2006, effective January 21, 2006, 36 Pa.B. 283. Immediately preceding text appears at serial pages (231106) to (231107).
12 Pa. Code § 141.153 Steel products.

Grantee construction activities shall comply with the Steel Products Procurement Act (73 P. S. § § 1881—1887).

The provisions of this § 141.153 adopted May 3, 1985, effective May 4, 1985, 15 Pa.B. 1614.

This section cited in 12 Pa. Code § 141.191 (relating to grantees); and 12 Pa. Code § 141.309 (relating to Department approval).

History

  • Authority: The provisions of this § 141.309 issued under the Community Development Block Grant Entitlement Program for Nonurban Counties and Certain Other Municipalities (35 P. S. § § 1751—1765).
  • Source: The provisions of this § 141.309 adopted August 21, 1992, effective August 22, 1992, 22 Pa.B. 4313; amended January 20, 2006, effective January 21, 2006, 36 Pa.B. 283. Immediately preceding text appears at serial pages (231106) to (231107).
12 Pa. Code § 141.154 Minimum rehabilitation standards.

Housing rehabilitation activities funded in whole or part by program funds shall comply with the cost-effective energy conservation and effectiveness standards (42 U.S.C.A. § 1425(b)) in 24 CFR Part 39 (relating to cost-effective energy conservation and effectiveness standards), and Section 8 Existing Housing Quality Standards in 24 CFR 882.109 (relating to housing quality standards).

The provisions of this § 141.154 adopted May 3, 1985, effective May 4, 1985, 15 Pa.B. 1614.

This section cited in 12 Pa. Code § 141.191 (relating to grantees); and 12 Pa. Code § 141.309 (relating to Department approval).

History

  • Authority: The provisions of this § 141.309 issued under the Community Development Block Grant Entitlement Program for Nonurban Counties and Certain Other Municipalities (35 P. S. § § 1751—1765).
  • Source: The provisions of this § 141.309 adopted August 21, 1992, effective August 22, 1992, 22 Pa.B. 4313; amended January 20, 2006, effective January 21, 2006, 36 Pa.B. 283. Immediately preceding text appears at serial pages (231106) to (231107).
12 Pa. Code § 141.155 Separations Act.

Grantees shall comply with the act of May 1, 1913 (P. L. 155, No. 104) (53 P. S. § 1003).

The provisions of this § 141.155 adopted May 3, 1985, effective May 4, 1985, 15 Pa.B. 1614.

This section cited in 12 Pa. Code § 141.191 (relating to grantees); and 12 Pa. Code § 141.309 (relating to Department approval).

History

  • Authority: The provisions of this § 141.309 issued under the Community Development Block Grant Entitlement Program for Nonurban Counties and Certain Other Municipalities (35 P. S. § § 1751—1765).
  • Source: The provisions of this § 141.309 adopted August 21, 1992, effective August 22, 1992, 22 Pa.B. 4313; amended January 20, 2006, effective January 21, 2006, 36 Pa.B. 283. Immediately preceding text appears at serial pages (231106) to (231107).
12 Pa. Code § 141.156 Resource conservation.

Grantees shall comply with section 6002 of the Resource Conservation and Recovery Act of 1976 (42 U.S.C.A. § 6962) and 40 CFR Part 249 (relating to guidelines for Federal procurement of cement and concrete containing fly ash).

The provisions of this § 141.156 adopted May 3, 1985, effective May 4, 1985, 15 Pa.B. 1614.

This section cited in 12 Pa. Code § 141.191 (relating to grantees); and 12 Pa. Code § 141.309 (relating to Department approval).

History

  • Authority: The provisions of this § 141.309 issued under the Community Development Block Grant Entitlement Program for Nonurban Counties and Certain Other Municipalities (35 P. S. § § 1751—1765).
  • Source: The provisions of this § 141.309 adopted August 21, 1992, effective August 22, 1992, 22 Pa.B. 4313; amended January 20, 2006, effective January 21, 2006, 36 Pa.B. 283. Immediately preceding text appears at serial pages (231106) to (231107).
12 Pa. Code § 141.157 Other statutes and regulations.

Grantees shall comply with other applicable statutes and regulations which may be adopted or issued during the administration of grantee projects.

The provisions of this § 141.157 adopted May 3, 1985, effective May 4, 1985, 15 Pa.B. 1614.

This section cited in 12 Pa. Code § 141.191 (relating to grantees); and 12 Pa. Code § 141.309 (relating to Department approval).

History

  • Authority: The provisions of this § 141.309 issued under the Community Development Block Grant Entitlement Program for Nonurban Counties and Certain Other Municipalities (35 P. S. § § 1751—1765).
  • Source: The provisions of this § 141.309 adopted August 21, 1992, effective August 22, 1992, 22 Pa.B. 4313; amended January 20, 2006, effective January 21, 2006, 36 Pa.B. 283. Immediately preceding text appears at serial pages (231106) to (231107).
12 Pa. Code § 141.170 Scope.

The Department will accept applications only from units of eligible local governments.

The provisions of this § 141.170 adopted March 21, 1986, effective March 22, 1986, 16 Pa. B. 943.

History

  • Authority: The provisions of this § 141.309 issued under the Community Development Block Grant Entitlement Program for Nonurban Counties and Certain Other Municipalities (35 P. S. § § 1751—1765).
  • Source: The provisions of this § 141.309 adopted August 21, 1992, effective August 22, 1992, 22 Pa.B. 4313; amended January 20, 2006, effective January 21, 2006, 36 Pa.B. 283. Immediately preceding text appears at serial pages (231106) to (231107).
12 Pa. Code § 141.171 Prerequisites.

Prior to the formal submission of a grant application to the Department, the applicant shall do the following:

(1) Prepare the community development plan as explained in § 141.23 (relating to community development plan).

(2) Prepare a grant application in the manner and using the forms prescribed by the Department.

(3) Insure that the proposed project meets the primary objectives in § § 141.2 and 141.101 (relating to primary objective; and primary objective).

(4) Follow the citizen participation requirements contained in 24 CFR 570.301(a)(2) and (3) (relating to presubmission requirements), and as further clarified in 49 FR 43882 and as prescribed by the Department in its application materials.

(5) For FFY 1985 and subsequent year entitlement grant applications, counties shall ensure that the prerequisites are met for each entitlement grant administered by the county on behalf of another entitlement entity within the county.

The provisions of this § 141.171 adopted May 3, 1985, effective May 4, 1985, 15 Pa.B. 1614; amended March 21, 1986, effective March 22, 1986, 16 Pa. B. 943. Immediately preceding text appears at serial pages (98890) to (98891).

History

  • Authority: The provisions of this § 141.309 issued under the Community Development Block Grant Entitlement Program for Nonurban Counties and Certain Other Municipalities (35 P. S. § § 1751—1765).
  • Source: The provisions of this § 141.309 adopted August 21, 1992, effective August 22, 1992, 22 Pa.B. 4313; amended January 20, 2006, effective January 21, 2006, 36 Pa.B. 283. Immediately preceding text appears at serial pages (231106) to (231107).
12 Pa. Code § 141.172 Application criteria.

(a) Official adoption. The applicant’s governing body shall officially authorize the application and the chief elected official of the applicant shall sign the application before it is submitted to the Department. For FFY 1985 and subsequent year entitlement grant applications, counties shall certify that an entitlement grant application, submitted on behalf of another entitlement entity within the county, was authorized by the affected entitlement entity.

(b) Content. Applications shall contain materials, forms and certifications properly completed and executed which are required by the Department.

(1) Counties may submit a separate or combined application for the entitlement grants administered by that county.

(2) If an entitlement grant application is found to be deficient by the Department, the entitlement entity or county, or both, will be notified that it has 45 days in which to resubmit a corrected application. If this resubmittal deadline is not met, or if the resubmitted application continues to be deficient, the Department may then distribute these funds under the act.

(i) FFY 1984. If an application is found by the Department to be deficient for some reason, the applicant may be notified that it has 45 days in which to resubmit an amended and corrected application.

(ii) FFY 1985 and thereafter.

(c) Preagreement costs.

(1) FFY 1984. Reasonable preagreement costs will be allowed for grant reimbursement if the costs are in accordance with 24 CFR 570.200(h) (relating to general policies).

(2) FFY 1985 and thereafter. Reasonable preagreement costs are allowable costs if undertaken under 24 CFR 570.200(h) and will be allowed at the discretion of the Department. If an application resubmittal is required, the costs cannot be reimbursed a second time.

(d) Submission. An application shall be submitted to the Department in accordance with the announced time schedule, deadlines and quantities of required materials.

(e) Awards.

(1) FFY 1984. The Department will determine grant awards within 45 days from the announced submission deadline date. This 45-day rule may be extended in situations where submissions have been returned to an applicant for resubmission of amended applications. The Department reserves the right to adjust grant requests up or down depending on the Department’s judgment as to appropriate funding levels required by individual grant applications.

(2) FFY 1985 and thereafter.

(i) Entitlement grants. The Department will determine grant awards within 45 days from the announced submission deadline date.

(ii) Discretionary grants. The Department will issue an annual applicant manual pertaining to the discretionary fund set aside prior to making these funds available.

The provisions of this § 141.172 adopted May 3, 1985, effective May 4, 1985, 15 Pa.B. 1614; amended March 21, 1986, effective March 22, 1986, 16 Pa. B. 943. Immediately preceding text appears at serial page (98891).

History

  • Authority: The provisions of this § 141.309 issued under the Community Development Block Grant Entitlement Program for Nonurban Counties and Certain Other Municipalities (35 P. S. § § 1751—1765).
  • Source: The provisions of this § 141.309 adopted August 21, 1992, effective August 22, 1992, 22 Pa.B. 4313; amended January 20, 2006, effective January 21, 2006, 36 Pa.B. 283. Immediately preceding text appears at serial pages (231106) to (231107).
12 Pa. Code § 141.191 Grantees.

Grantees shall adhere to the requirements for program management listed in this section and § 141.192 (relating to monitoring by Department). The Department will periodically issue program directives that provide additional guidance to certain requirements listed in paragraphs (1)—(15):

(1) Grant agreements. Grantees will be required to enter into a separate grant agreement for a grant award by the Department. Subparagraphs (i) and (ii) apply to FFY 1985 and thereafter:

(i) A county shall enter into a separate grant agreement for each entitlement grant administered on behalf of an entitlement entity within the county.

(ii) Requirements in this subpart shall be executed for each separate entitlement grant and agreement administered by an entitlement entity.

(2) Environmental review certification. A grantee shall comply with the environmental review policies and procedures specified in § 141.141 (relating to environmental review). A grantee cannot drawdown project activity funds prior to the proper completion of those requirements.

(3) Financial management. Grantees shall adhere to cost principles set forth in Office of Management and Budget Circular A-87 (Cost Principles Applicable to Grants and Contracts with State and Local Governments), and financial management requirements set forth in Attachment G of Office of Management and Budget Circular A-102 (Uniform Administrative Requirements for Grants-in-Aid to State and Local Governments). When grantee funds are administered under contract by a nonprofit organization, the organization shall comply with Office of Management and Budget Circular A-110 (Uniform Administrative Requirements for Grants and Agreements with Institutions of Higher Education, Hospitals, and Other Nonprofit Organizations) and Office of Management and Budget Circular A-122 (Cost Principles for Nonprofit Organizations).

(4) Planning and administration. Planning activities, as specified in 24 CFR 570.205 (relating to eligible planning and policy-planning- management-capacity-building activities), and administrative costs, as specified in 24 CFR 570.206 (relating to eligible administrative costs), may not together exceed 18% of total grant funds. The Department will maximize the amount of funds available for eligible projects and, therefore, planning and administrative costs shall be accounted for separately from other grant funds. Planning and administrative funds shall be accounted for on a grant-by-grant basis, regardless of how many grants may be administered concurrently. The Department will encourage cost-effective administration at the local level through the creation of local staff capacity subparagraphs (i) and (ii) apply to FFY 1985 and thereafter:

(i) The Department will evaluate the planning and administrative needs of each grant applicant to determine reasonable planning/administrative costs.

(ii) The Department will require that counties which administer entitlement grants clearly justify the amount of administrative/planning funds to be used in relationship to each grant administered.

(5) Property management. Grantees shall adhere to the property management requirements set forth in Attachment N of Office of Management and Budget Circular A-102. This includes proper control and record procedures, as well as the disposition of property purchased in whole or part with grant funds.

(6) Procurement and contracts. Grantees shall adhere to the requirements for procurements and contracts contained in Attachment O of Office of Management and Budget Circular A-102, and applicable State statutes.

(7) Disbursements. A grantee may not, except for its initial drawdown of administrative funds, invoice the Commonwealth for program funds in amounts of less than $4,000 per invoice, per grant agreement. Invoiced amounts shall be to reimburse costs incurred by the grantee. The total amount of an invoice is limited to the extent that the drawdown does not result in an excessive fund balance held by the grantee. An excessive fund balance includes either of the following:

(i) A balance that cannot or may not be disbursed within 3 business days of receipt.

(ii) A balance of $4,000 or less that may not be disbursed within 30 days from receipt.

(8) Budget and program revisions and amendments. Grantees shall follow Attachment K of Office of Management and Budget Circular A-102 with respect to budget amendments. Grantees shall also follow the requirements in paragraph (14)(iii) pertaining to citizen participation and notification provided to the Department with regard to substantial budget amendments. The grantee shall obtain prior Departmental approval before implementing budget revisions or program amendments, or both.

(9) Lump sum drawdowns. Grantees, who establish approved revolving loan funds for the purpose of financing rehabilitation activities, shall conform to section 104(g)(1) of Title 1 of the Housing and Community Development Act of 1974 (42 U.S.C.A. § 5304(g)(1)) which specifies certain time limits for the start and substantial disbursement of the funds.

(10) Reporting. Grantees shall be required to provide to the Department periodic financial and performance reports for a grant administered as prescribed by the Department.

(11) Monitoring. A grantee shall adequately monitor its own performance and maintain adequate records regarding the monitoring efforts. A grantee will be assessed, on a pro rata basis, for monitoring and technical assistance.

(12) Records. A grantee is required to develop and maintain a grant record system for a grant administered. These records shall be open to public access and Departmental monitoring efforts. Records shall be retained by the grantee for a period of 3 years from official grant closeout by the Department.

(13) Required documentation. Grantees shall comply with certain Federal requirements, related to civil rights and equal employment opportunities under § § 141.141—141.157 (relating to Federal and State statutes and regulations). Title VI of the Civil Rights Act of 1964 (42 U.S.C.A. § § 2000d—2000d-4) requires that grantees maintain documented evidence of nondiscrimination compliance. To satisfy this requirement, grantees shall develop and maintain data records as follows:

(i) Population. Demographic data by census tract or smaller geographic area. The data shall include prevailing population characteristics relating to race, ethnic group, sex, age and head of household.

(ii) Employment. Data which record affirmative action in equal employment opportunity. These data shall include, but are not be limited to, employment, upgrading, demotions, transfers, recruitment or recruitment advertising, layoffs or terminations, pay or other compensation and selection for training.

(iii) Section 3 employment and business opportunity. Data which record special efforts to identify, train and hire lower-income residents of the project area and to utilize business concerns which are located in or owned in substantial part by persons residing in the area of the project.

(iv) Minority business participation and minority equity utilization. Data which record special efforts to identify, solicit bids from, and provide contracting and investment opportunities to minority businesses.

(v) Program beneficiaries. Individual and site-specific beneficiary data on the racial, ethnic or gender characteristics which show the extent to which minorities, nonminorities, women and handicapped persons have participated in, or benefited from programs and activities. Numerical data shall be maintained by project, program and activity.

(14) Citizen participation. A grantee shall:

(i) Provide open and reasonable access to grant records to citizens upon proper request.

(ii) Provide adequate and timely responses to citizen inquiries and complaints about grant implementation by the grantee. Complaints shall be recorded and filed, along with the grantee’s documented response to the complaints. These complaints and grantee responses shall be reported to the Department within 30 days of the initial receipt of the complaint.

(iii) If a major revision is made to the project grant, provide a public notice of the revisions and provide the opportunity for public comments.

(15) Program income. Income earned through activities assisted by a program grant may be retained by the grantee but only as conditioned by section 104(i) of Title I of the Housing and Community Development Act of 1974 (42 U.S.C.A. § 5304(i)).

The provisions of this § 141.191 adopted May 3, 1985, effective May 4, 1985, 15 Pa.B. 1614; amended March 21, 1986, effective March 22, 1986, 16 Pa.B. 943. Immediately preceding text appears at serial pages (98891) to (98894).

This section cited in 12 Pa. Code § 141.231 (relating to administration).

History

  • Authority: The provisions of this § 141.309 issued under the Community Development Block Grant Entitlement Program for Nonurban Counties and Certain Other Municipalities (35 P. S. § § 1751—1765).
  • Source: The provisions of this § 141.309 adopted August 21, 1992, effective August 22, 1992, 22 Pa.B. 4313; amended January 20, 2006, effective January 21, 2006, 36 Pa.B. 283. Immediately preceding text appears at serial pages (231106) to (231107).
12 Pa. Code § 141.192 Monitoring by Department.

The Department will conduct an ongoing monitoring of grantees by scheduled site visits and through continuous examination of submitted grantee invoices and periodic reports. Part of this monitoring effort will be to continually assess whether the grantee has the ongoing capacity by which to successfully carry out its grant. Continuing capacity will be assessed on the basis of adequate performance and ability to meet project objectives. When the Department determines that a grantee’s performance is not adequate, or that there is doubt that project objectives can be met, the Department may take corrective or remedial action as appropriate and as authorized under The Administrative Code of 1929 (71 P. S. § § 51—732), including the withholding of funds, until the issues calling for remedial action are resolved.

The provisions of this § 141.192 adopted May 3, 1985, effective May 4, 1985, 15 Pa.B. 1614; amended March 21, 1986, effective March 22, 1986, 16 Pa.B. 943. Immediately preceding text appears at serial page (98894).

This section cited in 12 Pa. Code § 141.191 (relating to grantees).

History

  • Authority: The provisions of this § 141.309 issued under the Community Development Block Grant Entitlement Program for Nonurban Counties and Certain Other Municipalities (35 P. S. § § 1751—1765).
  • Source: The provisions of this § 141.309 adopted August 21, 1992, effective August 22, 1992, 22 Pa.B. 4313; amended January 20, 2006, effective January 21, 2006, 36 Pa.B. 283. Immediately preceding text appears at serial pages (231106) to (231107).
12 Pa. Code § 141.211 Close-out notification.

A contract administered by a grantee shall be officially closed out upon program completion or the contract period, whichever comes first. While there are standard requirements to the close-out process, the Department will deal directly with the grantee to determine the most appropriate process and timetable for accomplishing these requirements. The Department will notify a grantee as to the time to begin the necessary close-out procedures. These procedures will consist of the following:

(1) Program audit. The Department will require an audit by an independent Certified Public Accountant. An audit shall be in conformance with Office of Management and Budget Circular A-128. The exact extent and timing of the audit will depend on how recently the grantee may have had an audit, or how soon one is scheduled, if any.

(2) Property disposition. If property was acquired in whole or part with program funds, there shall be a proper disposition of the property before final close-out. The Department will instruct grantees as to how this shall be done.

(3) Third party claims. If, during the grant, law suits or liens have been brought against the grantee, these shall be adequately resolved prior to, or as soon as possible after close-out. The Department will provide instructions to the grantee if the cases occur.

(4) Fund reimbursements and accounting. If the grantee has not fully expended program funds received or if the grantee has generated program income by virtue of program assisted activities, or both, these funds shall be accounted for to the Department. In the case of unexpended balances of program funds, these shall be returned to the Department prior to final close-out. In the case of program income, the Department will permit grantees to retain this income in accordance with 24 CFR 570.506 (relating to program income).

(5) Final grant report. Prior to final closeout, the grantee shall provide to the Department a final performance report which summarizes the results of activities undertaken with program funds. The Department will provide instructions as to the full content of this report.

The provisions of this § 141.211 adopted May 3, 1985, effective May 4, 1985, 15 Pa.B. 1614; amended March 21, 1986, effective March 22, 1986, 16 Pa. B. 943. Immediately preceding text appears at serial pages (98894) to (98895).

History

  • Authority: The provisions of this § 141.309 issued under the Community Development Block Grant Entitlement Program for Nonurban Counties and Certain Other Municipalities (35 P. S. § § 1751—1765).
  • Source: The provisions of this § 141.309 adopted August 21, 1992, effective August 22, 1992, 22 Pa.B. 4313; amended January 20, 2006, effective January 21, 2006, 36 Pa.B. 283. Immediately preceding text appears at serial pages (231106) to (231107).
12 Pa. Code § 141.231 Administration.

The program set forth in this part will be administered in conformity with the act, Title I of the Federal Housing and Community Development Act of 1974 (42 U.S.C.A. § § 5301—5320), and implementing Federal regulations and other requirements, and the following additional materials:

(1) Application forms, schedules and reports required by the Department.

(2) Application and management guidelines prepared by the Department to explain this chapter.

(3) Temporary program directives issued by the Department under § 141.191 (relating to grantees).

The provisions of this § 141.231 adopted May 3, 1985, effective May 4, 1985, 15 Pa.B. 1614.

History

  • Authority: The provisions of this § 141.309 issued under the Community Development Block Grant Entitlement Program for Nonurban Counties and Certain Other Municipalities (35 P. S. § § 1751—1765).
  • Source: The provisions of this § 141.309 adopted August 21, 1992, effective August 22, 1992, 22 Pa.B. 4313; amended January 20, 2006, effective January 21, 2006, 36 Pa.B. 283. Immediately preceding text appears at serial pages (231106) to (231107).
12 Pa. Code § 141.301 Purpose.

This section and § § 141.302—141.309 contain conditions under which the Department will guarantee the notes or other obligations issued by public entities in compliance with Federal regulations authorizing a guarantee program under section 108 of the Housing and Community Development Act of 1974. See 24 CFR Subchapter C, Subpart M (relating to loan guarantees).

The provisions of this § 141.301 issued under the Community Development Block Grant Entitlement Program for Nonurban Counties and Certain Other Municipalities (35 P. S. § § 1751—1765).

The provisions of this § 141.301 adopted August 21, 1992, effective August 22, 1992, 22 Pa.B. 4313.

This section cited in 12 Pa. Code § 141.302 (relating to definitions); 12 Pa. Code § 141.307 (relating to limitations on loan commitments—public entities); 12 Pa. Code § 141.308 (relating to CDBG requirement); and 12 Pa. Code § 141.309 (relating to Department approval).

History

  • Authority: The provisions of this § 141.309 issued under the Community Development Block Grant Entitlement Program for Nonurban Counties and Certain Other Municipalities (35 P. S. § § 1751—1765).
  • Source: The provisions of this § 141.309 adopted August 21, 1992, effective August 22, 1992, 22 Pa.B. 4313; amended January 20, 2006, effective January 21, 2006, 36 Pa.B. 283. Immediately preceding text appears at serial pages (231106) to (231107).
12 Pa. Code § 141.302 Definitions.

The following words and terms, when used in this section, § § 141.301 and 141.303—141.309, have the following meanings, unless the context clearly indicates otherwise: Consortium—A group of public entities that have entered into an agreement with the Department to apply jointly for an allocation of section 108 loan guarantee funds from HUD. Consortium member—A public entity that has agreed to participate in the consortium to access section 108 loan guarantee funds from HUD. Entitlement public entity—A city, county, borough, incorporated town or township that qualifies as an eligible entitlement entity under section 3 of the act (35 P. S. § 1753). Joint public entities—Two or more public entities or a county that applies on behalf of a public entity, or both, which participate in a joint municipal or regional project. Nonentitlement public entity—A unit of general local government that is eligible to participate in the State administered CDBG Program and which is not an eligible entitlement entity under section 3 of the act. Public entity—A unit of general local government that is eligible to participate in the State administered CDBG Program.

The provisions of this § 141.302 issued under the Community Development Block Grant Entitlement Program for Nonurban Counties and Certain Other Municipalities (35 P. S. § § 1751—1765).

The provisions of this § 141.302 adopted August 21, 1992, effective August 22, 1992, 22 Pa.B. 4313; amended January 20, 2006, effective January 21, 2006, 36 Pa.B. 283. Immediately preceding text appears at serial pages (231102) to (231103).

This section cited in 12 Pa. Code § 141.301 (relating to purpose); 12 Pa. Code § 141.307 (relating to limitations on loan commitments—public entities); 12 Pa. Code § 141.308 (relating to CDBG requirement); and 12 Pa. Code § 141.309 (relating to Department approval).

History

  • Authority: The provisions of this § 141.309 issued under the Community Development Block Grant Entitlement Program for Nonurban Counties and Certain Other Municipalities (35 P. S. § § 1751—1765).
  • Source: The provisions of this § 141.309 adopted August 21, 1992, effective August 22, 1992, 22 Pa.B. 4313; amended January 20, 2006, effective January 21, 2006, 36 Pa.B. 283. Immediately preceding text appears at serial pages (231106) to (231107).
12 Pa. Code § 141.303 Applicability of HUD implementing regulations.

(a) An application for loan guarantees by the Department must meet the requirements in 24 CFR Subchapter C, Subpart M (relating to loan guarantees).

(b) An application for State guarantees submitted with or without assistance from the State shall first be submitted to, and approved by the Department before it may be submitted to HUD.

The provisions of this § 141.303 issued under the Community Development Block Grant Entitlement Program for Nonurban Counties and Certain Other Municipalities (35 P. S. § § 1751—1765).

The provisions of this § 141.303 adopted August 21, 1992, effective August 22, 1992, 22 Pa.B. 4313; amended January 20, 2006, effective January 21, 2006, 36 Pa.B. 283. Immediately preceding text appears at serial page (231103).

This section cited in 12 Pa. Code § 141.301 (relating to purpose); 12 Pa. Code § 141.302 (relating to definitions); 12 Pa. Code § 141.307 (relating to limitations on loan commitments—public entities); 12 Pa. Code § 141.308 (relating to CDBG requirement); and 12 Pa. Code § 141.309 (relating to Department approval).

History

  • Authority: The provisions of this § 141.309 issued under the Community Development Block Grant Entitlement Program for Nonurban Counties and Certain Other Municipalities (35 P. S. § § 1751—1765).
  • Source: The provisions of this § 141.309 adopted August 21, 1992, effective August 22, 1992, 22 Pa.B. 4313; amended January 20, 2006, effective January 21, 2006, 36 Pa.B. 283. Immediately preceding text appears at serial pages (231106) to (231107).
12 Pa. Code § 141.304 Limitations on loan commitments—entitlement public entities.

The amount of loan guarantees that an entitlement public entity receives may not exceed the amount of a public entity’s CDBG allocation that can support annual debt service payments based on the average amount of the CDBG allocation for the past 3 years or $7 million, whichever is less. This maximum amount applies to both single public entity applicants and joint public entity applicants.

The provisions of this § 141.304 issued under the Community Development Block Grant Entitlement Program for Nonurban Counties and Certain Other Municipalities (35 P. S. § § 1751—1765).

The provisions of this § 141.304 adopted August 21, 1992, effective August 22, 1992, 22 Pa.B. 4313; amended January 20, 2006, effective January 21, 2006, 36 Pa.B. 283. Immediately preceding text appears at serial pages (231103) to (231104).

This section cited in 12 Pa. Code § 141.301 (relating to purpose); 12 Pa. Code § 141.302 (relating to definitions); 12 Pa. Code § 141.307 (relating to limitations on loan commitments—public entities); 12 Pa. Code § 141.308 (relating to CDBG requirement); and 12 Pa. Code § 141.309 (relating to Department approval).

History

  • Authority: The provisions of this § 141.309 issued under the Community Development Block Grant Entitlement Program for Nonurban Counties and Certain Other Municipalities (35 P. S. § § 1751—1765).
  • Source: The provisions of this § 141.309 adopted August 21, 1992, effective August 22, 1992, 22 Pa.B. 4313; amended January 20, 2006, effective January 21, 2006, 36 Pa.B. 283. Immediately preceding text appears at serial pages (231106) to (231107).
12 Pa. Code § 141.305 Limitations on loan commitments—nonentitlement public entities.

(a) The total amount of a loan guarantee made to a nonentitlement public entity may not exceed $3 million.

(b) The maximum aggregate amount of section 108 loan assistance made to a county which applies on behalf of multiple nonentitlement public entities may not exceed $7,000,000.

(c) Nonentitlement public entities shall join the consortium before applying for section 108 loan guarantee funds from the Department.

The provisions of this § 141.305 issued under the Community Development Block Grant Entitlement Program for Nonurban Counties and Certain Other Municipalities (35 P. S. § § 1751—1765).

The provisions of this § 141.305 adopted August 21, 1992, effective August 22, 1992, 22 Pa.B. 4313; amended January 20, 2006, effective January 21, 2006, 36 Pa.B. 283. Immediately preceding text appears at serial page (231104).

This section cited in 12 Pa. Code § 141.301 (relating to purpose); 12 Pa. Code § 141.302 (relating to definitions); 12 Pa. Code § 141.307 (relating to limitations on loan commitments—public entities); 12 Pa. Code § 141.308 (relating to CDBG requirement); and 12 Pa. Code § 141.309 (relating to Department approval).

History

  • Authority: The provisions of this § 141.309 issued under the Community Development Block Grant Entitlement Program for Nonurban Counties and Certain Other Municipalities (35 P. S. § § 1751—1765).
  • Source: The provisions of this § 141.309 adopted August 21, 1992, effective August 22, 1992, 22 Pa.B. 4313; amended January 20, 2006, effective January 21, 2006, 36 Pa.B. 283. Immediately preceding text appears at serial pages (231106) to (231107).
12 Pa. Code § 141.307 Limitations on loan commitments—public entities.

(a) The repayment period for a guaranteed loan may not exceed 20 years.

(b) The security offered by the Department to HUD will include a pledge of all grants made to the State or for which the State may become eligible under applicable Federal law and regulations.

(c) The State may provide an additional guarantee from sources other than the public entity’s annual CDBG grant. The additional State guarantee will supersede the use of the public entity’s CDBG grant funds as a source to guarantee debt payments for a section 108 loan.

(d) A public entity shall pledge the full amount of CDBG grants to be received during the period of the loan guarantee. Grant amounts for any year sufficient to pay current debt service may not be expended until the debt service for that year has been paid, or until the public entity provides the Department with satisfactory evidence that funds to pay current debt service have been placed in a trust account.

(e) Loans must be amortized on an annual basis, unless otherwise approved in writing by the Department.

(f) A public entity shall enter into a contract with the Department and HUD, in a form acceptable to the Department and HUD, for the repayment of notes or other obligations guaranteed under this section, § § 141.301—141.305, 141.308 and 141.309.

(g) Security in addition to a pledge of CDBG allocations will be required when the pledge of the allocations is not sufficient to protect all of the potential liability of the Department.

The provisions of this § 141.307 issued under the Community Development Block Grant Entitlement Program for Nonurban Counties and Certain Other Municipalities (35 P. S. § § 1751—1765).

The provisions of this § 141.307 adopted August 21, 1992, effective August 22, 1992, 22 Pa.B. 4313; amended January 20, 2006, effective January 21, 2006, 36 Pa.B. 283. Immediately preceding text appears at serial pages (231105) to (231106).

This section cited in 12 Pa. Code § 141.301 (relating to purpose); 12 Pa. Code § 141.302 (relating to definitions); 12 Pa. Code § 141.308 (relating to CDBG requirement); and 12 Pa. Code § 141.309 (relating to Department approval).

History

  • Authority: The provisions of this § 141.309 issued under the Community Development Block Grant Entitlement Program for Nonurban Counties and Certain Other Municipalities (35 P. S. § § 1751—1765).
  • Source: The provisions of this § 141.309 adopted August 21, 1992, effective August 22, 1992, 22 Pa.B. 4313; amended January 20, 2006, effective January 21, 2006, 36 Pa.B. 283. Immediately preceding text appears at serial pages (231106) to (231107).
12 Pa. Code § 141.308 CDBG requirement.

Applicable requirements of the CDBG program apply to public entities receiving guaranteed loan funds, except as those requirements may be specifically modified or augmented by this section and § § 141.301—141.307 and 141.309 or applicable HUD regulations.

The provisions of this § 141.308 issued under the Community Development Block Grant Entitlement Program for Nonurban Counties and Certain Other Municipalities (35 P. S. § § 1751—1765).

The provisions of this § 141.308 adopted August 21, 1992, effective August 22, 1992, 22 Pa.B. 4313.

This section cited in 12 Pa. Code § 141.301 (relating to purpose); 12 Pa. Code § 141.302 (relating to definitions); 12 Pa. Code § 141.307 (relating to limitations on loan commitments—public entities); and 12 Pa. Code § 141.309 (relating to Department approval).

History

  • Authority: The provisions of this § 141.309 issued under the Community Development Block Grant Entitlement Program for Nonurban Counties and Certain Other Municipalities (35 P. S. § § 1751—1765).
  • Source: The provisions of this § 141.309 adopted August 21, 1992, effective August 22, 1992, 22 Pa.B. 4313; amended January 20, 2006, effective January 21, 2006, 36 Pa.B. 283. Immediately preceding text appears at serial pages (231106) to (231107).
12 Pa. Code § 141.309 Department approval.

(a) The Department may disapprove loan guarantees or may approve a guarantee for an amount less than requested, for reasons including one or more of the following:

(1) The Department determines that the guarantee in light of the financial condition of the applicant, the viability of the project or the costs of the project, constitutes an unacceptable financial risk.

(2) The requested guarantee amount exceeds one or more of the limitations in this section and § § 141.301—141.308 or in applicable Federal regulations.

(3) Funds are not available in the amount requested.

(4) The performance of the public entity under § § 141.61, 141.62, 141.81, 141.101, 141.102, 141.121—141.125 and 141.141—141.157 is unacceptable.

(5) The activities to be undertaken are ineligible under State or Federal law or regulations.

(b) The Department will notify the public entity in writing that the guarantee has been approved, reduced or disapproved. If the guarantee is reduced or disapproved, the public entity will be informed of the specific reasons for that action. If the guarantee is acceptable, the Department will approve the application of the public entity to HUD for its commitment.

The provisions of this § 141.309 issued under the Community Development Block Grant Entitlement Program for Nonurban Counties and Certain Other Municipalities (35 P. S. § § 1751—1765).

The provisions of this § 141.309 adopted August 21, 1992, effective August 22, 1992, 22 Pa.B. 4313; amended January 20, 2006, effective January 21, 2006, 36 Pa.B. 283. Immediately preceding text appears at serial pages (231106) to (231107).

This section cited in 12 Pa. Code § 141.301 (relating to purpose); 12 Pa. Code § 141.302 (relating to definitions); 12 Pa. Code § 141.307 (relating to limitations on loan commitments—public entities); and 12 Pa. Code § 141.308 (relating to CDBG requirement).

History

  • Authority: The provisions of this § 141.309 issued under the Community Development Block Grant Entitlement Program for Nonurban Counties and Certain Other Municipalities (35 P. S. § § 1751—1765).
  • Source: The provisions of this § 141.309 adopted August 21, 1992, effective August 22, 1992, 22 Pa.B. 4313; amended January 20, 2006, effective January 21, 2006, 36 Pa.B. 283. Immediately preceding text appears at serial pages (231106) to (231107).

Chapter 143 Manufactured Housing

12 Pa. Code § 143.1 Definitions.

The following words and terms, when used in this chapter, have the following meanings, unless the context clearly indicates otherwise: Act—The Manufactured Housing Construction and Safety Standards Authorization Act (35 P. S. § § 1656.1—1656.9). Defect—A failure to comply with an applicable Federal manufactured home safety and construction standard that renders the manufactured home, or a part thereof, not fit for the ordinary use for which it was intended, but does not result in an unreasonable risk of injury or death to occupants of the affected manufactured home. Federal act—The National Manufactured Housing Construction and Safety Standards Act of 1974 (42 U.S.C.A. § § 5401—5426). Imminent safety hazard—A hazard that presents an imminent and unreasonable risk of death or severe personal injury that may or may not be related to failure to comply with an applicable Federal or State manufactured home construction or safety standard. Noncompliance—A failure of a manufactured home to comply with a Federal manufactured home construction or safety standard that does not constitute a defect, serious defect or imminent safety hazard. Serious defect—Failure to comply with an applicable Federal or State manufactured home construction and safety standard that renders the manufactured home, or a part thereof, not fit for the ordinary use for which it was intended, and which results in an unreasonable risk of injury or death to occupants of the affected manufactured home.

History

  • Authority: The provisions of this Chapter 143 issued under the Manufactured Housing Construction and Safety Standards Authorization Act (35 P. S. § § 1656.1—1656.9), unless otherwise noted.
  • Source: The provisions of this § 143.15 adopted September 8, 2006, effective November 8, 2006, 36 Pa.B. 5685.
12 Pa. Code § 143.2 Purpose.

This chapter implements the act to facilitate the sale and use of manufactured housing in this Commonwealth in a manner consistent with safeguarding the health, safety and welfare of citizens of this Commonwealth. This chapter is intended primarily for the following:

(1) To promulgate standards and procedures that will facilitate the manufacture of manufactured homes in accordance with the Federal act.

(2) To establish uniform procedures to assure that manufactured homes manufactured or shipped, or both, into this Commonwealth are regulated in accordance with the act and Federal act.

(3) To improve the quality, safety and durability of manufactured homes in this Commonwealth.

(4) To establish procedures to be utilized in the handling of consumer complaints, remedial actions, hearings and other provisions of the act.

History

  • Authority: The provisions of this Chapter 143 issued under the Manufactured Housing Construction and Safety Standards Authorization Act (35 P. S. § § 1656.1—1656.9), unless otherwise noted.
  • Source: The provisions of this § 143.15 adopted September 8, 2006, effective November 8, 2006, 36 Pa.B. 5685.
12 Pa. Code § 143.3 Scope.

Except to the extent otherwise stated in other applicable laws of the Commonwealth which are not inconsistent with or superseded by the act or Federal act, this chapter governs the design, manufacture, storage, transportation and installation of manufactured housing which is sold, leased or installed, or is intended for sale, lease or installation, or use on a site in this Commonwealth, or manufactured in this Commonwealth and sold or offered for sale outside this Commonwealth. This chapter applies to manufactured housing manufactured in manufacturing facilities located within or outside this Commonwealth.

History

  • Authority: The provisions of this Chapter 143 issued under the Manufactured Housing Construction and Safety Standards Authorization Act (35 P. S. § § 1656.1—1656.9), unless otherwise noted.
  • Source: The provisions of this § 143.15 adopted September 8, 2006, effective November 8, 2006, 36 Pa.B. 5685.
12 Pa. Code § 143.4 Responsibility of the Department.

The Housing Standards Division of the Department is responsible for enforcing the manufactured home standards of the Federal act, and may join with the Department of Housing and Urban Development and other States or public or private agencies for these purposes.

The provisions of this § 143.4 amended September 6, 2006, effective November 8, 2006, 36 Pa.B. 5685. Immediately preceding text appears at serial pge (231110).

History

  • Authority: The provisions of this Chapter 143 issued under the Manufactured Housing Construction and Safety Standards Authorization Act (35 P. S. § § 1656.1—1656.9), unless otherwise noted.
  • Source: The provisions of this § 143.15 adopted September 8, 2006, effective November 8, 2006, 36 Pa.B. 5685.
12 Pa. Code § 143.5 Applicability of locally-enacted codes and ordinances.

(a) This chapter will not be construed as amending, repealing or superseding a municipal zoning ordinance, subdivision and land development ordinance or another municipal ordinance, regulation or code, pertaining to the use and development of land.

(b) Except in cases of waterline connections to their main source of supply, sewer drainage line connections to main sewers or cesspools or electrical line connections to their main source of power, a manufactured home bearing a label affixed under the requirements of the act and Federal act and regulations thereunder will be deemed to comply with ordinances, regulations or building codes, or special local requirements enacted by a municipality applicable to the body and frame design and construction and installation of plumbing, heating and electrical systems within and including the exterior walls of the manufactured home.

History

  • Authority: The provisions of this Chapter 143 issued under the Manufactured Housing Construction and Safety Standards Authorization Act (35 P. S. § § 1656.1—1656.9), unless otherwise noted.
  • Source: The provisions of this § 143.15 adopted September 8, 2006, effective November 8, 2006, 36 Pa.B. 5685.
12 Pa. Code § 143.6 Preemption and reciprocity.

(a) A local government agency may not require that a manufactured home which has been certified and found in conformance with Federal manufactured homes standards as provided for in this chapter, shall be subject to additional inspections by that local government.

(b) A local government, department, board, agency or commission may not promulgate or adopt rules or regulations which are inconsistent with this chapter.

History

  • Authority: The provisions of this Chapter 143 issued under the Manufactured Housing Construction and Safety Standards Authorization Act (35 P. S. § § 1656.1—1656.9), unless otherwise noted.
  • Source: The provisions of this § 143.15 adopted September 8, 2006, effective November 8, 2006, 36 Pa.B. 5685.
12 Pa. Code § 143.7 Applicable standards.

Manufactured homes manufactured and sold, or offered for sale in this Commonwealth, or manufactured in this Commonwealth and sold, or offered for sale outside of this Commonwealth, shall meet the manufactured home construction and safety standards adopted by the Department of Housing and Urban Development under the Federal act, 24 CFR 3280 and 3282 (relating to manufactured home construction and safety standards; and manufactured home procedural and enforcement regulations).

History

  • Authority: The provisions of this Chapter 143 issued under the Manufactured Housing Construction and Safety Standards Authorization Act (35 P. S. § § 1656.1—1656.9), unless otherwise noted.
  • Source: The provisions of this § 143.15 adopted September 8, 2006, effective November 8, 2006, 36 Pa.B. 5685.
12 Pa. Code § 143.8 Label required.

(a) A person may not sell or offer for sale a manufactured home unless it bears a label certifying that it conforms to this chapter, as provided in § 143.9 (relating to certification).

(b) A person may not affix a label to a manufactured home which does not meet or exceed the standards required by this chapter.

History

  • Authority: The provisions of this Chapter 143 issued under the Manufactured Housing Construction and Safety Standards Authorization Act (35 P. S. § § 1656.1—1656.9), unless otherwise noted.
  • Source: The provisions of this § 143.15 adopted September 8, 2006, effective November 8, 2006, 36 Pa.B. 5685.
12 Pa. Code § 143.9 Certification.

A manufactured home may not be released from the factory to a dealer or purchaser, unless the manufactured home has been certified and conforms to the safety and construction standards required by this chapter.

(1) Certification will be provided if the manufacturer has complied with quality control procedures required by the act and Federal act, and a Federally approved Production Inspection Primary Inspection Agency (IPIA), through inspection and surveillance of the plant, has determined by the certification report that the manufactured home conforms to the approved designs and standards.

(2) If a manufacturer has performed inadequately, the IPIA will red tag the manufactured home, and necessary corrections shall be made by the manufacturer to bring the home into compliance before it may be certified and labeled.

(3) Certification will be evidenced by a 2 inch x 4 inch label, or another label as required by Federal regulation, located at the taillight end of each transportable section of the manufactured home, or in another location as may be required by Federal law.

This section cited in 12 Pa. Code § 143.8 (relating to label required).

History

  • Authority: The provisions of this Chapter 143 issued under the Manufactured Housing Construction and Safety Standards Authorization Act (35 P. S. § § 1656.1—1656.9), unless otherwise noted.
  • Source: The provisions of this § 143.15 adopted September 8, 2006, effective November 8, 2006, 36 Pa.B. 5685.
12 Pa. Code § 143.10 Required manufacturer records.

(a) Whenever a manufacturer receives information that may indicate the existence in a home produced by that manufacturer of an imminent safety hazard, serious defect, defect or noncompliance, the manufacturer shall, as soon as possible, but at least 20 days after receipt of the information, carry out necessary investigations and inspections to determine whether it is responsible under Federal law and regulations for providing notification as to the hazard, defect or noncompliance. See 24 CFR 3282.404 and 3282.407 (relating to notification pursuant to manufacturer’s determination; and notification and correction pursuant to administrative determination).

(b) The manufacturer shall maintain complete records of the information and determinations received and compiled in compliance with subsection (a). The records shall be complete, and be in a form that will permit the Commonwealth to readily discern who made the determination with respect to a particular piece of information, what the determination was and the basis for that determination. Records shall be kept for at least 6 years from the date the information was received.

History

  • Authority: The provisions of this Chapter 143 issued under the Manufactured Housing Construction and Safety Standards Authorization Act (35 P. S. § § 1656.1—1656.9), unless otherwise noted.
  • Source: The provisions of this § 143.15 adopted September 8, 2006, effective November 8, 2006, 36 Pa.B. 5685.
12 Pa. Code § 143.11 Manufactured home size calculations.

(a) Calculations used to determine the number of square feet in a structure will be based on the structure’s exterior dimensions measured at the largest horizontal projections when erected onsite. These dimensions will include expandable rooms, cabinets and other projections containing interior space, but do not include bay windows.

(b) The length of a manufactured home means its largest overall length in the travelling mode, including cabinets and other projections which contain interior space. Length does not include bay windows, roof projections, overhangs or eaves under which there is no interior space, nor does it include drawbars, couplings or hitches.

History

  • Authority: The provisions of this Chapter 143 issued under the Manufactured Housing Construction and Safety Standards Authorization Act (35 P. S. § § 1656.1—1656.9), unless otherwise noted.
  • Source: The provisions of this § 143.15 adopted September 8, 2006, effective November 8, 2006, 36 Pa.B. 5685.
12 Pa. Code § 143.12 Consumer complaints.

Individuals alleging wrongful acts by persons involved in the manufacture or sale of manufactured homes within this Commonwealth shall contact the Department of Community and Economic Development, Housing Standards Division, 400 North Street, 4th Floor, Harrisburg, Pennsylvania 17120. An investigation will be conducted by the Division upon the receipt of a written and signed complaint. Complaints must contain the writer’s name and address, and contain sufficient detail to enable the Division to fully understand the nature and extent of the complaint. Copies of all documents shall be appended to the complaint.

The provisions of this § 143.12 amended September 8, 2006, effective November 8, 2006, 36 Pa.B. 5685. Immediately preceding page appears at serial page (274811).

This section cited in 12 Pa. Code § 143.13 (relating to investigations).

History

  • Authority: The provisions of this Chapter 143 issued under the Manufactured Housing Construction and Safety Standards Authorization Act (35 P. S. § § 1656.1—1656.9), unless otherwise noted.
  • Source: The provisions of this § 143.15 adopted September 8, 2006, effective November 8, 2006, 36 Pa.B. 5685.
12 Pa. Code § 143.13 Investigations.

The Department, through the Housing Standards Division, after investigation on its own initiative or upon the receipt of a verified complaint under § 143.12 (relating to consumer complaints) has the power, after notice and hearing, to order the payment of civil penalties not to exceed $1,000 per violation for violations of this chapter, the act, the Federal act or regulations promulgated under the Federal act. The maximum civil penalty that may be imposed will not exceed $1 million for any related series of violations occurring within 1 year from the date of the first violation.

The provisions of this § 143.13 amended September 8, 2006, effective November 8, 2006, 36 Pa.B. 5685. Immediately preceding page appears at serial page (274811).

History

  • Authority: The provisions of this Chapter 143 issued under the Manufactured Housing Construction and Safety Standards Authorization Act (35 P. S. § § 1656.1—1656.9), unless otherwise noted.
  • Source: The provisions of this § 143.15 adopted September 8, 2006, effective November 8, 2006, 36 Pa.B. 5685.
12 Pa. Code § 143.14 Hearings.

Hearings under this chapter will be conducted in accordance with 1 Pa. Code Part II (relating to General Rules of Administrative Practice and Procedure).

The provisions of this § 143.14 amended September 8, 2006, effective November 8, 2006, 36 Pa.B. 5685. Immediately preceding page appears at serial page (274811).

History

  • Authority: The provisions of this Chapter 143 issued under the Manufactured Housing Construction and Safety Standards Authorization Act (35 P. S. § § 1656.1—1656.9), unless otherwise noted.
  • Source: The provisions of this § 143.15 adopted September 8, 2006, effective November 8, 2006, 36 Pa.B. 5685.
12 Pa. Code § 143.15 Fees.

To offset the costs of follow-up monitoring or inspections incurred by the Department beyond those provided for in the monitoring inspection fees authorized by the United States Department of Housing and Urban Development, the Department may charge the manufacturer or retailer the following fees:

The provisions of this § 143.15 adopted September 8, 2006, effective November 8, 2006, 36 Pa.B. 5685.

History

  • Authority: The provisions of this Chapter 143 issued under the Manufactured Housing Construction and Safety Standards Authorization Act (35 P. S. § § 1656.1—1656.9), unless otherwise noted.
  • Source: The provisions of this § 143.15 adopted September 8, 2006, effective November 8, 2006, 36 Pa.B. 5685.

Chapter 145 Industrial Housing and Components

12 Pa. Code § 145.1 Definitions.

The following words and terms, when used in this chapter, have the following meanings, unless the context clearly indicates otherwise: ANSI—The American National Standards Institute. ASHRAE—American Society of Heating, Refrigeration and Air Conditioning Engineers. Act—The Industrialized Housing Act (35 P.S. § § 1651.1—1651.12). Approved—Approved by the Department, or agent of the Department, under this chapter. Building system—The method of constructing a type of industrialized home, building, or housing or building component described by plans, specifications and other documentation which together establish a set of limits meeting the building standards in § § 145.41 and 145.42 (relating to adoption of standards; and alternate standards), as well as the compliance control program requirements of § 145.58 (relating to basic requirements for a compliance control program), including installation details. Building system documentation—The plans, specifications, procedures and other documentation, approved by an evaluation agency under § 145.52 (relating to approval of building system documentation), which together describe industrialized home, building, or housing or building components, including any variation, installation detail and instruction consistent with this chapter. Certification or certified—Conforming to the requirements of this chapter. Compliance assurance program—The system of policies and procedures implemented by the manufacturer and the inspection agency to assure that industrialized housing, buildings, or housing or building components are manufactured, transported and installed at the site in accordance with the approved building system documentation. Compliance control program—The system of policies and procedures utilized by the manufacturer to assure that industrialized housing, buildings, or housing or building components, as the case may be, are manufactured, transported and installed at the site in accordance with the approved building system documentation. Department—The Department of Community and Economic Development of the Commonwealth. Designated employee—An officer or supervisory employee of a third-party agency who has been so designated by the third-party agency in its application to the Department for approval or in another written communication to the Department. Dwelling unit or unit—Rooms arranged for the use of an individual for residential occupancy. Evaluation agency—A private or public agency which is approved by the Department under § 145.73 (relating to criteria for approval of evaluation and inspection agencies) to perform the functions assigned by this chapter to an evaluation agency. If the Department performs the functions of the evaluation agency in accordance with § 145.70 (relating to Departmental evaluation and inspection), the Department will be the evaluation agency for the purpose of this title. Housing component—A manufactured subsystem or subassembly, designed for use as an integral component part of a structure designed primarily for residential occupancy, which contains concealed parts or processes of manufacture that cannot be inspected at the site without disassembly, damage or destruction and which is identified in § 145.35 (relating to applicability of Fire and Panic Act) as being subject to this chapter. Housing structure—A structure designed primarily for residential occupancy. ICC—International Code Council. Industrialized building or industrialized commercial building—A structure designed for commercial occupancy classified within nonresidential use groups in accordance with the standards in § 145.41. The structure is wholly or in substantial part made, constructed, fabricated, formed or assembled in manufacturing facilities for installation or assembly and installation on the building site so that concealed parts or processes of manufacture cannot be inspected at the site without disassembly, damage or destruction. Industrialized building component or industrialized commercial building component—A closed wall subsystem or subassembly designed for use as a structure or a part of a structure which is classified within the nonresidential use groups in accordance with the standards in § 145.41. The closed wall subsystem or subassembly is fabricated in a manufacturing facility to be separately transported to the building site and cannot be inspected at the site without disassembly. Components may be installed with or without a permanent foundation. Industrialized building module—

(i) A closed wall structure or substantial part of a closed wall structure incorporating or designed to be assembled to form one or more rooms used as habitable, occupiable or mechanical/equipment space which is classified within nonresidential use groups in accordance with the standards in § 145.41. The structure is fabricated in a manufacturing facility to be separately transported to the building site and cannot be inspected at the site without disassembly.

(ii) The term includes industrialized building components that are subsystems or assemblies, or other systems of closed construction designed for use in or as a part of an industrialized building. Industrialized housing—

(i) A structure designed primarily for residential occupancy or classified within Residential Group R in accordance with the standards adopted under § 145.41 and which is wholly or in substantial part made, constructed, fabricated, formed or assembled in manufacturing facilities for installation or assembly and installation on the building site so that concealed parts or processes of manufacture cannot be inspected at the site without disassembly, damage or destruction.

(ii) The term does not include a structure or building classified as an institutional building or manufactured home, as defined by the National Manufactured Housing Construction and Safety Standards Act of 1974 (42 U.S.C.A. § § 5401—5426). Industrialized housing module—Each section of an industrialized housing structure which is fabricated in the manufacturing facility to be separately transported to the building site. Insignia of certification—The label conforming to the requirements of this chapter which, when attached to industrialized housing, housing components, industrialized building or building components under this chapter, evidences that the industrialized housing, buildings, or industrialized housing or building components have been certified. Inspection agency—An agency, private or public, which is approved by the Department under § 145.73 to perform the functions assigned by this chapter to an inspection agency. If the Department performs the functions of the inspection agency under § 145.70, the Department will be the inspection agency for the purposes of this title. Installation—The assembly of industrialized housing or buildings onsite and the process of affixing industrialized housing, housing components, industrialized buildings or components to land, a foundation, footings, utilities or an existing building, and may include the process of affixing housing or building components to or within the structure for which they are designed. Insulation—An approved material which has a relatively high resistance to heat flow and is used principally to retard the flow of heat. Local enforcement agency—The agency of local government with authority to make inspections and to enforce the laws, ordinances and regulations enacted by the Commonwealth and by local governments that establish standards and requirements applicable to the construction, installation, alteration or repair of buildings. Local government—A county, city, borough, incorporated town, township or similar general purpose unit of government which may be created by the General Assembly with authority to establish standards and requirements applicable to construction, installation, alteration and repair of buildings. Manufacture—The process of making, fabricating, constructing, forming or assembling a product from raw, unfinished or semifinished materials. Manufactured home—

(i) A structure, transportable in one or more sections, which, in the traveling mode, is 8 body feet or more in width or 40 body feet or more in length, or when erected onsite, is 320 square feet or more, and which is built on a permanent chassis and designed to be used as a dwelling with or without a permanent foundation when connected to the required utilities, and includes the plumbing, heating, air-conditioning and electrical systems contained therein.

(ii) The term includes any structure which meets the requirements of this paragraph except the size requirements and with respect to which the manufacturer voluntarily files a certification required by the Secretary of Housing and Urban Development and complies with the standards established under the National Manufactured Home Construction and Safety Standards Act of 1974.

(iii) The term does not include any self-propelled recreational vehicle. Manufacturing facility—A place, other than the building site, at which machinery, equipment and other capital goods are assembled and operated for the purpose of making, fabricating, constructing, forming or assembling industrialized housing or housing components, industrialized buildings or building components. Mobile home—A structure, transportable in one or more sections, which is 8 body feet or more in width and is 32 body feet in length and which is built on a permanent chassis and designed to be used as a dwelling with or without a permanent foundation when connected to the required utilities, and including the plumbing, heating, air conditioning and electrical system combined therein manufactured in accordance with the National Manufactured Housing Construction and Safety Standards Act of 1974. NCSBCS—National Conference of States on Building Codes and Standards. NFPA—The National Fire Protection Association. Notice of Approval—A notice issued by the Department to each manufacturer of industrialized housing, housing components, industrialized buildings or building components that indicates the approval of the manufacturer’s building systems documentation, compliance assurance program, and the authority to receive and attach insignias of certification to industrialized housing, housing components, industrialized building or building components as applicable. Person—An individual or organized group of any character, including partnerships; corporations; other forms of associations; and Federal, State and local instrumentalities, political subdivisions or officers, including the Department when indicated by the context. Residential occupancy—Occupancy of a structure or building, or part thereof, classified as a one-family or two-family dwelling, townhouse or within Residential Group R in accordance with the standards adopted under § 145.41, by families, households or individuals for purposes of shelter and sleeping, without regard to the availability of cooking or dining facilities. Residential permanent foundation—The structure or assembly provided at the installation site to support and stabilize industrialized housing as described in § 145.33(c) (relating to manufactured homes excluded). Site or building site—The entire tract, subdivision or parcel of land on which industrialized housing, housing components, industrialized building or industrialized building components are installed. Site Installation Inspection Checklist—A part of the manufacturers building system documentation or design package that identifies the various aspects of construction that shall be completed onsite, for inspection by the local code official, that when properly completed will result in a conforming home or building. Thermal resistance (“R” Value)—The accumulative resistance to heat flow through materials or arrangement of materials expressed in Fahrenheit degrees per BTU/(hours) (square foot). For wood frame construction, the effect of normal framing members may be neglected in the determination of R values. Third-party agency—An evaluation agency or inspection agency approved by the Department. Unheated space—A space such as a garage or crawl space which is not provided with a heat source sufficient to maintain a minimum temperature of 50°F (10°C).

The provisions of this § 145.1 amended under section 5 of the Industrialized Housing Act (35 P.S. § 1651.5).

(Editor’s Note: See 53 Pa.B. 830 (February 11, 2023) and 54 Pa.B. 145 (January 13, 2024) for notices regarding implementation of this section.)

The provisions of this § 145.1 adopted July 12, 1974, effective July 13, 1974, 4 Pa.B. 1403; amended September 8, 1978, effective March 9, 1979, 8 Pa.B. 2524; corrected September 22, 1978, effective March 9, 1979, 8 Pa.B. 2631; amended September 29, 1978, effective September 30, 1978, 8 Pa.B. 2681; amended April 17, 1981, effective April 18, 1981, 11 Pa.B. 1320; amended July 8, 1988, effective July 9, 1988, 18 Pa.B. 3040; amended September 19, 1997, effective September 20, 1997, 27 Pa.B. 4828; amended November 5, 2004, effective February 4, 2005, 34 Pa.B. 6024; effective date corrected at 34 Pa.B. 6133; amended May 7, 2010, effective July 7, 2010, 40 Pa.B. 2421; amended November 4, 2016, effective November 6, 2017, 46 Pa.B. 6976. Immediately preceding text appears at serial pages (361189) to (361190) and (349237) to (349239).

History

  • Authority: The provisions of this § 145.105 amended under section 5 of the Industrialized Housing Act (35 P.S. § 1651.5).
  • Source: The provisions of this § 145.122 adopted July 12, 1974, effective July 13, 1974, 4 Pa.B. 1403; amended July 25, 1975, effective July 26, 1975, 5 Pa.B. 1911; amended September 8, 1978, effective March 9, 1979, 8 Pa.B. 2524; corrected September 22, 1978, effective March 9, 1979, 8 Pa.B. 2631; amended September 19, 1997, effective September 20, 1997, 27 Pa.B. 4828. Immediately preceding text appears at serial page (231177).
12 Pa. Code § 145.2 Purpose.

This chapter interprets and makes specific the provisions of the act, as provided in section 5 of the act (35 P.S. § 1651.5). This chapter establishes administrative procedures for the implementation of the act which will facilitate the use of industrialized housing, buildings, and housing or building components in this Commonwealth consistent with safeguarding the health, safety and welfare of citizens of this Commonwealth and will carry out the purposes set forth in the legislative findings in section 2 of the act (35 P.S. § 1651.2). More specifically, this chapter is intended primarily to achieve the following objectives:

(1) Establish uniform standards affecting health, safety and welfare for the design, use of materials and methods of construction for industrialized housing, buildings, and housing or building components intended for sale, lease or installation for use in this Commonwealth.

(2) Establish uniform procedures to assure that industrialized housing, buildings, and housing or building components intended for sale, lease or installation for use in this Commonwealth will be manufactured, transported and installed in compliance with the uniform standards adopted by this chapter. In particular, this chapter establishes procedures under which the essential structural, electrical, mechanical and plumbing elements of industrialized housing, buildings, and housing or building components are subjected to compliance assurance procedures, including inspections, in the manufacturing facilities during the manufacturing process, thereby eliminating the need for subsequent inspections at the building site of those elements which are enclosed within the walls which might otherwise be subjected to disassembly, damage or destruction in the course of onsite inspections.

(3) Establish procedures which will facilitate the movement of industrialized housing, buildings, and housing or building components between this Commonwealth and the other states for the mutual benefit of the manufacturers and citizens of this Commonwealth.

(4) Preserve for local governments within this Commonwealth responsibilities and functions specifically reserved to local governments by the act and otherwise not inconsistent with the achievement of the purposes of the act.

The provisions of this § 145.2 amended under section 5 of the Industrialized Housing Act (35 P.S. § 1651.5).

(Editor’s Note: See 53 Pa.B. 830 (February 11, 2023) and 54 Pa.B. 145 (January 13, 2024) for notices regarding implementation of this section.)

The provisions of this § 145.2 adopted July 12, 1974, effective July 13, 1974, 14 Pa.B. 1403; amended November 4, 2016, effective November 6, 2017, 46 Pa.B. 6976. Immediately preceding text appears at serial pages (349239) to (349240).

History

  • Authority: The provisions of this § 145.105 amended under section 5 of the Industrialized Housing Act (35 P.S. § 1651.5).
  • Source: The provisions of this § 145.122 adopted July 12, 1974, effective July 13, 1974, 4 Pa.B. 1403; amended July 25, 1975, effective July 26, 1975, 5 Pa.B. 1911; amended September 8, 1978, effective March 9, 1979, 8 Pa.B. 2524; corrected September 22, 1978, effective March 9, 1979, 8 Pa.B. 2631; amended September 19, 1997, effective September 20, 1997, 27 Pa.B. 4828. Immediately preceding text appears at serial page (231177).
12 Pa. Code § 145.3 Scope.

Except to the extent otherwise stated in the act and the provisions of this chapter and in other applicable laws of the Commonwealth which are not inconsistent with or superseded by the act and this chapter, this chapter governs the design, manufacture, storage, transportation and installation of industrialized housing, buildings, and housing or building components which are sold, leased or installed, or are intended for sale, lease or installation, for use on a site in this Commonwealth. Industrialized buildings manufactured before November 6, 2017, may continue to be utilized in this Commonwealth subject to approval of the local code official.

The provisions of this § 145.3 amended under section 5 of the Industrialized Housing Act (35 P.S. § 1651.5).

(Editor’s Note: See 53 Pa.B. 830 (February 11, 2023) and 54 Pa.B. 145 (January 13, 2024) for notices regarding implementation of this section.)

The provisions of this § 145.3 adopted July 12, 1974, effective July 13, 1974, 4 Pa.B. 1403; amended November 4, 2016, effective November 6, 2017, 46 Pa.B. 6976; corrected November 18, 2016, effective November 6, 2017, 46 Pa.B. 7269. Immediately preceding text appears at serial page (349240).

History

  • Authority: The provisions of this § 145.105 amended under section 5 of the Industrialized Housing Act (35 P.S. § 1651.5).
  • Source: The provisions of this § 145.122 adopted July 12, 1974, effective July 13, 1974, 4 Pa.B. 1403; amended July 25, 1975, effective July 26, 1975, 5 Pa.B. 1911; amended September 8, 1978, effective March 9, 1979, 8 Pa.B. 2524; corrected September 22, 1978, effective March 9, 1979, 8 Pa.B. 2631; amended September 19, 1997, effective September 20, 1997, 27 Pa.B. 4828. Immediately preceding text appears at serial page (231177).
12 Pa. Code § 145.4 Responsibility of the Department.

Subject to applicable law, the Department is responsible, as directed by the act, to prepare, promulgate and implement this chapter and to take actions as are necessary and appropriate to discharge its responsibilities under the act and this chapter.

The provisions of this § 145.4 adopted July 12, 1974, effective July 13, 1974, 4 Pa.B. 1403.

History

  • Authority: The provisions of this § 145.105 amended under section 5 of the Industrialized Housing Act (35 P.S. § 1651.5).
  • Source: The provisions of this § 145.122 adopted July 12, 1974, effective July 13, 1974, 4 Pa.B. 1403; amended July 25, 1975, effective July 26, 1975, 5 Pa.B. 1911; amended September 8, 1978, effective March 9, 1979, 8 Pa.B. 2524; corrected September 22, 1978, effective March 9, 1979, 8 Pa.B. 2631; amended September 19, 1997, effective September 20, 1997, 27 Pa.B. 4828. Immediately preceding text appears at serial page (231177).
12 Pa. Code § 145.31 Requirement of certification.

(a) No person may sell, lease or install for use on a site in this Commonwealth industrialized housing, buildings, or housing or building components unless the industrialized housing, building, or housing or building component is certified and bears insignia of certification issued by the Department. The insignia of certification issued by the Department shall be attached to the industrialized housing, building, or housing or building component under this chapter, and they shall be subject to subsequent removal in accordance with this chapter.

(b) Industrialized housing, buildings, and housing or building components of the manufacturer which have never been occupied and which serve for model or demonstration purposes for the manufacturer do not have to bear insignia of certification under this chapter until the time that the industrialized housing, building, or housing or building components are first offered for sale or lease.

(c) This chapter does not apply to industrialized buildings or building components produced before November 6, 2017.

The provisions of this § 145.31 amended under section 5 of the Industrialized Housing Act (35 P.S. § 1651.5).

(Editor’s Note: See 53 Pa.B. 830 (February 11, 2023) and 54 Pa.B. 145 (January 13, 2024) for notices regarding implementation of this section.)

The provisions of this § 145.31 adopted July 12, 1974, effective July 13, 1974, 4 Pa.B. 1403; amended November 4, 2016, effective November 6, 2017, 46 Pa.B. 6976; corrected November 18, 2016, effective November 6, 2017, 46 Pa.B. 7269. Immediately preceding text appears at serial pages (349240) to (349241).

History

  • Authority: The provisions of this § 145.105 amended under section 5 of the Industrialized Housing Act (35 P.S. § 1651.5).
  • Source: The provisions of this § 145.122 adopted July 12, 1974, effective July 13, 1974, 4 Pa.B. 1403; amended July 25, 1975, effective July 26, 1975, 5 Pa.B. 1911; amended September 8, 1978, effective March 9, 1979, 8 Pa.B. 2524; corrected September 22, 1978, effective March 9, 1979, 8 Pa.B. 2631; amended September 19, 1997, effective September 20, 1997, 27 Pa.B. 4828. Immediately preceding text appears at serial page (231177).
12 Pa. Code § 145.32 Experimental housing.

Industrialized housing or housing components which are intended for prototype, experimental or demonstration purposes in or on a site in this Commonwealth designated by the Department as a test facility may be installed without bearing insignia of certification issued by the Department; provided that no industrialized housing or housing structure containing housing component is sold or leased unless the industrialized housing or housing component has been certified and bears insignia of certification as provided in § 145.65 (relating to certification of experimental housing).

The provisions of this § 145.32 adopted July 12, 1974, effective July 13, 1974, 4 Pa.B. 1403.

This section cited in 12 Pa. Code § 145.65 (relating to certification of experimental housing).

History

  • Authority: The provisions of this § 145.105 amended under section 5 of the Industrialized Housing Act (35 P.S. § 1651.5).
  • Source: The provisions of this § 145.122 adopted July 12, 1974, effective July 13, 1974, 4 Pa.B. 1403; amended July 25, 1975, effective July 26, 1975, 5 Pa.B. 1911; amended September 8, 1978, effective March 9, 1979, 8 Pa.B. 2524; corrected September 22, 1978, effective March 9, 1979, 8 Pa.B. 2631; amended September 19, 1997, effective September 20, 1997, 27 Pa.B. 4828. Immediately preceding text appears at serial page (231177).
12 Pa. Code § 145.33 Manufactured homes excluded.

(a) Manufactured homes which are subject to sections 604 and 625 of the National Manufactured Housing Construction and Safety Standards Act of 1974 (42 U.S.C.A. § § 5403 and 5424) and the regulations issued thereunder by the United States Department of Housing and Urban Development are not subject to this chapter.

(b) The following language must appear in the installation documentation provided with the industrialized home and the data plate:

The manufacturer certifies that the structure (insert serial number) is not a manufactured home subject to the provisions of the National Manufactured Housing Construction and Safety Standards Act and is

(1) designed only for erection or installation on a site built permanent foundation

(2) not designed to be moved once so erected or installed

(3) designed and manufactured to comply with (insert applicable standards)

(4) to the manufacturer’s knowledge not intended to be used other than on a site-built permanent foundation.

(c) A residential permanent foundation shall be constructed in accordance with the prescriptive provisions of the adopted building code or, when required, designed by a licensed professional engineer. A residential permanent foundation must have attachment points to anchor and stabilize the home to transfer all code required loads to the underlying soil or rock. In either case, a residential permanent foundation must:

(1) Be designed for vertical stability as follows:

(i) Footings properly sized to prevent overloading of the soil.

(ii) Minimum depth of footings below undisturbed ground surface must be 12 inches or as required by the local code, whichever is greater.

(iii) Shallow foundation footings must be constructed of cast-in-place concrete.

(iv) Masonry walls and piers must be mortared.

(2) Be designed for lateral stability as follows:

(i) Anchorage capacity to prevent uplift, sliding and overturning or other movement of the structure.

(ii) May not utilize tension-only steel straps.

(iii) May not utilize screw-in soil anchors.

(3) Be constructed of durable materials, that is, concrete, mortared masonry or treated wood. This includes precast foundation systems.

(d) A residential permanent foundation does not include alternative systems or components labeled only for use under one or more of the following standards:

(1) 24 CFR Part 3280 (relating to manufactured home construction and safety standards).

(2) 24 CFR Part 3286 (relating to manufactured home installation program).

(3) NFPA 225 Model Manufactured Home Installation Standard.

(4) ANSI A225.1 NFPA 501A Manufactured Home Installations.

(5) International Residential Code, Appendix E.

(e) Industrialized buildings are excluded from this section.

The provisions of this § 145.33 amended under section 5 of the Industrialized Housing Act (35 P.S. § 1651.5).

(Editor’s Note: See 53 Pa.B. 830 (February 11, 2023) and 54 Pa.B. 145 (January 13, 2024) for notices regarding implementation of this section.)

The provisions of this § 145.33 adopted July 12, 1974, effective July 13, 1974, 4 Pa.B. 1403; amended September 8, 1978, effective March 9, 1979, 8 Pa.B. 2524; corrected September 22, 1978, effective March 9, 1979, 8 Pa.B. 2524; amended August 9, 1991, effective August 10, 1991, 21 Pa.B. 3509; amended May 7, 2010, effective July 7, 2010, 40 Pa.B. 2421; amended November 4, 2016, effective November 6, 2017, 46 Pa.B. 6976. Immediately preceding text appears at serial pages (349241) to (349242).

This section cited in 12 Pa. Code § 145.1 (relating to definitions).

History

  • Authority: The provisions of this § 145.105 amended under section 5 of the Industrialized Housing Act (35 P.S. § 1651.5).
  • Source: The provisions of this § 145.122 adopted July 12, 1974, effective July 13, 1974, 4 Pa.B. 1403; amended July 25, 1975, effective July 26, 1975, 5 Pa.B. 1911; amended September 8, 1978, effective March 9, 1979, 8 Pa.B. 2524; corrected September 22, 1978, effective March 9, 1979, 8 Pa.B. 2631; amended September 19, 1997, effective September 20, 1997, 27 Pa.B. 4828. Immediately preceding text appears at serial page (231177).
12 Pa. Code § 145.34 Housing components.

Housing components which are subject to this chapter are utility core units, closed panels, sandwich panels and structrual insulated panels.

The provisions of this § 145.34 amended under section 5 of the Industrialized Housing Act (35 P.S. § 1651.5).

The provisions of this § 145.34 adopted July 12, 1974, effective July 13, 1974, 4 Pa.B. 1403; amended July 8, 1988, effective July 9, 1988, 18 Pa.B. 3040; amended May 7, 2010, effective July 7, 2010, 40 Pa.B. 2421. Immediately preceding text appears at serial page (231123).

History

  • Authority: The provisions of this § 145.105 amended under section 5 of the Industrialized Housing Act (35 P.S. § 1651.5).
  • Source: The provisions of this § 145.122 adopted July 12, 1974, effective July 13, 1974, 4 Pa.B. 1403; amended July 25, 1975, effective July 26, 1975, 5 Pa.B. 1911; amended September 8, 1978, effective March 9, 1979, 8 Pa.B. 2524; corrected September 22, 1978, effective March 9, 1979, 8 Pa.B. 2631; amended September 19, 1997, effective September 20, 1997, 27 Pa.B. 4828. Immediately preceding text appears at serial page (231177).
12 Pa. Code § 145.35 Applicability of Fire and Panic Act.

Nothing in this chapter may be construed as amending or repealing the act of April 27, 1927 (P.L. 465, No. 299) (35 P.S. § § 1221—1235), known as the Fire and Panic Act, and 34 Pa. Code Chapters 49—59, as they may be applicable to industrialized housing and housing components.

The provisions of this § 145.35 adopted July 12, 1974, effective July 13, 1974, 4 Pa.B. 1403.

This section cited in 12 Pa. Code § 145.1 (relating to definitions).

History

  • Authority: The provisions of this § 145.105 amended under section 5 of the Industrialized Housing Act (35 P.S. § 1651.5).
  • Source: The provisions of this § 145.122 adopted July 12, 1974, effective July 13, 1974, 4 Pa.B. 1403; amended July 25, 1975, effective July 26, 1975, 5 Pa.B. 1911; amended September 8, 1978, effective March 9, 1979, 8 Pa.B. 2524; corrected September 22, 1978, effective March 9, 1979, 8 Pa.B. 2631; amended September 19, 1997, effective September 20, 1997, 27 Pa.B. 4828. Immediately preceding text appears at serial page (231177).
12 Pa. Code § 145.36 Applicability of locally-enacted codes and ordinances.

(a) Industrialized housing, housing components, industrialized buildings or building components bearing insignias of certification issued under this chapter will be deemed to comply with the requirements of building and related codes and ordinances enacted by local governments of the Commonwealth which codes and ordinances conform with the following:

(1) Are applicable to residential or commercial construction, plumbing, heating, electrical and other related codes pertaining to the construction and equipment contained within.

(2) Would otherwise be applicable to the industrialized housing, housing components, industrialized buildings or building components certified under this chapter as described in their building system documentation.

(b) (Reserved).

(c) If the building site is within a fire district designated by an ordinance of the local government, the requirements of the codes and standards adopted under § § 145.41, 145.42 and 145.44 (relating to adoption of standards; alternate standards; and adoption and effective dates—code amendments) for the fire district is applicable to the industrialized housing, housing components, industrialized buildings or building components. If the fire district designated by the ordinance of the local government is different from a fire district described in the applicable codes and standards adopted under § § 145.41, 145.42 and 145.44 the requirements for that fire district described in the applicable codes and standards which in the judgment of the evaluation agency bears the closest similarity to the description of the applicable fire district under the locally enacted ordinance is applicable.

(d) Industrialized housing and buildings in which industrialized housing or building components have been installed shall comply with codes and ordinances of the local governments with jurisdiction over the building site which apply to the design, installation and maintenance of waterline connections from the exterior walls of housing to their main source of supply, sewer drainage connections from the exterior walls of housing to main sewers or septic systems, and electrical line connections or other energy supply connections from the exterior walls of housing to their main source of power, notwithstanding the appropriate insignia of certification as provided for in § 145.60 (relating to insignia of certification).

(e) Nothing in the act or this chapter shall be construed as amending, repealing or superseding a local zoning ordinance, subdivision regulation, designation of fire districts or related land development code, regulation or ordinance enacted by a local government of the Commonwealth.

(f) A dispute between a person and a local enforcement agency with respect to the application of this section shall be referred to and decided by the Department under § 145.96 (relating to interpretation of this chapter).

The provisions of this § 145.36 amended under section 5 of the Industrialized Housing Act (35 P.S. § 1651.5).

(Editor’s Note: See 53 Pa.B. 830 (February 11, 2023) and 54 Pa.B. 145 (January 13, 2024) for notices regarding implementation of this section.)

The provisions of this § 145.36 adopted July 12, 1974, effective July 13, 1974, 4 Pa.B. 1403; amended September 8, 1978, effective March 9, 1979, 8 Pa.B. 2524; amended September 22, 1978, effective March 9, 1979, 8 Pa.B. 2631; amended July 8, 1988, effective July 9, 1988, 18 Pa.B. 3040; amended November 4, 2016, effective November 6, 2017, 46 Pa.B. 6976. Immediately preceding text appears at serial pages (349242) to (349243).

This section cited in 12 Pa. Code § 145.81 (relating to responsibilities of local enforcement agencies).

History

  • Authority: The provisions of this § 145.105 amended under section 5 of the Industrialized Housing Act (35 P.S. § 1651.5).
  • Source: The provisions of this § 145.122 adopted July 12, 1974, effective July 13, 1974, 4 Pa.B. 1403; amended July 25, 1975, effective July 26, 1975, 5 Pa.B. 1911; amended September 8, 1978, effective March 9, 1979, 8 Pa.B. 2524; corrected September 22, 1978, effective March 9, 1979, 8 Pa.B. 2631; amended September 19, 1997, effective September 20, 1997, 27 Pa.B. 4828. Immediately preceding text appears at serial page (231177).
12 Pa. Code § 145.37 Work and labor classifications.

Nothing in the act of this chapter shall be construed as limiting the work to be performed to or by any type of construction contractor or labor or mechanic classification.

The provisions of this § 145.37 adopted July 12, 1974, effective July 13, 1974, 4 Pa.B. 1403.

History

  • Authority: The provisions of this § 145.105 amended under section 5 of the Industrialized Housing Act (35 P.S. § 1651.5).
  • Source: The provisions of this § 145.122 adopted July 12, 1974, effective July 13, 1974, 4 Pa.B. 1403; amended July 25, 1975, effective July 26, 1975, 5 Pa.B. 1911; amended September 8, 1978, effective March 9, 1979, 8 Pa.B. 2524; corrected September 22, 1978, effective March 9, 1979, 8 Pa.B. 2631; amended September 19, 1997, effective September 20, 1997, 27 Pa.B. 4828. Immediately preceding text appears at serial page (231177).
12 Pa. Code § 145.41 Adoption of standards.

(Editor’s Note: See 48 Pa.B. 4520 for a notice pertaining to industrialized housing and adoption of 2015 codes with an effective date of April 1, 2019.)

(a) The following codes, which relate to the design, materials and method of construction of buildings, are adopted as the standards applicable to the industrialized housing, housing components, industrialized buildings or building components for purposes of this chapter:

(1) The ICC International Building Code.

(2) The ICC International Mechanical Code.

(3) The ICC International Plumbing Code.

(4) The International Energy Conservation Code.

(5) The National Electric Code (NFPA No. 70).

(6) The ICC International Residential Code (for one and two family dwellings and town homes) except:

(i) Section R313.2, regarding automatic fire sprinkler systems in one-family and two-family dwellings, of the 2009 International Residential Code. Successor triennial revisions are excluded.

(ii) Sections R602.10SR602.12.1.6, regarding wall bracing requirements, are excluded and replaced by § § R602.10RR602.11.3 of the 2006 International Residential Code.

(b) Except as provided in § 145.43 (relating to amendment policy), the codes must be the latest edition. The effective date of all code changes must be in accordance with § § 145.44 and 145.122(b) (relating to adoption and effective dates—code amendments; and effective date).

(c) Insulation technique and installation applicable to the floor or foundation wall is not always practical at the manufacturing facility. Builders or contractors of industrialized houses or buildings may supply and install the required floor or foundation wall insulation. If the floor or foundation wall insulation is not installed at the manufacturing facility, the manufacturer shall indicate on the Site Installation Inspection Checklist referenced in § 145.91(e) (relating to reports to the Department) that the insulation shall be installed onsite.

(d) The provisions of the codes in subsection (a) that relate specifically to the interpretation, administration and enforcement of the codes and to matters which are not within the authority conferred on the Department by the act and this chapter are not adopted under this chapter and are not applicable in the administration and enforcement of this chapter. If there is an inconsistency or conflict between the provisions of a code adopted under this chapter and this chapter, this chapter will prevail.

(e) Only listed and labeled materials listed for use as documented shall be used in all construction.

The provisions of this § 145.41 amended under section 5 of the Industrialized Housing Act (35 P.S. § 1651.5).

(Editor’s Note: See 53 Pa.B. 830 (February 11, 2023); 54 Pa.B. 145 (January 13, 2024); and 55 Pa.B. 8079 (November 29, 2025) for notices regarding implementation of this section.)

The provisions of this § 145.41 adopted July 12, 1974, effective July 13, 1974, 4 Pa.B. 1403; amended July 25, 1975, effective July 26, 1975, 5 Pa.B. 1911; amended September 8, 1978, effective March 9, 1979, 8 Pa.B. 2524; corrected September 22, 1978, effective March 9, 1979, 8 Pa.B. 2631; amended April 17, 1981, effective April 18, 1981, 11 Pa.B. 1320; amended July 8, 1988, effective July 9, 1988, 18 Pa.B. 3040; amended August 9, 1991, effective August 10, 1991, 21 Pa.B. 3509; amended September 19, 1997, effective September 20, 1997, 27 Pa.B. 4828; amended November 5, 2004, effective February 4, 2005, 34 Pa.B. 6024; effective date corrected at 34 Pa.B. 6133; amended April 20, 2007, effective June 20, 2007, 37 Pa.B. 1840; amended May 7, 2010, effective July 7, 2010, 40 Pa.B. 2421; amended November 4, 2016, effective November 6, 2017, 46 Pa.B. 6976. Immediately preceding text appears at serial pages (349244) to (349245).

This section cited in 12 Pa. Code § 145.1 (relating to definitions); 12 Pa. Code § 145.36 (relating to applicability of locally-enacted codes and ordinances); 12 Pa. Code § 145.42 (relating to alternate standards); 12 Pa. Code § 145.43 (relating to amendment policy); 12 Pa. Code § 145.44 (relating to adoption and effective dates—code amendments); 12 Pa. Code § 145.45 (relating to proposals by local enforcement agencies relating to special environmental conditions); 12 Pa. Code § 145.46 (relating to applicability and interpretation of code provisions); 12 Pa. Code § 145.47 (relating to acquisition of adopted codes and amendments); 12 Pa. Code § 145.52 (relating to approval of building system documentation); 12 Pa. Code § 145.55 (relating to general requirements for approval of amendments to building system documentation); 12 Pa. Code § 145.56 (relating to amendments to building system documentation following changes in standards); 12 Pa. Code § 145.65 (relating to certification of experimental housing); 12 Pa. Code § 145.70 (relating to Departmental evaluation and inspection); 12 Pa. Code § 145.71 (relating to responsibilities of evaluation agencies); 12 Pa. Code § 145.92 (relating to reports by the Department); and 12 Pa. Code § 145.102 (relating to determinations of acceptability of certifications of a competent state authority).

History

  • Authority: The provisions of this § 145.105 amended under section 5 of the Industrialized Housing Act (35 P.S. § 1651.5).
  • Source: The provisions of this § 145.122 adopted July 12, 1974, effective July 13, 1974, 4 Pa.B. 1403; amended July 25, 1975, effective July 26, 1975, 5 Pa.B. 1911; amended September 8, 1978, effective March 9, 1979, 8 Pa.B. 2524; corrected September 22, 1978, effective March 9, 1979, 8 Pa.B. 2631; amended September 19, 1997, effective September 20, 1997, 27 Pa.B. 4828. Immediately preceding text appears at serial page (231177).
12 Pa. Code § 145.42 Alternate standards.

(a) As an alternative to the primary codes specified in § 145.41 (relating to adoption of standards), a manufacturer may elect to satisfy the requirements of the following alternate standards. Copies of these documents are available through the respective promulgating agencies as defined in § 145.47 (relating to acquisition of adopted codes and amendments):

(1) As an alternate to the ICC International Residential Code, Chapter 11, regarding energy efficiency, the manufacturer may use the applicable edition of one of the following:

(i) The prescriptive methods for residential buildings in the International Energy Conservation Code compliance guide containing state maps, prescriptive energy packages and related software published by the United States Department of Energy, Building Standards and Guidelines Program (REScheckTM).

(ii) Pennsylvania’s Alternative Residential Energy Provisions developed by the Pennsylvania Housing Research Center at the Pennsylvania State University.

(2) As an alternate to the ICC International Residential Code, Chapter 3, regarding building planning, in regard to stairway construction, the manufacturer may use the following standard:

(i) The maximum riser height must be 8 1/4 inches. There may be no more than 3/8-inch variation in riser height within a flight of stairs. The riser height is to be measured vertically between leading edges of the adjacent treads.

(ii) The minimum tread depth must be 9 inches measured from tread nosing to tread nosing. There may be no more than 3/8-inch variation in tread depth within a flight of stairs.

(iii) Treads may have a uniform projection of not more than 1 1/2 inches when solid risers are used.

(iv) Stairways may not be less than 3 feet in clear width and clear head room of 6 feet 8 inches must be maintained for the entire run of the stairway.

(v) Handrails may project from each side of a stairway a distance of 3 1/2 inches into the required width of the stairway.

(3) As an alternate to the ICC International Building Code, Chapter 13, regarding energy efficiency, the manufacturer may use the applicable edition of prescriptive methods for buildings or structures in the current version of the International Energy Conservation Code compliance guide containing state maps, prescriptive packages and related software published by the United States Department of Energy, Building Standards and Guidelines Program (COMcheckTM).

(b) Except as provided in § 145.43 (relating to amendment policy), the codes must be the latest edition. The effective date of code changes must be in accordance with § § 145.44 and 145.122(b) (relating to adoption and effective dates—code amendments; and effective date).

The provisions of this § 145.42 amended under section 5 of the Industrialized Housing Act (35 P.S. § 1651.5).

(Editor’s Note: See 53 Pa.B. 830 (February 11, 2023); 54 Pa.B. 145 (January 13, 2024); and 55 Pa.B. 8079 (November 29, 2025) for notices regarding implementation of this section.)

The provisions of this § 145.42 adopted July 12, 1974, effective July 13, 1974, 4 Pa.B. 1403; amended September 8, 1978, effective March 9, 1979, 8 Pa.B. 2524; corrected September 22, 1978, effective March 9, 1979, 8 Pa.B. 2631; amended April 17, 1981, effective April 18, 1981, 11 Pa.B. 1320; amended July 8, 1988, effective July 9, 1988, 18 Pa.B. 3040; amended August 9, 1991, effective August 10, 1991, 21 Pa.B. 3509; amended September 19, 1997, effective September 20, 1997, 27 Pa.B. 4828; amended November 5, 2004, effective February 4, 2005, 34 Pa.B. 6024; effective date corrected at 34 Pa.B. 6133; amended April 20, 2007, effective June 20, 2007, 37 Pa.B. 1840; amended November 4, 2016, effective November 6, 2017, 46 Pa.B. 6976. Immediately preceding text appears at serial pages (349245) to (349246).

This section cited in 12 Pa. Code § 145.1 (relating to definitions); 12 Pa. Code § 145.36 (relating to applicability of locally-enacted codes and ordinances); 12 Pa. Code § 145.43 (relating to amendment policy); 12 Pa. Code § 145.44 (relating to adoption and effective dates—code amendments); 12 Pa. Code § 145.45 (relating to proposals by local enforcement agencies relating to special environmental conditions); 12 Pa. Code § 145.46 (relating to applicability and interpretation of code provisions); 12 Pa. Code § 145.47 (relating to acquisition of adopted codes and amendments); 12 Pa. Code § 145.52 (relating to approval of building system documentation); 12 Pa. Code § 145.55 (relating to general requirements for approval of amendments to building system documentation); 12 Pa. Code § 145.56 (relating to amendments to building system documentation following changes in standards); 12 Pa. Code § 145.65 (relating to certification of experimental housing); 12 Pa. Code § 145.70 (relating to Departmental evaluation and inspection); 12 Pa. Code § 145.71 (relating to responsibilities of evaluation agencies); 12 Pa. Code § 145.92 (relating to reports by the Department); and 12 Pa. Code § 145.102 (relating to determinations of acceptability of certifications of a competent state authority).

History

  • Authority: The provisions of this § 145.105 amended under section 5 of the Industrialized Housing Act (35 P.S. § 1651.5).
  • Source: The provisions of this § 145.122 adopted July 12, 1974, effective July 13, 1974, 4 Pa.B. 1403; amended July 25, 1975, effective July 26, 1975, 5 Pa.B. 1911; amended September 8, 1978, effective March 9, 1979, 8 Pa.B. 2524; corrected September 22, 1978, effective March 9, 1979, 8 Pa.B. 2631; amended September 19, 1997, effective September 20, 1997, 27 Pa.B. 4828. Immediately preceding text appears at serial page (231177).
12 Pa. Code § 145.43 Amendment policy.

(a) Except as provided in subsections (b) and (c), the Department will adopt amendments and additions to the provisions of the codes adopted under § § 145.41 and 145.42 (relating to adoption of standards; and alternate standards) which relate to the design, materials or method of construction of buildings in accordance with the procedure called for in § 145.44 (relating to adoption and effective dates—code amendments).

(b) The Department will not adopt an amendment of or addition to the codes adopted under § § 145.41 and 145.42 which relate to the design, materials or method of construction of buildings unless the amendment or addition has been adopted by the organizations which publish the code or the Department determines that the amendment or addition is necessary to protect the health, safety or welfare of the citizens of this Commonwealth.

(c) If the Department does not adopt the latest version including supplements and additions of the codes adopted under § 145.41 or § 145.42 or adopts other standards not contained in the latest version including supplements and additions, the Department will amend this chapter under to § 145.97 (relating to amendments to this chapter).

The provisions of this § 145.43 adopted July 12, 1974, effective July 13, 1974, 4 Pa.B. 1403; amended July 25, 1975, effective July 26, 1975, 5 Pa.B. 1911; amended September 8, 1978, effective March 9, 1979, 8 Pa.B. 2524; corrected September 22, 1978, effective March 9, 1979, 8 Pa.B. 2631; amended September 19, 1997, effective September 20, 1997, 27 Pa.B. 4828. Immediately preceding text appears at serial pages (231128) to (231129).

This section cited in 12 Pa. Code § 145.41 (relating to adoption of standards); 12 Pa. Code § 145.42 (relating to alternate standards); and 12 Pa. Code § 145.70 (relating to Departmental evaluation and inspection).

History

  • Authority: The provisions of this § 145.105 amended under section 5 of the Industrialized Housing Act (35 P.S. § 1651.5).
  • Source: The provisions of this § 145.122 adopted July 12, 1974, effective July 13, 1974, 4 Pa.B. 1403; amended July 25, 1975, effective July 26, 1975, 5 Pa.B. 1911; amended September 8, 1978, effective March 9, 1979, 8 Pa.B. 2524; corrected September 22, 1978, effective March 9, 1979, 8 Pa.B. 2631; amended September 19, 1997, effective September 20, 1997, 27 Pa.B. 4828. Immediately preceding text appears at serial page (231177).
12 Pa. Code § 145.44 Adoption and effective dates—code amendments.

(a) Except as provided in subsection (b), if the code writing authority amends a provision of the code adopted under § § 145.41 and 145.42 (relating to adoption of standards; and alternate standards), the Department will be deemed to have adopted the amendment on the first day of the month following the month in which the code writing authority adopted the amendment.

(b) If the Department determines that a later date for adoption is necessary to implement the purposes of the act and this chapter, the Department will publish the later date of adoption in the Pennsylvania Bulletin.

(c) Except as provided in subsections (d) and (e), the effective date of the amendment shall be the first day of the month 1 year from the date of adoption by the Department.

(d) If the Department determines that an earlier date is necessary to protect the health, safety and welfare of the citizens of this Commonwealth, the Department will publish the earlier effective date in the Pennsylvania Bulletin at least 30 days before the effective date.

(e) If the Department determines that a later effective date is necessary to avoid unreasonable hardship on a manufacturer, the Department will publish the later effective date in the Pennsylvania Bulletin.

The provisions of this § 145.44 adopted July 12, 1974, effective July 13, 1974, 4 Pa.B. 1403; amended September 8, 1978, effective March 9, 1979, 8 Pa.B. 2524; corrected September 22, 1978, effective March 9, 1979, 8 Pa.B. 2524; amended September 19, 1997, effective September 20, 1997, 27 Pa.B. 4828. Immediately preceding text appears at serial pages (231129) to (231130).

This section cited in 12 Pa. Code § 145.36 (relating to applicability of locally-enacted codes and ordinances); 12 Pa. Code § 145.41 (relating to adoption of standards); 12 Pa. Code § 145.42 (relating to alternate standards); 12 Pa. Code § 145.43 (relating to amendment policy); 12 Pa. Code § 145.45 (relating to proposals by local enforcement agencies relating to special environmental conditions); 12 Pa. Code § 145.52 (relating to approval of building system documentation); 12 Pa. Code § 145.55 (relating to general requirements for approval of amendments to building system documentation); 12 Pa. Code § 145.65 (relating to certification of experimental housing); 12 Pa. Code § 145.71 (relating to responsibilities of evaluation agencies); 12 Pa. Code § 145.92 (relating to reports by the Department); 12 Pa. Code § 145.102 (relating to determinations of acceptability of certifications of a competent state authority); and 12 Pa. Code § 145.122 (relating to effective date).

History

  • Authority: The provisions of this § 145.105 amended under section 5 of the Industrialized Housing Act (35 P.S. § 1651.5).
  • Source: The provisions of this § 145.122 adopted July 12, 1974, effective July 13, 1974, 4 Pa.B. 1403; amended July 25, 1975, effective July 26, 1975, 5 Pa.B. 1911; amended September 8, 1978, effective March 9, 1979, 8 Pa.B. 2524; corrected September 22, 1978, effective March 9, 1979, 8 Pa.B. 2631; amended September 19, 1997, effective September 20, 1997, 27 Pa.B. 4828. Immediately preceding text appears at serial page (231177).
12 Pa. Code § 145.45 Proposals by local enforcement agencies relating to special environmental conditions.

A local enforcement agency may propose to the Department that certain provisions of the codes and standards adopted in § § 145.41, 145.42 and 145.44 (relating to adoption of standards; alternate standards; and procedure for adoption of amendments) be changed as applied to its locality because of special local environmental conditions such as snow loads, wind loads, seismic conditions, temperature, humidity or soil conditions. The local enforcement agency’s proposal should indicate the nature and extent of the special environmental conditions, suggest substitute code provisions to be applicable to its locality, and define the geographic boundaries to which the substitute provisions would apply. The Department will review the proposal on the basis of the information that it deems necessary to make an informed decision, and shall determine whether amendments to the applicable codes would serve the health, safety and welfare of the citizens of this Commonwealth in consideration of other applicable Commonwealth requirements and promote the purposes of the act and this chapter. If the Department favors adoption of amendments, the provisions of § 145.97 (relating to amendments to this chapter) are applicable.

The provisions of this § 145.45 adopted July 12, 1974, effective July 13, 1974, 4 Pa.B. 1403; amended September 8, 1978, effective March 9, 1979, 8 Pa.B. 2524; corrected September 22, 1978, effective March 9, 1979, 8 Pa.B. 2631. Immediately preceding text appears at serial page (21405).

History

  • Authority: The provisions of this § 145.105 amended under section 5 of the Industrialized Housing Act (35 P.S. § 1651.5).
  • Source: The provisions of this § 145.122 adopted July 12, 1974, effective July 13, 1974, 4 Pa.B. 1403; amended July 25, 1975, effective July 26, 1975, 5 Pa.B. 1911; amended September 8, 1978, effective March 9, 1979, 8 Pa.B. 2524; corrected September 22, 1978, effective March 9, 1979, 8 Pa.B. 2631; amended September 19, 1997, effective September 20, 1997, 27 Pa.B. 4828. Immediately preceding text appears at serial page (231177).
12 Pa. Code § 145.46 Applicability and interpretation of code provisions.

(a) A question regarding the applicability or interpretation of a provision of a code adopted under § § 145.41 and 145.42 (relating to adoption of standards; and alternate standards), or of an amendment or addition thereto, shall be submitted in writing by an interested person to the Department for resolution. It is the policy of the Department that, with respect to question regarding the interpretation of a provision of a code adopted under § § 145.41 and 145.42, it shall whenever feasible solicit the advice of the organization sponsoring the code in accordance with the established procedures of the organization. The decision of the Department will be in writing.

(b) The Department will furnish, on request, to a person decisions made by the Department under this section upon paying a handling fee not to exceed $5, plus applicable postage.

The provisions of this § 145.46 adopted July 12, 1974, effective July 13, 1974, 4 Pa.B. 1403; amended July 25, 1975, effective July 26, 1975, 5 Pa.B. 1911. Immediately preceding text appears at serial pages (21405) to (21406).

This section cited in 12 Pa. Code § 145.92 (relating to reports by the Department).

History

  • Authority: The provisions of this § 145.105 amended under section 5 of the Industrialized Housing Act (35 P.S. § 1651.5).
  • Source: The provisions of this § 145.122 adopted July 12, 1974, effective July 13, 1974, 4 Pa.B. 1403; amended July 25, 1975, effective July 26, 1975, 5 Pa.B. 1911; amended September 8, 1978, effective March 9, 1979, 8 Pa.B. 2524; corrected September 22, 1978, effective March 9, 1979, 8 Pa.B. 2631; amended September 19, 1997, effective September 20, 1997, 27 Pa.B. 4828. Immediately preceding text appears at serial page (231177).
12 Pa. Code § 145.47 Acquisition of adopted codes and amendments.

(a) Copies of the ICC International Building Code, ICC International Residential Code, ICC International Mechanical Code and ICC International Plumbing Code adopted under § § 145.41 and 145.42 (relating to adoption of standards; and alternate standards) may be obtained from:

International Code Council

500 New Jersey Avenue

NW 6th Floor

Washington, DC 20001-2070.

(b) Copies of the National Electrical Code, adopted under § § 145.41 and 145.42, including supplements, may be obtained from:

National Fire Protection Association

Battery March Park

Quincy, Massachusetts 02269

(c) Copies of Pennsylvania’s Alternative Residential Energy Provisions adopted under § 145.42 may be obtained from:

Pennsylvania Housing Research/Resource Center

The Pennsylvania State University

219 Sackett Building

University Park, PA 16801

(d) The Department will provide, on request, a copy of currently applicable amendments of and additions to codes which are adopted under this chapter and are not published by NFPA, ASHRAE or NCSBCS, as the case may be. The Department may charge a reproduction and handling fee not to exceed $25, plus applicable postage, for each set of amendments and additions.

The provisions of this § 145.47 amended under section 5 of the Industrialized Housing Act (35 P. S. § 1651.5).

The provisions of this § 145.47 adopted July 12, 1974, effective July 13, 1974, 4 Pa.B. 1403; amended September 8, 1978, effective March 9, 1979, 8 Pa.B. 2524; amended September 29, 1978, effective September 30, 1978, 8 Pa.B. 2681; amended April 17, 1981, effective April 18, 1981, 11 Pa.B. 1320; amended July 8, 1988, effective July 9, 1988, 18 Pa.B. 3040; amended November 5, 2004, effective February 4, 2005, 34 Pa.B. 6024; effective date corrected at 34 Pa.B. 6133; amended May 7, 2010, effective July 7, 2010, 40 Pa.B. 2421. Immediately preceding text appears at serial pages (307419) to (307420).

This section cited in 12 Pa. Code § 145.42 (relating to alternate standards).

History

  • Authority: The provisions of this § 145.105 amended under section 5 of the Industrialized Housing Act (35 P.S. § 1651.5).
  • Source: The provisions of this § 145.122 adopted July 12, 1974, effective July 13, 1974, 4 Pa.B. 1403; amended July 25, 1975, effective July 26, 1975, 5 Pa.B. 1911; amended September 8, 1978, effective March 9, 1979, 8 Pa.B. 2524; corrected September 22, 1978, effective March 9, 1979, 8 Pa.B. 2631; amended September 19, 1997, effective September 20, 1997, 27 Pa.B. 4828. Immediately preceding text appears at serial page (231177).
12 Pa. Code § 145.51 General requirements for certification.

Industrialized housing, housing components, industrialized buildings or building components shall be certified if the building system documentation and the compliance assurance program relating to its design, materials, manufacture, transportation and installation have been approved by an evaluation agency under contractual arrangement with the Department as provided in § 145.78(b) (relating to contractual arrangements), and if the industrialized housing, housing components, industrialized buildings or building components have been manufactured under approved building system documentation, inspected and approved by an inspection agency. Certification shall be evidenced by insignia of certification which conform to the requirements of this chapter and which shall be issued for each module of industrialized housing, industrialized building and for each housing or building component or set of components that, upon installation, are incorporated in a dwelling unit or building as applicable.

The provisions of this § 145.51 amended under section 5 of the Industrialized Housing Act (35 P.S. § 1651.5).

(Editor’s Note: See 53 Pa.B. 830 (February 11, 2023) and 54 Pa.B. 145 (January 13, 2024) for notices regarding implementation of this section.)

The provisions of this § 145.51 adopted July 12, 1974, effective July 13, 1974, 4 Pa.B. 1403; amended September 8, 1978, effective March 9, 1979, 8 Pa.B. 2524; corrected September 22, 1978, effective March 9, 1979, 8 Pa.B. 2631; amended November 4, 2016, effective November 6, 2017, 46 Pa.B. 6976. Immediately preceding text appears at serial page (349250).

History

  • Authority: The provisions of this § 145.105 amended under section 5 of the Industrialized Housing Act (35 P.S. § 1651.5).
  • Source: The provisions of this § 145.122 adopted July 12, 1974, effective July 13, 1974, 4 Pa.B. 1403; amended July 25, 1975, effective July 26, 1975, 5 Pa.B. 1911; amended September 8, 1978, effective March 9, 1979, 8 Pa.B. 2524; corrected September 22, 1978, effective March 9, 1979, 8 Pa.B. 2631; amended September 19, 1997, effective September 20, 1997, 27 Pa.B. 4828. Immediately preceding text appears at serial page (231177).
12 Pa. Code § 145.52 Approval of building system documentation.

An evaluation agency shall approve a set of building system documentation for purposes of this chapter if the evaluation agency determines that the building system documentation conforms to the applicable requirements of the applicable codes and standards adopted under § § 145.41, 145.42 and 145.44 (relating to adoption of standards; alternate standards; and adoption and effective dates—code amendments). Approval of building system documentation shall be evidenced by the stamp of approval of the evaluation agency, affixed on each sheet of the building system documentation and signed by a designated employe of the evaluation agency. Each stamp shall show the date of approval of each sheet of the building system documentation to which it is affixed. Each sheet constituting the approved building system documentation shall have a separate identification number. The Department may approve alternate methods for identifying approved building system documentation. The evaluation agency shall provide the manufacturer and the Department and inspection agency, if other than the evaluation agency, with an approved building system documentation.

The provisions of this § 145.52 adopted July 12, 1974, effective July 13, 1974, 4 Pa.B. 1403; amended September 8, 1978, effective March 9, 1979, 8 Pa.B. 2524; corrected September 22, 1978, effective March 9, 1979, 8 Pa.B. 2631. Immediately preceding text appears at serial page (21407).

This section cited in 12 Pa. Code § 145.1 (relating to definitions); 12 Pa. Code § 145.53 (relating to variations); 12 Pa. Code § 145.54 (relating to Building System Approval Report and Summary); and 12 Pa. Code § 145.55 (relating to general requirements for approval of amendments to building system documentation).

History

  • Authority: The provisions of this § 145.105 amended under section 5 of the Industrialized Housing Act (35 P.S. § 1651.5).
  • Source: The provisions of this § 145.122 adopted July 12, 1974, effective July 13, 1974, 4 Pa.B. 1403; amended July 25, 1975, effective July 26, 1975, 5 Pa.B. 1911; amended September 8, 1978, effective March 9, 1979, 8 Pa.B. 2524; corrected September 22, 1978, effective March 9, 1979, 8 Pa.B. 2631; amended September 19, 1997, effective September 20, 1997, 27 Pa.B. 4828. Immediately preceding text appears at serial page (231177).
12 Pa. Code § 145.53 Variations.

Building system documentation approved under § 145.52 (relating to approval of building system documentation) may contain variations or a range of variations for one or more elements of the industrialized housing, housing components, industrialized buildings or building components described in the building system documentation, provided that the approved building system documentation conforms to all of the applicable requirements of the applicable codes and standards under each variation or set of variations within the range of variations. Any material deviation from variations contained within the approved building system documentation shall be approved by the evaluation agency, consistent with this chapter, prior to the start of construction.

The provisions of this § 145.53 amended under section 5 of the Industrialized Housing Act (35 P.S. § 1651.5).

(Editor’s Note: See 53 Pa.B. 830 (February 11, 2023) and 54 Pa.B. 145 (January 13, 2024) for notices regarding implementation of this section.)

The provisions of this § 145.53 adopted July 12, 1974, effective July 13, 1974, 4 Pa.B. 1403; amended September 8, 1978, effective March 9, 1979, 8 Pa.B. 2524; corrected September 22, 1978, effective March 9, 1979, 8 Pa.B. 2631; amended November 5, 2004, effective February 4, 2005, 34 Pa.B. 6024; effective date corrected at 34 Pa.B. 6133; amended November 4, 2016, effective November 6, 2017, 46 Pa.B. 6976. Immediately preceding text appears at serial page (349251).

History

  • Authority: The provisions of this § 145.105 amended under section 5 of the Industrialized Housing Act (35 P.S. § 1651.5).
  • Source: The provisions of this § 145.122 adopted July 12, 1974, effective July 13, 1974, 4 Pa.B. 1403; amended July 25, 1975, effective July 26, 1975, 5 Pa.B. 1911; amended September 8, 1978, effective March 9, 1979, 8 Pa.B. 2524; corrected September 22, 1978, effective March 9, 1979, 8 Pa.B. 2631; amended September 19, 1997, effective September 20, 1997, 27 Pa.B. 4828. Immediately preceding text appears at serial page (231177).
12 Pa. Code § 145.54 Building System Approval Report and Summary.

At the time that an evaluation agency approves a set of building system documentation under § 145.52 (relating to approval of building system documentation) and the related compliance assurance program under § 145.57 (relating to approval of compliance assurance program), it shall prepare a Building System Approval Report (BSAR) and a Building System Approval Summary. The BSAR must contain a list of the identification numbers of each sheet constituting the approved building system documentation, the Compliance Control Manual of the manufacturer, an Index of Code Compliance in the form specified by the Department for industrialized housing or buildings, a statement of the fire districts, if any, in which the industrialized housing or buildings can be installed, and the additional information relating to the building system documentation and the compliance assurance program as the evaluation agency deems necessary or as the Department may require. The Building System Approval Summary shall be prepared on a form furnished by the Department. The evaluation agency shall furnish to the Department and to the manufacturer one copy each of the BSAR and the Building System Approval Summary, clearly stating the date it is effective. The BSAR shall be revised monthly as needed.

The provisions of this § 145.54 amended under section 5 of the Industrialized Housing Act (35 P.S. § 1651.5).

(Editor’s Note: See 53 Pa.B. 830 (February 11, 2023) and 54 Pa.B. 145 (January 13, 2024) for notices regarding implementation of this section.)

The provisions of this § 145.54 adopted July 12, 1974, effective July 13, 1974, 4 Pa.B. 1403; amended September 8, 1978, effective March 9, 1979, 8 Pa.B. 2524; corrected September 22, 1978, effective March 9, 1979, 8 Pa.B. 2631; amended August 9, 1991, effective August 10, 1991, 21 Pa.B. 3509; amended May 7, 2010, effective July 7, 2010, 40 Pa.B. 2421; amended November 4, 2016, effective November 6, 2017, 46 Pa.B. 6976. Immediately preceding text appears at serial pages (349251) to (349252).

This section cited in 12 Pa. Code § 145.55 (relating to general requirements for approval of amendments to building system documentation).

History

  • Authority: The provisions of this § 145.105 amended under section 5 of the Industrialized Housing Act (35 P.S. § 1651.5).
  • Source: The provisions of this § 145.122 adopted July 12, 1974, effective July 13, 1974, 4 Pa.B. 1403; amended July 25, 1975, effective July 26, 1975, 5 Pa.B. 1911; amended September 8, 1978, effective March 9, 1979, 8 Pa.B. 2524; corrected September 22, 1978, effective March 9, 1979, 8 Pa.B. 2631; amended September 19, 1997, effective September 20, 1997, 27 Pa.B. 4828. Immediately preceding text appears at serial page (231177).
12 Pa. Code § 145.55 General requirements for approval of amendments to building system documentation.

The evaluation agency shall approve amendments to the building system documentation submitted to it by the manufacturer if the building system documentation, as so amended, conforms to the applicable requirements of the applicable codes and standards adopted under § § 145.41, 145.42 and 145.44 (relating to adoption of standards; alternate standards; and adoption and effective dates—code amendments). Approval of amendments to building system documentation shall be evidenced by the signed stamp of the evaluation agency as provided in § 145.52 (relating to approval of building system documentation), with the additional requirement that the stamp shall show both the date of approval and the date after which the industrialized housing or housing components described in the building system documentation shall be manufactured under the building system documentation as so amended. Approvals of amendments to building system documentation may be by oral authorization by an officer or employe of the evaluation agency, but in the event the approval is subsequently evidenced by affixing the signed stamp of the evaluation agency to the amended sheets of the building system documentation within 10 days after the oral authorization. At the same time that the evaluation agency affixes its stamp on the approved amendments to the building system documentation, it shall prepare and distribute to the manufacturer and to the Department one copy of the amendments and supplements to the Building System Approval Report and the Building System Approval Summary as may be necessary so that the Report and Summary will accurately reflect the amended building system documentation and will continue to meet the requirements of § 145.54 (relating to Building System Approval Report and Summary).

The provisions of this § 145.55 adopted July 12, 1974, effective July 13, 1974, 4 Pa.B. 1403; amended September 8, 1978, effective March 9, 1979, 8 Pa.B. 2524; corrected September 22, 1978, effective March 9, 1979, 8 Pa.B. 2631. Immediately preceding text appears at serial page (21409).

This section cited in 12 Pa. Code § 145.56 (relating to amendments to building system documentation following changes in standards); and 12 Pa. Code § 145.64 (relating to modification after certification).

History

  • Authority: The provisions of this § 145.105 amended under section 5 of the Industrialized Housing Act (35 P.S. § 1651.5).
  • Source: The provisions of this § 145.122 adopted July 12, 1974, effective July 13, 1974, 4 Pa.B. 1403; amended July 25, 1975, effective July 26, 1975, 5 Pa.B. 1911; amended September 8, 1978, effective March 9, 1979, 8 Pa.B. 2524; corrected September 22, 1978, effective March 9, 1979, 8 Pa.B. 2631; amended September 19, 1997, effective September 20, 1997, 27 Pa.B. 4828. Immediately preceding text appears at serial page (231177).
12 Pa. Code § 145.56 Amendments to building system documentation following changes in standards.

(a) Evaluation agencies shall notify those manufacturers with whom they then have implementing contracts under § 145.78(c) (relating to contractual arrangements) of an amendment to a code or standard adopted by the Department under § § 145.41 and 145.42 (relating to adoption of standards; and alternate standards).

(b) Within 1 year from the date of adoption by the Department of an amendment to a code or standard adopted under § § 145.41 and 145.42, the manufacturer shall have done one of the following:

(1) Amended its building system documentation, if necessary, to assure compliance with the amended codes and standards.

(2) Obtained the approval of the applicable evaluation agency of the amendments to its building system documentation or the determination from the applicable evaluation agency that its building system documentation requires no amendment.

(3) Ceased attaching insignia of certification to industrialized housing or housing components which have not been manufactured under the amendments to its building system documentation if the amendments are required to assure compliance with the amended codes and standards.

(c) Within 6 months from the date of final publication in the Pennsylvania Bulletin of an amendment to a code or standard adopted by the Department under § 145.97 (relating to amendments to this chapter), the manufacturer shall have amended its building system documentation, if necessary, to assure compliance with the amended codes and standards.

(d) If the Department determines that an earlier effective date is necessary to protect the health, safety and welfare of the citizens of this Commonwealth, the Department may establish a shorter compliance period. The Department will publish the earlier effective date in the Pennsylvania Bulletin at least 30 days prior to the earlier effective date.

(e) If the Department determines that a later effective date is necessary to prevent an unreasonable hardship on a manufacturer in comparison with the anticipated benefits to the health, safety or welfare of the citizens of this Commonwealth, the Department may establish a longer compliance period. The Department will publish the later effective date in the Pennsylvania Bulletin.

(f) Section 145.55 (relating to general requirements for approval of amendments to building system documentation) applies to the amendments to building system documentation required by this section.

The provisions of this § 145.56 adopted July 12, 1974, effective July 13, 1974, 4 Pa.B. 1403; amended September 8, 1978, effective March 9, 1979, 8 Pa.B. 2524; corrected September 22, 1978, effective March 9, 1979, 8 Pa.B. 2631; amended September 19, 1997, effective September 20, 1997, 27 Pa.B. 4828. Immediately preceding text appears at serial pages (231135) to (231136).

History

  • Authority: The provisions of this § 145.105 amended under section 5 of the Industrialized Housing Act (35 P.S. § 1651.5).
  • Source: The provisions of this § 145.122 adopted July 12, 1974, effective July 13, 1974, 4 Pa.B. 1403; amended July 25, 1975, effective July 26, 1975, 5 Pa.B. 1911; amended September 8, 1978, effective March 9, 1979, 8 Pa.B. 2524; corrected September 22, 1978, effective March 9, 1979, 8 Pa.B. 2631; amended September 19, 1997, effective September 20, 1997, 27 Pa.B. 4828. Immediately preceding text appears at serial page (231177).
12 Pa. Code § 145.57 Approval of compliance assurance program.

An evaluation agency shall approve a compliance assurance program for purposes of this chapter if the evaluation agency determines that the manufacturer’s compliance control program, described in the compliance control manual, meets the requirements of this chapter and the compliance control program will be monitored by an approved inspection agency. The evaluation agency shall review the manufacturer’s building system documentation, the manufacturer’s compliance control manual and the manufacturer’s proposed implementing contract with an inspection agency, shall inspect each of the manufacturer’s manufacturing facilities where the industrialized housing, housing components, industrialized buildings or building components are to be manufactured for installation on sites in this Commonwealth, and shall review the other data and information as the evaluation agency may deem necessary.

The provisions of this § 145.57 amended under section 5 of the Industrialized Housing Act (35 P.S. § 1651.5).

The provisions of this § 145.57 adopted July 12, 1974, effective July 13, 1974, 4 Pa.B. 1403; amended November 4, 2016, effective November 6, 2017, 46 Pa.B. 6976. Immediately preceding text appears at serial page (349254).

This section cited in 12 Pa. Code § 145.54 (relating to Building System Approval Report and Summary).

History

  • Authority: The provisions of this § 145.105 amended under section 5 of the Industrialized Housing Act (35 P.S. § 1651.5).
  • Source: The provisions of this § 145.122 adopted July 12, 1974, effective July 13, 1974, 4 Pa.B. 1403; amended July 25, 1975, effective July 26, 1975, 5 Pa.B. 1911; amended September 8, 1978, effective March 9, 1979, 8 Pa.B. 2524; corrected September 22, 1978, effective March 9, 1979, 8 Pa.B. 2631; amended September 19, 1997, effective September 20, 1997, 27 Pa.B. 4828. Immediately preceding text appears at serial page (231177).
12 Pa. Code § 145.58 Basic requirements for a compliance control program.

(a) An evaluation agency shall approve a compliance control program if it determines that the implementation of the compliance control program will assure that the industrialized housing, housing components, industrialized buildings or building components, when installed at the site, will conform to the approved building system documentation, the manufacturer possesses the facilities, personnel and organization to implement its compliance control program properly, and the requirements of this section are met. It is the policy of the Department to recognize that the level of sophistication of a compliance control program of a manufacturer will depend on many factors, including the level of sophistication and technological characteristics of the building system and the manufacturing process. It is further the policy of the Department that the maximum respect shall be accorded to a manufacturer’s customary business practice consistent with achievement of the purposes of the act and this chapter. It is further the policy of the Department that the approval of a compliance control program under this chapter does not relieve the manufacturer and the inspection agency of responsibility for assuring that industrialized housing, housing components, industrialized buildings or building components manufactured for sale, lease or installation for use on sites in this Commonwealth conform in every material respect to the approved building system documentation.

(b) To facilitate review and approval, the manufacturer’s compliance control program shall present an overview of its policies and procedures on the following:

(1) The placement, storage and handling of construction materials.

(2) The manufacturing process within the manufacturing facilities, including the jigs and fixtures necessary for production.

(3) The storage and transportation of industrialized housing, housing components, industrialized buildings or building components to the site, including detailed lifting calculations.

(4) The installation of industrialized housing, housing components, industrialized buildings or building components at the site, including the Site Installation Inspection Checklist, referenced in § 145.91(e) (relating to reports to the Department), identifying specific functions and techniques that are of critical importance.

(c) For approval, except as modified under subsection (e), the compliance control program must include requirements on the following items:

(1) Specific assignments of responsibility to designated divisions or employees of the manufacturer for every significant phase in the production, transportation and installation of the industrialized housing, housing components, industrialized buildings or building components.

(2) Procedures under which employees of the manufacturer inspect and approve each significant process in every significant phase of the manufacture, transportation and installation of the industrialized housing, housing components, industrialized buildings or building components.

(3) Procedures for marking identified deficiencies—such as serialized colored tags that can be attached to the deficiency—and for assuring their correction or the disposal of the deficient item.

(4) Procedures to assure that the fabrication or shop drawings for the industrialized housing, housing components, industrialized buildings or building components conform to the approved building system documentation or to the drawings approved by the third-party agency with whom the manufacturer has an implementing contract.

(5) Procedures to maintain, file and control fabrication or shop drawings and documents constituting the building system.

(6) Procedures to maintain complete and reliable records of the manufacture, transportation and installation of the industrialized housing, housing components, industrialized buildings or building components, each unit of which shall be assigned a manufacturer’s serial number to facilitate identification.

(7) Procedures employed by the manufacturer to request, store and attach the insignia of certification issued to it by the Department under § 145.63 (relating to procedures for requesting, controlling and attaching insignia of certification).

(8) Procedures for controlling the storage and transportation of industrialized housing, housing components, industrialized buildings or building components from the manufacturing facilities to the site, identifying specific functions and techniques that are of critical importance.

(9) Procedures for controlling the installation of industrialized housing, housing components, industrialized buildings or industrialized building components at the site.

(10) A brief identification and description of physical testing to be performed at a point during a phase of manufacture, transportation and installation, the frequency of its performance, and the identification and qualifications of the persons performing the testing.

(d) The list of topics set forth in subsection (c) is not exclusive and is not intended to preclude additional items and greater details prior to approving a compliance control program.

(e) If a manufacturer transfers title to and effective control over its industrialized housing, housing components, industrialized buildings or building components to other, unrelated persons at a point prior to its installation at the site, the manufacturer shall be responsible for furnishing to the persons responsible for transportation and installation adequate information, manuals, checklists, Notices of Approval, and the like, relating to the transportation and installation of the industrialized housing, housing components, industrialized buildings or building components, including the relevant portions from its compliance control program referred to in subsections (c)(8)—(10), but the manufacturer may not be responsible for implementation after the transfer of title and effective control.

(f) An evaluation agency’s approval of a compliance control program shall be evidenced by the stamp of approval of the evaluation agency affixed to the title page of the compliance control manual and signed and dated by a designated employee of the evaluation agency.

The provisions of this § 145.58 amended under section 5 of the Industrialized Housing Act (35 P.S. § 1651.5).

(Editor’s Note: See 53 Pa.B. 830 (February 11, 2023) and 54 Pa.B. 145 (January 13, 2024) for notices regarding implementation of this section.)

The provisions of this § 145.58 adopted July 12, 1974, effective July 13, 1974, 4 Pa.B. 1403; amended July 8, 1988, effective July 9, 1988, 18 Pa.B. 3040; amended August 9, 1991, effective August 10, 1991, 21 Pa.B. 3509; amended November 4, 2016, effective November 6, 2017, 46 Pa.B. 6976. Immediately preceding text appears at serial pages (349254) to (349256).

This section cited in 12 Pa. Code § 145.1 (relating to definitions); and 12 Pa. Code § 145.82 (relating to issuance of building permits).

History

  • Authority: The provisions of this § 145.105 amended under section 5 of the Industrialized Housing Act (35 P.S. § 1651.5).
  • Source: The provisions of this § 145.122 adopted July 12, 1974, effective July 13, 1974, 4 Pa.B. 1403; amended July 25, 1975, effective July 26, 1975, 5 Pa.B. 1911; amended September 8, 1978, effective March 9, 1979, 8 Pa.B. 2524; corrected September 22, 1978, effective March 9, 1979, 8 Pa.B. 2631; amended September 19, 1997, effective September 20, 1997, 27 Pa.B. 4828. Immediately preceding text appears at serial page (231177).
12 Pa. Code § 145.59 Amendments to compliance control program.

The evaluation agency shall approve changes and amendments to the manufacturer’s compliance control program provided that the compliance control program, as so amended, meets the applicable requirements of this chapter. Approval of changes and amendments to a compliance control program shall be evidenced by the stamp of the evaluation agency, signed and dated by a designated employe, which is affixed either to substitute pages for the compliance control manual embodying the approved changes and amendments or on the title page of a complete substitute compliance control manual which includes the approved changes and amendments.

The provisions of this § 145.59 adopted July 12, 1974, effective July 13, 1974, 4 Pa.B. 1403.

History

  • Authority: The provisions of this § 145.105 amended under section 5 of the Industrialized Housing Act (35 P.S. § 1651.5).
  • Source: The provisions of this § 145.122 adopted July 12, 1974, effective July 13, 1974, 4 Pa.B. 1403; amended July 25, 1975, effective July 26, 1975, 5 Pa.B. 1911; amended September 8, 1978, effective March 9, 1979, 8 Pa.B. 2524; corrected September 22, 1978, effective March 9, 1979, 8 Pa.B. 2631; amended September 19, 1997, effective September 20, 1997, 27 Pa.B. 4828. Immediately preceding text appears at serial page (231177).
12 Pa. Code § 145.60 Insignia of certification.

(a) Certified industrialized housing must bear an insignia of certification for each module. The insignia of certification will be furnished by the Department to the manufacturer under the procedures of § 145.63 (relating to procedures for requesting, controlling and attaching insignia of certification). The manufacturer shall permanently attach the insignia of certification for each module adjacent to the data plate located in a visible location in a cabinet under the kitchen sink, or if this cabinet is not available, the location must be clearly identified on the Site Installation Inspection Checklist referenced in § 145.91(e) (relating to reports to the Department). Insignias may not be attached to doors or other easily removable features of the home. Each insignia of certification must bear an insignia serial number furnished by the Department and contain the following language:

This insignia certifies that this dwelling unit of industrialized housing has been manufactured from plans, specifications and other related design documents under a compliance assurance program in accordance with the requirements of the Industrialized Housing Act and the regulations issued thereunder by the Department of Community and Economic Development of the Commonwealth of Pennsylvania.

(b) Each certified housing component or components comprising a single unit or added to a single dwelling unit must bear an insignia of certification for housing components. The insignia of certification will be furnished by the Department to the manufacturer under the procedures of § 145.63. The manufacturer shall permanently attach the insignia of certification to the housing component in a visible location identified in the building system documentation and must be clearly identified on the Site Installation Inspection Checklist referenced in § 145.91(e). Each insignia of certification must bear an insignia serial number furnished by the Department and contain the following language:

This insignia certifies that this housing component has been manufactured from plans, specifications and other related design documents under a compliance assurance program in accordance with the requirements of the Industrialized Housing Act and the regulations issued thereunder by the Department of Community and Economic Development of the Commonwealth of Pennsylvania.

(c) Certified industrialized buildings must bear insignia of certification for each module. The insignia of certification will be furnished by the Department to the manufacturer under the procedures of § 145.63. The manufacturer shall permanently attach the insignia of certification for each module in a visible location adjacent to the electrical panel box. If this area is unavailable, the location must be clearly identified on the Site Installation Inspection Checklist referenced in § 145.91(e). The insignia may not be attached to a door or other easily removable feature of the building. Each insignia of certification must bear an insignia serial number furnished by the Department and contain the following language:

This insignia certifies that this industrialized building module has been manufactured from plans, specifications and other related design documents under a compliance assurance program in accordance with the requirements of the Industrialized Housing Act and the regulations issued thereunder by the Department of Community and Economic Development of the Commonwealth of Pennsylvania.

(d) Certified industrialized building components, comprising a single building or unit, must bear insignia of certification for building components. The insignia of certification will be furnished by the Department to the manufacturer under the procedures of § 145.63. The manufacturer shall permanently attach the insignia of certification for each module in a visible location identified in the building system documentation and clearly identified on the Site Installation Inspection Checklist referenced in § 145.91(e). Each insignia of certification must bear an insignia serial number furnished by the Department and contain the following language:

This insignia certifies that this industrialized building component has been manufactured from plans, specifications and other related design documents under a compliance assurance program in accordance with the requirements of the Industrialized Housing Act and the regulations issued thereunder by the Department of Community and Economic Development of the Commonwealth of Pennsylvania.

(e) An insignia of certification issued by the Department will be of a size and design and of materials and provide for the methods of attachment as determined by the Department.

The provisions of this § 145.60 amended under section 5 of the Industrialized Housing Act (35 P.S. § 1651.5).

(Editor’s Note: See 53 Pa.B. 830 (February 11, 2023) and 54 Pa.B. 145 (January 13, 2024) for notices regarding implementation of this section.)

The provisions of this § 145.60 adopted July 12, 1974, effective July 13, 1974, 4 Pa.B. 1403; amended November 5, 2004, effective February 4, 2005, 34 Pa.B. 6024; effective date corrected at 34 Pa.B. 6133; amended May 7, 2010, effective July 7, 2010, 40 Pa.B. 2421; amended November 4, 2016, effective November 6, 2017, 46 Pa.B. 6976. Immediately preceding text appears at serial pages

This section cited in 12 Pa. Code § 145.36 (relating to applicability of locally-enacted codes and ordinances); and 12 Pa. Code § 145.62 (relating to data plates).

History

  • Authority: The provisions of this § 145.105 amended under section 5 of the Industrialized Housing Act (35 P.S. § 1651.5).
  • Source: The provisions of this § 145.122 adopted July 12, 1974, effective July 13, 1974, 4 Pa.B. 1403; amended July 25, 1975, effective July 26, 1975, 5 Pa.B. 1911; amended September 8, 1978, effective March 9, 1979, 8 Pa.B. 2524; corrected September 22, 1978, effective March 9, 1979, 8 Pa.B. 2631; amended September 19, 1997, effective September 20, 1997, 27 Pa.B. 4828. Immediately preceding text appears at serial page (231177).
12 Pa. Code § 145.61 Insignia of inspection agencies.

(a) The inspection agency shall attach its label, seal or other insignia adjacent to the data plate for each industrialized housing or building module.

(b) The inspection agency shall attach its label, seal or other insignia, or other identification for certified housing or building components, or group of components, that are transported separately to the building site.

(c) The label, seal or other insignia of the inspection agency must identify the name of the inspection agency and have a serial number. In other respects, the inspection agency may design its label, seal or other insignia as it wishes, provided that the label, seal or other insignia does not contain statements which the Department determines are inconsistent with the act or this chapter. The label, seal or other insignia may be covered up during the process of assembly and installation at the building site so that it is not permanently visible.

The provisions of this § 145.61 amended under section 5 of the Industrialized Housing Act (35 P.S. § 1651.5).

(Editor’s Note: See 53 Pa.B. 830 (February 11, 2023) and 54 Pa.B. 145 (January 13, 2024) for notices regarding implementation of this section.)

The provisions of this § 145.61 adopted July 12, 1974, effective July 13, 1974, 4 Pa.B. 1403; amended September 8, 1978, effective March 9, 1979, 8 Pa.B. 2524; corrected September 22, 1978, effective March 9, 1979, 8 Pa.B. 2631; amended November 5, 2004, effective February 4, 2005, 34 Pa.B. 6024; effective date corrected at 34 Pa.B. 6133; amended May 7, 2010, effective July 7, 2010, 40 Pa.B. 2421; amended November 4, 2016, effective November 6, 2017, 46 Pa.B. 6976. Immediately preceding text appears at serial pages (349258) to (349259).

History

  • Authority: The provisions of this § 145.105 amended under section 5 of the Industrialized Housing Act (35 P.S. § 1651.5).
  • Source: The provisions of this § 145.122 adopted July 12, 1974, effective July 13, 1974, 4 Pa.B. 1403; amended July 25, 1975, effective July 26, 1975, 5 Pa.B. 1911; amended September 8, 1978, effective March 9, 1979, 8 Pa.B. 2524; corrected September 22, 1978, effective March 9, 1979, 8 Pa.B. 2631; amended September 19, 1997, effective September 20, 1997, 27 Pa.B. 4828. Immediately preceding text appears at serial page (231177).
12 Pa. Code § 145.62 Data plates.

(a) A dwelling unit of certified industrialized housing must contain a data plate. The data plate shall be furnished by the manufacturer and be permanently attached by the manufacturer in a visible location as specified in § 145.60(a) (relating to insignia of certification). The data plate must contain the following information:

(1) Name of manufacturer.

(2) Address of principal office of manufacturer.

(3) Address of manufacturing facility where the industrialized housing or its principal elements were produced.

(4) Manufacturer’s model name.

(5) Manufacturer’s serial number for dwelling unit and date of manufacture.

(6) Inspection and evaluation agencies’ serial numbers.

(7) Department insignia of certification numbers.

(8) Minimum Btu output of furnace needed to maintain average 70°F interior temperature at outside design temperature of

History

  • Authority: The provisions of this § 145.105 amended under section 5 of the Industrialized Housing Act (35 P.S. § 1651.5).
  • Source: The provisions of this § 145.122 adopted July 12, 1974, effective July 13, 1974, 4 Pa.B. 1403; amended July 25, 1975, effective July 26, 1975, 5 Pa.B. 1911; amended September 8, 1978, effective March 9, 1979, 8 Pa.B. 2524; corrected September 22, 1978, effective March 9, 1979, 8 Pa.B. 2631; amended September 19, 1997, effective September 20, 1997, 27 Pa.B. 4828. Immediately preceding text appears at serial page (231177).
12 Pa. Code § 145.63 Procedures for requesting, controlling and attaching insignia of certification.

(a) A manufacturer with an approved building system documentation and related approved compliance assurance program may request the Department to issue to it insignia of certification in a quantity not less than five and not more than the quantity needed for the manufacturer’s reasonably estimated production during a 1-month period. The manufacturer’s request shall be made on a Request for Insignia of Certification Form furnished by the Department and shall be accompanied by a check, money order or electronic payment in an amount calculated in accordance with the fee schedule in § 145.94 (relating to fees). If the manufacturer’s request is complete and the fee payment is correct and the manufacturer and its third-party agency have fulfilled all of their obligations under this chapter, the Department will promptly issue to the manufacturer the requested number of insignia of certification. Each individual insignia of certification will bear a separate insignia serial number written thereon by the Department. The insignia of certification issued to the manufacturer will be accompanied by an Insignia of Certification Inventory Control List on a form furnished by the Department. The Department will send a copy of the Insignia of Certification Inventory Control List to the appropriate inspection agency.

(b) The manufacturer shall entrust the custody of the insignia of certification received from the Department only to employees designated in the compliance control program as responsible for the custody and control of the insignia of certification. The manufacturer shall attach the insignia only in the circumstances prescribed in the compliance control program and only with the prior specific authorization from the inspection agency. The manufacturer shall attach the insignia of certification in the manner specified by the Department intended to assure that the insignia cannot be removed without destroying the insignia. The manufacturer shall promptly record the attachment of each insignia of certification on the Insignia of Certification Inventory Control List. A copy of the Insignia of Certification Inventory Control List, with all columns filled out by the manufacturer, shall be sent by the manufacturer to the Department and to the inspection agency promptly following the use of all the insignias listed on the list. The manufacturer shall report to the Department and to the inspection agency the status of all insignias issued to them on a monthly basis, utilizing a method approved by the Department.

(c) The manufacturer shall return to the Department unused insignia of certification that have been issued to it within 10 days following the suspension of approval under § 145.66(a) (relating to emergency suspension) of previously approved building system documentation or compliance assurance programs of the manufacturer, or following the suspension under § 145.66(b) of the manufacturer’s right to receive or attach insignia of certification, or following recall under § 145.69 (relating to suspension of certificate of approval of out-of-State manufacturer for lack of activity) or following the manufacturer’s discontinuance of the manufacture of industrialized housing, buildings, or housing or building components for sale, lease or installation for use in this Commonwealth, or following the bankruptcy or dissolution of the manufacturer or the discontinuance of the manufacturer’s business for whatever reason, or following the manufacturer’s determination that the insignia of certification is no longer needed. The Department will cause the manufacturer to be refunded a portion of the fee already paid for the insignia equal to the product of the number of insignia of certification returned by the manufacturer and the fee per insignia paid by the manufacturer, less $50 to be retained by the Department for handling expenses. Insignia returned to the Department under § 145.69 will not be subject to the charge for handling expenses.

(d) A manufacturer may not use, transfer, sell or otherwise dispose of insignia of certification issued to it by the Department in any manner not specifically authorized of this chapter.

The provisions of this § 145.63 amended under section 5 of the Industrialized Housing Act (35 P.S. § 1651.5).

(Editor’s Note: See 53 Pa.B. 830 (February 11, 2023) and 54 Pa.B. 145 (January 13, 2024) for notices regarding implementation of this section.)

The provisions of this § 145.63 adopted July 12, 1974, effective July 13, 1974, 4 Pa.B. 1403; amended July 25, 1975, effective July 26, 1975, 5 Pa.B. 1911; amended September 8, 1978, effective March 9, 1979, 8 Pa.B. 2524; corrected September 22, 1978, effective March 9, 1979, 8 Pa.B. 2631; amended August 9, 1991, effective August 10, 1991, 21 Pa.B. 3509; amended May 7, 2010, effective July 7, 2010, 40 Pa.B. 2421; amended November 4, 2016, effective November 6, 2017, 46 Pa.B. 6976. Immediately preceding text appears at serial pages (349261) to (349262).

This section cited in 12 Pa. Code § 145.58 (relating to basic requirements for a compliance control program); 12 Pa. Code § 145.60 (relating to insignia of certification); 12 Pa. Code § 145.70 (relating to Departmental evaluation and inspection); 12 Pa. Code § 145.94 (relating to fees); and 12 Pa. Code § 145.103 (relating to issuance of insignia of certification).

History

  • Authority: The provisions of this § 145.105 amended under section 5 of the Industrialized Housing Act (35 P.S. § 1651.5).
  • Source: The provisions of this § 145.122 adopted July 12, 1974, effective July 13, 1974, 4 Pa.B. 1403; amended July 25, 1975, effective July 26, 1975, 5 Pa.B. 1911; amended September 8, 1978, effective March 9, 1979, 8 Pa.B. 2524; corrected September 22, 1978, effective March 9, 1979, 8 Pa.B. 2631; amended September 19, 1997, effective September 20, 1997, 27 Pa.B. 4828. Immediately preceding text appears at serial page (231177).
12 Pa. Code § 145.64 Modification after certification.

(a) Certified industrialized housing, buildings, and certified housing or building components bearing the insignia of certification may not be modified after the insignia of certification has been attached, unless the modification is approved in advance by the evaluation agency on the basis that the industrialized housing, building, or housing or building component, as so modified, will still conform to the approved building system documentation. Approvals of modifications which are consistent with the approved building system documentation may be by oral authorization by an officer or employee of the evaluation agency, but in this event each approval shall be subsequently evidenced by a letter from the evaluation agency to the manufacturer within 10 days after the oral authorization. Proposed modifications which are inconsistent with the approved building system documentation shall be treated as proposed amendments to the building system documentation subject to the approval of the evaluation agency under § 145.55 (relating to general requirements for approval of amendments to building system documentation).

(b) Modifications of certified industrialized housing, buildings, or certified housing or building components are not prohibited under the act or this chapter if the modifications are made after the issuance of a certificate of occupancy by the local enforcement agency. The modifications referred to in this subsection are subject to other applicable laws, codes and ordinances of the Commonwealth and of the local government of the jurisdiction in which the industrialized housing or building structure is located.

(c) Nothing in this section shall prevent a manufacturer, on its own motion or at the order of the inspection agency or of the Department, from repairing damage to or remedying a defect found in an industrialized housing component.

The provisions of this § 145.64 amended under section 5 of the Industrialized Housing Act (35 P.S. § 1651.5).

(Editor’s Note: See 53 Pa.B. 830 (February 11, 2023) and 54 Pa.B. 145 (January 13, 2024) for notices regarding implementation of this section.)

The provisions of this § 145.64 adopted July 12, 1974, effective July 13, 1974, 4 Pa.B. 1403; amended November 4, 2016, effective November 6, 2017, 46 Pa.B. 6976. Immediately preceding text appears at serial pages (349262) to (349263).

History

  • Authority: The provisions of this § 145.105 amended under section 5 of the Industrialized Housing Act (35 P.S. § 1651.5).
  • Source: The provisions of this § 145.122 adopted July 12, 1974, effective July 13, 1974, 4 Pa.B. 1403; amended July 25, 1975, effective July 26, 1975, 5 Pa.B. 1911; amended September 8, 1978, effective March 9, 1979, 8 Pa.B. 2524; corrected September 22, 1978, effective March 9, 1979, 8 Pa.B. 2631; amended September 19, 1997, effective September 20, 1997, 27 Pa.B. 4828. Immediately preceding text appears at serial page (231177).
12 Pa. Code § 145.65 Certification of experimental housing.

Industrialized housing or housing components which are intended for prototype, experimental or demonstration purposes in or on a site in this Commonwealth designated by the Department as a test facility under § 145.32 (relating to experimental housing) may be certified by the Department, and insignia of certification attached thereto to evidence the certification, upon a determination by the Department, on the basis of the evaluations and inspections as may be appropriate, the building system documentation for the industrialized housing or housing components conforms to the applicable requirements of the applicable codes and standards adopted under § § 145.41, 145.42 and 145.44 (relating to adoption of standards; alternate standards; and adoption and effective dates—code amendments) and the industrialized housing or housing components, as manufactured and installed, conform to the approved building system documentation. The Department may designate a third-party agency to make the determination, to certify the industrialized housing or housing components, and to authorize the attachment of insignia of certification.

The provisions of this § 145.65 adopted July 12, 1974, effective July 13, 1974, 4 Pa.B. 1403.

This section cited in 12 Pa. Code § 145.32 (relating to experimental housing).

History

  • Authority: The provisions of this § 145.105 amended under section 5 of the Industrialized Housing Act (35 P.S. § 1651.5).
  • Source: The provisions of this § 145.122 adopted July 12, 1974, effective July 13, 1974, 4 Pa.B. 1403; amended July 25, 1975, effective July 26, 1975, 5 Pa.B. 1911; amended September 8, 1978, effective March 9, 1979, 8 Pa.B. 2524; corrected September 22, 1978, effective March 9, 1979, 8 Pa.B. 2631; amended September 19, 1997, effective September 20, 1997, 27 Pa.B. 4828. Immediately preceding text appears at serial page (231177).
12 Pa. Code § 145.66 Emergency suspension.

(a) The Department may suspend and an evaluation agency with an implementing contract with a manufacturer may suspend the approval of the manufacturer’s building system documentation or the manufacturer’s building system documentation or the related compliance assurance program following a determination by the agency causing the suspension that the issuance of the approval was not made in accordance with sound technical judgment or that the approval was based on fraudulent or materially incorrect information or was not made in conformity with the requirements of the act or this chapter in a material respect or that the manufacturer does not have a currently valid and effective implementing contract with an approved evaluation and inspection agency with the result that there is created an imminent and substantial risk to the public health, safety and welfare of the citizens of this Commonwealth.

(b) Notice of emergency suspension under this section must be in writing and shall be delivered by the agency causing the suspension by hand to an officer of the manufacturer or by certified mail to the principal office of the manufacturer. The notice of emergency suspension must set forth the reasons for the suspension. If the suspension is caused by a third-party agency, the third-party agency shall immediately inform the Department by telephone of the suspension and shall promptly send to the Department a copy of the notice of suspension. Copies of the notice of emergency suspension shall be delivered by hand or sent by certified mail by the Department to every other third-party agency with an implementing contract with the manufacturer. The suspension shall be effective on the date the manufacturer receives the notice of suspension. The period of suspension shall be specified in the notice of suspension but may not exceed 45 days. The suspension shall be lifted at the conclusion of the period unless the suspension has been converted to a revocation following a hearing.

(c) Within 30 days following an emergency suspension, the Department will establish a time and place for a hearing to consider whether the suspension shall be lifted or converted to a revocation or what other order, if any, should be issued. The Department will send a written notice of the hearing by hand or by certified mail to the manufacturer and to third-party agencies with implementing contracts. Notice of the hearing may be sent to other interested persons. The hearing will be treated as an appeal, the manufacturer will be considered the appealing person and the provisions on appeals set forth in § 145.112 (relating to procedures for formal appeal proceedings) will be applicable. Without limiting the authority of the Department, the Department is specifically authorized to attach reasonable conditions to an order lifting a suspension including requiring that changes be made in the building system documentation or in the compliance assurance program so that they will conform with the requirements of this title.

(d) No industrialized housing, housing components, industrialized building or building components may be certified and insignia of certification attached thereto while an emergency suspension under this section pertaining to the manufacturer shall remain in effect, unless otherwise permitted by order of the Department.

The provisions of this § 145.66 amended under section 5 of the Industrialized Housing Act (35 P.S. § 1651.5).

(Editor’s Note: See 53 Pa.B. 830 (February 11, 2023) and 54 Pa.B. 145 (January 13, 2024) for notices regarding implementation of this section.)

The provisions of this § 145.66 adopted July 12, 1974, effective July 13, 1974, 4 Pa.B. 1403; amended September 8, 1978, effective March 9, 1979, 8 Pa.B. 2524; corrected September 22, 1978, effective March 9, 1979, 8 Pa.B. 2631; amended November 4, 2016, effective November 6, 2017, 46 Pa.B. 6976. Immediately preceding text appears at serial pages (349264) to (349265).

This section cited in 12 Pa. Code § 145.63 (relating to procedures for requesting, controlling and attaching insignia of certification).

History

  • Authority: The provisions of this § 145.105 amended under section 5 of the Industrialized Housing Act (35 P.S. § 1651.5).
  • Source: The provisions of this § 145.122 adopted July 12, 1974, effective July 13, 1974, 4 Pa.B. 1403; amended July 25, 1975, effective July 26, 1975, 5 Pa.B. 1911; amended September 8, 1978, effective March 9, 1979, 8 Pa.B. 2524; corrected September 22, 1978, effective March 9, 1979, 8 Pa.B. 2631; amended September 19, 1997, effective September 20, 1997, 27 Pa.B. 4828. Immediately preceding text appears at serial page (231177).
12 Pa. Code § 145.67 Revocation of certification.

(a) The Department or the appropriate third-party agency may send by certified mail a notice of intent to revoke:

(1) The approval of the manufacturer’s building system documentation or the related compliance assurance program following a determination by the agency that the issuance of the approval was not made in accordance with sound technical judgment or was based on fraudulent or materially incorrect information or was not made in conformance with the requirements of the act or this title with the result that there could be a risk to the public health, safety and welfare of the citizens of this Commonwealth.

(2) The authority of the manufacturer to receive and to attach insignia of certification to industrialized housing, housing components, industrialized building or building components following a determination by the agency that the manufacturer is possibly failing in any material respect to conform with its approved building system documentation or to meet its responsibilities under the approved compliance assurance program or that the manufacturer is in violation in any material respect of the act or this title.

(b) Notice of intent to revoke must be in writing and shall be delivered by hand to an officer of the manufacturer or by certified mail to the principal office of the manufacturer. The notice must set forth the reasons for the intent to revoke. If the notice of intent is issued by a third-party agency, the third-party agency shall immediately inform the Department by telephone of the notice and shall promptly send to the Department a copy of the notice. Not less than 15 days but not more than 30 days shall be given to a manufacturer to correct the violations in the notice of intent to revoke.

(c) If the manufacturer fails to correct the violations within the time allowed, the Department will schedule a hearing to consider revocation of:

(1) The certification of industrialized housing, housing components, industrialized building or building components.

(2) The authority of the manufacturer to receive or attach an insignia of certification.

(3) Both.

(d) Written notice of the hearing, including the time and place of the hearing and a brief statement of the grounds on which the revocation is considered, will be delivered by hand to an officer of the manufacturer or by certified mail to the principal office of the manufacturer. Copies of the notice will be delivered to every other third-party agency with an implementing contract with the manufacturer. Notice of the hearing may be sent to other interested persons. The hearing will be treated as an appeal, the manufacturer considered the appealing person and the provisions on appeal in § 145.112 (relating to procedures for formal appeal proceedings) is applicable.

(e) Notwithstanding a decision by the Department not to cause a revocation following the hearing required under subsection (c), a third-party agency with an implementing contract with the affected manufacturer shall have an unconditional right to terminate its contract with the manufacturer.

The provisions of this § 145.67 amended under section 5 of the Industrialized Housing Act (35 P.S. § 1651.5).

(Editor’s Note: See 53 Pa.B. 830 (February 11, 2023) and 54 Pa.B. 145 (January 13, 2024) for notices regarding implementation of this section.)

The provisions of this § 145.67 adopted July 12, 1974, effective July 13, 1974, 4 Pa.B. 1403; amended September 8, 1978, effective March 9, 1979, 8 Pa.B. 2524; corrected September 22, 1978, effective March 9, 1979, 8 Pa.B. 2631; amended November 4, 2016, effective November 6, 2017, 46 Pa.B. 6976. Immediately preceding text appears at serial pages (349265) to (349266).

This section cited in 12 Pa. Code § 145.72a (relating to frequency of inspections).

History

  • Authority: The provisions of this § 145.105 amended under section 5 of the Industrialized Housing Act (35 P.S. § 1651.5).
  • Source: The provisions of this § 145.122 adopted July 12, 1974, effective July 13, 1974, 4 Pa.B. 1403; amended July 25, 1975, effective July 26, 1975, 5 Pa.B. 1911; amended September 8, 1978, effective March 9, 1979, 8 Pa.B. 2524; corrected September 22, 1978, effective March 9, 1979, 8 Pa.B. 2631; amended September 19, 1997, effective September 20, 1997, 27 Pa.B. 4828. Immediately preceding text appears at serial page (231177).
12 Pa. Code § 145.69 Suspension of certificate of approval of out-of-State manufacturer for lack of activity.

A manufacturer certified to ship industrialized housing, housing components, industrialized buildings or building components into this Commonwealth and whose plant is located in another state will have its certificate suspended if it fails to manufacture units for installation on a site in this Commonwealth for 2 consecutive years. Written notice of this suspension will be provided to the manufacturer. If the manufacturer desires to ship a unit into this Commonwealth within 1 year of its suspension, approval may be reinstated through a letter submitted by an approved third-party agency to the Department which provides that the manufacturer meet the requirements of the laws and this title, including the submission to the Department of its current approved building system documentation and compliance assurance program if the previous submissions to the Department have been revised. The Department will review the third-party evaluation and then conduct an inspection of the plant. If a manufacturer has not made shipments into this Commonwealth for 1 year from the date of the suspension of its certificate, the certificate will lapse. To be reapproved, the manufacturer shall comply with this title in the same manner as would another manufacturer applying for initial approval.

The provisions of this § 145.69 amended under section 5 of the Industrialized Housing Act (35 P.S. § 1651.5).

(Editor’s Note: See 53 Pa.B. 830 (February 11, 2023) and 54 Pa.B. 145 (January 13, 2024) for notices regarding implementation of this section.)

The provisions of this § 145.69 adopted August 9, 1991, effective August 10, 1991, 21 Pa.B. 3509; amended November 4, 2016, effective November 6, 2017, 46 Pa.B. 6976. Immediately preceding text appears at serial pages (349266) to (349267).

This section cited in 12 Pa. Code § 145.63 (relating to procedures for requesting, controlling and attaching insignia of certification).

History

  • Authority: The provisions of this § 145.105 amended under section 5 of the Industrialized Housing Act (35 P.S. § 1651.5).
  • Source: The provisions of this § 145.122 adopted July 12, 1974, effective July 13, 1974, 4 Pa.B. 1403; amended July 25, 1975, effective July 26, 1975, 5 Pa.B. 1911; amended September 8, 1978, effective March 9, 1979, 8 Pa.B. 2524; corrected September 22, 1978, effective March 9, 1979, 8 Pa.B. 2631; amended September 19, 1997, effective September 20, 1997, 27 Pa.B. 4828. Immediately preceding text appears at serial page (231177).
12 Pa. Code § 145.70 Departmental evaluation and inspection.

A manufacturer producing industrialized housing, housing components, industrialized buildings or building components for installation in this Commonwealth has the option of electing the Department to evaluate or inspect, or both, its products for certification. The Department will provide the services requested subject to the availability of staff. The following are applicable:

(1) The manufacturer shall enter into an implementing contract with the Department which must include a specific time period for the contract, a mutual termination clause with a minimum of 45 days of notice to terminate period, the services to be provided, and the fees to be charged to the manufacturer for services in accordance with § 145.94(e) (relating to fees).

(2) Evaluation services by the Department will include:

(i) Investigation, evaluation, testing, and, if justified, approval of each set of building system documentation, and each amendment thereto submitted to it by a manufacturer for compliance with all of the applicable requirements of the codes and standards adopted under § § 145.41—145.43 (relating to adoption of standards; alternate standards; and amendment policy).

(ii) Investigation, evaluation, and, if justified, approval of the compliance assurance program and each amendment thereto—relating to the manufacture, transportation and installation of industrialized housing, industrialized housing components, industrialized buildings or industrialized building components described in each set of building system documentation approved under this section—submitted by the manufacturer for compliance with the requirements of this title.

(iii) Preparation and periodic revisions as necessary of the Building System Approval Report for each set of approved building system documentation and related compliance program.

(3) Inspection services by the Department will include:

(i) Monitoring the manufacturer’s compliance control program for the manufacture, transportation and installation of industrialized housing, housing components, industrialized buildings or building components of each manufacturer having an implementing contract.

(ii) Verification that the industrialized housing, housing components, industrialized buildings or building components have been manufactured under approved building documentation and an approved compliance assurance program and authorization to the manufacturer for the attachment of insignia of certification to the industrialized housing, housing components, industrialized buildings or building components.

(4) Procedure for requesting, controlling and attaching insignia of certification shall be the same as detailed in § 145.63 (relating to procedures for requesting, controlling and attaching insignia of certification). Manufacturers shall purchase their insignia of certification at fees indicated in § 145.94(e) and (f), and the cost of the insignia is not included in their evaluation or inspection, services, or both, provided by the Department under § 145.94(g).

(5) The specification document defining the requirements for submission of drawings, specifications, calculations and related material for Departmental approval will be provided upon request of the manufacturer.

The provisions of this § 145.70 amended under section 5 of the Industrialized Housing Act (35 P.S. § 1651.5).

(Editor’s Note: See 53 Pa.B. 830 (February 11, 2023) and 54 Pa.B. 145 (January 13, 2024) for notices regarding implementation of this section.)

The provisions of this § 145.70 adopted September 8, 1978, effective March 9, 1979, 8 Pa.B. 2524; amended November 4, 2016, effective November 6, 2017, 46 Pa.B. 6976. Immediately preceding text appears at serial pages (349267) to (349268).

This section cited in 12 Pa. Code § 145.1 (relating to definitions); 12 Pa. Code § 145.78 (relating to contractual arrangements); 12 Pa. Code § 145.80 (relating to expiration of approval period of third-party agencies); and 12 Pa. Code § 145.94 (relating to fees).

History

  • Authority: The provisions of this § 145.105 amended under section 5 of the Industrialized Housing Act (35 P.S. § 1651.5).
  • Source: The provisions of this § 145.122 adopted July 12, 1974, effective July 13, 1974, 4 Pa.B. 1403; amended July 25, 1975, effective July 26, 1975, 5 Pa.B. 1911; amended September 8, 1978, effective March 9, 1979, 8 Pa.B. 2524; corrected September 22, 1978, effective March 9, 1979, 8 Pa.B. 2631; amended September 19, 1997, effective September 20, 1997, 27 Pa.B. 4828. Immediately preceding text appears at serial page (231177).
12 Pa. Code § 145.71 Responsibilities of evaluation agencies.

Each evaluation agency shall discharge under this chapter the following responsibilities:

(1) Investigation, evaluation, testing and, if justified, approval of each set of building system documentation, and each amendment thereto, submitted to it by a manufacturer with which it has an implementing contract for compliance with the applicable requirements of the codes and standards adopted under § § 145.41, 145.42 and 145.44 (relating to adoption of standards; alternate standards; and adoption and effective dates—code amendments).

(2) Investigation, evaluation and, if justified, approval of the compliance assurance program, and each amendment thereto, relating to the manufacture, transportation and installation of the industrialized housing, housing components, buildings or building components described in each set of building system documentation approved under subsection (a), submitted to it by a manufacturer with which it has an implementing contract for compliance with the requirements of this chapter.

(3) Preparation and periodic revision as necessary of the Building System Approval Report for each set of approved building system documentation and related compliance assurance program.

(4) Preparation of reports to the Department as are required under this chapter or as may be required by the Department in carrying out its responsibilities under the act and this chapter.

(5) Performance of its obligations under its contract with the Department.

The provisions of this § 145.71 amended under section 5 of the Industrialized Housing Act (35 P.S. § 1651.5).

(Editor’s Note: See 53 Pa.B. 830 (February 11, 2023) and 54 Pa.B. 145 (January 13, 2024) for notices regarding implementation of this section.)

The provisions of this § 145.71 adopted July 12, 1974, effective July 13, 1974, 4 Pa.B. 1403; amended November 4, 2016, effective November 6, 2017, 46 Pa.B. 6976. Immediately preceding text appears at serial pages (349268) to (349269).

History

  • Authority: The provisions of this § 145.105 amended under section 5 of the Industrialized Housing Act (35 P.S. § 1651.5).
  • Source: The provisions of this § 145.122 adopted July 12, 1974, effective July 13, 1974, 4 Pa.B. 1403; amended July 25, 1975, effective July 26, 1975, 5 Pa.B. 1911; amended September 8, 1978, effective March 9, 1979, 8 Pa.B. 2524; corrected September 22, 1978, effective March 9, 1979, 8 Pa.B. 2631; amended September 19, 1997, effective September 20, 1997, 27 Pa.B. 4828. Immediately preceding text appears at serial page (231177).
12 Pa. Code § 145.72 Responsibilities of inspection agencies.

Each inspection agency shall discharge under this chapter the following responsibilities:

(1) Monitoring the manufacturer’s compliance control program for the manufacture, transportation and installation of industrialized housing, housing components, buildings or building components of each manufacturer with which it has an implementing contract.

(2) Verification that industrialized housing, housing components, buildings or building components have been manufactured under approved building system documentation and an approved compliance assurance program and authorization to the manufacturer of the attachment of insignia of certification to the industrialized housing, housing components, buildings or building components.

(3) Preparation of reports to the Department as are required under this chapter or as may be required by the Department in carrying out its responsibilities under the act and this chapter.

(4) Performance of its obligations under its contract with the Department.

The provisions of this § 145.72 amended under section 5 of the Industrialized Housing Act (35 P.S. § 1651.5).

(Editor’s Note: See 53 Pa.B. 830 (February 11, 2023) and 54 Pa.B. 145 (January 13, 2024) for notices regarding implementation of this section.)

The provisions of this § 145.72 adopted July 12, 1974, effective July 13, 1974, 4 Pa.B. 1403; amended November 4, 2016, effective November 6, 2017, 46 Pa.B. 6976. Immediately preceding text appears at serial page (349269).

This section cited in 12 Pa. Code § 145.72a (relating to frequency of inspections).

History

  • Authority: The provisions of this § 145.105 amended under section 5 of the Industrialized Housing Act (35 P.S. § 1651.5).
  • Source: The provisions of this § 145.122 adopted July 12, 1974, effective July 13, 1974, 4 Pa.B. 1403; amended July 25, 1975, effective July 26, 1975, 5 Pa.B. 1911; amended September 8, 1978, effective March 9, 1979, 8 Pa.B. 2524; corrected September 22, 1978, effective March 9, 1979, 8 Pa.B. 2631; amended September 19, 1997, effective September 20, 1997, 27 Pa.B. 4828. Immediately preceding text appears at serial page (231177).
12 Pa. Code § 145.72a Frequency of inspections.

(a) In carrying out its monitoring responsibilities under § 145.72 (relating to responsibilities of inspection agencies), an inspection agency shall observe the minimum frequency of inspection requirements in this subsection. During the inspection agency’s initial work at the factory or after revocation under § 145.67 (relating to revocation of certification), the inspection agency shall monitor the manufacturer’s approved compliance control program by inspecting industrialized housing, buildings, or housing or building components until it can be certified that the manufacturer is producing conforming industrialized housing, buildings, or housing or building components on an ongoing basis. Due to the varied nature and complexities of these products prior to beginning this certification process, the third-party agency shall submit to the Department its recommendation as to the minimum inspection frequency required to certify, and the frequency of inspections for routine inspection surveillance to assure the manufacturer is producing conforming housing or building components on an ongoing basis. The Department will review and determine if the third-party agency’s proposal is adequate to grant the manufacturer authority to receive and attach insignias of certification. At any time during the certification process, the inspection agency may modify the proposal and submit the revised proposal to the Department for further review.

(b) An inspection agency’s monitoring responsibilities under § 145.72(1) include, at a minimum, the monthly inspection of the storage and transportation methods and facilities employed by or on behalf of the manufacturer for as long as the manufacturer retains title to or effective control over the units to insure that the units are not altered from the manner in which they were approved.

(c) In carrying out its monitoring responsibilities under § 145.72(1), an inspection agency shall inspect industrialized housing and buildings at the site after installation is complete in a manner and frequency, consistent with factors set forth in subsection (d), necessary to confirm that the manufacturer’s approved compliance control program is effective in assuring installation consistent with the manufacturer’s approved building system documentation. Documentation of the onsite inspections must be on file in each manufacturing facility and be provided to the Department within 30 days of the Department’s request for the documentation.

(d) The minimum frequency of inspection requirements in this section are not intended to substitute for the professional judgment of an inspection agency in determining whether a greater frequency of inspections is necessary to discharge its responsibilities properly. Factors that should be considered in establishing an appropriate frequency of inspection level for any manufacturer are the production volume of the factory, the design complexity of the units, the qualifications of the manufacturer’s compliance control personnel and the experience record of the manufacturer.

The provisions of this § 145.72a amended under section 5 of the Industrialized Housing Act (35 P.S. § 1651.5).

(Editor’s Note: See 53 Pa.B. 830 (February 11, 2023) and 54 Pa.B. 145 (January 13, 2024) for notices regarding implementation of this section.)

The provisions of this § 145.72a adopted July 25, 1975, effective July 26, 1975, 5 Pa.B. 1911; amended November 5, 2004, effective February 4, 2005, 34 Pa.B. 6024; effective date correction at 34 Pa.B. 6133; amended May 7, 2010, effective July 7, 2010, 40 Pa.B. 2421; amended November 4, 2016, effective November 6, 2017, 46 Pa.B. 6976. Immediately preceding text appears at serial pages (349269) to (349270).

This section cited in 12 Pa. Code § 145.92 (relating to reports by the Department).

History

  • Authority: The provisions of this § 145.105 amended under section 5 of the Industrialized Housing Act (35 P.S. § 1651.5).
  • Source: The provisions of this § 145.122 adopted July 12, 1974, effective July 13, 1974, 4 Pa.B. 1403; amended July 25, 1975, effective July 26, 1975, 5 Pa.B. 1911; amended September 8, 1978, effective March 9, 1979, 8 Pa.B. 2524; corrected September 22, 1978, effective March 9, 1979, 8 Pa.B. 2631; amended September 19, 1997, effective September 20, 1997, 27 Pa.B. 4828. Immediately preceding text appears at serial page (231177).
12 Pa. Code § 145.73 Criteria for approval of evaluation and inspection agencies.

(a) The Department will accept a written application from the designated employee of an agency who wishes to become an evaluation agency or an inspection agency for industrialized housing or industrialized buildings, or both. If the Department determines, on the basis of the inquiry as the Department deems necessary and appropriate, that the agency possesses the capacity of discharging reliably, objectively and without bias the responsibilities assigned by this chapter to an evaluation agency or to an inspection agency, as the case may be, the Department will approve the application. In making the determination, the Department will consider that:

(1) There is a sufficient breadth of interest or activities so that the loss or award of a specific contract to an agency determining compliance of a product with this chapter would not be a substantial factor in the financial well-being of the agency performing the required functions.

(2) Employment security of personnel is free of influence or control by any manufacturer, supplier or vendor.

(3) The agency is not engaged in the promotion of products that they shall determine to be in compliance with this chapter.

(b) The Department will evaluate information on the following factors that relate to the ability of the applying agency to discharge the responsibilities that would be assigned to it as an approved evaluation agency or an approved inspection agency, as the case may be:

(1) The legal character and good standing of the applying agency.

(2) The financial strength of the applying agency.

(3) The current qualifications of the management and technical personnel of the applying agency. A list of the required qualifications will be published in the Pennsylvania Bulletin annually.

(4) The range of salaries and other compensation of the technical personnel, including inspectors of the applying agency, excluding principals, principal officers and directors of the applying agency.

(5) The policies and procedures of the applying agency for the hiring, training and supervision of technical personnel, including education and training following changes in the codes and standards applicable under this chapter.

(6) The extent, if any, to which the applying agency will engage independent consultants and the functions the independent consultants will perform; in general, the Department will not approve an applying agency who utilizes as key technical or supervisory personnel anyone who is an independent consultant. Also, the Department will not permit the use, by an inspection agency, of part-time inspectors unless the inspection agency’s present volume of business in designated geographic areas does not justify full-time personnel or unless there are other compelling justifications.

(7) The prior experience and level of performance of the applying agency in performing similar or related functions.

(8) The capability, if any, of the applying agency to perform testing, including the nature of the testing and the facilities and personnel to perform it, and the identity, facilities, experience and key personnel of an independent testing agency with which arrangements have been made for testing services and the nature of the testing services.

(9) The extent, if any, to which the applying agency is affiliated with or influenced or controlled by a producer, manufacturer, supplier or vendor of products, supplies or equipment used in industrialized housing or industrialized buildings.

(10) The procedures to be used by the applying agency in discharging the responsibilities under this chapter of an evaluation agency or inspection agency, as the case may be. An applying agency seeking approval as an inspection agency shall furnish the complete procedures for monitoring the manufacturer’s compliance control program it would use for each type of construction for which it seeks approval, and state its policy with respect to the frequency at which it will conduct inspections of each phase of the manufacture, transportation and installation of industrialized housing, housing components, industrialized buildings or building components.

(c) The Department may consider information with respect to other factors that it may deem relevant to its determination of approval or disapproval. In approving an evaluation or inspection agency, the Department may limit the scope of the agency’s approved activities to particular types of industrialized housing, buildings, or housing or building components, geographic area or the number of manufacturers the Department determines an agency can effectively evaluate or inspect, or both.

The provisions of this § 145.73 amended under section 5 of the Industrialized Housing Act (35 P.S. § 1651.5).

(Editor’s Note: See 53 Pa.B. 830 (February 11, 2023) and 54 Pa.B. 145 (January 13, 2024) for notices regarding implementation of this section.)

The provisions of this § 145.73 adopted July 12, 1974, effective July 13, 1974, 4 Pa.B. 1403; amended July 25, 1975, effective July 26, 1975, 5 Pa.B. 1911; amended September 8, 1978, effective March 9, 1979, 8 Pa.B. 2524; corrected September 22, 1978, effective March 9, 1979, 8 Pa.B. 2631; amended November 4, 2016, effective November 6, 2017, 46 Pa.B. 6976. Immediately preceding text appears at serial pages (349270) and (231153) to (231154).

This section cited in 12 Pa. Code § 145.1 (relating to definitions); and 12 Pa. Code § 145.75 (relating to procedures for obtaining approvals of evaluation and inspection agencies).

History

  • Authority: The provisions of this § 145.105 amended under section 5 of the Industrialized Housing Act (35 P.S. § 1651.5).
  • Source: The provisions of this § 145.122 adopted July 12, 1974, effective July 13, 1974, 4 Pa.B. 1403; amended July 25, 1975, effective July 26, 1975, 5 Pa.B. 1911; amended September 8, 1978, effective March 9, 1979, 8 Pa.B. 2524; corrected September 22, 1978, effective March 9, 1979, 8 Pa.B. 2631; amended September 19, 1997, effective September 20, 1997, 27 Pa.B. 4828. Immediately preceding text appears at serial page (231177).
12 Pa. Code § 145.74 Combined evaluation and inspection agencies; separate evaluation and inspection agencies.

(a) Nothing in this chapter prevents the Department from approving the same agency as an evaluation agency and as an inspection agency if the person is determined by the Department to meet the requirements of both.

(b) If an applying agency seeks approval only as an evaluation agency, it shall include information in its application describing the nature of the relationship it would establish with an approved inspection agency which will be monitoring the manufacturer’s production. If an applying agency seeks approval only as an inspection agency, it shall include information in its application describing the nature of the relationship it would establish with an approved evaluation agency which will be approving the manufacturer’s building system documentation and compliance control program. In both instances, the Department will require that the technical personnel of the evaluation agency be involved in the inspection function through periodic oversight and training of the technical personnel of the inspection agency.

(c) The application for approval of an evaluation or inspection agency seeking approval only as an evaluation or inspection agency may designate a counterpart inspection or evaluation agency, as the case may be, with which it will operate as a team if approved by the Department.

The provisions of this § 145.74 adopted July 12, 1974, effective July 13, 1974, 4 Pa.B. 1403; amended July 25, 1975, effective July 26, 1975, 5 Pa.B. 1911; amended September 8, 1978, effective March 9, 1979, 8 Pa.B. 2524; corrected September 22, 1978, effective March 9, 1979, 8 Pa.B. 2631. Immediately preceding text appears at serial page (21427).

History

  • Authority: The provisions of this § 145.105 amended under section 5 of the Industrialized Housing Act (35 P.S. § 1651.5).
  • Source: The provisions of this § 145.122 adopted July 12, 1974, effective July 13, 1974, 4 Pa.B. 1403; amended July 25, 1975, effective July 26, 1975, 5 Pa.B. 1911; amended September 8, 1978, effective March 9, 1979, 8 Pa.B. 2524; corrected September 22, 1978, effective March 9, 1979, 8 Pa.B. 2631; amended September 19, 1997, effective September 20, 1997, 27 Pa.B. 4828. Immediately preceding text appears at serial page (231177).
12 Pa. Code § 145.74a Prohibition on consulting services.

A third-party agency may not perform consulting engineering services relating to industrialized housing, housing components, industrialized buildings or building components for a manufacturer for as long as the third-party agency has an implementing contract with the manufacturer or related manufacturer under § 145.78(c) (relating to contractual arrangements).

The provisions of this § 145.74a amended under section 5 of the Industrialized Housing Act (35 P.S. § 1651.5).

(Editor’s Note: See 53 Pa.B. 830 (February 11, 2023) and 54 Pa.B. 145 (January 13, 2024) for notices regarding implementation of this section.)

The provisions of this § 145.74a adopted July 25, 1975, effective July 26, 1975, 5 Pa.B. 1911; amended November 4, 2016, effective November 6, 2017, 46 Pa.B. 6976. Immediately preceding text appears at serial page (231155).

History

  • Authority: The provisions of this § 145.105 amended under section 5 of the Industrialized Housing Act (35 P.S. § 1651.5).
  • Source: The provisions of this § 145.122 adopted July 12, 1974, effective July 13, 1974, 4 Pa.B. 1403; amended July 25, 1975, effective July 26, 1975, 5 Pa.B. 1911; amended September 8, 1978, effective March 9, 1979, 8 Pa.B. 2524; corrected September 22, 1978, effective March 9, 1979, 8 Pa.B. 2631; amended September 19, 1997, effective September 20, 1997, 27 Pa.B. 4828. Immediately preceding text appears at serial page (231177).
12 Pa. Code § 145.75 Procedures for obtaining approvals of evaluation and inspection agencies.

(a) An agency seeking to obtain approval of the Department as an evaluation agency or inspection agency shall apply to the Department. The applying agency shall completely and accurately furnish as part of its application pertinent information available to it, including samples where relevant, that relate to the criteria that the Department shall consider in evaluating the application under § 145.73 (relating to criteria for approval of evaluation and inspection agencies). The applying agency shall provide the additional information as the Department may request. The applicant shall utilize application forms that the Department may require. The application shall be accompanied by the fee established under § 145.94 (relating to fees). The application shall become a permanent record of the Department.

(b) Prior to a full evaluation of an application for approval, the Department will, within 30 days after receipt of the application, determine whether the application is complete and suitable for processing. In the event that the Department determines that the application is not complete and suitable for processing, it shall notify the applying agency in writing of the unsuitability and the basis thereof. If the applying agency does not remedy the elements of unsuitability within 30 days after the sending of the notice by the Department, the Department will refund all but $100 of the fee of the applying agency and the findings of unsuitability shall be without prejudice. A subsequent application shall be treated as a new application.

(c) Following a determination by the Department that an application is complete and suitable for processing, the Department will review and evaluate the information contained in the application and other information that the Department will deem necessary and appropriate to enable it to make an accurate and informed determination of approval or disapproval. The Department may visit the offices and other facilities of the applying agency and meet with its management, technical and other personnel. Within 90 days following the Department’s determination that an application is complete and suitable for processing, unless additional time is necessary by reason of the applying agency’s failure to furnish information required by the Department, the Department will make its determination whether the applying agency will be approved or will not be approved under this chapter as an evaluation agency or an inspection agency, or both, as the case may be. In the event of a disapproval, the Department will provide the applying agency with a brief written explanation of the reasons for the disapproval. In the event of an approval, the Department will provide the applying person with a brief written letter of approval.

(d) The approval by the Department of an agency as an evaluation agency or an inspection agency shall expire on the day of the first anniversary of the date of the Department’s letter of approval or the date indicated in the letter of approval.

(e) Each approved third-party agency shall within 10 days notify the Department of a major event or occurrence which would materially affect its ability to discharge its responsibilities under this chapter or which constitutes a material change from the information currently on file in the Department with the third-party agency’s applications for approval or reapproval. Examples of major events or occurrences are changes of ownership, changes of key supervisory or managerial personnel, changes in the availability of testing equipment, or significant deterioration in its financial condition. The third-party agency shall at reasonable intervals notify the Department of other changes, such as the resignation and appointment of inspectors in the information on file with the Department with the third-party agency’s applications for approval or reapproval.

The provisions of this § 145.75 adopted July 12, 1974, effective July 13, 1974, 4 Pa.B. 1403; amended September 8, 1978, effective March 9, 1979, 8 Pa.B. 2524; corrected September 22, 1978, effective March 9, 1979, 8 Pa.B. 2631. Immediately preceding text appears at serial pages (21427) to (21429).

This section cited in 12 Pa. Code § 145.76 (reapprovals of third-party agencies); 12 Pa. Code § 145.78 (relating to contractual arrangements); 12 Pa. Code § 145.91 (relating to reports to the Department); and 12 Pa. Code § 145.94 (relating to fees).

History

  • Authority: The provisions of this § 145.105 amended under section 5 of the Industrialized Housing Act (35 P.S. § 1651.5).
  • Source: The provisions of this § 145.122 adopted July 12, 1974, effective July 13, 1974, 4 Pa.B. 1403; amended July 25, 1975, effective July 26, 1975, 5 Pa.B. 1911; amended September 8, 1978, effective March 9, 1979, 8 Pa.B. 2524; corrected September 22, 1978, effective March 9, 1979, 8 Pa.B. 2631; amended September 19, 1997, effective September 20, 1997, 27 Pa.B. 4828. Immediately preceding text appears at serial page (231177).
12 Pa. Code § 145.76 Reapprovals of third-party agencies.

(a) An evaluation agency or inspection agency approved by the Department under § 145.75 (relating to procedures for obtaining approvals of evaluation and inspection agencies) may apply to the Department for reapproval. The application for reapproval may be filed with the Department within 60 days prior to the scheduled expiration of the current approval from the Department. The applying third-party agency seeking reapproval shall completely and accurately furnish pertinent information necessary to make current the information previously submitted to the Department as part of its original application for approval and subsequent applications for reapproval. The applying third-party agency shall provide additional information that the Department may request. The application for reapproval shall utilize forms that the Department may require. The application for reapproval will become a permanent record of the Department. The application will be accompanied by the fee established under § 145.94 (relating to fees). The Department may conduct additional investigations of the applying third-party agency that it deems necessary.

(b) Within 30 days following the receipt by the Department of an application for reapproval, the Department will make its determination whether the applying third-party agency continues to meet the requirements of this chapter for an industrialized housing evaluation agency or industrialized building evaluation agency, or both, or an industrialized housing inspection agency or industrialized building inspection agency, or both. In the event of a disapproval, the Department will provide the applying third-party agency with a brief written explanation of the reasons for the disapproval. In the event of a reapproval, the Department will provide the applying third-party agency with a brief written letter of reapproval. A reapproval will expire on the date of the next anniversary of the date of the scheduled expiration of the current approval from the Department.

(c) The Department may, on its own motion or at the request of an evaluation agency or inspection agency, grant a temporary reapproval of an evaluation agency or inspection agency for a period not to exceed 60 days. The applying third-party agency seeking reapproval shall be subject to procedures that satisfy the Department of its ability to perform its functions. The procedures shall require annual interviews of third-party agency personnel at their headquarters or by teleconference to assess the desired performance.

The provisions of this § 145.76 amended under section 5 of the Industrialized Housing Act (35 P.S. § 1651.5).

(Editor’s Note: See 53 Pa.B. 830 (February 11, 2023) and 54 Pa.B. 145 (January 13, 2024) for notices regarding implementation of this section.)

The provisions of this § 145.76 adopted July 12, 1974, effective July 13, 1974, 4 Pa.B. 1403; amended September 8, 1978, effective March 9, 1979, 8 Pa.B. 2524; corrected September 22, 1978, effective March 9, 1979, 8 Pa.B. 2631; amended July 8, 1988, effective July 9, 1988, 18 Pa.B. 3040; amended November 4, 2016, effective November 6, 2017, 46 Pa.B. 6976. Immediately preceding text appears at serial pages (231156) and (349271).

This section cited in 12 Pa. Code § 145.91 (relating to reports to the Department); and 12 Pa. Code § 145.94 (relating to fees).

History

  • Authority: The provisions of this § 145.105 amended under section 5 of the Industrialized Housing Act (35 P.S. § 1651.5).
  • Source: The provisions of this § 145.122 adopted July 12, 1974, effective July 13, 1974, 4 Pa.B. 1403; amended July 25, 1975, effective July 26, 1975, 5 Pa.B. 1911; amended September 8, 1978, effective March 9, 1979, 8 Pa.B. 2524; corrected September 22, 1978, effective March 9, 1979, 8 Pa.B. 2631; amended September 19, 1997, effective September 20, 1997, 27 Pa.B. 4828. Immediately preceding text appears at serial page (231177).
12 Pa. Code § 145.77 Publication of approved evaluation and inspection agencies.

The Department will make available on request and without cost to an interested person the names and addresses of evaluation agencies and inspection agencies with contracts with the Department entered into under § 145.78(b) (relating to contractual arrangements) which are then in force and effect.

The provisions of this § 145.77 adopted July 12, 1974, effective July 13, 1974, 4 Pa.B. 1403.

History

  • Authority: The provisions of this § 145.105 amended under section 5 of the Industrialized Housing Act (35 P.S. § 1651.5).
  • Source: The provisions of this § 145.122 adopted July 12, 1974, effective July 13, 1974, 4 Pa.B. 1403; amended July 25, 1975, effective July 26, 1975, 5 Pa.B. 1911; amended September 8, 1978, effective March 9, 1979, 8 Pa.B. 2524; corrected September 22, 1978, effective March 9, 1979, 8 Pa.B. 2631; amended September 19, 1997, effective September 20, 1997, 27 Pa.B. 4828. Immediately preceding text appears at serial page (231177).
12 Pa. Code § 145.78 Contractual arrangements.

(a) No evaluation agency or inspection agency may discharge a responsibility under this chapter unless under valid contracts with the Department and with manufacturers contemplated by this section.

(b) As soon as practical but not later than 30 days after the Department approves an evaluation agency or an inspection agency under § 145.75 (relating to procedures for obtaining approvals of evaluation and inspection agencies), the Department and the third-party agency shall enter into a contract which will set forth the rights and obligations of the Department and the third-party agency. The contracts must contain representations by the third-party agencies with respect to their fees to be paid by manufacturers for the discharge of their responsibilities under this chapter; the establishment of the fees may not be subject to negotiation with the Department. In all other respects, except for the limitations scope and the special conditions contained therein, contracts with evaluation agencies must be uniform for evaluation agencies and contracts with inspection agencies must be uniform for inspection agencies. Each contract must also contain a provision under which the Department may require an evaluation agency or an inspection agency to enter into and implement an implementing contract under subsection (c), whether on a temporary or permanent basis, with a manufacturer that is unable to comply with this chapter because third-party agencies are unwilling voluntarily to enter into an implementing contract with the manufacturer or because the manufacturer is otherwise without a currently valid implementing contract with an evaluation agency or an inspection agency because the approval of the third-party agency was suspended or revoked under the provisions of this chapter. Each contract must also contain provisions which are required by law for contracts of which the Department is a party, including, without limitation, provisions for equal employment opportunity.

(c) A manufacturer seeking certification of industrialized housing, housing components, industrialized buildings or building components that it manufactures shall enter into implementing contracts with an evaluation agency and an inspection agency with contracts with the Department under subsection (b). Each third-party agency shall send a copy of each implementing contract to the Department.

(d) A manufacturer of industrialized housing, housing components, industrialized buildings or building components approved under this title shall have a current implementing contract with an approved evaluation agency and an approved inspection agency or have alternate arrangement for evaluation or inspection, or both, of its products with the Department under § 145.70 (relating to Departmental evaluation and inspection).

(e) A manufacturer of industrialized housing, housing components, industrialized buildings or building components operating under an implementing contract with an approved evaluation agency and an approved inspection agency, who wishes to enter into an implementing contract with a different evaluation or inspection agency, shall provide justification and receive approval from the Department prior to entering into the new contract, except as provided for in § 145.79(e) (relating to suspension and revocation of third-party agencies).

The provisions of this § 145.78 amended under section 5 of the Industrialized Housing Act (35 P.S. § 1651.5).

(Editor’s Note: See 53 Pa.B. 830 (February 11, 2023) and 54 Pa.B. 145 (January 13, 2024) for notices regarding implementation of this section.)

The provisions of this § 145.78 adopted July 12, 1974, effective July 13, 1974, 4 Pa.B. 1403; amended September 8, 1978, effective March 9, 1979, 8 Pa.B. 2524; corrected September 22, 1978, effective March 9, 1979, 8 Pa.B. 2631; amended May 7, 2010, effective July 7, 2010, 40 Pa.B. 2421; amended November 4, 2016, effective November 6, 2017, 46 Pa.B. 6976. Immediately preceding text appears at serial pages (349272) to (349273).

This section cited in 12 Pa. Code § 145.51 (relating to general requirements for certification); 12 Pa. Code § 145.56 (relating to amendments to building system documentation following changes in standards); 12 Pa. Code § 145.74a (relating to prohibition on consulting services); and 12 Pa. Code § 145.77 (relating to publication of approved evaluation and inspection agencies).

History

  • Authority: The provisions of this § 145.105 amended under section 5 of the Industrialized Housing Act (35 P.S. § 1651.5).
  • Source: The provisions of this § 145.122 adopted July 12, 1974, effective July 13, 1974, 4 Pa.B. 1403; amended July 25, 1975, effective July 26, 1975, 5 Pa.B. 1911; amended September 8, 1978, effective March 9, 1979, 8 Pa.B. 2524; corrected September 22, 1978, effective March 9, 1979, 8 Pa.B. 2631; amended September 19, 1997, effective September 20, 1997, 27 Pa.B. 4828. Immediately preceding text appears at serial page (231177).
12 Pa. Code § 145.79 Suspension and revocation of third-party agencies.

(a) The Department may suspend or revoke its approval of an evaluation agency or inspection agency if the Department determines that the approval or a reapproval was based on fraudulent or materially inaccurate information, or that the approval or reapproval was issued in violation of this chapter, or that a change of facts or circumstances make it unlikely that the third-party agency can continue to discharge its responsibilities under this chapter in a satisfactory manner, or that the third-party agency had failed to discharge its responsibilities under this chapter in a satisfactory manner or had violated this chapter or its contract with the Department in any material respect. During the period of suspension or revocation, the affected third-party agency may not be authorized to discharge its responsibilities under this chapter or under its contract with the Department, unless otherwise specified in the notice of suspension referred to in subsection (b) or by order of the Department.

(b) A written notice of a suspension under subsection (a) will be delivered by the Department by hand to an officer of the affected third-party agency or by registered mail to the principal office of the affected third-party agency. The written notice will include a brief statement of the reasons for the suspension. Copies of the notice of suspension will be delivered by the Department to manufacturers with implementing contracts with the affected third-party agency either by hand to officers of the manufacturers or by registered mail to the principal offices of the manufacturers. The suspension will be effective on the date the affected third-party agency receives the notice of suspension or on a later date that may be designated in the notice of suspension. The period of suspension will be specified in the notice of suspension, but it may not continue beyond a date 15 days after the date the hearing provided for in subsection (c) is held.

(c) Promptly following a suspension under subsection (a), the Department will establish a time and place for a hearing to consider whether the suspension should be lifted or converted to a revocation or what other order, if any, should be issued. The Department will send a written notice of the hearing by hand or by registered mail to the affected third-party agency and to manufacturers with implementing contracts with the affected third-party agency. Notice of the hearing may be sent to other interested persons. The hearing will be treated as an appeal, the affected third-party agency will be considered the appealing person and § 145.112 (relating to procedures for formal appeal proceedings) is applicable.

(d) The Department may revoke its approval of an evaluation agency or inspection agency without previously suspending its approval. The Department will send a written notice to the affected third-party agency of its intention to consider revocation of its approval, stating the grounds therefor and establishing a time and a place for a hearing on the question. The notice will be sent by hand or by registered mail to the affected third-party agency and to manufacturers with implementing contracts with the affected third-party agency. The notice may be sent to other interested persons. The hearing will be treated as an appeal, the affected third-party agency will be considered the appealing person, and § 145.112 is applicable.

(e) Upon the suspension or revocation of approval of an evaluation agency or inspection agency under this section, a manufacturer with an implementing contract with the affected third-party agency shall have an unconditional right to terminate its contract with the third-party agency and to enter into an implementing contract with another third-party agency.

(f) If the Department determines that there is a substantial threat to the health, safety or welfare of the occupants of industrialized housing or housing structures containing housing components or industrialized buildings or structures containing industrialized building components, because they were manufactured in accordance with building system documentation and related compliance assurance program approved by an evaluation agency whose approval has been suspended or revoked by the Department under this section or were certified by an inspection agency whose approval has been suspended or revoked by the Department under this section, the Department may require the manufacturer to take the actions with respect to the industrialized housing or housing components, industrialized buildings or building components as may be necessary to eliminate substantially the threat to the health, safety or welfare of the occupants.

(g) Upon the suspension or revocation of an evaluation agency or inspection agency under this section, the Department will, upon the request of a manufacturer with an implementing contract with the suspended or revoked third-party agency, consult with the manufacturer to establish a temporary arrangement by which the manufacturer can continue to manufacture, sell, lease and install industrialized housing, housing components, industrialized buildings or building components in conformity with the act and this chapter until the suspension or revocation is lifted or an implementing contract entered into with another third-party agency. For these purposes, the Department may in its sole discretion discharge some or all of the responsibilities of a third-party agency. The Department may also approve another temporary arrangement which the Department determines would best promote the purposes of the act and this chapter under the circumstances.

The provisions of this § 145.79 amended under section 5 of the Industrialized Housing Act (35 P.S. § 1651.5).

(Editor’s Note: See 53 Pa.B. 830 (February 11, 2023) and 54 Pa.B. 145 (January 13, 2024) for notices regarding implementation of this section.)

The provisions of this § 145.79 adopted July 12, 1974, effective July 13, 1974, 4 Pa.B. 1403; amended November 4, 2016, effective November 6, 2017, 46 Pa.B. 6976. Immediately preceding text appears at serial pages (349273) to (349275).

This section cited in 12 Pa. Code § 145.78 (relating to contractual arrangements).

History

  • Authority: The provisions of this § 145.105 amended under section 5 of the Industrialized Housing Act (35 P.S. § 1651.5).
  • Source: The provisions of this § 145.122 adopted July 12, 1974, effective July 13, 1974, 4 Pa.B. 1403; amended July 25, 1975, effective July 26, 1975, 5 Pa.B. 1911; amended September 8, 1978, effective March 9, 1979, 8 Pa.B. 2524; corrected September 22, 1978, effective March 9, 1979, 8 Pa.B. 2631; amended September 19, 1997, effective September 20, 1997, 27 Pa.B. 4828. Immediately preceding text appears at serial page (231177).
12 Pa. Code § 145.80 Expiration of approval period of third-party agencies.

If for any reason the Department approval or reapproval of an evaluation agency or an inspection agency expires and the manufacturer having an implementing contract with that agency has not contracted another third-party agency, the Department may, at its own discretion, discharge some or all of the responsibilities of a third-party agency. In such a case, § 145.70 (relating to Departmental evaluation and inspection) is applicable. The Department may also approve another temporary arrangement which the Department determines would best promote the purposes of the act and this title.

The provisions of this § 145.80 adopted September 8, 1978, effective March 9, 1979, 8 Pa.B. 2524; corrected September 22, 1978, effective March 9, 1979, 8 Pa.B. 2631.

History

  • Authority: The provisions of this § 145.105 amended under section 5 of the Industrialized Housing Act (35 P.S. § 1651.5).
  • Source: The provisions of this § 145.122 adopted July 12, 1974, effective July 13, 1974, 4 Pa.B. 1403; amended July 25, 1975, effective July 26, 1975, 5 Pa.B. 1911; amended September 8, 1978, effective March 9, 1979, 8 Pa.B. 2524; corrected September 22, 1978, effective March 9, 1979, 8 Pa.B. 2631; amended September 19, 1997, effective September 20, 1997, 27 Pa.B. 4828. Immediately preceding text appears at serial page (231177).
12 Pa. Code § 145.81 Responsibilities of local enforcement agencies.

(a) Local enforcement agencies, building code and construction code officials can make an important contribution to the effective administration of the act and this chapter. In addition to discharging the responsibility under local law for the enforcement of applicable locally-enacted codes and ordinances governing site preparation work and water, sewer, electrical and other energy supply connections as described more particularly in § 145.36 (relating to applicability of locally-enacted codes and ordinances), and in view of the responsibilities of local enforcement agencies under State and local law and of the responsibilities of local governments to cooperate with agencies of the Commonwealth to protect the health, safety and welfare of the citizens of this Commonwealth, local enforcement agencies shall assist the Department in enforcing the act and this chapter for industrialized housing, housing components, industrialized buildings or building components at the time of installation in the jurisdiction of their local government in the following respects:

(1) Site inspections of industrialized housing, housing components, industrialized buildings or building components, upon arrival at the site, for apparent damage occurring during transportation from the manufacturing facilities to the site and other apparent nonconformity with the approved building system documentation.

(2) Site inspections of the installation of the industrialized housing, housing components, industrialized buildings or building components consistent with those elements of installation addressed in the Site Installation Inspection Checklist required under § 145.91(e) (relating to reports to the Department) and the installation instructions in the Building System Approval Report.

(3) Notifications to the Department and the manufacturer of damage and nonconforming elements found in the industrialized housing, housing components, industrialized buildings or building components as a result of the site inspections, as well as additional site inspections of efforts made to remedy or repair the damage and nonconforming elements shall be channeled through the Department.

(4) Notification to the Department of violations of the act and this chapter by the manufacturer, inspection agency or other person, including instances in which industrialized housing, housing components, industrialized buildings or building components are installed or are intended for installation without bearing the required insignia of certification.

(5) Cooperation with the Department in efforts to take action to remedy the violations and prevent future occurrences.

(b) Site inspections of industrialized housing and housing components which a local enforcement agency performs under this chapter shall include, and be limited to, any type of visual exterior inspection and monitoring of tests performed by other persons during installation in accordance with the installation requirements in the Building System Approval Report. Destructive disassembly of the industrialized housing, housing components, industrialized buildings or building components may not be performed, and nondestructive disassembly may not be performed in the course of an inspection except to the extent of opening access panels and cover plates.

The provisions of this § 145.81 amended under section 5 of the Industrialized Housing Act (35 P.S. § 1651.5).

(Editor’s Note: See 53 Pa.B. 830 (February 11, 2023) and 54 Pa.B. 145 (January 13, 2024) for notices regarding implementation of this section.)

The provisions of this § 145.81 adopted July 12, 1974, effective July 13, 1974, 4 Pa.B. 1403; amended July 8, 1988, effective July 9, 1988, 18 Pa.B. 3040; amended August 9, 1991, effective August 10, 1991, 21 Pa.B. 3509; amended November 4, 2016, effective November 6, 2017, 46 Pa.B. 6976. Immediately preceding text appears at serial pages (349275) to (349276).

History

  • Authority: The provisions of this § 145.105 amended under section 5 of the Industrialized Housing Act (35 P.S. § 1651.5).
  • Source: The provisions of this § 145.122 adopted July 12, 1974, effective July 13, 1974, 4 Pa.B. 1403; amended July 25, 1975, effective July 26, 1975, 5 Pa.B. 1911; amended September 8, 1978, effective March 9, 1979, 8 Pa.B. 2524; corrected September 22, 1978, effective March 9, 1979, 8 Pa.B. 2631; amended September 19, 1997, effective September 20, 1997, 27 Pa.B. 4828. Immediately preceding text appears at serial page (231177).
12 Pa. Code § 145.82 Issuance of building permits.

(a) A person seeking a building permit from a local enforcement agency for industrialized housing or a housing structure in which will be installed housing components, industrialized buildings or structures containing industrialized building components shall furnish installation documentation required under § 145.58(b)(4) (relating to basic requirements for a compliance control program) and a current Notice of Approval under § 145.92(a)(5) (relating to reports by the Department) and a statement signed by the person seeking the building permit or, if a corporation, by an officer or authorized representative of the corporation, that the work to be performed under the building permit will include the installation of certified industrialized housing, housing components, industrialized buildings or building components bearing the appropriate insignia of certification issued by the Department under the act and this chapter.

(b) The local enforcement agency may not withhold the issuance of a building permit for certified industrialized housing or a housing structure in which will be installed certified housing components, industrialized buildings or structures containing industrialized building components if the applicant submits the documents required by this section, and the application for a building permit complies with applicable locally-enacted codes and ordinances with regard to set-up and site details, and land use.

The provisions of this § 145.82 amended under section 5 of the Industrialized Housing Act (35 P.S. § 1651.5).

(Editor’s Note: See 53 Pa.B. 830 (February 11, 2023) and 54 Pa.B. 145 (January 13, 2024) for notices regarding implementation of this section.)

The provisions of this § 145.82 adopted July 12, 1974, effective July 13, 1974, 4 Pa.B. 1403; amended September 8, 1978, effective March 9, 1979, 8 Pa.B. 2524; corrected September 22, 1978, effective March 9, 1979, 8 Pa.B. 2631; amended July 8, 1988, effective July 9, 1988, 18 Pa.B. 3040; amended August 9, 1991, effective August 10, 1991, 21 Pa.B. 3509; amended November 5, 2004, effective February 4, 2005, 34 Pa.B. 6024; effective date corrected at 34 Pa.B. 6133; amended May 7, 2010, effective July 7, 2010, 40 Pa.B. 2421; amended November 4, 2016, effective November 6, 2017, 46 Pa.B. 6976. Immediately preceding text appears at serial pages (349276) to (349277).

History

  • Authority: The provisions of this § 145.105 amended under section 5 of the Industrialized Housing Act (35 P.S. § 1651.5).
  • Source: The provisions of this § 145.122 adopted July 12, 1974, effective July 13, 1974, 4 Pa.B. 1403; amended July 25, 1975, effective July 26, 1975, 5 Pa.B. 1911; amended September 8, 1978, effective March 9, 1979, 8 Pa.B. 2524; corrected September 22, 1978, effective March 9, 1979, 8 Pa.B. 2631; amended September 19, 1997, effective September 20, 1997, 27 Pa.B. 4828. Immediately preceding text appears at serial page (231177).
12 Pa. Code § 145.83 Issuance of certificates of occupancy.

The local enforcement agency may not withhold the issuance of a certificate of occupancy or other similar permit for certified industrialized housing or a housing structure in which has been installed certified housing components, industrialized buildings or structures containing building components if the properly completed Site Installation Inspection Checklist required under § 145.91 (relating to reports to the Department) is submitted and the structure was constructed and installed on the site under a validly issued building permit and in other respects complies with applicable locally-enacted codes and ordinances not pre-empted by the act and this chapter.

The provisions of this § 145.83 amended under section 5 of the Industrialized Housing Act (35 P.S. § 1651.5).

(Editor’s Note: See 53 Pa.B. 830 (February 11, 2023) and 54 Pa.B. 145 (January 13, 2024) for notices regarding implementation of this section.)

The provisions of this § 145.83 adopted July 12, 1974, effective July 13, 1974, 4 Pa.B. 1403; amended November 4, 2016, effective November 6, 2017, 46 Pa.B. 6976. Immediately preceding text appears at serial page (349277).

History

  • Authority: The provisions of this § 145.105 amended under section 5 of the Industrialized Housing Act (35 P.S. § 1651.5).
  • Source: The provisions of this § 145.122 adopted July 12, 1974, effective July 13, 1974, 4 Pa.B. 1403; amended July 25, 1975, effective July 26, 1975, 5 Pa.B. 1911; amended September 8, 1978, effective March 9, 1979, 8 Pa.B. 2524; corrected September 22, 1978, effective March 9, 1979, 8 Pa.B. 2631; amended September 19, 1997, effective September 20, 1997, 27 Pa.B. 4828. Immediately preceding text appears at serial page (231177).
12 Pa. Code § 145.91 Reports to the Department.

(a) The Department is authorized to require that evaluation agencies, inspection agencies and manufacturers with approved building system documentation shall prepare and submit to the Department regular periodic reports regarding their activities relating to industrialized housing and housing components falling within the scope of the act and this chapter. These reports shall be promptly filed with the Department on forms and at times the Department may specify.

(b) The Department is authorized to require that evaluation agencies, inspection agencies and manufacturers with approved building system documentation shall promptly furnish to the Department the special reports and other information as the Department may require which relate in any way to the administration and enforcement of the act and this chapter.

(c) Evaluation agencies and inspection agencies are required to notify the Department of the following:

(1) A change of facts which would render inaccurate in material respect their application for approval submitted to the Department under § 145.75 (relating to procedures for obtaining approvals of evaluation and inspection agencies), as updated by the latest application for reapproval submitted to the Department under § 145.76 (relating to reapprovals of third-party agencies), as provided more particularly in § 145.75(e).

(2) A fact or circumstance of which the third-party agency has actual knowledge which could lead a reasonable person to believe that a manufacturer, third-party agency or other person in violating the act or this chapter, the notification to be promptly given to the Department.

(d) Manufacturers with approved building system documentation are required promptly to notify the Department of any fact or circumstance of which the manufacturer has actual knowledge which could lead a reasonable person to believe that a third-party agency or other person is violating a provision of the act or of this chapter.

(e) A person installing industrialized housing, housing components, industrialized buildings or building components for use on a site in a jurisdiction in this Commonwealth shall complete and return to the manufacturer and provide a copy to the local building code official a Site Installation Inspection Checklist on a form furnished by the manufacturer. The manufacturer is responsible for furnishing to the person performing the installation a copy of the Site Installation Inspection Checklist Form and instructions as to its intended use.

The provisions of this § 145.91 amended under section 5 of the Industrialized Housing Act (35 P.S. § 1651.5).

(Editor’s Note: See 53 Pa.B. 830 (February 11, 2023) and 54 Pa.B. 145 (January 13, 2024) for notices regarding implementation of this section.)

The provisions of this § 145.91 adopted July 12, 1974, effective July 13, 1974, 4 Pa.B. 1403; amended November 5, 2004, effective February 4, 2005, 34 Pa.B. 6024; effective date corrected at 34 Pa.B. 6133; amended May 7, 2010, effective July 7, 2010, 40 Pa.B. 2421; amended November 4, 2016, effective November 6, 2017, 46 Pa.B. 6976. Immediately preceding text appears at serial pages (349277) to (349278).

This section cited in 12 Pa. Code § 145.41 (relating to adoption of standards); 12 Pa. Code § 145.58 (relating to basic requirements for a compliance control program); 12 Pa. Code § 145.60 (relating to insignia of certification); 12 Pa. Code § 145.62 (relating to data plates); 12 Pa. Code § 145.64 (relating to modification of industrialized housing or housing components after certification); 12 Pa. Code § 145.81 (relating to responsibilities of local enforcement agencies); and 12 Pa. Code § 145.83 (relating to issuance of certificates of occupancy).

History

  • Authority: The provisions of this § 145.105 amended under section 5 of the Industrialized Housing Act (35 P.S. § 1651.5).
  • Source: The provisions of this § 145.122 adopted July 12, 1974, effective July 13, 1974, 4 Pa.B. 1403; amended July 25, 1975, effective July 26, 1975, 5 Pa.B. 1911; amended September 8, 1978, effective March 9, 1979, 8 Pa.B. 2524; corrected September 22, 1978, effective March 9, 1979, 8 Pa.B. 2631; amended September 19, 1997, effective September 20, 1997, 27 Pa.B. 4828. Immediately preceding text appears at serial page (231177).
12 Pa. Code § 145.92 Reports by the Department.

(a) The Department will send reports to third-party agencies and manufacturers with approved building system documentation which will include all of the following:

(1) Decisions of the Department under § 145.46 (relating to applicability and interpretation of code provisions) since the last report regarding the availability or interpretation of a provision of a code adopted under § § 145.41, 145.42 and 145.44 (relating to adoption of standards; alternate standards; and adoption and effective dates—code amendments).

(2) Decisions of the Department of general applicability under § 145.96 (relating to interpretation of this chapter) since the last report interpreting this chapter.

(3) Decisions of the Department of general applicability under § 145.112 (relating to procedures for formal appeal proceedings) since the last report rendered at the conclusion of a formal appeal proceeding.

(4) A current list of the names and addresses of currently approved third-party agencies.

(5) A Notice of Approval to each manufacturer that is approved as provided for in § 145.72a (relating to frequency of inspections).

(b) Each report may contain additional information relating to the administration of this chapter.

(c) Nothing in this section shall be construed as relieving the Department of another reporting requirement as may be specifically required in other provisions of this chapter.

The provisions of this § 145.92 amended under section 5 of the Industrialized Housing Act (35 P.S. § 1651.5).

(Editor’s Note: See 53 Pa.B. 830 (February 11, 2023) and 54 Pa.B. 145 (January 13, 2024) for notices regarding implementation of this section.)

The provisions of this § 145.92 adopted July 12, 1974, effective July 13, 1974, 4 Pa.B. 1403; amended November 4, 2016, effective November 6, 2017, 46 Pa.B. 6976. Immediately preceding text appears at serial pages (349278) to (349279).

This section cited in 12 Pa. Code § 145.82 (relating to issuance of building permits); 12 Pa. Code § 145.96 (relating to interpretation of this chapter); and 12 Pa. Code § 145.112 (relating to procedures for formal appeal proceedings).

History

  • Authority: The provisions of this § 145.105 amended under section 5 of the Industrialized Housing Act (35 P.S. § 1651.5).
  • Source: The provisions of this § 145.122 adopted July 12, 1974, effective July 13, 1974, 4 Pa.B. 1403; amended July 25, 1975, effective July 26, 1975, 5 Pa.B. 1911; amended September 8, 1978, effective March 9, 1979, 8 Pa.B. 2524; corrected September 22, 1978, effective March 9, 1979, 8 Pa.B. 2631; amended September 19, 1997, effective September 20, 1997, 27 Pa.B. 4828. Immediately preceding text appears at serial page (231177).
12 Pa. Code § 145.93 Factory inspections; right of entry.

(a) Authorized inspections by Department.

(1) The Department is authorized to inspect:

(i) A manufacturing facility of a manufacturer with approved building system documentation or to whom insignia of certification has been issued under § 145.103 (relating to issuance of insignia of certification).

(ii) The transportation facilities utilized for the transport of certified industrialized housing, housing components, industrialized buildings or industrialized building components.

(iii) The building sites on which certified industrialized housing, housing components, industrialized buildings or industrialized building components have been or are intended to be installed.

(iv) The books and records—wherever maintained—of a manufacturer with approved building system documentation or to whom insignia of certification has been issued under § 145.103 which relate to the manufacture, sale, lease or installation of industrialized housing, housing components, industrialized buildings or industrialized building components for use on a site in this Commonwealth.

(v) The facilities and the books and records of a third-party agency which relate to the discharge of its responsibilities under this chapter.

(2) A manufacturer with approved building system documentation or to whom insignia of certification has been issued under § 145.103 and every approved evaluation agency and approved inspection agency shall grant to authorized representatives of the Department the right of entry on its property at reasonable times during normal business hours for the purpose of conducting the inspections and examinations as authorized under this section.

(3) Persons selling, acquiring or leasing the industrialized housing, housing components, industrialized buildings or building components, and persons engaged in its transportation to and installation at the building site, shall grant to authorized representatives of the Department the same right of entry on their property as the manufacturer is required to grant under this chapter.

(b) Yearly inspections. A factory or manufacturing facility with approved building system documentation will be inspected at least once each year by the Department. The inspections are to verify the effectiveness of the sponsor’s quality program and compliance with approved building systems documentation.

(c) Inspection upon complaints or suspected violations. A manufacturer with approved building system documentation shall grant to authorized representatives of an evaluation and inspection agency with which it has an implementing contract the right of entry on its property at least twice per year during normal business hours and at other times upon complaint or a reasonable belief that violations of this chapter may exist, for the purpose of conducting inspections and examination as the evaluation or inspection agency deems necessary to discharge its responsibilities under this chapter and under its contract with the manufacturer. Persons selling, acquiring or leasing the industrialized housing, housing components, industrialized buildings or building components, and persons engaged in its transportation to and installation on the building site, shall grant to an evaluation and inspection agency with an implementing contract with the manufacturer the same right of entry on their property as the manufacturer is required to grant under this chapter.

(d) Inspection restrictions. Upon entry onto a manufacturer’s property or other property for the purpose of conducting an inspection under this section, the Department’s employee or representative will state the scope of the intended inspection and that the inspection will be conducted under the act.

The provisions of this § 145.93 amended under section 5 of the Industrialized Housing Act (35 P.S. § 1651.5).

(Editor’s Note: See 53 Pa.B. 830 (February 11, 2023) and 54 Pa.B. 145 (January 13, 2024) for notices regarding implementation of this section.)

The provisions of this § 145.93 adopted July 12, 1974, effective July 13, 1974, 4 Pa.B. 1403; amended July 8, 1988, effective July 9, 1988, 18 Pa.B. 3040; amended April 20, 2007, effective June 20, 2007, 37 Pa.B. 1840; amended November 4, 2016, effective November 6, 2017, 46 Pa.B. 6976. Immediately preceding text appears at serial pages (349279) to (349280).

This section cited in 12 Pa. Code § 145.94 (relating to fees).

History

  • Authority: The provisions of this § 145.105 amended under section 5 of the Industrialized Housing Act (35 P.S. § 1651.5).
  • Source: The provisions of this § 145.122 adopted July 12, 1974, effective July 13, 1974, 4 Pa.B. 1403; amended July 25, 1975, effective July 26, 1975, 5 Pa.B. 1911; amended September 8, 1978, effective March 9, 1979, 8 Pa.B. 2524; corrected September 22, 1978, effective March 9, 1979, 8 Pa.B. 2631; amended September 19, 1997, effective September 20, 1997, 27 Pa.B. 4828. Immediately preceding text appears at serial page (231177).
12 Pa. Code § 145.94 Fees.

(a) A person submitting an application to the Department under § 145.75(a) (relating to procedures for obtaining approvals of evaluation and inspection agencies) for approval as an industrialized housing evaluation agency or inspection agency shall pay a fee of $1,000. If the person seeks approval as both an industrialized housing evaluation agency and an inspection agency, the combined fee is $2,000.

(b) A third-party agency submitting an application to the Department under § 145.76 (relating to reapprovals of third-party agencies) for reapproval as an industrialized housing evaluation agency or inspection agency shall pay a fee of $500. If the person seeks reapproval as both an industrialized housing evaluation agency and an inspection agency, the combined fee is $1,000.

(c) A person submitting an application to the Department under § 145.75(a) for approval as an industrialized buildings evaluation agency or inspection agency shall pay a fee of $1,000. If the person seeks approval as both an evaluation agency and an inspection agency, the combined fee is $2,000.

(d) A third-party agency submitting an application to the Department under § 145.76 for reapproval as an industrialized buildings evaluation agency or inspection agency shall pay a fee of $500. If the person seeks reapproval as both an industrialized buildings evaluation agency and an inspection agency, the combined fee is $1,000.

(e) For manufacturing facilities in this Commonwealth, the insignia of certification fee is:

(1) $40 per insignia for each module of an industrialized housing.

(2) $40 per insignia for each industrialized housing component. The fee payable under this paragraph for industrialized housing components installed in or on a single dwelling unit may not exceed $40.

(3) $60 per insignia for each transportable section of an industrialized building.

(4) $60 per insignia for each industrialized building module or component. A manufacturer may request special consideration from the Department in the event the manufacturer believes that insignia placement on individual modules or components is unreasonable due to the unique scope of a particular project.

(f) For manufacturing facilities outside of this Commonwealth, the insignia of certification fee is:

(1) $60 per insignia for each module of an industrialized housing unit.

(2) $60 per insignia for each industrialized housing component. The fee payable under this paragraph for industrialized housing components installed in or on a single unit may not exceed $60.

(3) $90 per insignia for each transportable section of an industrialized building.

(4) $90 per insignia for each industrialized building module or component. A manufacturer may request special consideration from the Department in the event the manufacturer believes that insignia placement on individual modules or components is unreasonable due to the unique scope of a particular project.

(g) When the Department is authorized to monitor or inspect under § 145.93 (relating to factory inspections; right of entry) or otherwise, or provide evaluation or inspection services, or both, under § 145.70 (relating to Departmental evaluation and inspection), the manufacturer shall pay to the Department the following fees:

(1) Engineering services—$75 per hour.

(2) Administrative services—$40 per hour.

(3) Travel and per diem expenses—current Commonwealth travel and per diem expenses.

(h) The Department may establish reasonable handling and other administrative fees as indicated elsewhere in this chapter, subject to the stated limitations in amount.

(i) Fees paid to the Department under this chapter are nonrefundable except as otherwise specifically set forth in this chapter. Fees shall be paid electronically (as determined by the Department), by check or money order.

The provisions of this § 145.94 amended under section 5 of the Industrialized Housing Act (35 P.S. § 1651.5).

(Editor’s Note: See 53 Pa.B. 830 (February 11, 2023) and 54 Pa.B. 145 (January 13, 2024) for notices regarding implementation of this section.)

The provisions of this § 145.94 adopted July 12, 1974, effective July 13, 1974, 4 Pa.B. 1403; amended July 2, 1976, effective August 1, 1976, 6 Pa.B. 1581; amended September 8, 1978, effective March 9, 1979, 8 Pa.B. 2631; corrected September 22, 1978, effective March 9, 1979, 8 Pa.B. 2631; amended September 14, 1979, effective September 15, 1979, 9 Pa.B. 3193; amended July 8, 1988, effective July 9, 1988, 18 Pa.B. 3040; amended November 5, 2004, effective February 4, 2005, 34 Pa.B. 6024; effective date corrected at 34 Pa.B. 6133; amended May 7, 2010, effective July 7, 2010, 40 Pa.B. 2421; amended November 4, 2016, effective November 6, 2017, 46 Pa.B. 6976. Immediately preceding text appears at serial pages (349280) to (349281).

This section cited in 12 Pa. Code § 145.63 (relating to procedures for requesting, controlling and attaching insignia of certification); 12 Pa. Code § 145.70 (relating to Departmental evaluation and inspection); 12 Pa. Code § 145.75 (relating to procedures for obtaining approvals of evaluation and inspection agencies); 12 Pa. Code § 145.76 (relating to reapprovals of third-party agencies); 12 Pa. Code § 145.103 (relating to issuance of insignia of certification); and 12 Pa. Code § 145.104 (relating to reciprocal agreements).

History

  • Authority: The provisions of this § 145.105 amended under section 5 of the Industrialized Housing Act (35 P.S. § 1651.5).
  • Source: The provisions of this § 145.122 adopted July 12, 1974, effective July 13, 1974, 4 Pa.B. 1403; amended July 25, 1975, effective July 26, 1975, 5 Pa.B. 1911; amended September 8, 1978, effective March 9, 1979, 8 Pa.B. 2524; corrected September 22, 1978, effective March 9, 1979, 8 Pa.B. 2631; amended September 19, 1997, effective September 20, 1997, 27 Pa.B. 4828. Immediately preceding text appears at serial page (231177).
12 Pa. Code § 145.95 Proprietary information.

A manufacturer may designate all or any portion of its building system documentation and compliance control program as proprietary information. In such event, no portion of the manufacturer’s building system documentation or compliance control program designated as proprietary information shall be disclosed by a third-party or by the Department to another person except under the requirements of an applicable law or a court order or except as may be necessary in the administration and enforcement of the act and this chapter.

The provisions of this § 145.95 adopted July 12, 1974, effective July 13, 1974, 4 Pa.B. 1403.

History

  • Authority: The provisions of this § 145.105 amended under section 5 of the Industrialized Housing Act (35 P.S. § 1651.5).
  • Source: The provisions of this § 145.122 adopted July 12, 1974, effective July 13, 1974, 4 Pa.B. 1403; amended July 25, 1975, effective July 26, 1975, 5 Pa.B. 1911; amended September 8, 1978, effective March 9, 1979, 8 Pa.B. 2524; corrected September 22, 1978, effective March 9, 1979, 8 Pa.B. 2631; amended September 19, 1997, effective September 20, 1997, 27 Pa.B. 4828. Immediately preceding text appears at serial page (231177).
12 Pa. Code § 145.96 Interpretation of this chapter.

A question regarding the interpretation of this chapter shall be submitted in writing by an interested person to the Department for resolution. This chapter will be liberally construed by the Department to facilitate achievement of the purposes of the act and of this chapter. If the question of interpretation is of general applicability, the Department will furnish a copy of its resolution to third-party agencies and manufacturers with approved building system documentation no later than at the time of its next report required under § 145.92 (relating to reports by the Department).

The provisions of this § 145.96 adopted July 12, 1974, effective July 13, 1974, 4 Pa.B. 1403.

This section cited in 12 Pa. Code § 145.36 (relating to applicability of locally-enacted codes and ordinances); and 12 Pa. Code § 145.92 (relating to reports by the Department).

History

  • Authority: The provisions of this § 145.105 amended under section 5 of the Industrialized Housing Act (35 P.S. § 1651.5).
  • Source: The provisions of this § 145.122 adopted July 12, 1974, effective July 13, 1974, 4 Pa.B. 1403; amended July 25, 1975, effective July 26, 1975, 5 Pa.B. 1911; amended September 8, 1978, effective March 9, 1979, 8 Pa.B. 2524; corrected September 22, 1978, effective March 9, 1979, 8 Pa.B. 2631; amended September 19, 1997, effective September 20, 1997, 27 Pa.B. 4828. Immediately preceding text appears at serial page (231177).
12 Pa. Code § 145.97 Amendments to this chapter.

The Department may propose amendments to this chapter. The Department will publish each proposed amendment in the Pennsylvania Bulletin and provide notice of the amendment to third-party agencies and to manufacturers with approved building system documentation. The Department will hold public hearings on proposed amendments to this chapter. A proposed amendment shall become effective upon compliance with the applicable requirements of the act of July 31, 1968 (P.L. 769, No. 240) (45 P.S. § § 1102, 1201—1208 and 1602) and 45 Pa.C.S. Part II (relating to publication and effectiveness of Commonwealth documents).

The provisions of this § 145.97 amended under section 5 of the Industrialized Housing Act (35 P.S. § 1651.5).

(Editor’s Note: See 53 Pa.B. 830 (February 11, 2023) and 54 Pa.B. 145 (January 13, 2024) for notices regarding implementation of this section.)

The provisions of this § 145.97 adopted July 12, 1974, effective July 13, 1974, 4 Pa.B. 1403; amended November 4, 2016, effective November 6, 2017, 46 Pa.B. 6976. Immediately preceding text appears at serial page (349282).

This section cited in 12 Pa. Code § 145.43 (relating to amendment policy); 12 Pa. Code § 145.45 (relating to proposals by local enforcement agencies relating to special environmental conditions); 12 Pa. Code § 145.56 (relating to amendments to building system documentation following changes in standards); and 12 Pa. Code § 145.122 (relating to effective date).

History

  • Authority: The provisions of this § 145.105 amended under section 5 of the Industrialized Housing Act (35 P.S. § 1651.5).
  • Source: The provisions of this § 145.122 adopted July 12, 1974, effective July 13, 1974, 4 Pa.B. 1403; amended July 25, 1975, effective July 26, 1975, 5 Pa.B. 1911; amended September 8, 1978, effective March 9, 1979, 8 Pa.B. 2524; corrected September 22, 1978, effective March 9, 1979, 8 Pa.B. 2631; amended September 19, 1997, effective September 20, 1997, 27 Pa.B. 4828. Immediately preceding text appears at serial page (231177).
12 Pa. Code § 145.98 Variances from this chapter.

An interested person may request the Department to grant a variance from the requirements of this chapter as applied to the person. The person shall furnish the Department with the information pertaining to its request for a variance as the Department may deem necessary for an informed decision. The variance may be granted by the Department only if the following conditions have been met:

(1) The Department determines that granting the requested variance would not impair the health, safety and welfare of consumers and would be consistent with the purposes of the act and this chapter.

(2) The request for the variance has been reviewed and approved by the Industrialized Housing Advisory Commission established under section 8 of the act (35 P.S. § 1651.8).

The provisions of this § 145.98 adopted July 12, 1974, effective July 13, 1974, 4 Pa.B. 1403.

History

  • Authority: The provisions of this § 145.105 amended under section 5 of the Industrialized Housing Act (35 P.S. § 1651.5).
  • Source: The provisions of this § 145.122 adopted July 12, 1974, effective July 13, 1974, 4 Pa.B. 1403; amended July 25, 1975, effective July 26, 1975, 5 Pa.B. 1911; amended September 8, 1978, effective March 9, 1979, 8 Pa.B. 2524; corrected September 22, 1978, effective March 9, 1979, 8 Pa.B. 2631; amended September 19, 1997, effective September 20, 1997, 27 Pa.B. 4828. Immediately preceding text appears at serial page (231177).
12 Pa. Code § 145.99 Remedies.

The Department may seek an order from a court of applicable jurisdiction in this Commonwealth for the enforcement of the act or this chapter, including without limitation an order for injunctive relief to enjoin the sale, lease, delivery or installation of industrialized housing, housing components, buildings or building components which have not been manufactured, transported or installed in conformity with the requirements of the act or this chapter, or for the refusal of a party to comply with the act or this chapter.

The provisions of this § 145.99 amended under section 5 of the Industrialized Housing Act (35 P.S. § 1651.5).

(Editor’s Note: See 53 Pa.B. 830 (February 11, 2023) and 54 Pa.B. 145 (January 13, 2024) for notices regarding implementation of this section.)

The provisions of this § 145.99 adopted July 12, 1974, effective July 13, 1974, 4 Pa.B. 1403; amended August 9, 1991, effective August 10, 1991, 21 Pa.B. 3509; amended November 4, 2016, effective November 6, 2017, 46 Pa.B. 6976. Immediately preceding text appears at serial page (349519).

History

  • Authority: The provisions of this § 145.105 amended under section 5 of the Industrialized Housing Act (35 P.S. § 1651.5).
  • Source: The provisions of this § 145.122 adopted July 12, 1974, effective July 13, 1974, 4 Pa.B. 1403; amended July 25, 1975, effective July 26, 1975, 5 Pa.B. 1911; amended September 8, 1978, effective March 9, 1979, 8 Pa.B. 2524; corrected September 22, 1978, effective March 9, 1979, 8 Pa.B. 2631; amended September 19, 1997, effective September 20, 1997, 27 Pa.B. 4828. Immediately preceding text appears at serial page (231177).
12 Pa. Code § 145.101 General authority.

The Department is authorized under section 6 of the act (35 P.S. § 1651.6) to issue insignia of certification to approved manufacturers under this program for their industrialized housing, housing components, industrialized buildings or building components which have been certified by any competent authority within a state of the United States following a finding by the Department that the certifications have been granted on the basis of standards substantially equivalent to this chapter. Sections 145.102 and 145.103 (relating to determinations of acceptability of certifications of a competent state authority; and issuance of insignia of certification) set forth more detailed criteria to support a finding by the Department that the standards are substantially equivalent to this chapter and establish additional procedures necessary to safeguard the health, safety and welfare of the citizens of this Commonwealth from noncomplying industrialized housing, housing components, industrialized buildings or building components certified by a competent state authority.

The provisions of this § 145.101 amended under section 5 of the Industrialized Housing Act (35 P.S. § 1651.5).

(Editor’s Note: See 53 Pa.B. 830 (February 11, 2023) and 54 Pa.B. 145 (January 13, 2024) for notices regarding implementation of this section.)

The provisions of this § 145.101 adopted July 12, 1974, effective July 13, 1974, 4 Pa.B. 1403; amended November 4, 2016, effective November 6, 2017, 46 Pa.B. 6976. Immediately preceding text appears at serial page (349519).

History

  • Authority: The provisions of this § 145.105 amended under section 5 of the Industrialized Housing Act (35 P.S. § 1651.5).
  • Source: The provisions of this § 145.122 adopted July 12, 1974, effective July 13, 1974, 4 Pa.B. 1403; amended July 25, 1975, effective July 26, 1975, 5 Pa.B. 1911; amended September 8, 1978, effective March 9, 1979, 8 Pa.B. 2524; corrected September 22, 1978, effective March 9, 1979, 8 Pa.B. 2631; amended September 19, 1997, effective September 20, 1997, 27 Pa.B. 4828. Immediately preceding text appears at serial page (231177).
12 Pa. Code § 145.102 Determinations of acceptability of certifications of a competent state authority.

(a) The Department may, on the basis of its review of the applicable statutes, regulations and administrative practices and experience and the other information as it may consider necessary for an informed finding, find that the standards of a competent authority of a state of the United States under which industrialized housing, housing components, industrialized buildings or building components are certified are substantially equivalent to the provisions of this chapter. The finding by the Department will be based on the following subsidiary findings:

(1) An agency, authority or division of the government of a state of the United States has established and is actively administering under valid legislative authority a program for the certification of industrialized housing, housing components, industrialized buildings or building components or type of industrialized housing, housing components, industrialized buildings or building components similar in its purposes to the program authorized by the act.

(2) The codes and standards utilized by the competent authority of the other state governing the design, materials and method of construction are substantially equivalent to the codes and standards adopted by the Department under § § 145.41, 145.42 and 145.44 (relating to adoption of standards; alternate standards; and adoption and effective dates—code amendments). The determination of substantial equivalency will be based on a finding that the degree of protection to the health, safety and welfare of the citizens of this Commonwealth would not be materially less under other codes and standards than under the codes and standards adopted by the Department under § § 145.41, 145.42 and 145.44. It is not intended that findings of substantial equivalency be limited to codes adopted by other jurisdictions which are identical or substantially identical with the codes adopted under § § 145.41, 145.42 and 145.44. In addition, a finding of substantial equivalency may be limited to designated types of buildings or methods of construction for buildings.

(3) The competent state authority will not certify industrialized housing, housing components, industrialized buildings or building components unless there has been a finding that the manufacturer is administering an acceptable compliance control program or, if third-party agencies are utilized, there is an acceptable compliance assurance program.

(4) The evaluation of the building system documentation of manufacturers for conformity with the adopted codes and standards and of the related compliance control program or compliance assurance program, as the case may be, is performed by personnel possessing satisfactory qualifications to assure determinations that are reliable, objective and without bias.

(5) The procedures adopted by the competent state authority are satisfactory to assure effective enforcement of the regulations and standards adopted by that jurisdiction.

(b) If the Department makes a finding of substantial equivalency under subsection (a), it will further determine whether there are procedures adopted by the competent state authority with respect to which the finding of substantial equivalency is made under which the Department would be promptly notified in the event of the suspension or revocation of approval of any manufacturer or third-party agency or of any other approval issued by the competent state authority relating to the enforcement of its applicable regulations. If there are no procedures for prompt notification to the Department, the Department may seek agreement from the competent state authority for the establishment of notification procedures.

(c) Promptly after the Department makes a finding of substantial equivalency under subsection (a) with respect to the standards adopted by a competent state authority under which industrialized housing, housing components, industrialized buildings or building components are certified by the authority, and further determines that the competent state authority has adopted the notification procedures prescribed in subsection (b), the Department will notify third-party agencies and manufacturers with approved building system documentation that, on compliance with the requirements of § 145.103 (relating to issuance of insignia of certification), the Department will issue to a manufacturer insignia of certification for attachment to industrialized housing, housing components, industrialized buildings or building components certified by the competent state authority with respect to which the findings have been made.

The provisions of this § 145.102 amended under section 5 of the Industrialized Housing Act (35 P.S. § 1651.5).

(Editor’s Note: See 53 Pa.B. 830 (February 11, 2023) and 54 Pa.B. 145 (January 13, 2024) for notices regarding implementation of this section.)

The provisions of this § 145.102 adopted July 12, 1974, effective July 13, 1974, 4 Pa.B. 1403; amended September 8, 1978, effective March 9, 1979, 8 Pa.B. 2524; corrected September 22, 1978, effective March 9, 1979, 8 Pa.B. 2631; amended November 4, 2016, effective November 6, 2017, 46 Pa.B. 6976. Immediately preceding text appears at serial pages (349520) and (231171).

This section cited in 12 Pa. Code § 145.101 (relating to general authority); 12 Pa. Code § 145.103 (relating to issuance of insignia of certification); 12 Pa. Code § 145.104 (relating to reciprocal agreements); and 12 Pa. Code § 145.105 (relating to suspension and revocation).

History

  • Authority: The provisions of this § 145.105 amended under section 5 of the Industrialized Housing Act (35 P.S. § 1651.5).
  • Source: The provisions of this § 145.122 adopted July 12, 1974, effective July 13, 1974, 4 Pa.B. 1403; amended July 25, 1975, effective July 26, 1975, 5 Pa.B. 1911; amended September 8, 1978, effective March 9, 1979, 8 Pa.B. 2524; corrected September 22, 1978, effective March 9, 1979, 8 Pa.B. 2631; amended September 19, 1997, effective September 20, 1997, 27 Pa.B. 4828. Immediately preceding text appears at serial page (231177).
12 Pa. Code § 145.103 Issuance of insignia of certification.

(a) A manufacturer, regardless of whether its building system documentation and related compliance assurance program have been approved under this chapter, may request that the Department issue to it insignia of certification for attachment to industrialized housing, housing components, industrialized buildings or building components which have been or will be certified by a competent state authority with respect to which the Department has made the requisite findings required under § 145.102 (relating to determinations of acceptability of certifications of a competent state authority). In addition to meeting all of the requirements of § 145.63 (relating to procedures for requesting, controlling and attaching insignia of certification), the manufacturer’s request must contain the following additional information:

(1) A list of the building system documentation which was approved by the competent state authority for the industrialized housing, housing components, industrialized buildings or building components to which the insignia of certification are to be attached.

(2) Evidence that building system documentation and related compliance assurance program or compliance control program, as the case may be, was approved under the policies and procedures of the competent state authority as conforming to the standards with respect to which the Department’s determination of substantial equivalency was made.

(3) The name and address of an inspection agency, approved by the Department, which will participate in the compliance assurance program and authorize the attachment of the insignia of certification to the industrialized housing, housing components, industrialized buildings or building components to be sold, leased or installed for use on a site in this Commonwealth.

(b) If the competent state authority uses its own personnel for monitoring a manufacturer’s compliance control program and inspecting industrialized housing or housing components, the manufacturer seeking the issuance of insignia of certification under subsection (a) may eliminate the requirement of subsection (a)(3) for utilizing an inspection agency to monitor its compliance control program and authorize the attachment of insignia of certification, provided that the Department and the competent state authority have entered into an agreement under which the competent state authority will institute procedures, acceptable to the Department, for authorizing the attachment of the insignia of certification for industrialized housing, housing components, industrialized buildings or building components intended for sale, lease or installation for use on sites in this Commonwealth. The Department will enter into an agreement only if it determines that the procedures for controlling the use of the insignia of certification contain adequate safeguards and that the competent state authority has the satisfactory organization and personnel to discharge its obligations under the agreement and will not charge the approval or reapproval fees as outlined in § 145.94(a) and (b) (relating to fees).

The provisions of this § 145.103 amended under section 5 of the Industrialized Housing Act (35 P.S. § 1651.5).

(Editor’s Note: See 53 Pa.B. 830 (February 11, 2023) and 54 Pa.B. 145 (January 13, 2024) for notices regarding implementation of this section.)

The provisions of this § 145.103 adopted July 12, 1974, effective July 13, 1974, 4 Pa.B. 1403; amended September 8, 1978, effective March 9, 1979, 8 Pa.B. 2524; amended November 4, 2016, effective November 6, 2017, 46 Pa.B. 6976. Immediately preceding text appears at serial pages (231171) to (231172).

This section cited in 12 Pa. Code § 145.93 (relating to factory inspections; right of entry); 12 Pa. Code § 145.101 (relating to general authority); 12 Pa. Code § 145.102 (relating to determinations of acceptability of certifications of a competent state authority); 12 Pa. Code § 145.104 (relating to reciprocal agreements); and 12 Pa. Code § 145.105 (relating to suspension and revocation).

History

  • Authority: The provisions of this § 145.105 amended under section 5 of the Industrialized Housing Act (35 P.S. § 1651.5).
  • Source: The provisions of this § 145.122 adopted July 12, 1974, effective July 13, 1974, 4 Pa.B. 1403; amended July 25, 1975, effective July 26, 1975, 5 Pa.B. 1911; amended September 8, 1978, effective March 9, 1979, 8 Pa.B. 2524; corrected September 22, 1978, effective March 9, 1979, 8 Pa.B. 2631; amended September 19, 1997, effective September 20, 1997, 27 Pa.B. 4828. Immediately preceding text appears at serial page (231177).
12 Pa. Code § 145.104 Reciprocal agreements.

(a) The Department is authorized to enter into agreements with the United States Department of Housing and Urban Development or with a competent authority within a state of the United States which has established under valid legislative authority a program for the certification of industrialized housing, housing components, industrialized buildings or building components under which each party to an agreement will recognize the certification issued under the laws, regulations and administrative procedures of the other party. An agreement must establish procedures additional to those set forth in this chapter and shall in respects be consistent with the act.

(b) The reciprocal agreement may also establish that acceptability of the competent state authority insignia of certification for industrialized housing units, components, industrialized buildings or building components shall be recognized by the Department instead of the provisions in § § 145.102 and 145.103 (relating to determinations of acceptability of certifications of a competent state authority; and issuance of insignia of certification).

(c) The inspection and evaluation agency fees outlined in § 145.94(a) and (b) (relating to fees) will not be charged to a competent state authority entering into a reciprocal agreement, as outlined in this chapter, using its own personnel for monitoring a manufacturer’s compliance control program and inspecting industrialized housing, housing components, industrialized buildings or building components.

The provisions of this § 145.104 amended under section 5 of the Industrialized Housing Act (35 P.S. § 1651.5).

(Editor’s Note: See 53 Pa.B. 830 (February 11, 2023) and 54 Pa.B. 145 (January 13, 2024) for notices regarding implementation of this section.)

The provisions of this § 145.104 adopted July 12, 1974, effective July 13, 1974, 4 Pa.B. 1403; amended September 8, 1978, effective March 9, 1979, 8 Pa.B. 2524; amended November 4, 2016, effective November 6, 2017, 46 Pa.B. 6976. Immediately preceding text appears at serial pages (231172) to (231173).

History

  • Authority: The provisions of this § 145.105 amended under section 5 of the Industrialized Housing Act (35 P.S. § 1651.5).
  • Source: The provisions of this § 145.122 adopted July 12, 1974, effective July 13, 1974, 4 Pa.B. 1403; amended July 25, 1975, effective July 26, 1975, 5 Pa.B. 1911; amended September 8, 1978, effective March 9, 1979, 8 Pa.B. 2524; corrected September 22, 1978, effective March 9, 1979, 8 Pa.B. 2631; amended September 19, 1997, effective September 20, 1997, 27 Pa.B. 4828. Immediately preceding text appears at serial page (231177).
12 Pa. Code § 145.105 Suspension and revocation.

(a) The Department, on the basis of its review of the applicable statutes, regulations and administrative practices and experience and other information that it may consider necessary for an informed finding, determine that its finding that the standards of a competent state authority, previously found by the Department to be substantially equivalent to this chapter, is no longer justified under the criteria in § 145.102(a) (relating to determinations of acceptability of certifications of a competent state authority) or the procedures for notification in § 145.102(b) are no longer effective. The Department will promptly notify third-party agencies and manufacturers with approved building system documentation or possessing insignia of certification issued to them under § 145.103 (relating to issuance of insignia of certification) of its finding. If requested by the Department, manufacturers possessing insignia of certification issued under § 145.103 shall promptly return the insignia to the Department and, upon receipt by the Department of the returned insignia, the fee paid by the manufacturer for the insignia will be refunded in full. No additional insignia of certification will be issued by the Department under § 145.103 with respect to industrialized housing or housing components certified by the competent state authority with respect to which the finding by the Department was made. In addition, the Department will be authorized to remove, or cause the removal of, insignia of certification theretofore attached to industrialized housing, housing components, industrialized buildings or building components certified by the competent state authority, if the Department determines that there is a substantial threat to the health, safety or welfare of the occupants of the industrialized housing or housing structures containing the housing components, industrialized buildings or structures containing building components unless brought into compliance with this chapter.

(b) The suspension or revocation of the certification of a manufacturer or third-party agency or of an industrialized housing, housing components, industrialized buildings or building components by a competent state authority shall automatically suspend the right of a manufacturer affected in a material respect by the suspension or revocation to utilize an insignia of certification issued to it under § 145.103. The manufacturer may thereafter request the Department to determine in writing those circumstances in which it may continue to use the insignia of certification.

(c) Nothing in this section shall be construed to limit or restrict the rights of suspension and revocation of the Department under this chapter.

The provisions of this § 145.105 amended under section 5 of the Industrialized Housing Act (35 P.S. § 1651.5).

(Editor’s Note: See 53 Pa.B. 830 (February 11, 2023) and 54 Pa.B. 145 (January 13, 2024) for notices regarding implementation of this section.)

The provisions of this § 145.105 adopted July 12, 1974, effective July 13, 1974, 4 Pa.B. 1403; amended November 4, 2016, effective November 6, 2017, 46 Pa.B. 6976. Immediately preceding text appears at serial pages (231173) to (231174).

History

  • Authority: The provisions of this § 145.105 amended under section 5 of the Industrialized Housing Act (35 P.S. § 1651.5).
  • Source: The provisions of this § 145.122 adopted July 12, 1974, effective July 13, 1974, 4 Pa.B. 1403; amended July 25, 1975, effective July 26, 1975, 5 Pa.B. 1911; amended September 8, 1978, effective March 9, 1979, 8 Pa.B. 2524; corrected September 22, 1978, effective March 9, 1979, 8 Pa.B. 2631; amended September 19, 1997, effective September 20, 1997, 27 Pa.B. 4828. Immediately preceding text appears at serial page (231177).
12 Pa. Code § 145.111 Informal appeals.

(a) A person aggrieved by a decision of the Department or of a third-party agency or of a local enforcement agency taken in connection with the administration of the act or this chapter may initiate an informal appeal to the Department by sending a letter or other writing to the Department which will serve as an informal complaint. The Department will give a serial number to the informal complaint for identification purposes. No specified form of informal complaint is required, but the letter or other writing should identify the persons involved, summarize the decision subject to the informal appeal, state the grounds of disagreement with the decision, and be signed by the appealing person or, if a corporation, by an officer of the appealing person. Only one copy of the informal complaint need be filed. It may include supporting papers that the appealing person may consider useful.

(b) If the informal complaint appears to the Department to be susceptible of informal adjustment, a copy of the informal complaint will be sent by the Department within 7 days after receipt to each person identified in the informal complaint as being involved. The Department will attempt to have the question resolved by correspondence, telephone or other informal communication. If the informal complaint appears to the Department not to be susceptible of informal adjustment, the Department will within 7 days following receipt of the informal complaint ask the appealing person whether it desires to have its informal complaint treated as a formal complaint, initiating formal appeal proceedings under § 145.112 (relating to procedures for formal appeal proceedings).

(c) A proceeding instituted as an informal appeal is without prejudice to the right of the aggrieved person to file and prosecute a formal appeal, in which event the proceeding on the informal appeal will be discontinued.

The provisions of this § 145.111 adopted July 12, 1974, effective July 13, 1974, 4 Pa.B. 1403.

History

  • Authority: The provisions of this § 145.105 amended under section 5 of the Industrialized Housing Act (35 P.S. § 1651.5).
  • Source: The provisions of this § 145.122 adopted July 12, 1974, effective July 13, 1974, 4 Pa.B. 1403; amended July 25, 1975, effective July 26, 1975, 5 Pa.B. 1911; amended September 8, 1978, effective March 9, 1979, 8 Pa.B. 2524; corrected September 22, 1978, effective March 9, 1979, 8 Pa.B. 2631; amended September 19, 1997, effective September 20, 1997, 27 Pa.B. 4828. Immediately preceding text appears at serial page (231177).
12 Pa. Code § 145.112 Procedures for formal appeal proceedings.

(a) A person aggrieved by a decision of the Department or of a third-party agency or of a local enforcement agency taken in connection with the administration of the act or the provisions of this chapter may initiate a formal appeal to the Department by filing a formal complaint with the Department within 45 days following the date of the decision from which the appeal is taken. To initiate a formal appeal proceeding, the formal complaint shall contain the following:

(1) The name and address of the appealing person.

(2) The names and addresses, if available, of other persons likely to be involved.

(3) A summary of the decision from which the appeal is taken, including a copy of the decision if it was in writing and is available to the appealing person.

(4) The grounds of disagreement with the decision from which the appeal is taken.

(5) A statement that the appealing person desires a hearing.

(6) The signature of the appealing person or, if a corporation, of an officer of the appealing person.

(7) The additional supporting documentation as the appealing person may consider useful.

(b) Promptly following receipt of a formal complaint, the Department will establish a time and place for a hearing to consider the questions raised in the formal complaint. To the maximum possible extent, the hearing should be held not later than 60 days following receipt of the formal complaint. The Department will send a written notice of the hearing by hand or by registered mail, return receipt requested, to the appealing person and to other persons indicated in the formal complaint as likely to be involved and to other persons that the Department believes would have an interest in the decision. If the formal complaint raises questions of general applicability, the Department may send written notice of the hearing, but not by registered mail, to all third-party agencies and all manufacturers with approved building system documentation.

(c) An interested person may intervene in the formal appeal proceeding by filing with the Department a written notice of intervention which shall include the name and address of the intervening person and the reason why the person desires to intervene.

(d) The presiding officer of the hearing shall be the Chief, Division of Manufactured Housing of the Department, or other official of the Department as may be designated by the Secretary of the Department. The appealing person, the Department and any intervening person shall have an opportunity to present witnesses and documentary evidence, to cross-examine witnesses presented by others, and to present its reasons in favor of or against the decision from which the appeal is being taken. Technical rules of evidence are not applicable, and relevant evidence of reasonable probative value may be received. The hearing shall be stenographically recorded.

(e) Promptly following the conclusion of the hearing, the presiding officer shall report his findings to the Secretary of the Department. The Secretary of the Department will render his decision within 60 days following the conclusion of the hearing. The decision will be made in writing, stating the reasons therefor. The Department will send copies of the decision by mail to the appealing person and to each person intervening in the proceedings. If the appealing person is a manufacturer, the Department will furnish copies of its decision to third-party agencies with implementing contracts with the manufacturer. If the appealing person is a third-party agency, the Department will furnish copies of its decision to manufacturers with implementing contracts with the third-party agency. If the decision is of general applicability, the Department will furnish copies to third-party agencies and manufacturers with approved building system documentation no later than at the time of the next report of the Department required under § 145.92 (relating to reports by the Department).

(f) The appealing person shall pay the costs of preparing the stenographic record and of its transcription, if a transcription is required.

(g) In the event of a conflict between a provision of this section and another provision of these regulations relating to notices, timing or another aspect of the formal appeal proceedings, the other provision shall prevail.

The provisions of this § 145.112 adopted July 12, 1974, effective July 13, 1974, 4 Pa.B. 1403.

This section cited in 12 Pa. Code § 145.66 (relating to emergency suspension); 12 Pa. Code § 145.67 (relating to revocation of certification); 12 Pa. Code § 145.79 (relating to suspension and revocation of third-party agencies); 12 Pa. Code § 145.92 (relating to reports by the Department); and 12 Pa. Code § 145.111 (relating to informal appeals).

History

  • Authority: The provisions of this § 145.105 amended under section 5 of the Industrialized Housing Act (35 P.S. § 1651.5).
  • Source: The provisions of this § 145.122 adopted July 12, 1974, effective July 13, 1974, 4 Pa.B. 1403; amended July 25, 1975, effective July 26, 1975, 5 Pa.B. 1911; amended September 8, 1978, effective March 9, 1979, 8 Pa.B. 2524; corrected September 22, 1978, effective March 9, 1979, 8 Pa.B. 2631; amended September 19, 1997, effective September 20, 1997, 27 Pa.B. 4828. Immediately preceding text appears at serial page (231177).
12 Pa. Code § 145.113 Right to appeal decision of the Secretary.

The appealing person or any person intervening in the formal appeal proceeding shall have the right to appeal the decision of the Secretary of the Department to the Commonwealth Court in accordance with 2 Pa.C.S. § § 501—508 and 701—704 (relating to practice and procedure of Commonwealth agencies and judicial review of Commonwealth agency action).

The provisions of this § 145.113 adopted July 12, 1974, effective July 13, 1974, 4 Pa.B. 1403.

History

  • Authority: The provisions of this § 145.105 amended under section 5 of the Industrialized Housing Act (35 P.S. § 1651.5).
  • Source: The provisions of this § 145.122 adopted July 12, 1974, effective July 13, 1974, 4 Pa.B. 1403; amended July 25, 1975, effective July 26, 1975, 5 Pa.B. 1911; amended September 8, 1978, effective March 9, 1979, 8 Pa.B. 2524; corrected September 22, 1978, effective March 9, 1979, 8 Pa.B. 2631; amended September 19, 1997, effective September 20, 1997, 27 Pa.B. 4828. Immediately preceding text appears at serial page (231177).
12 Pa. Code § 145.122 Effective date.

(a) After January 1, 1976, no industrialized housing or housing components may be sold, leased or installed for use on a site in this Commonwealth unless the industrialized housing or housing components are certified as complying with this chapter.

(b) Six months after the effective date of an amendment to this chapter adopted under § 145.97 (relating to amendments to this chapter) or 1 year after the date of adoption by the Department of an amendment under § 145.44 (relating to adoption and effective dates—code amendments), no industrialized housing or housing components may be sold, leased or installed for use on a site in this Commonwealth unless the industrialized housing or housing components are certified as complying with the amendment.

The provisions of this § 145.122 adopted July 12, 1974, effective July 13, 1974, 4 Pa.B. 1403; amended July 25, 1975, effective July 26, 1975, 5 Pa.B. 1911; amended September 8, 1978, effective March 9, 1979, 8 Pa.B. 2524; corrected September 22, 1978, effective March 9, 1979, 8 Pa.B. 2631; amended September 19, 1997, effective September 20, 1997, 27 Pa.B. 4828. Immediately preceding text appears at serial page (231177).

This section cited in 12 Pa. Code § 145.41 (relating to adoption of standards); and 12 Pa. Code § 145.42 (relating to alternate standards).

History

  • Authority: The provisions of this § 145.105 amended under section 5 of the Industrialized Housing Act (35 P.S. § 1651.5).
  • Source: The provisions of this § 145.122 adopted July 12, 1974, effective July 13, 1974, 4 Pa.B. 1403; amended July 25, 1975, effective July 26, 1975, 5 Pa.B. 1911; amended September 8, 1978, effective March 9, 1979, 8 Pa.B. 2524; corrected September 22, 1978, effective March 9, 1979, 8 Pa.B. 2631; amended September 19, 1997, effective September 20, 1997, 27 Pa.B. 4828. Immediately preceding text appears at serial page (231177).

Chapter 149 Manufactured Housing Improvement Program

12 Pa. Code § 149.1 Definitions.

The following words and terms, when used in this chapter, have the following meanings, unless the context clearly indicates otherwise: Act—The Manufactured Housing Improvement Act (35 P. S. § § 1658.1—1658.6). Attachment—Wind storm protection accomplished by one of the following:

(i) Securing the manufactured home to the foundation.

(ii) An alternative system, which is approved for use by the manufacturer through its DAPIA approved design, to secure the manufactured home to the foundation.

(iii) Other requirements of the manufacturer necessary to provide an integrated, fully compliant manufactured home. Building code official—As defined in section 3 of the act (35 P. S. § 1658.3). Certificate of Compliance—A form developed by the Department which bears the signature of the installer of a new manufactured home and certifies that the new manufactured home was installed in accordance with the manufacturer’s approved design and complies with all nonconstruction requirements of the Uniform Construction Code, relating to the installation of a new manufactured home, which are not addressed by the Manufactured Home Construction and Safety Standards. DAPIA—Design Approval Primary Inspection Agency as defined in the Manufactured Home Procedural and Enforcement Regulations (24 CFR 3282.361 (relating to Design Approval Primary Inspection Agency (DAPIA))). Department—The Department of Community and Economic Development of the Commonwealth. HUD—The United States Department of Housing and Urban Development. Installation—As defined in section 3 of the act. Installer—As defined in section 3 of the act. Manufactured Home Construction and Safety Standards—As defined in section 3 of the act. Manufactured housing or manufactured home—As defined in section 3 of the act. Manufacturer—A person engaged in manufacturing or assembling manufactured homes, including a person engaged in importing manufactured homes for resale. Manufacturer’s approved design—

(i) As defined in section 3 of the act.

(ii) The term includes drawings, instructions, illustrations, documentation or procedures submitted by a manufacturer and approved by the manufacturer’s DAPIA. Purchaser—The first person purchasing a new manufactured home for purposes other than resale. Relocated manufactured home—As defined in section 3 of the act. Retailer—A person engaged in the sale, leasing or distribution of a new manufactured home directly to a purchaser. UCC—Uniform Construction Code—The Uniform Construction Code adopted under section 7210.301 of the Pennsylvania Construction Code Act (35 P. S. § 7210.301).

The provisions of this § 149.1 amended under section 5 of the Manufactured Housing Improvement Act (35 P. S. § 1658.5).

The provisions of this § 149.1 amended January 24, 2014, effective March 26, 2014, 44 Pa.B. 488. Immediately preceding text appears at serial pages (320227) to (320228).

History

  • Authority: The provisions of this § 149.6 amended under section 5 of the Manufactured Housing Improvement Act (35 P. S. § 1658.5).
  • Source: The provisions of this § 149.6 amended January 24, 2014, effective March 26, 2014, 44 Pa.B. 488. Immediately preceding text appears at serial pages (320231) to (320232).
12 Pa. Code § 149.2 Purpose.

This chapter interprets and makes specific the provisions of the act. This chapter establishes administrative procedures for the implementation of the act, which comply with the National Manufactured Housing Construction and Safety Standards Act of 1974 (42 U.S.C.A. § § 5401—5426) and the Manufactured Home Construction and Safety Standards. More specifically, this chapter is intended to achieve the following objectives:

(1) Designate appropriate training programs for those persons that install manufactured homes, to provide them with a thorough understanding of manufactured home construction and to assure that the manufactured homes they install comply with the act, the Manufactured Home Construction and Safety Standards and the UCC, as applicable.

(2) Establish a system to certify those persons who successfully complete the training program as installers of manufactured homes.

(3) Provide training for those persons who inspect manufactured home installations under the act, the Manufactured Home Construction and Safety Standards and the UCC.

(4) Provide that manufactured home construction, installations and completion onsite be performed in a manner consistent with the home manufacturer’s DAPIA approved designs and provide suitable alternatives when the manufacturer’s approved designs are not available for a relocated manufactured home.

(5) Establish a mechanism to verify to the Department, building code officials and purchasers that manufactured homes are completed and installed by an installer of manufactured homes who was certified by the Department and that the homes comply with the Manufactured Home Construction and Safety Standards and applicable building codes.

(6) Establish appropriate fees for the educational programs, testing and certification of installers of manufactured homes.

(7) Establish procedures for the Department to issue warnings, suspensions, revocations or monetary fines against persons who violate the act or this chapter.

The provisions of this § 149.2 amended under section 5 of the Manufactured Housing Improvement Act (35 P. S. § 1658.5).

The provisions of this § 149.2 amended January 24, 2014, effective March 26, 2014, 44 Pa.B. 488. Immediately preceding text appears at serial pages (320228) to (320229).

History

  • Authority: The provisions of this § 149.6 amended under section 5 of the Manufactured Housing Improvement Act (35 P. S. § 1658.5).
  • Source: The provisions of this § 149.6 amended January 24, 2014, effective March 26, 2014, 44 Pa.B. 488. Immediately preceding text appears at serial pages (320231) to (320232).
12 Pa. Code § 149.3 Installation standard for new manufactured homes.

(a) In accordance with the Manufactured Housing Construction and Safety Standards Act of 1974 (42 U.S.C.A. § § 5401—5426), a manufacturer of a new manufactured home shall provide a copy of the manufacturer’s approved design, which includes instructions for the installation of the new manufactured home, with each home.

(b) In accordance with the Manufactured Housing Construction and Safety Standards Act of 1974, a new manufactured home shall be installed consistent with the manufacturer’s approved design. The manufacturer’s approved design must be current, complete, easily understood and compatible with the home being installed. The manufacturer’s approved design must fully address the support, attachment, assembly and all other aspects of manufactured home construction and installation to assure that the manufactured home performs as a fully integrated structure and complies with all elements of the Manufactured Home Construction and Safety Standards. Elements of installation and foundation construction not addressed in the Manufactured Home Construction and Safety Standards must be in compliance with the UCC.

(c) A design other than the manufacturer’s approved design may not be utilized in the support, stabilization and assembly of a new manufactured home without authorization of the manufacturer and evaluation and approval by the manufacturer’s DAPIA.

(d) A building code official may not reject a manufacturer’s approved design applicable to a particular home for any reason, including, but not limited to, the fact that the material was not reviewed, approved, sealed or certified by an engineer, architect or similar person licensed in this Commonwealth. If a building code official believes a manufacturer’s approved design was approved by a DAPIA in error, or questions the validity of a manufacturer’s approved design, the building code official may contact the Department, which will investigate the matter.

The provisions of this § 149.3 amended under section 5 of the Manufactured Housing Improvement Act (35 P. S. § 1658.5).

The provisions of this § 149.3 amended January 24, 2014, effective March 26, 2014, 44 Pa.B. 488. Immediately preceding text appears at serial page (320229).

This section cited in 12 Pa. Code § 149.3a (relating to installation and construction standards for relocated manufactured homes); and 12 Pa. Code § 149.6 (relating to Certificate of Compliance).

History

  • Authority: The provisions of this § 149.6 amended under section 5 of the Manufactured Housing Improvement Act (35 P. S. § 1658.5).
  • Source: The provisions of this § 149.6 amended January 24, 2014, effective March 26, 2014, 44 Pa.B. 488. Immediately preceding text appears at serial pages (320231) to (320232).
12 Pa. Code § 149.3a Installation and construction standards for relocated manufactured homes.

(a) The following installation standards for relocated manufactured homes are acceptable:

(1) The installation standard established under § 149.3 (relating to installation standard for new manufactured homes).

(2) When the installation standard required under § 149.3(a) is not available for the installation of a relocated manufactured home, the following may be utilized as an acceptable alternative:

(i) Pennsylvania Installation Guidelines for Relocated Manufactured Homes published by the Department.

(ii) Option A, B and D of the Pennsylvania Field Guide: Foundation Systems for Relocated Manufactured Housing published by the Pennsylvania Housing Research/Resource Center at the Pennsylvania State University.

(iii) In land lease communities, Option C of the Pennsylvania Field Guide: Foundation Systems for Relocated Manufactured Housing published by the Pennsylvania Housing Research/Resource Center at the Pennsylvania State University.

(3) The Department may develop and publish criteria that may be used to evaluate the adequacy of foundations already existing in land lease communities for the installation of relocated manufactured homes.

(b) The Pennsylvania Habitability Guide for Relocated Manufactured Homes shall be utilized to determine if a manufactured home remains in compliance with the Manufactured Home Construction and Safety Standards to which it was originally designed and constructed. The Habitability Guide Checklist shall be completed and submitted to the building code official as a part of the building permit process.

The provisions of this § 149.3a adopted January 24, 2014, effective March 26, 2014, 44 Pa.B. 488.

This section cited in 12 Pa. Code § 149.6 (relating to Certificate of Compliance).

History

  • Authority: The provisions of this § 149.6 amended under section 5 of the Manufactured Housing Improvement Act (35 P. S. § 1658.5).
  • Source: The provisions of this § 149.6 amended January 24, 2014, effective March 26, 2014, 44 Pa.B. 488. Immediately preceding text appears at serial pages (320231) to (320232).
12 Pa. Code § 149.4 Installer training and certification.

(a) Training.

(1) The Department will develop or designate acceptable training curricula for individuals seeking certification as an installer. The Department will annually review the training curricula.

(2) Those desiring to provide training should submit an application to the Department. The application must contain the application fee, and the proposed curriculum. During the application evaluation process, the Department may request the submission of additional information from those desiring to provide training.

(3) Upon approval of a training curriculum, a training provider shall coordinate the scheduling of courses with the Department. Upon completion of each course, a training provider shall submit to the Department a list of course participants and the required fee, established in § 149.7 (relating to fees), for each participant. A training provider shall indicate on the list of course participants which participants successfully completed the course.

(4) The Department will publish annually a list of approved curriculum in the Pennsylvania Bulletin. Individuals seeking certification as an installer may also contact the Department to obtain a listing of the approved curriculum.

(b) Certification.

(1) Individuals seeking certification as an installer shall successfully complete the designated training curriculum; provide evidence of the successful completion of the designated training curriculum at the time of application; and pay the required fee, established in § 149.7, to the Department. Application shall be made on a form provided by the Department. An individual does not qualify as and may not represent himself to be an installer until the individual has received written certification from the Department.

(2) Certification as an installer is valid for 1 year from the date of issuance by the Department. Installers shall reapply for certification each year.

(3) An installer is required to successfully complete a specified training curriculum at least every 3 years.

(4) A person who has successfully completed a training curriculum approved by the Department as described in subsection (a), prior to June 24, 2006, may apply for certification as an installer in the manner provided in this section without successfully completing an additional training curriculum. However, if the training curriculum was successfully completed more than 2 years before June 24, 2006, the applicant has 12 months to comply with subparagraph (3).

This section cited in 12 Pa. Code § 149.6 (relating to Certificate of Compliance).

History

  • Authority: The provisions of this § 149.6 amended under section 5 of the Manufactured Housing Improvement Act (35 P. S. § 1658.5).
  • Source: The provisions of this § 149.6 amended January 24, 2014, effective March 26, 2014, 44 Pa.B. 488. Immediately preceding text appears at serial pages (320231) to (320232).
12 Pa. Code § 149.5 Building code official training.

(a) The Department will develop or designate acceptable workshops and training programs for those persons that inspect the installation of manufactured homes. The Department will annually review the content of the workshops or training programs.

(b) Those desiring to provide training should submit an application to the Department. The application must contain the proposed elements that address Manufactured Housing. During the application evaluation process, the Department may request the submission of additional information from those desiring to provide training.

(c) Upon approval of a workshop or training program, a training provider shall coordinate the scheduling of workshops or training programs. Upon completion of each workshop or training program, a training provider shall submit to the Department a list of workshop or training program participants. A training provider shall indicate on the list of workshop or training program participants which participants successfully completed the workshop or training program. A training provider shall provide each participant who successfully completed the workshop or training program with a written certificate signed by the training provider. The written certificate must specify the title of the workshop or training program and the date of successful completion.

(d) The Department will publish annually a list of approved workshops and training programs in the Pennsylvania Bulletin. Building code officials may also contact the Department to obtain a listing of approved workshops and training programs.

(e) Building code officials who inspect the installation of manufactured homes shall successfully complete a workshop or training program approved by the Department and shall do so every 3 years to continue inspecting the installation of manufactured homes.

(f) The Department will accept a copy of a written certificate signed by the training provider as evidence that the building code official successfully completed a workshop or training program required under subsection (e).

The provisions of this § 149.5 amended under section 5 of the Manufactured Housing Improvement Act (35 P. S. § 1658.5).

The provisions of this § 149.5 amended January 24, 2014, effective March 26, 2014, 44 Pa.B. 488. Immediately preceding text appears at serial page (320231).

History

  • Authority: The provisions of this § 149.6 amended under section 5 of the Manufactured Housing Improvement Act (35 P. S. § 1658.5).
  • Source: The provisions of this § 149.6 amended January 24, 2014, effective March 26, 2014, 44 Pa.B. 488. Immediately preceding text appears at serial pages (320231) to (320232).
12 Pa. Code § 149.6 Certificate of Compliance.

(a) Upon completion of the installation of a manufactured home, an installer shall complete a Certificate of Compliance. A Certificate of Compliance may only reference items that are addressed in § 149.3 or § 149.3a (relating to installation standard for new manufactured homes; and installation and construction standards for relocated manufactured homes), as applicable.

(b) Within 5 calendar days of completion of the installation of a manufactured home, the installer of the manufactured home shall forward the completed Certificate of Compliance to the Department and the appropriate building code official. The duty to certify to the Department does not apply to relocated manufactured homes.

(c) A building code official may not issue a certificate of occupancy for a manufactured home until he has received a completed copy of the Certificate of Compliance.

(d) The installer of a manufactured home shall attach the original completed Certificate of Compliance to the installation instructions or other documents that must remain with the home or hand deliver the Certificate of Compliance and the installation instructions to the purchaser.

(e) If the manufacturer or retailer has not agreed in writing to be responsible to the purchaser for the installation of the new manufactured home prior to the execution of the sales documents, the manufacturer or retailer shall provide the purchaser with a written statement that the home shall be installed as described in § 149.3(b) and (c), and that the Certificate of Compliance shall be completed and signed by an installer certified under § 149.4(b) (relating to installer training and certification). At that same time, the manufacturer or retailer shall provide the purchaser with a list of installers known to him or obtained from the Department. By providing the list, the manufacturer or retailer does not warrant the quality of the installers’ work, nor is the purchaser under any obligation to use any particular installer.

The provisions of this § 149.6 amended under section 5 of the Manufactured Housing Improvement Act (35 P. S. § 1658.5).

The provisions of this § 149.6 amended January 24, 2014, effective March 26, 2014, 44 Pa.B. 488. Immediately preceding text appears at serial pages (320231) to (320232).

History

  • Authority: The provisions of this § 149.6 amended under section 5 of the Manufactured Housing Improvement Act (35 P. S. § 1658.5).
  • Source: The provisions of this § 149.6 amended January 24, 2014, effective March 26, 2014, 44 Pa.B. 488. Immediately preceding text appears at serial pages (320231) to (320232).
12 Pa. Code § 149.7 Fees.

(a) The Department will charge training providers a fee for each:

(1) Curriculum evaluated by the Department payable upon submission of the application.

(2) Person registered to participate in an approved training curriculum.

(b) The Department will charge installers an annual fee for the issuance of an individual installer certification.

(c) The Department will establish the fee rates by publication of a notice in the Pennsylvania Bulletin.

This section cited in 12 Pa. Code § 149.4 (relating to installer training and certification).

History

  • Authority: The provisions of this § 149.6 amended under section 5 of the Manufactured Housing Improvement Act (35 P. S. § 1658.5).
  • Source: The provisions of this § 149.6 amended January 24, 2014, effective March 26, 2014, 44 Pa.B. 488. Immediately preceding text appears at serial pages (320231) to (320232).
12 Pa. Code § 149.8 Penalties.

(a) General.

(1) The Department may suspend or revoke the certification of any person who violates the provisions of the act or this chapter or for whom the Department receives:

(i) Homeowner complaints.

(ii) Complaints from building code officials regarding performance of duties.

(iii) Evidence of a conviction of moral turpitude or similar crime.

(iv) Information that indicates a repeated failure to properly install manufactured homes.

(v) Evidence of fraud.

(vi) Evidence of loss of licensure or certification issued by another state or HUD.

(vii) Evidence of a violation of the Manufactured Home Procedural and Enforcement Regulations.

(2) Persons who wish to lodge a complaint with the Department may do so by any means of communication. If the complaint is made verbally, it must be followed up in writing. Before the Department suspends or revokes a certification, the Department will provide written notification to the certified person. The Department will specify in the notification the reason for the suspension or revocation and a time and place for a hearing on the matter, to be held within thirty days of notification.

(b) Prior to the issuance of written notification of suspension or revocation to the certified person, the Department may issue written warnings to the certified person. Written warnings will specify the alleged violations and may include a request for a written response to the allegations set forth in the written warnings from the certified person.

(c) Additionally, the Department may impose a civil penalty of up to $1,000 per violation, not to exceed $1,000,000 in the aggregate, on any person who violates the provisions of the act or this chapter. The Department may impose the penalty only after affording the accused party the opportunity for a hearing, as provided in 2 Pa.C.S. (relating to administrative law and procedure).

History

  • Authority: The provisions of this § 149.6 amended under section 5 of the Manufactured Housing Improvement Act (35 P. S. § 1658.5).
  • Source: The provisions of this § 149.6 amended January 24, 2014, effective March 26, 2014, 44 Pa.B. 488. Immediately preceding text appears at serial pages (320231) to (320232).

Chapter 151 Local Earned Income Tax

12 Pa. Code § 151.1 Definitions.

The following words and terms, when used in this chapter, have the following meanings, unless the context clearly indicates otherwise: Act—The Local Tax Enabling Act (53 P.S. § § 6924.101—6924.901). Out-of-State employer—An employer that does not have a place of business in this Commonwealth. An employer is not an out-of-State employer if the employer has a place of business in this Commonwealth even if the employer’s primary business operations occur out of State.

History

  • Authority: The provisions of this Chapter 151 issued under Chapter 5 of The Local Tax Enabling Act (53 P.S. § § 6924.501—6924.517), unless otherwise noted.
  • Source: The provisions of this Chapter 151 adopted August 31, 2018, effective September 1, 2018, 48 Pa.B. 5457, unless otherwise noted.
12 Pa. Code § 151.2 Procedures for filing adjusted declarations of estimated net profits.

Under section 502(c)(2)(iv) of the act (53 P.S. § 6924.502(c)(2)(iv)), every taxpayer who has filed the declaration of taxpayer’s estimated net profits required under section 502(c) of the act and who anticipates additional net profits not previously declared or has overestimated anticipated net profits shall file, on or before April 15 of the current year, July 15 of the current year, October 15 of the current year or January 15 of the succeeding year, whichever date next follows the date on which the taxpayer first anticipates the change in antici-pated net profits, an adjusted declaration of estimated net profits and pay to the resident tax officer on or before the quarterly payment dates that remain after the filing of the adjusted declaration, beginning with the quarterly payment date in which the adjusted declaration is filed, equal installments of the tax due as reported on the adjusted declaration of estimated net profits.

History

  • Authority: The provisions of this Chapter 151 issued under Chapter 5 of The Local Tax Enabling Act (53 P.S. § § 6924.501—6924.517), unless otherwise noted.
  • Source: The provisions of this Chapter 151 adopted August 31, 2018, effective September 1, 2018, 48 Pa.B. 5457, unless otherwise noted.
12 Pa. Code § 151.3 Procedures for filing taxable income not subject to withholding.

Under section 502(c)(3) of the act (53 P.S. § 6924.502(c)(3)), every taxpayer who receives other taxable income not subject to withholding under section 512(3) of the act (53 P.S. § 6924.512(3)) shall make and file with the resident tax officer a quarterly return on or before April 15 of the current year, July 15 of the current year, October 15 of the current year and January 15 of the succeeding year setting forth the aggregate amount of actual or estimated taxable income not subject to withholding attributable to the taxpayer during the 3-month periods ending March 31 of the current year, June 30 of the current year, September 30 of the current year and December 31 of the current year, respectively, and subject to income tax, together with the source, nature, anticipated frequency and location of the taxable income. Every taxpayer filing a return shall, at the time of filing the return, pay to the resident tax officer the amount of income tax due or estimated to be due. The tax officer may waive the requirement to file a quarterly return and payment of income tax when the taxable income is received on less than a quarterly frequency or is anticipated to be an aggregate amount of less than $12,000 annually.

History

  • Authority: The provisions of this Chapter 151 issued under Chapter 5 of The Local Tax Enabling Act (53 P.S. § § 6924.501—6924.517), unless otherwise noted.
  • Source: The provisions of this Chapter 151 adopted August 31, 2018, effective September 1, 2018, 48 Pa.B. 5457, unless otherwise noted.
12 Pa. Code § 151.4 Filing of estimated tax by taxpayers whose major source of gross income is from farming.

Under section 502(d) of the act (53 P.S. § 6924.502(d)), a declaration of estimated tax of an individual having an estimated gross income from farming for the taxable year which is at least 2/3 of the individual’s total estimated gross income for the taxable year may be filed at any time on or before January 15 of the succeeding year, but if the individual files a final return and pays the entire tax by March 1, the return may be considered as the individual’s declaration due on or before January 15.

History

  • Authority: The provisions of this Chapter 151 issued under Chapter 5 of The Local Tax Enabling Act (53 P.S. § § 6924.501—6924.517), unless otherwise noted.
  • Source: The provisions of this Chapter 151 adopted August 31, 2018, effective September 1, 2018, 48 Pa.B. 5457, unless otherwise noted.
12 Pa. Code § 151.5 Refunds.

A tax officer shall refund overpayment of taxes to the taxpayer in accordance with 53 Pa.C.S. § § 8421—8438 (relating to Local Taxpayers Bill of Rights Act).

History

  • Authority: The provisions of this Chapter 151 issued under Chapter 5 of The Local Tax Enabling Act (53 P.S. § § 6924.501—6924.517), unless otherwise noted.
  • Source: The provisions of this Chapter 151 adopted August 31, 2018, effective September 1, 2018, 48 Pa.B. 5457, unless otherwise noted.
12 Pa. Code § 151.6 Publication of a Policy and Procedure Manual.

The Department will develop and post on its web site a Policy and Procedure Manual. The Department will update the Policy and Procedure Manual on an annual basis. The Department’s web site includes a library of standardized forms, reports, notices, returns and schedules developed in consultation with the Department of Revenue to be utilized by the local governments and the regulated community. The Department’s previously-referenced web site is available at http://dced.pa.gov/local-government/local-income-tax-information.

History

  • Authority: The provisions of this Chapter 151 issued under Chapter 5 of The Local Tax Enabling Act (53 P.S. § § 6924.501—6924.517), unless otherwise noted.
  • Source: The provisions of this Chapter 151 adopted August 31, 2018, effective September 1, 2018, 48 Pa.B. 5457, unless otherwise noted.
12 Pa. Code § 151.11 Registration of employers.

(a) Under section 512(a)(1) of the act (53 P.S. § 6924.512(a)(1)), if an employer has a place of business within a tax collection district and employs one or more persons, other than domestic servants, for compensation, the employer shall register with the tax officer for that tax collection district within 15 days after becoming an employer.

(b) An employer shall collect and maintain the information as required under section 512 of the act. An employer shall require each new employee to complete a Local Earned Income Taxpayer Residency Certification form as provided by the Department to help identify the political subdivision where an employee is domiciled and employed. Additionally, an employer shall require each current employee who establishes a new address or domicile to complete the Local Earned Income Taxpayer Residency Certification form. The employer shall retain residency information provided by the employee and, upon request, provide this information to the tax officer to reconcile, correct or otherwise confirm the political subdivision information for the employee.

History

  • Authority: The provisions of this Chapter 151 issued under Chapter 5 of The Local Tax Enabling Act (53 P.S. § § 6924.501—6924.517), unless otherwise noted.
  • Source: The provisions of this Chapter 151 adopted August 31, 2018, effective September 1, 2018, 48 Pa.B. 5457, unless otherwise noted.
12 Pa. Code § 151.12 Voluntary withholding for resident employees employed outside of a tax collection district.

Under section 512 of the act (53 P.S. § 6924.512), an out-of-State employer who employs a resident of this Commonwealth at a work location outside of this Commonwealth is not required to withhold the local earned income tax. An out-of-State employer may voluntarily agree with the employee to withhold and remit the tax along with the appropriate forms to the tax officer of the tax collection district in which the employee resides. Every employer having a place of business within a tax collection district and employing one or more persons, other than domestic servants, shall withhold the greater of the employee’s resident tax or the employee’s nonresident tax.

History

  • Authority: The provisions of this Chapter 151 issued under Chapter 5 of The Local Tax Enabling Act (53 P.S. § § 6924.501—6924.517), unless otherwise noted.
  • Source: The provisions of this Chapter 151 adopted August 31, 2018, effective September 1, 2018, 48 Pa.B. 5457, unless otherwise noted.
12 Pa. Code § 151.13 Elective filing and remittance by multiwork location employers.

Under section 512(a)(5) of the act (53 P.S. § 6924.512(a)(5)), an employer with more than one place of business in more than one tax collection district may elect to remit the tax withheld from all of its employees in all of its work locations in this Commonwealth for the preceding month and file, on or before the last day of the month succeeding the month for which the return under section 512(a)(4) of the act is due, one single combined monthly return as follows:

(1) To be eligible to file combined returns and make combined payments, the employer shall file:

(i) A notice of its intention to file combined returns and make combined payments with the tax officer for each place of employment at least 1 month prior to filing its first combined return or making its first combined payment.

(ii) Its combined return and remit its combined payment electronically on a monthly, rather than quarterly, basis.

(2) An employer with payroll operations located within one tax collection district shall file the combined return and remittance of earned income taxes withheld to the tax officer in that tax collection district. An employer with payroll operations located within more than one tax collection district shall file the combined return and remittance of earned income taxes withheld to the tax officer of any tax collection district in which any of the employer’s payroll operations are located. If the tax officer declines in writing to receive the combined filing, the employer may choose to file a combined return with any tax officer in a tax collection district where the employer maintains a place of business employing one or more employees.

(3) An eligible employer’s election to file combined returns and make combined payments does not alter an employee’s workplace for purposes of nonresident tax liability.

(4) An employer may not select a tax officer to receive combined tax returns and remittances more frequently than on a tax year basis. The selection of a tax officer shall be made at the time of filing the tax return.

(5) If an employer outsources payroll functions to a payroll processing company, the employer’s place of business that forwards payroll data to the company is deemed the employer’s payroll operations location. The location of the payroll processing company is not the employer’s payroll operations location.

History

  • Authority: The provisions of this Chapter 151 issued under Chapter 5 of The Local Tax Enabling Act (53 P.S. § § 6924.501—6924.517), unless otherwise noted.
  • Source: The provisions of this Chapter 151 adopted August 31, 2018, effective September 1, 2018, 48 Pa.B. 5457, unless otherwise noted.
12 Pa. Code § 151.21 Mandatory education for tax officers.

(a) Initial certification. Persons and entities seeking appointment as tax officers shall take and achieve a passing grade of 70% or above on the initial certification exam given by or on behalf of the Department.

(b) Continuing certification. Persons and entities seeking to maintain appointments as tax officers shall take and achieve a passing grade of 70% or above on the annual continuing certification exam given by or on behalf of the Department.

This section cited in 12 Pa. Code § 151.23 (relating to duties of a tax collection committee in selecting a tax officer); and 12 Pa. Code § 151.24 (relating to duties of an appointed tax officer).

History

  • Authority: The provisions of this Chapter 151 issued under Chapter 5 of The Local Tax Enabling Act (53 P.S. § § 6924.501—6924.517), unless otherwise noted.
  • Source: The provisions of this Chapter 151 adopted August 31, 2018, effective September 1, 2018, 48 Pa.B. 5457, unless otherwise noted.
12 Pa. Code § 151.22 Minimum number of persons required to receive mandatory education and meet the qualifications and requirements for tax officers.

A tax officer or a person or entity seeking appointment as a tax officer shall designate at least one person for every five counties for which the tax officer has been named a tax officer to satisfy the mandatory education requirements under section 508(e) of the act (53 P.S. § 6924.508(e)) and meet the qualifications and requirements for tax officers under this chapter. A tax officer may designate itself to satisfy this requirement. If the tax officer is an entity rather than a natural person, the tax officer shall appoint one natural person employed by the tax officer for every five counties served by the tax officer.

This section cited in 12 Pa. Code § 151.23 (relating to duties of a tax collection committee in selecting a tax officer); and 12 Pa. Code § 151.24 (relating to duties of an appointed tax officer).

History

  • Authority: The provisions of this Chapter 151 issued under Chapter 5 of The Local Tax Enabling Act (53 P.S. § § 6924.501—6924.517), unless otherwise noted.
  • Source: The provisions of this Chapter 151 adopted August 31, 2018, effective September 1, 2018, 48 Pa.B. 5457, unless otherwise noted.
12 Pa. Code § 151.23 Duties of a tax collection committee in selecting a tax officer.

Before appointing or reappointing a tax officer for any tax collection district, a tax collection committee shall:

(1) Verify that the proposed tax officer meets the following requirements:

(i) Has undergone a SSAE 16 audit (or other fiscal control audit meeting or exceeding SSAE 16 audit standards and approved by the Department in writing) at least once in the last 2 years.

(ii) Has certified with the tax collection committee that it does not use a third party to process employer or individual taxpayer tax returns.

(iii) Has demonstrated timely earned income tax distributions if the tax officer already serves as a tax officer for another tax collection committee.

(iv) Has disclosed in writing any claim, including, but not limited to, litigation filed in either state or Federal court, brought by a municipality, school district, tax collection committee or other tax officer against the tax officer or its insurer regarding the collection or distribution of earned income taxes.

(v) Meets the requirements of § § 151.21 and 151.22 (relating to mandatory education for tax officers; and minimum number of persons required to receive mandatory education and meet the qualifications and requirements for tax officers).

(vi) Has not been convicted of a felony involving fraud, extortion or dishonesty in any jurisdiction.

(vii) Has not engaged in conduct which significantly adversely reflects on the proposed tax officer’s credibility, honesty or integrity.

(viii) Is able to attain the bond required under section 509(d) of the act (53 P.S. § 6924.509(d)).

(2) Receive a minimum of five positive references for the tax officer. The references shall be contacted independently by the tax collection committee and may be provided by the tax officer.

(3) Conduct at least one onsite visit to the office of the tax officer prior to selecting the tax officer. A minimum of three tax collection committee delegates shall attend the onsite visit.

(4) Include in the agreement between the tax collection committee and the tax officer a termination clause that allows the tax collection committee to terminate the agreement if the tax officer fails to meet the requirements of this section. The termination clause must provide that the tax collection committee shall terminate the agreement no later than 30 days after it provides written notice to the tax officer that the tax officer has failed to comply with the requirements of this section and the tax officer has failed to cure the noncompliance within the 30-day notice period.

This section cited in 12 Pa. Code § 151.24 (relating to duties of an appointed tax officer).

History

  • Authority: The provisions of this Chapter 151 issued under Chapter 5 of The Local Tax Enabling Act (53 P.S. § § 6924.501—6924.517), unless otherwise noted.
  • Source: The provisions of this Chapter 151 adopted August 31, 2018, effective September 1, 2018, 48 Pa.B. 5457, unless otherwise noted.
12 Pa. Code § 151.24 Duties of an appointed tax officer.

A tax officer shall notify the Department and all the tax collection committees for which it collects taxes if it fails to continually meet the requirements of § § 151.21—151.23 (relating to mandatory education for tax officers; minimum number of persons required to receive mandatory education and meet the qualifications and requirements for tax officers; and duties of a tax collection committee in selecting a tax officer). Failure of the tax officer to comply with this section may result in the tax officer losing its certification.

History

  • Authority: The provisions of this Chapter 151 issued under Chapter 5 of The Local Tax Enabling Act (53 P.S. § § 6924.501—6924.517), unless otherwise noted.
  • Source: The provisions of this Chapter 151 adopted August 31, 2018, effective September 1, 2018, 48 Pa.B. 5457, unless otherwise noted.
12 Pa. Code § 151.25 Point of contact for a tax collection committee.

Each tax collection committee shall identify to the Department a point of contact who is available during normal business hours. The point of contact does not need to be a delegate of the tax collection committee. Each tax collection committee shall provide the point of contact’s phone number, e-mail address and physical address. The tax collection committee shall notify the Department if the point of contact changes.

History

  • Authority: The provisions of this Chapter 151 issued under Chapter 5 of The Local Tax Enabling Act (53 P.S. § § 6924.501—6924.517), unless otherwise noted.
  • Source: The provisions of this Chapter 151 adopted August 31, 2018, effective September 1, 2018, 48 Pa.B. 5457, unless otherwise noted.
12 Pa. Code § 151.26 Bond amount for tax officers.

(a) Section 509(d) of the act (53 P.S. § 6924.509(d)) requires that tax collection committee shall fix the amount of the bond in an amount equal to the maximum amount of taxes that may be held in the possession of the tax officer at any given time or an amount sufficient, in combination with fiscal controls, insurance, and other risk management and loss prevention measures used by the tax collection district, to secure the financial responsibility of the tax officer.

(b) When a tax collection committee agrees to a bond amount less than the maximum amount of taxes that may be held in the possession of the tax officer at any given time, the tax collection committee shall do so by resolution. The tax collection committee shall expressly indicate in the resolution the reasons why it has agreed to a lesser bond amount.

History

  • Authority: The provisions of this Chapter 151 issued under Chapter 5 of The Local Tax Enabling Act (53 P.S. § § 6924.501—6924.517), unless otherwise noted.
  • Source: The provisions of this Chapter 151 adopted August 31, 2018, effective September 1, 2018, 48 Pa.B. 5457, unless otherwise noted.
12 Pa. Code § 151.41 Rules for mediation.

The following practices and procedures for mediation apply.

(1) One or more affected political subdivisions shall give written notice to the tax collection committee and the Department of the desire to submit the disputed matter to mediation by the Department. Thereafter, the political subdivision, tax collection committee and tax officer shall mediate in accordance with this section.

(i) Only a political subdivision may initiate a mediation request.

(ii) A political subdivision shall send the notice by regular mail.

(iii) The notice must include a statement indicating whether or not the dispute is subject to mandatory mediation. If a dispute involves a 10% or greater deviation from taxes received in the previous tax year, the parties are subject to mandatory mediation. If a dispute involves less than the 10% threshold, the parties may agree to undergo voluntary mediation in accordance with this section.

(2) Upon receipt of the notice, the Department will provide a copy of the notice to the tax officer. Within 20 days of the submission of the notice, the political subdivision, tax collection committee and tax officer shall each submit a written statement, not exceeding five pages, to the Department and the affected parties stating their positions as to the disputed and undisputed facts and issues in the case and whether prior settlement negotiations have occurred. The Department may decline to consider any information within a statement filed after the 20-day deadline.

(3) Within 30 days of the Department’s receipt of the notice, the Department will determine whether the dispute meets the threshold conditions for mandatory mediation set forth in paragraph (1)(iii).

(i) If the issue being mediated is the same for more than one political subdivision, the political subdivisions shall combine their notices into one notice, which may not exceed five pages.

(ii) The Department’s determination is final and not subject to appeal.

(iii) The Department will provide written notice of its determination to all affected parties within 5 days of its determination. The Department may provide the notice by e-mail, if available.

(iv) The Department will assess a fee to cover costs incurred by the Department in reviewing the mediation notice submitted by the political subdivision and the responses thereto. The Department will equitably apportion the costs among the affected parties by assessing each affected party only for the costs incurred by the Department when reviewing that particular affected party’s notice and written statements. If two or more affected parties file a joint statement or notice, the costs incurred by the Department for reviewing the joint filing will be equally divided among those jointly-filing affected parties. The Department will notify the parties in writing of the fee assessment. The fee is not refundable and not subject to appeal. The parties shall pay their assessed portion of the fee by check within 30 days of notification of assessment by the Department.

(4) If the Department determines that the dispute requires mandatory mediation, the Department will refer the matter to the Pennsylvania Office of General Counsel Dispute Resolution Coordinator simultaneously with the written notice provided under paragraph (3)(iii). The coordinator will appoint an Office of General Counsel mediator to mediate the dispute. The selection of the mediator is final and not subject to appeal. The mediator will seek the parties’ mutual agreement to extend the time period for mediation if the mediator and the Department believe that the extension may be necessary. The mediator will complete the mediation no later than 30 days following the Department’s written notice provided in paragraph (3)(iii) unless the time period is extended by the mutual agreement of the parties to the mediation. Except as otherwise provided in this section, the mediation will be conducted under the rules in the Office of General Counsel Mediation Handbook. If the mediator incurs costs or imposes other mediation fees upon the parties, the costs or fees, or both, will be equitably assessed. The assessment is final and not subject to appeal.

(i) The parties shall participate in the mediation in good faith. The parties shall have an official authorized to settle the matter on their behalf available at the mediation. The mediator may require a party that fails to participate in good faith to pay all the costs of the mediation.

(ii) The mediator may request that Department personnel be present for all or a portion of the mediation.

(5) If the Department determines that the dispute involves voluntary mediation, all parties involved in the mediation, including the Department, may agree to mediate the issue through the Pennsylvania Office of General Counsel Dispute Resolution Program. The agreement to voluntarily mediate shall be made within 5 days of the Department’s written notice provided in paragraph (3)(iii). Upon agreement by the parties to voluntary mediation, the Department will immediately refer the matter to the Office of General Counsel Dispute Resolution Coordinator. The coordinator will appoint a mediator to mediate the matter. The selection of the mediator is final and not subject to appeal. The mediator will seek the parties’ mutual agreement to extend the time period for mediation if the mediator and the Department believe that the extension may be necessary. The mediator will complete the mediation no later than 30 days following the agreement by the parties to mediate the issue unless the time period is extended by the mutual agreement of the parties to the mediation. Except as otherwise provided in this section, the mediation will be conducted under the rules in the Office of General Counsel Mediation Handbook. If the mediator incurs costs or imposes other mediation fees upon the affected parties, the costs or fees, or both, will be equitably assessed. The cost assessment is final and not subject to appeal.

(i) The parties shall participate in the mediation in good faith. The parties shall have an official authorized to settle the matter on their behalf available at the mediation. The mediator may require a party that fails to participate in good faith to pay all the costs of the mediation.

(ii) The mediator may request that Department personnel be present for all or a portion of the mediation.

(6) Mediation sessions are closed to the public and are not subject to the requirements of 65 Pa.C.S. Chapter 7 (relating to Sunshine Act).

(7) Offers or settlements made in a mediation session, excluding the final written settlement agreement, are not admissible as evidence in subsequent judicial or administrative proceedings in accordance with 42 Pa.C.S. § 5949 (relating to confidential mediation communications and documents).

(8) If a settlement is reached during the mediation, the Department will prepare a written settlement agreement and obtain all necessary signatures within 30 days of the agreement of the parties to settle the issue. The settlement agreement is binding upon the parties to the agreement. The settlement agreement is subject to the Right-to-Know Law (65 P.S. § § 67.101—67.3104). The agreement is admissible as evidence in subsequent judicial or administrative proceedings in accordance with the Pennsylvania Rules of Court, the Pennsylvania Rules of Evidence and 42 Pa.C.S. § 5949.

(9) If the mediation does not result in a written agreement signed by the parties as provided in paragraph (8), the mediation is deemed unsuccessful unless all parties and the Department agree in writing to extend the mediation. The mediator may determine that the mediation is unsuccessful and terminate the mediation if the parties have not executed a settlement agreement by the ending date of the extension or of any further extension agreed upon by the affected parties and the mediator.

History

  • Authority: The provisions of this Chapter 151 issued under Chapter 5 of The Local Tax Enabling Act (53 P.S. § § 6924.501—6924.517), unless otherwise noted.
  • Source: The provisions of this Chapter 151 adopted August 31, 2018, effective September 1, 2018, 48 Pa.B. 5457, unless otherwise noted.
12 Pa. Code § 151.51 Procurement of goods and services—general rule.

Tax collection committees shall procure goods and services in accordance with section 1802 of The County Code (16 P.S. § 1802) through competitive sealed bids. References in section 1802 of The County Code to county officials shall be deemed to refer to a designated procurement officer of the tax collection committee.

History

  • Authority: The provisions of this Chapter 151 issued under Chapter 5 of The Local Tax Enabling Act (53 P.S. § § 6924.501—6924.517), unless otherwise noted.
  • Source: The provisions of this Chapter 151 adopted August 31, 2018, effective September 1, 2018, 48 Pa.B. 5457, unless otherwise noted.
12 Pa. Code § 151.61 Withdrawal and establishment of a new tax collection committee.

(a) Resolution to withdraw. Under section 505(m) of the act (53 P.S. § 6924.505(m)), a political subdivision governed by a tax collection committee established under section 505(m) of the act may, within the 90-day period ending November 15, 2013, and November 15 every fourth year thereafter, adopt and file with the Department and the tax collection committee a resolution evidencing its desire to withdraw from governance by the tax collection committee as of January 1 of the second succeeding calendar year. If a majority of the governing bodies of the political subdivisions adopt resolutions evidencing a desire to withdraw, a new tax collection committee shall be established in accordance with the following:

(1) The establishment of a new tax collection committee may not alter the geographic boundaries or the political subdivisions of the tax collection district.

(2) The old tax collection committee shall stay in effect through December 31 of the first succeeding calendar year after the November 15 date to adopt resolutions evidencing a desire to withdraw.

(3) The new tax collection committee shall become effective as of January 1 of the second succeeding calendar year after the November 15 date to adopt resolutions evidencing a desire to withdraw.

(4) Other than the timing requirements as provided for in this section, the new tax collection committee shall have all the obligations, duties and powers and be subject to the quorum and voting rights provisions provided for in Chapter 5 of the act (53 P.S. § § 6924.501—6924.517) and this chapter.

(b) Delegates.

(1) The governing body of each political subdivision within the tax collection district that imposed an income tax prior to July 1 of the same year the November 15 date to adopt resolutions evidencing a desire to withdraw occurs shall appoint one voting delegate and one or more alternates to represent the political subdivision on the new tax collection committee by September 15 of the succeeding calendar year after the November 15 date to adopt resolutions evidencing a desire to withdraw. The governing body of each political subdivision that after June 30 of the same year as the November 15 date to adopt resolutions evidencing a desire to withdraw occurs imposes an income tax for the first time shall appoint one voting delegate and one or more alternates to represent the political subdivision on the tax collection committee. A voting delegate or alternate shall serve at the pleasure of the governing body of the political subdivision.

(2) The governing body of each political subdivision within the tax collection district that prior to July 1 of the same year as the November 15 date to adopt resolutions evidencing a desire to withdraw occurs does not impose an income tax may appoint one nonvoting delegate and one or more alternates to represent the political subdivision on the tax collection committee. If after June 30 of the same year as the November 15 date to adopt resolutions evidencing a desire to withdraw occurs the political subdivision imposes an income tax, the nonvoting delegate shall become a voting delegate to represent the political subdivision on the tax collection committee.

(c) First meeting. The first meeting of the tax collection committee in the tax collection district shall be on or before May 15 of the year subsequent to the November 15 date to adopt resolutions evidencing a desire to withdraw. The chair of the county commissioners or the chief executive of the county in which the tax collection district is primarily located or the chair’s designee shall schedule the first meeting of the tax collection committee and provide, at least 21 days before the meeting, public notice, as required under 65 Pa.C.S. § 703 (relating to definitions), and notice by first class mail by March 15 of the year subsequent to the November 15 date to adopt resolutions evidencing a desire to withdraw to the Department and to the governing body of each political subdivision located in the tax collection district.

(d) Establishment of tax collection committee. The chair of the county commissioners or the chair’s designee or the chief executive of the county or the chief executive’s designee shall convene the first meeting of the tax collection committee, conduct the meeting and record all votes until a chairperson, vice chairperson and secretary are elected by the tax collection committee. The voting delegates of the tax collection committee shall elect a chairperson and a vice chairperson, each of whom shall be duly appointed voting delegates, and a secretary who may be a duly appointed voting delegate. If the secretary is a duly appointed voting delegate, this shall be noted on the record at all meetings. The chairperson shall schedule meetings, set the agenda, conduct meetings, record votes and perform other duties as determined by the tax collection committee. The secretary shall maintain the minutes and records of the tax collection committee and provide notices to each delegate and alternate appointed to the tax collection committee.

(e) Bylaws. Before July 16 of the year subsequent to the November 15 date to adopt resolutions evidencing a desire to withdraw, the delegates of the new tax collection committee shall adopt bylaws to govern the tax collection committee and notify the Department within 30 days of adoption. The Department will provide sample bylaws to the tax collection committee. The tax collection committee shall provide written notice to each delegate and alternate delegate informing each delegate and alternate delegate that the adoption or amendment of bylaws will be considered at a meeting. The written notice must include copies of the proposed bylaws or amendments. The bylaws for each tax collection committee must include:

(1) Rules of procedure, quorum requirements, voting rights and provisions for managing the affairs of the tax collection committee.

(2) A list of officers, their terms and powers, and a process for their election.

(3) Meetings, including special meetings.

(4) The process for adopting and amending bylaws.

(5) The procedure for the addition of new political subdivisions to the tax collection committee.

(f) Election of officers. Upon the election of any new officers, the tax collection committee shall notify the Department within 30 days and shall provide the Department with the name and address of each officer.

(g) Appeals board. By September 30 of the year subsequent to the November 15 date to adopt resolutions evidencing a desire to withdraw, the new tax collection committee shall establish an appeals board under section 505(j) of the act and this chapter.

History

  • Authority: The provisions of this Chapter 151 issued under Chapter 5 of The Local Tax Enabling Act (53 P.S. § § 6924.501—6924.517), unless otherwise noted.
  • Source: The provisions of this Chapter 151 adopted August 31, 2018, effective September 1, 2018, 48 Pa.B. 5457, unless otherwise noted.

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