Subchapter B. INFORMAL PROCEEDINGS
GENERALLY

§ 3.101. Municipal contracts.

 No formal application need accompany municipal contracts filed under section 507 of the act (relating to contracts between public utilities and municipalities), but an executed copy or reproduction copy of the contract and two additional copies shall be filed with the Commission at least 30 days prior to the effective date of the contract.

   The provisions of this §  3.103 reserved October 12, 1984, effective January 1, 1985, 14 Pa.B. 3819. Immediately preceding text appears at serial page (87791).

INFORMAL COMPLAINTS AND INVESTIGATIONS

§ 3.111. Form and content of informal complaints.

 (a)  Informal complaints may be by letter or other writing. No form of informal complaint is suggested, except as set forth in § §  56.162 and 64.152 (relating to informal complaint filing procedures), but in substance the letter or other writing must contain the essential elements of a formal complaint as specified in §  5.22 (relating to contents of formal complaint).

 (b)  Informal complaints shall be submitted to the Secretary for referral to the appropriate bureau, addressed to the following: Pennsylvania Public Utility Commission, Post Office Box 3265, Harrisburg, Pennsylvania 17105-3265.

 (c)  Subsection (a) supersedes 1 Pa. Code §  35.5 (relating to form and content of informal complaints).

   The provisions of this §  3.111 amended under the Public Utility Code, 66 Pa.C.S. § §  501, 504—506, 1301 and 1501.

   The provisions of this §  3.111 adopted October 12, 1984, effective January 1, 1985, 14 Pa.B. 3819; amended January 24, 1997, effective January 25, 1997, 27 Pa.B. 414; amended April 28, 2006, effective April 29, 2006, 36 Pa.B. 2097. Immediately preceding text appears at serial page (252037).

 (a)  Filing. The Secretary will place a copy of an informal complaint related to a docketed matter in the official document folder.

 (b)  Commission staff review.

   (1)  Commission staff will review the informal complaint to determine whether the subject matter is within the Commission’s jurisdiction, except as set forth in Chapters 56 and 64 (relating to standards and billing practices for residential utility service; and standards and billing practices for residential telephone service).

   (2)  Commission staff will evaluate the allegations of the complaint, and, if warranted, institute an informal investigation or informal proceeding.

   (3)  Commission staff may institute formal action with respect to the subject matter of the informal complaint.

 (c)  Commission staff action. Upon the completion of the Commission’s investigation of an informal complaint, the Commission staff will notify the informal complainant of the results of its review and investigation. The submission or withdrawal of an informal complaint is without prejudice to the right of the complainant to file and prosecute a formal complaint.

 (d)  Caveat. The submission of an informal complaint does not entitle complainant to a formal hearing before the Commission.

 (e)  Further action. A staff determination made under this provision is appealable under §  5.44 (relating to petitions for appeal from actions of the staff).

 (f)  Supersession. Subsections (a)—(d) supersede 1 Pa. Code § §  35.6 and 35.7 (relating to correspondence handling of informal complaints; and discontinuance of informal complaints without prejudice).

   The provisions of this §  3.112 amended under the Public Utility Code, 66 Pa.C.S. § §  309—311, 315, 331—335, 501, 504—506, 701—703, 1101—1103, 1301 and 1501.

   The provisions of this §  3.112 adopted October 12, 1984, effective January 1, 1985, 14 Pa.B. 3819; amended December 2, 1988, effective January 3, 1989, 18 Pa.B. 5451; amended January 24, 1997, effective January 25, 1997, 27 Pa.B. 414; amended April 28, 2006, effective April 29, 2006, 36 Pa.B. 2097. Immediately preceding text appears at serial pages (252037) to (252038).

 (a)  The Commission staff may conduct informal investigations or informal proceedings in appropriate circumstances regarding the condition and management of a public utility or other person subject to its jurisdiction. The informal investigations are typically undertaken to gather data or to substantiate allegations of potential violations of the act and may be conducted with or without hearing.

 (b)  Under 65 Pa.C.S. Chapter 7 (relating to Sunshine Act), the Commission’s official actions resolving informal investigations will be as follows:

   (1)  When the Commission staff determines that no violation or potential violation of the act has occurred, the informal investigation will be terminated by letter.

   (2)  When the Commission staff determines that a violation or potential violation of the act has occurred and when formal action is deemed to be warranted, the Commission staff will initiate a docketed on-the-record proceeding to resolve the issues.

   (3)  When the utility, or other person subject to the Commission’s jurisdiction, has committed to undertake action to address or remedy a violation or potential violation of the act or to resolve another perceived deficiency at the utility, in the form of a settlement with the Commission staff or other resolution of the matter, the Commission’s consideration of the settlement or approval of the utility’s action will occur at public meeting. Except for staff reports and other documents covered by a specific legal privilege, documents relied upon by the Commission in reaching its determination shall be made part of the public record. Before the Commission makes a final decision to adopt the settlement or to approve the utility’s action, the Commission will provide other potentially affected persons with the opportunity to submit exceptions thereon or to take other action provided for under law.

   The provisions of this §  3.113 amended under the Public Utility Code, 66 Pa.C.S. § §  501, 504—506, 1301 and 1501.

   The provisions of this §  3.163 adopted July 15, 1983, effective July 16, 1983, 13 Pa.B. 2199; reserved January 24, 1997, effective January 25, 1997, 27 Pa.B. 414. Immediately preceding text appears at serial pages (132525) to (132526).

   The provisions of this §  3.321 reserved October 12, 1984, effective January 1, 1985, 14 Pa.B. 3819. Immediately preceding text appears at serial pages (85896) and (80580).