Section 11.10. Docketing statements

(a) The Department is authorized by section 134 of the code (relating to docketing statement) to prescribe by regulation one or more official docketing statement forms designed to elicit from a person effecting a filing under the code and related legislation information that the Department has found to be necessary or desirable in connection with the processing of a submittal. The code provides that a form of docketing statement:

(1) Shall be published in the Pennsylvania Code. See § § 13.12 and 13.51 (relating to docketing statements; and official forms).

(2) May not be integrated into a single document covering the requirements of the submittal and its related docketing statement.

(3) May be required by the Department in connection with a submittal only if notice of the requirement appears on the official format for the submittal published in this subpart.

(4) May not be required to be submitted on Department furnished forms.

(5) May not constitute a document filed in, with or by the Department for the purposes of this title or another provision of law except 18 Pa.C.S. § 4904 (relating to unsworn falsification to authorities).

(b) The Department will note the fact and date of the filing of articles of incorporation, consolidation, merger, division, conversion or domestication or certificate of election or issuance of the certificate of authority, as the case may be, upon the docketing statement and will transmit a copy of it to the Department of Revenue.

(c) If the docketing statement delivered to the Department sets forth a kind of business in which a corporation, partnership or other association may not engage without the approval of or a license from a department, board or commission of the Commonwealth, the Department will, upon the filing of articles of incorporation, consolidation, division or domestication or certificate of election or issuance of the certificate of authority, promptly transmit a copy of the docketing statement to each department, board or commission.

(d) A docketing statement will not become a part of the ‘‘articles’’ under section 1103 of the BCL (relating to definitions) or section 5103 of the NPCL (relating to definitions) or the ‘‘certificate of limited partnership’’ under section 8503 of the RULPA (relating to definitions) since it is not:

(1) A document filed under Part II of the code (relating to corporations) or Chapter 85 of the code (relating to limited partnerships).

(2) Listed with documents filed under sections 108 and 138 of the code (relating to change in location or status of registered office provided by agent; and statement of correction) in the definitions of ‘‘articles’’ and ‘‘certificate of limited partnership’’ in section 1103 of the BCL, section 5103 of the NPCL and 8503 of RULPA, respectively.

The provisions of this § 11.10 adopted April 17, 1992, effective April 18, 1992, 22 Pa.B. 1993.

Notation

Cross References

This section cited in 19 Pa. Code § 13.12 (relating to docketing statements).