[26 Pa.B. 3839]

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Annex A

TITLE 67.  TRANSPORTATION

PART I.  DEPARTMENT OF TRANSPORTATION

Subpart A.  VEHICLE CODE PROVISIONS

ARTICLE III.  REGISTRATION

CHAPTER 43.  TEMPORARY REGISTRATION CARDS AND PLATES

§ 43.4.  Authorization to issue temporary registration plates.

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   (d)  Denial of application. The Department may deny an application for a certificate of authorization on the basis of information revealed in [the] an investigation, or if the applicant fails to disclose material information required or if the applicant has made a materially false statement on the application, or if the applicant's business is [directly or indirectly] operated, managed or otherwise controlled or influenced by a person who is ineligible for authorization, including a relative, [or] family member, corporate officer or shareholder.

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§ 43.5.  Issuance of temporary registration cards.

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   (d)  Duty to examine documents. The duty to examine documents includes the following:

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   (2)  A temporary registration card may not be issued unless the following items are found to be in order:

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   (ii)  Application. The application shall be properly and completely executed and verified or notarized, as required, accompanied by the correct fees, taxes and other required forms or [document] documents.

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   (f)  Copies of temporary registration card. Copies of the temporary registration card shall be handled as follows:

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   (3)  The agent's copy of the temporary registration card, copies of related documents including bills of sale when the agent is also the dealer and a copy of the document used for identification and copies of the documents used for insurance verification shall be retained at the place of business of the issuing agent for at least 3 years and shall be made available for inspection only by police and authorized representatives of the Department. Cards issued in conjunction with the transfer of registration plates shall be kept separate from cards issued in conjunction with temporary registration plates. Cards shall be kept in chronological order according to the date of issuance.

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§ 43.6.  Issuance of temporary registration plates.

   (a)  Limits on issuance. Temporary registration plates will be issued in the following manner:

   (1)  Temporary registration plates other than those specified in paragraph (4) will be issued only by the Bureau, approved governmental agencies, dealers, manufacturers and full agents authorized by the Bureau.

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   (4)  Temporary registration plates for reconstructed and specially constructed vehicles will be issued only by the Bureau.

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   (f)  Issuance of cardboard temporary registration plate. Upon issuance of a cardboard temporary registration plate, the authorized dealer, manufacturer or full agent shall punch out the month, day and year of expiration at the space provided and shall record the following information clearly and indelibly on the face of the temporary plate:

   (1)  The date of issuance [in characters at least 1/2 inch high].

   (2)  The year, make and model of vehicle.

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§ 43.9.  Bond.

   (a)  Authorized dealers, manufacturers and full agents to be bonded. Every authorized dealer, manufacturer and full agent shall file and maintain with the Bureau a bond executed by a surety company authorized to transact business in this Commonwealth. The bond shall be for the use and benefit of the Commonwealth and a person who has sustained a monetary loss [in connection with the issuance of a temporary registration card or plate, or both, or a violation of this chapter, by the authorized dealer, manufacturer or full agent] within the limitations of the bond as specified at subsection (d).

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   (d)  Limitations of bond. The bond required under this section shall cover transactions in which the Commonwealth or a person specified in subsection (a) has sustained a monetary loss due to the agent, dealer or manufacturer submitting a dishonored or uncollectible check to the Commonwealth (including protest and uncollectible check fees), or failing to remit to the Commonwealth a fee or tax when the monetary loss is incurred in connection with the business of the dealer or manufacturer. A check which is dishonored upon presentment, or an application for title or registration which is received without a required fee or tax, shall constitute a monetary loss. Failure to pay a monetary penalty within 45 days of assessment shall also constitute a monetary loss. The bond required under this section may not cover a loss for a transaction which is not mentioned in this subsection relating to the issuance of temporary registration cards or plates [that are entered into] in connection with the business of the dealer, manufacturer or full agent. If the dealer, manufacturer or full agent has one or more branch offices, the amount of the bond shall be increased by the amount specified in subsection (b) for each branch office, except that the total amount of the bond [shall be limited to] will not be required to exceed $200,000.

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   (h)  [Effective dates. This section shall take effect as follows:

   (1)  Manufacturers and dealers currently authorized under this chapter to issue temporary registration plates, or those filing an initial application for authorization, shall comply with subsection (b) by August 9, 1990.

   (2)  Full agents filing an initial application for authorization to issue temporary registration plates after the date of adoption of the amendment to subsection (b), shall comply with subsection (b).

   (3)  Full agents authorized to issue temporary registration plates prior to the date of adoption of the amendment to subsection (b) shall file a new bond, or a letter of credit, conforming to subsection (b), on a form furnished by the Department, by November 10, 1993.]

   Authorized claims. The Bureau has the right to make and settle claims upon the bond with the surety company on behalf of the Commonwealth and a person who has incurred a monetary loss as specified in subsection (a). The Bureau will, upon written request, assign this right to a person for that person's claim; however, in this event, the Commonwealth is released from any duty to the person towards obtaining satisfaction of that person's claim. The Commonwealth will have priority, to the exclusion of all others, in receiving payment from the surety. If the aggregate amount of valid claims exceeds the amount of the bond, priority for the payment of claims shall be as follows:

   (1)  Claims made by the Commonwealth.

   (2)  Claims made by the Commonwealth for persons.

   (3)  Claims made by persons who obtained assignment from the Bureau.

§ 43.11.  Sanctions for violations by issuing agents.

   (a)  Schedule. After providing an opportunity for a hearing, the Department [may] will impose the suspensions or sanctions on an issuing agent according to the [following] schedule of Category I violations [by the agent], and may impose suspensions or sanctions on an issuing agent according to the schedule of Category II violations, when the Department finds upon sufficient evidence that:

Reason for [suspension]
sanction of agent	[Duration of Suspension] Type of Sanction
				[4th]
	[1st]	[2nd]	[3rd]	Fourth and
	First Offense	Second Offense	Third Offense	Subsequent Offense
Category I
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(4)  The agent has issued temporary plates but has [not delivered] failed to deliver proper documents [or], fees [and] or taxes to the Department [within the prescribed time].	Suspension [Until] until the documents, fees or taxes are delivered, plus a written warning.	Suspension [Until] until the documents, fees or taxes are delivered, plus 1 Month.	Suspension [Until] until the documents, fees or taxes are delivered, plus 6 Months.	Revocation
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(8)  The agent has submitted a document to the Department for processing which has been accompanied by an uncollectible or dishonored check drawn on [the] an account [of] used by the agent.	Suspension [Until] until uncollectible checks, protest fees and collection charges under the act are paid, plus a written warning.	Suspension [Until] until uncollectible checks, protest fees and collection charges under the act are paid, plus 1 Month.	Suspension [Until] until uncollectible checks, protest fees and collection charges under the act are paid, plus 6 Months.	Revocation
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(12)  [The agent has failed to retain proper records under 43.5(f) (relating to issuance of temporary registration cards.]	[Written warning]	[1 Month]	[6 Months]	[Revocation]
The agent has issued temporary registration plates at a location not approved by the Department.	Written Warning	1 Month Suspension	3 Months Suspension	6 Months Suspension
(13)  [The agent has on two or more occasions violated, or failed to comply with, a provision of 75 Pa.C.S. Chapter 11, 13, 21, 23, or 71, or Departmental regulations promulgated under these Chapters.]	[1 Month]	[6 Months]	[Revocation]
The agent has operated a branch office without notifying the Department	Suspension until the branch office is approved by the Department or closed by the agent.
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(20)  [The agent has been convicted of a summary offense, relating to the titling, registration or payment of sales tax for a vehicle, which was committed in connection with the business of the issuing agent.]	[1 Month]	[3 Months]	[6 Months]	[Revocation]
The agent has failed to maintain an established place of business.	Suspension until an established place of business is approved by the Department.
Category II
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(5)  [The manufacturer, dealer or full agent has failed to notify the Department of a change in ownership or other changes affecting the business of the issuing agent before or within 10 days of the change.]	[Until an application related to the change has been approved.]
The agent has issued temporary plates up but has not timely delivered proper documents, fees or taxes to the Department within the time prescribed by law or regulation.	Written Warning	Monetary penalty of $50 to $100 per violation; and suspension, for failure to pay the penalty or deliver the documents, fees or taxes within 45 days after the date the notice was sent, or a greater time period as specified by the Department, until the penalty is paid or documents, fees or taxes are delivered to the Department	Monetary penalty of $100 to $200 per violation; and suspension, for failure to pay the penalty or deliver the documents, fees or taxes within 45 days after the date the notice was sent, or a greater time period as specified by the Department, until the penalty is paid or documents, fees or taxes are delivered to the Department	3 Months suspension to Revocation
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[(13)  The agent has issued temporary registration plates at a location not approved by the Department.]	[Written Warning]	[1 Month]	[3 Months]	[6 Months]
[(14)  The agent has operated a branch office without notifying the Department.]	[Until the branch office is approved by the Department or closed by the agent.]
[(15)] (13)  The agent has failed to provide proper security for temporary registration cards and plates.	Written Warning	1 Month suspension	3 Months suspension	6 Months suspension
[(16)] (14)  The agent has refused to issue, upon request, a temporary registration card to an owner or lessee of a vehicle who possesses proper documentation.	Written Warning	1 Month suspension	3 Months suspension	6 Months suspension
[(17)] (15)  The agent has failed to maintain an adequate schedule of business hours.	Written Warning	1 Month suspension	3 Months suspension	6 Months suspension
[(18)] (16)  The agent has issued a cardboard temporary tag without verification that the vehicle will be transported to another state for registration as required by § 43.5(d)(2)(i)(C).	Written Warning	1 Month suspension	3 Months suspension	6 Months suspension
[(19)  The agent has failed to maintain an established place of business.]	[Until an established place of business is approved by the Department.]
[(20)] (17)  The agent has:
(i)  Failed to furnish receipts as required.	Written Warning	1 Month suspension	3 Months suspension	6 Months suspension
(ii)  Failed to retain duplicate copies of receipts for 3 years	Written Warning	1 Month suspension	3 Months suspension	6 Months suspension
[(21)] (18)  The agent has issued a temporary registration to an applicant without proper documentation.	Written Warning	1 Month suspension	3 Months suspension	6 Months suspension
(19)  The manufacturer, dealer or full agent has failed to notify the Department of a change in ownership or other changes affecting business of the issuing agent before or within 10 days of the change.	Suspension until an application related to the change has been submitted to the Department.
(20)  The agent has failed to retain proper records under § 43.5(f) (relating to issuance of temporary registration cards).	Written Warning	1 Month suspension	6 Months suspension	Revocation
(21)  The agent has on two or more occasions violated, or failed to comply with, a provision of 75 Pa.C.S. Chapter 11, 13, 21, 23 or 71, or Departmental regulations promulgated under these Chapters, except for untimely submissions as provided at paragraph (5).	1 Month suspension	3 Months suspension	6 Months suspension	Revocation
(22)  The agent has been convicted of a summary offense, relating to the titling, registration or payment of sales tax for a vehicle which was committed in connection with the business of the agent, except for untimely submissions as provided at paragraph (5).	Written Warning	1 Month suspension	3 Months suspension	Revocation suspension

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   (c)  Multiple violations. In the case of multiple violations considered at one time, the Department may impose separate sanctions for each violation under the schedule in subsection (a). The Department may [, in its discretion,] direct that a suspension or revocation imposed be served concurrently or consecutively. If an agent, which is also a dealer, has been sanctioned with a monetary penalty as a dealer under Chapter 53 (relating to manufacturers, dealers and miscellaneous motor vehicle businesses registration plates), for a violation that involves the same violation for which a monetary penalty may be imposed under this chapter, only the monetary penalty prescribed at Chapter 53 will be imposed upon the agent, which is also a dealer, for the violations that constitute offenses of both this chapter and Chapter 53. The offenses will be noted upon the record for both this chapter and Chapter 53.

   (d)  Suspension authority reserved. The description of grounds for suspension [shall] will not be deemed to limit the authority of the Department to control the issuance of temporary registration cards and plates as granted by 75 Pa.C.S. §§ 1310 and 1331 (relating to temporary registration cards; and issuance of registration plates). The Department may [, in its discretion,] suspend an issuing agent for offenses not described in subsection (a), such as any use of temporary registration plates or official documents, or conduct on the part of the issuing agent, that does not conform to the law of the Commonwealth. Sanctions imposed under this subsection shall be consistent with the sanctions imposed under subsection (a) according to the seriousness of the violation as evidenced by factors such as the number of persons or documents involved, the amount of money involved, and the like.

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   (h)  Relevant mitigating events. For a violation of subsection (a) Category II(5), second, third or subsequent offense, the Department will consider the following relevant mitigating events that serve to exonerate the agent of the offense or to reduce the monetary penalty that may be imposed. The agent has the burden of establishing the relevant mitigating event and that the relevant mitigating event was the cause of the violation or violations.

   (1)  Exoneration. In determining whether the relevant mitigating events serve to exonerate the agent of the offense, the Department will consider evidence offered by the agent pertaining to the following:

   (i)  Whether the failure to timely submit the applications, taxes or fees was the result of an Act of God, such as fire, flood or other natural disaster.

   (ii)  Whether the failure to timely submit the applications, taxes or fees was the result of criminal or fraudulent action by an employe or licensed messenger of which the agent was not aware and could not have prevented and that the agent had in place customary business practices to effectuate the timely submission of taxes, fees and title applications to the Department.

   (iii)  Whether the failure to timely submit the applications was the result of a lienholder's failure to promptly forward the titles to the agent, and, in this case, whether the lienholder received prompt repayment of the debt from the vehicle owner or licensed dealer and immediately released its liens.

   (iv)  Whether the agent would have been exonerated of prior sanctions that were issued against the agent within the 3 years prior to ______ (Editor's Note: The blank refers to the effective date of adoption of this proposal) had the Departmental regulations that were effective ______ (Editor's Note: The blank refers to the effective date of adoption of this proposal) been in effect.

   (v)  Whether the failure to timely submit the applications was the result of criminal, fraudulent or negligent action by an authorized messenger of the Department. This subparagraph does not apply when the same person controls the agent and the messenger. The agent has the burden of presenting evidence acceptable to the Department that it submitted the documents, taxes and fees to the authorized messenger within 15 days of the date of purchase of the vehicle, transfer of a registration or issuance of a temporary registration plate or card, whichever occurred first.

   (2)  Reduction in monetary penalty. In determining whether the events serve to reduce the monetary penalty that the Department may impose, but which will not exonerate the agent of the offense, the Department will consider evidence offered by the agent pertaining to the following:

   (i)  Whether subsequent to the applicable notice of hearing issued by the Department, the Department's records reflect that the agent has remedied the event which was the cause of the untimely submissions and that no additional late submissions have occurred.

   (ii)  Whether the applications, taxes or fees were submitted by more than 20 but less than 40 days after the date of purchase of the vehicle, provided that no consumer or vehicle purchaser was harmed by the agent's failure to timely submit the applications, taxes or fees and that the agent had in place customary business practices to effectuate the timely submission of taxes, fees and title applications to the Department. Failure of the consumer or vehicle purchaser to receive the annual registration documents prior to expiration of the temporary registration constitutes harm.

   (3)  Preclusion from mitigation. If the Department discovers that the agent, or an employe of the agent, altered the date of purchase of a vehicle upon any application, the Department will be precluded from exonerating the agent of the offense or reducing the monetary penalty and will impose the sanction prescribed by subsection (a).

   (i)  Suspension without hearing. The Department will suspend an issuing agent without a hearing when the agent refuses to allow inspection of records in accordance with § 43.7(d) (relating to inventory of temporary registration cards and plates).

§ 43.12.  Use of temporary registration plate.

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   (d)  Use of temporary registration plates on vehicles transporting a load. Vehicles transporting a load shall comply with the following:

   (1)  Temporary metal registration plates may be used on a vehicle transporting a load if the vehicle has a gross vehicle weight rating of 26,000 pounds or less and the vehicle and load have a gross weight of 26,000 pounds or less.

   (2)  Temporary metal registration plates may not be used on a vehicle transporting a load, if the vehicle has a gross vehicle weight rating in excess of 26,000 pounds or the vehicle and load have a gross weight in excess of 26,000 pounds, unless the vehicle is operating only within this Commonwealth or through jurisdictions which are not members of the International Registration Plan.

   (3)  Temporary cardboard registration plates may not be used on a commercial vehicle transporting a load.

   (e)  Prosecution. A person who violates subsection (c) shall be subject to prosecution under 75 Pa.C.S. § 1301 (relating to driving unregistered vehicle prohibited).

[Pa.B. Doc. No. 96-1299. Filed for public inspection August 9, 1996, 9:00 a.m.]

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