RULES AND REGULATIONS

Title 49--PROFESSIONAL AND VOCATIONAL STANDARDS

BUREAU OF PROFESSIONAL AND OCCUPATIONAL AFFAIRS

[49 PA. CODE CH. 43b]

Schedule of Civil Penalties

[36 Pa.B. 7833]
[Saturday, December 23, 2006]

   The Commissioner of Professional and Occupational Affairs (Commissioner) amends Chapter 43b (relating to Commissioner of Professional and Occupational Affairs) to read as set forth in Annex A.

A.  Effective Date

   The final-form rulemaking is effective upon publication in the Pennsylvania Bulletin.

B.  Statutory Authority

   Section 5(a) of the act of July 2, 1993 (P. L. 345, No. 48) (Act 48) (63 P. S. § 2205(a)) authorizes the Commissioner, after consultation with licensing boards and commissions in the Bureau of Professional and Occupational Affairs (Bureau), to promulgate regulations setting forth a schedule of civil penalties, guidelines for their imposition and procedures for appeal for: (1) operating without a current and valid license, registration, certificate or permit; and (2) violating an act or regulation of a licensing board or commission regarding the conduct or operation of a business or facility licensed by a board or commission.

C.  Background and Purpose

   Act 48 authorizes agents of the Bureau to issue citations and impose civil penalties under schedules adopted by the Commissioner in consultation with the Bureau's boards and commissions. Act 48 citations streamline the disciplinary process by eliminating the need for formal orders to show cause, answers, adjudications and orders, and consent agreements. At the same time, licensees who receive an Act 48 citation retain their due process right of appeal prior to the imposition of discipline. The use of Act 48 citations has increased steadily since 1996, when the program was first implemented. Act 48 citations have become an important part of the Bureau's enforcement efforts, with approximately 30% of the sanctions imposed by boards and commissions being accomplished through the Act 48 citation process.

   The final-form rulemaking sets forth amendments to the civil penalty schedules of the State Board of Barber Examiners (Barber Board), the State Real Estate Commission (Commission), the State Board of Vehicle Manufacturers, Dealers and Salespersons and the State Architects Licensure Board (Architects Board).

D.  Summary of Comments to Proposed Rulemaking and the Commissioner's Responses

   Notice of proposed rulemaking was published at 34 Pa.B. 5552 (October 9, 2004). There was a 30-day public comment period, during which time the Commissioner received comments from the Pennsylvania Association of Realtors (PAR), the American Institute of Architects Pennsylvania Chapter (AIAPA) and a licensee of the Architects Board. Following the close of the public comment period, the boards received comments from the House Professional Licensure Committee (HPLC) and the Independent Regulatory Review Commission (IRRC). The following summarizes the comments received and provides the boards' responses.

   No comments were received with respect to the schedule of civil penalties for the Barber Board.

   With respect to the schedule of civil penalties for the Commission, the HPLC asked for the rationale behind lowering the civil penalty for the offense of failing to include the business name and phone number in at least equal size on an advertisement. The Commission determined that the offense was a relatively minor one and that the existing civil penalty was excessive when compared with other offenses on the schedule. The HPLC and IRRC also asked for a clarification as to what ''in at least equal size'' means. Prior to amendments to § 35.305 (relating to business name on advertisements) in 2000, the requirement was that the name and telephone number of the advertising licensee's broker be given greater prominence than the name of the advertising licensee in the advertising. In 2000, this requirement was altered to require the broker's name and phone number to be at least equal in size as the name and phone number of the advertising licensee. See 30 Pa.B. 5954 (November 18, 2000). Therefore, this final-form rulemaking has been amended to clarify this intent.

   PAR commented that after careful review of the proposed amendments to the schedule of civil penalties regarding the Commission, PAR had no suggested modifications to the schedule of civil penalties, but encouraged the Commission to continue employing due diligence when preparing citations and levying penalties.

   With respect to the schedule of civil penalties for the State Board of Vehicle Manufacturers, Dealers and Salespersons, the HPLC and IRRC asked for an explanation regarding the difference in the severity of the penalty for an auction permitting an unlicensed, revoked or suspended dealer to buy, sell or represent a vehicle at an auction, and a dealer permitting a revoked or suspended salesperson to buy, sell or represent a vehicle at an auction. Although similarly worded, these are two different violations. A dealer is subject to discipline for permitting a revoked or suspended salesperson to represent the dealership at an auto auction. Salespersons are licensed to work for one, and only one, dealership. It is the dealer's responsibility to verify the licensure status of salespersons representing the dealership at an auction. On the other hand, an auction is subject to discipline for permitting a revoked or suspended dealer to buy or sell at the auction. The dealers are entirely independent from the auctions. Due to the large number of dealerships represented at any given auction, the State Board of Vehicle Manufacturers, Dealers and Salespersons and the Commissioner determined that the civil penalty schedules should reflect this difference. Essentially, the schedules give the auction one violation with a lesser civil penalty before following the same schedule as that applied to dealers.

   With regard to the civil penalty schedules for the Architects Board, the AIAPA raised several objections to the civil penalty schedules. First, the AIAPA objected to the imposition of a civil penalty against a firm for untimely payment of the annual registration renewal fee. The AIAPA pointed out that a disciplinary action, whether it be through a civil penalty under Act 48 or through formal disciplinary action, causes a ''black mark'' on a firm's record that can severely affect a firm's ability to compete for public contracts. In response to this comment, the Architects Board and the Commissioner agreed to remove the proposed civil penalty from the schedule.

   The AIAPA also commented regarding the civil penalty schedules regarding the unauthorized practice of architecture. The AIAPA asked the Architects Board and the Commissioner to consider whether the existing schedules and the proposed rulemaking account for the critical difference between untrained and unlicensed individuals practicing architecture and architects who are practicing on an expired license. The AIAPA pointed out that the civil penalty schedules apply the same penalty to these two vastly differing situations. In response to these comments, the Architects Board and the Commissioner have agreed to revise the civil penalty schedules to provide for the maximum $1,000 civil penalty for practice by wholly unlicensed individuals, while adopting a schedule for practicing on an expired license based on the length of the lapse. In addition, the schedules have been revised to reflect the difference between an architect practicing on a revoked or suspended license, as compared to one practicing on an expired license. The Architects Board and the Commissioner agree that practicing in the face of a lawful order of the Architects Board suspending or revoking an architect's license is a more egregious violation than practicing after one's license has expired and the amended civil penalty schedules now reflect that fact.

   Throughout the months since the proposed rulemaking was published, the Architects Board has spent a considerable amount of time working to develop schedules that fairly reflect the severity of each infraction. The AIAPA has provided welcomed input throughout this process. With regard to the civil penalties regarding expired licenses, it is the Board's intent that these schedules represent the exclusive action taken against an individual for practicing architecture or impressing an architect's seal on documents during a lapse in license. However, this does not prevent the Board from instituting disciplinary action for any other violation of the act or regulations of the Board that may occur during the period of lapse.

   Robert J. Shusterman, a licensee of the Architects Board, objected to imposing a penalty on a firm for failing to submit its registration fee noting that it would place firms in this Commonwealth at a disadvantage to out-of-State individuals and firms. He also objected to the imposition of a penalty for failing to obtain prior Architects Board approval for a firm name. The amendments made to the final-form rulemaking should alleviate these concerns. Mr. Shusterman also suggested that the Architects Board should defer consideration of these civil penalty schedules and direct its attention to more pressing concerns of the profession including ''electronic file transfer versus plan stamping, multi-state practice, mandatory continuing education and clarification of the scope of the profession of architecture.'' However, the Architects Board believes that its disciplinary function and regulatory functions are equally important in protecting consumers of architecture services in this Commonwealth. These civil penalty schedules are a part of that effort.

E.  Description of Amendments

State Board of Barber Examiners

   The final-form rulemaking amends the schedule of civil penalties of the Barber Board in § 43b.4 (relating to schedule of civil penalties--barbers and barber shops) by increasing amount of the civil penalties across the board. The Barber Board has participated in the Act 48 citation program from its inception in 1996 and the civil penalties have not increased since they were originally promulgated. The Barber Board has historically had the most lenient civil penalty schedule and the Barber Board and the Commissioner have determined that it is necessary to increase the civil penalties to improve their deterrent effects. In addition, the final-form rulemaking increases the civil penalties for continuing violations based on the length of the violation. For example, the penalty for practicing on a lapsed or expired license would increase depending on the length of the lapse. The final-form rulemaking also amends the description of the violation under section 562 of the Barber Law (63 P. S. § 562) to track recent amendments made by the act of December 22, 2005 (P. L. 446, No. 84), which now require that a barber shop must be supervised by a designated manager-barber or other licensee in charge. In addition, technical corrections have been made to the sections of the law cited as authority for two of the violations.

State Real Estate Commission

   The civil penalty schedule for the Commission in § 43b.8 (relating to schedule of civil penalties--real estate and cemetery brokers, real estate schools) is amended to add increased penalties for second offenses and continuing violations. These amendments also add civil penalties for violations of §§ 35.286(a), 35.292(a)(6), 35.305(b) and 35.334. Also, the amendments increase certain existing civil penalties to enhance their deterrent effect. The final-form rulemaking includes amendments required to make the civil penalty schedules consistent with recent amendments the Commission made to §§ 35.245, 35.304 and 35.305 (relating to display of licenses in office; and disclosure of licensure when advertising own real estate).

State Board of Vehicle Manufacturers, Dealers and Salespersons

   The final-form rulemaking amends the civil penalty schedule in § 43b.9 (relating to schedule of civil penalties--vehicle manufacturers, dealers and salespersons) to add civil penalties for additional violations of the Board of Vehicles Act (act) (63 P. S. § 818.1--818.37). Specifically, the final-form rulemaking adds civil penalties to its schedule for unlicensed practice violations by dealers, auctions, manufacturers, distributors, factory representatives and distributor representatives under section 5 of the act (63 P. S. § 818.5). Additionally, owing to an increasing number of complaints involving activities at vehicle auctions within this Commonwealth, the final-form rulemaking seeks to take advantage of the efficiencies of the citation process for violations of sections 19(29), (30) and (38) of the act (63 P. S. § 818.19 (29), (30) and (38)), regarding vehicle auctions.

State Architects Licensure Board

   The civil penalty schedule for the Architects Board in § 43b.11a (relating to schedule of civil penalties--architects) is amended to delete the existing civil penalty for an architect impressing a seal or knowingly permitting it to be impressed on drawings, specifications or other design documents which were not prepared by the architect or under the architect's personal supervision. This violation does not lend itself to the Act 48 process and, to the Board's knowledge, has not served as the basis of the issuance of any citations since its adoption. As previously noted, the final-form rulemaking also deletes the violation for delinquent payment of annual renewal fees by architecture firms. In addition, in the final-form rulemaking a distinction has been made between improper use of an architect's seal while the architect's license is expired, as compared to when the license is suspended or revoked. The Board believes that any type of practice on an expired license is a less egregious violation than practicing while one's license is suspended or has been revoked by the Board. For that reason, the civil penalty schedule for improper use of an architect's seal while the architect's license is expired has been adjusted to impose civil penalties that increase with the length of the lapse. Similarly, a distinction has been made in the final-form rulemaking between the civil penalty to be imposed for practicing without ever having received a license, and that for practicing on an expired or lapsed license. Again, with regard to expired licenses, the civil penalty has been adjusted to increase based on the length of the lapse.

F.  Fiscal Impact and Paperwork Requirements

   The final-form rulemaking will have no adverse fiscal impact on the Commonwealth or its political subdivisions and will reduce the paperwork requirements of both the Commonwealth and the regulated community by eliminating the need for orders to show cause, answers, consent agreements and adjudications/orders for violations subject to the Act 48 citation process.

G.  Sunset Date

   Professional licensure statutes require each board and commission to be self-supporting. Therefore, boards and commission continually monitor the effectiveness of regulations affecting their operations. As a result, no sunset date has been assigned.

H.  Regulatory Review

   Under section 5(a) of the Regulatory Review Act (71 P. S. § 745.5(a)), on September 29, 2004, the Board submitted a copy of the notice of proposed rulemaking, published at 34 Pa.B. 5552, to IRRC and the Chairpersons of the HPLC and the Senate Consumer Protection and Professional Licensure Committee (SCP/PLC) for review and comment.

   Under section 5(c) of the Regulatory Review Act, IRRC, the HPLC and the SCP/PLC were provided with copies of the comments received during the public comment period, as well as other documents when requested. In preparing the final-form rulemaking, the Department has considered all comments from IRRC, the HPLC, the SCP/PLC and the public.

   Under section 5.1(j.2) of the Regulatory Review Act (71 P. S. § 745.5a(j.2)), on November 21, 2006, this final-form rulemaking was approved by the HPLC. On November 29, 2006, the final-form rulemaking was deemed approved by the SCP/PLC. Under section 5.1(e) of the Regulatory Review Act, IRRC met on November 30, 2006, and approved the final-form rulemaking.

I.  Contact Person

   Further information may be obtained by contacting Cynthia K. Montgomery, Regulatory Counsel, Department of State, P. O. Box 2649, Harrisburg, PA 17105-2649.

J.  Findings

   The Commissioner finds that:

   (1)  Public notice of proposed rulemaking was given under sections 201 and 202 of the act of July 31, 1968 (P. L. 769, No. 240) (45 P. S. §§ 1201 and 1202) and the regulations promulgated thereunder, 1 Pa. Code §§ 7.1 and 7.2.

   (2)  A public comment period was provided as required by law and all comments were considered.

   (3)  This final-form rulemaking does not enlarge the purpose of proposed rulemaking published at 34 Pa.B. 5552.

   (4)  This final-form rulemaking is necessary and appropriate for administering and enforcing the authorizing act identified in Part B of this preamble.

K.  Order

   The Commissioner, acting under section 5(a) of Act 48, orders that:

   (a)  The civil penalty schedules promulgated by the Commissioner, 49 Pa. Code Chapter 43b, are amended by amending §§ 43b.3, 43b.4, 43b.8, 43b.9 and 43b.11a to read as set forth in Annex A.

   (b)  The Commissioner shall submit this order and Annex A to the Office of General Counsel and the Office of Attorney General as required by law.

   (c)  The Commissioner shall certify this order and Annex A and deposit them with the Legislative Reference Bureau as required by law.

   (d)  This order shall take effect on publication in the Pennsylvania Bulletin.

BASIL L. MERENDA,   
Commissioner

   (Editor's Note: For the text of the order of the Independent Regulatory Review Commission, relating to this document, see 36 Pa.B. 7777 (December 16, 2006).)

   Fiscal Note: Fiscal Note 16-32 remains valid for the final adoption of the subject regulations.

Annex A

TITLE 49. PROFESSIONAL AND VOCATIONAL STANDARDS

PART I. DEPARTMENT OF STATE

Subpart A. PROFESSIONAL AND OCCUPATIONAL AFFAIRS

CHAPTER 43b. COMMISSIONER OF PROFESSIONAL AND OCCUPATIONAL AFFAIRS

SCHEDULE OF CIVIL PENALTIES, GUIDELINES FOR IMPOSITION OF CIVIL PENALTIES AND PROCEDURES FOR APPEAL

§ 43b.3. Procedures.

   (a)  Inspections/investigations. Authorized agents may conduct inspections and investigations for the purpose of ascertaining compliance with statutory provisions and regulations of licensing boards and commissions relating to required licensure and the conduct or operation of a business or facility.

   (b)  Citations.

   (1)  If an inspection reveals a violation of a statute or a regulation for which a civil penalty has been established under the schedules in this chapter, the authorized agent may prepare a citation indicating the violations found and the penalties imposed. A copy of the citation will be provided to the respondent.

   (2)  The citation shall be made on a form approved by the Bureau.

   (3)  Within 10 days of the date of the issuance of the citation, the respondent shall enter one of the following:

   (i)  A plea to admit to the violation and remit payment of the civil penalty to the Bureau.

   (ii)  A plea to deny the violation and request a hearing to contest the imposition of a civil penalty.

   (4)  Failure to respond to the citation in the manner specified in paragraph (3) within 10 days will result in the entry of a default judgment against the respondent for the full amount of the civil penalty and may result in additional disciplinary action.

   (5)  The civil penalties shall be paid by certified check or cashier's check or money order and made payable to the ''Commonwealth of Pennsylvania,'' and mailed to: Commonwealth of Pennsylvania, Department of State, Complaints Office--Citations, Post Office Box 2649, Harrisburg, Pennsylvania 17105-2649.

   (c)  Citation hearings.

   (1)  Citation hearings shall be conducted by a hearing examiner in compliance with 2 Pa.C.S. §§  501--508 and 701--704 (relating to Administrative Agency Law).

   (2)  If a violation is found, the hearing examiner shall impose the full amount of the civil penalty as charged in the citation and as authorized by the schedules in this chapter.

   (d)  Appeals. A decision by a hearing examiner may be appealed by any party by filing an application for review with the appropriate licensing Board within 20 days of the mailing date of the order. An application for review shall set forth with specificity the grounds for appeal. The Board will review the record established before the hearing examiner and in its discretion receive additional evidence.

   (e)  Miscellaneous. This section supplements 1 Pa. Code Part II (relating to General Rules of Administrative Practice and Procedures).

§ 43b.4. Schedule of civil penalties--barbers and barber shops.

STATE BOARD OF BARBER EXAMINERS

Violation under 63 P. S.	Title/Description	Civil Penalty
Section 551	Practicing without a license	1st offense--$500 2nd offense--Formal action
Section 558	Availability of current license on premises	1st offense--$150 2nd offense--$500
Section 558	Practicing on a lapsed or expired license	1st offense--Up to 90 days--Warning; 90 days to 1 year--$250; 1 year to 2 years--$500; over 2 years--$1,000 2nd offense--Formal action
Section 562(a)(2)	Operating a business or facility on a lapsed or expired permit or license	1st offense--Up to 90 days--Warning; 90 days to 1 year--$250; from 1 year to 2 years--$500; over 2 years--$1,000 2nd offense--Formal action
Section 559	Failure to employ licensed persons	1st offense--$500 for each individual unlicensed barber 2nd offense--Formal action
Section 560	Opening shop for business before shop inspected and approved	1st offense--$200 2nd offense--Formal action
Section 560	Failure to file application when taking over as owner of existing shop	1st offense--$500 2nd offense--Formal action
Section 562	Operating an establishment without supervision of designated manager barber or other designated licensee	1st offense--$250 2nd offense--Formal action
Section 560	Operating a business or facility without a permit or license	1st offense--$500 2nd offense--Formal action
Section 563(a)	Licensee practicing in place other than licensed shop	1st offense--$500 2nd offense--Formal action

Violation Under 49 Pa. Code Chapter 3	Title/Description	Civil Penalty
Section 3.51(a)	Failure to obtain new shop license when shop moves	1st offense--$500 2nd offense--Formal action
Section 3.51(b)	Failure to register trade name	1st offense--$100 2nd offense--Formal action
Section 3.54	Failure to meet minimum equipment requirements	1st offense--$100 2nd offense--Formal action
Section 3.55	Failure to meet minimum maintenance and sanitation requirements	1st offense--$100 2nd offense--Formal action
Section 3.85	School equipment does not meet requirements	1st offense--$100 2nd offense--Formal action
Section 3.86	School maintenance and sanitation requirements not met	1st offense--$250 2nd offense--Formal action
Section 3.89	School advertising requirements not met	1st offense--$250 2nd offense--Formal action

§ 43b.8. Schedule of civil penalties--real estate and cemetery brokers, real estate schools.

STATE REAL ESTATE COMMISSION

Violation under 63 P. S.	Title/Description	Civil Penalty
Section 455.301	Acting in capacity of cemetery broker or cemetery salesperson without a license	1st offense--$250 per violation 2nd offense--$500 per violation
Section 455.601(a)	Failure of licensee to notify Commission of change of location of office of broker or cemetery broker within 10 days	1st offense--$125 2nd offense--$250
Section 455.601(a)	Failure of broker or cemetery broker to maintain sign with licensed name outside office	1st offense--$250 2nd offense--$500
Section 455.603	Failure of licensee to notify Commission of change of employing broker within 10 days	1st offense--$125 2nd offense--$250
Section 455.604(a)(4)	Use of any trade name or insignia or membership in any real estate association or organization of which the licensee is not a member	1st offense--$250 2nd offense--$500
Section 455.604(a)(8)	Placing a ''for sale'' or ''for rent'' sign or advertising property without the written consent of the owner	1st offense--$250 2nd offense--$500
Section 455.604(a)(16)	Failure to exercise adequate supervision of licensed salesperson or associate broker (when subordinate violates § 455.601(a), 455.603 or 455.604(a)(21))	Same as penalty for underlying offense by subordinate
Section 455.604(a)(21)	Failure of licensee to have current license when performing licensed activity	1st offense--$250 per month up to $1,000 2nd offense--Formal action
Section 455.604(a)(26)	Failure to include right-of-cancellation information in a time share or campground membership	1st offense--$500 2nd offense--$1,000
Section 2205(b)(2)	Aiding and abetting cemetery or real estate sales activities by unlicensed individuals	1st offense--$250 per individual 2nd offense--$500 per individual

Violation Under 49 Pa. Code Chapter 35	Title/Description	Civil Penalty
Section 35.242(a)	Failure of broker or cemetery broker to devote office to transaction of real estate business in privacy	1st offense--$125 2nd offense--$250
Section 35.242(b)	Failure of broker or cemetery broker to maintain separate entrance to office located in private residence	1st offense--$125 2nd offense--$250
Section 35.242(c)	Failure of broker or cemetery broker to display business name prominently and in permanent fashion outside office	1st offense--$250 2nd offense--$500
Section 35.243(a)	Failure of broker or cemetery broker to obtain license before opening branch office	1st offense--$250 2nd offense--$500
Section 35.245(a)	Failure of broker, cemetery broker or rental listing referral agent to maintain the current license of employed or affiliated licensees at main office	1st offense--$125 2nd offense--$250
Section 35.245(b)	Failure of associate broker, salesperson, associate cemetery broker or cemetery salesperson to conspicuously display current license at office out of which licensee works	1st offense--$100 2nd offense--$250
Section 35.245(c)	Failure of broker or cemetery broker to maintain a list of licensees employed or affiliated with the broker or cemetery broker at the branch office out of which each licensee works	1st offense--$125 2nd offense--$250
Section 35.285	Failure to provide Commission or its representative with information regarding a franchisor, network or other parent real estate company with which the licensee is or may become affiliated	1st offense--$250 2nd offense--$500
Section 35.286(a)	Failure of broker to retain a copy of the written estimate of reasonably foreseeable expenses required under 49 Pa. Code § 35.334 (relating to statements of estimated cost and return)	1st offense--$250 2nd offense--$500
Section 35.286(a)(1)	Failure of broker, associate broker or salesperson to retain a copy of the acknowledgement portion of the Consumer Notice	1st offense--$250 2nd offense--$500
Section 35.286(b)	Failure of a licensed entity other than an individual to produce its corporate, partnership or association records for examination by the Commission or its authorized representative	1st offense--$250 2nd offense--$500
Section 35.290(b)	Failure of a licensee to notify the Commission of disciplinary action taken against the licensee by the real estate licensing authority of another jurisdiction within 30 days of receiving notice of the disciplinary action	1st offense--$500 2nd offense--$1,000
Section 35.292(a)(6)	Failure of broker, associate broker or salesperson to provide a copy of the Consumer Notice as required under 63 P. S. § 455.608 (relating to information to be given at initial interview)	1st offense--$250 2nd offense--$500
Section 35.301(a)	Advertising the sale or lease of real estate without the authority of the seller or lessor or its agent	1st offense--$250 2nd offense--$500
Section 35.301(b)	Publishing information about a rental property if the lessor or property manager expressly stated that the property was not to be included in lists prepared by rental listing referral agents	1st offense--$250 2nd offense--$500
Section 35.304	Failure of a licensee who sells or leases his own real estate to disclose in ads for the property that he is a licensee	1st offense--$250 2nd offense--$500
Section 35.305(a)	Failure of broker, cemetery broker or rental listing referral agent to advertise or hold himself out to public under business name designated on license	1st offense--$250 2nd offense--$500
Section 35.305(b)	Advertising or using a nickname that has not been registered with the Commission	1st offense--$250 2nd offense--$500
Section 35.305(c)	Failure of salesperson or associate broker to include the business name and telephone number of the broker in at least equal size as the salesperson's or associate broker's name and telephone number on an advertisement	1st offense--$250 2nd offense--$500
Section 35.334	Failure of broker to provide a written estimate of reasonably foreseeable expenses	1st offense--$250 2nd offense--$500
Section 35.361(a)	Failure of real estate school to prominently display certificate of approval at main location and copy at satellite location	1st offense--$125 2nd offense--$250
Section 35.361(b)	Failure of real estate school to prominently display school's approved name outside each school location	1st offense--$250 2nd offense--$500
Section 35.361(c)	Failure of real estate school to prominently display school director's letter of approval at main location and copy at each satellite location	1st offense--$125 2nd offense--$250
Section 35.361(d)	Failure of real estate school to prominently display alphabetical list of courses and instructors at each school location	1st offense--$125 2nd offense--$250

§ 43b.9. Schedule of civil penalties--vehicle manufacturers, dealers and salespersons.

STATE BOARD OF VEHICLE MANUFACTURERS, DEALERS AND SALESPERSONS

Violation under 63 P. S.	Title/Description	Civil Penalty
Section 818.5(a)	Person or entity engaging in business of vehicle dealer, auction, manufacturer or distributor without license or acting as broker	Each offense--$1,000
Section 818.5(a)	Person engaging in business as a factory representative or distributor representative without a license	1st offense--$100 2nd offense--$500 3rd offense--$1,000
Section 818.5(a)	Individual working as unlicensed salesperson for dealership	1st offense--$100 2nd offense--$500 3rd offense--Formal action
Section 818.5(c)	Licensed salesperson working as salesperson for dealership other than for whom salesperson is licensed	1st offense--$100 2nd offense--$500 3rd offense--Formal action
Section 818.5(d)	Failure to display license in principal office	1st offense--$100 2nd offense--$500 3rd offense--Formal action
Section 818.5(h)	Vehicle auction not posting list of revoked/suspended licensees	1st offense--$250 2nd offense--$500 3rd offense--Formal action
Section 818.19(15)	Licensed dealer employing unlicensed salesperson	1st offense--$500 2nd offense--$1,000 3rd offense--Formal action
Section 818.19(29)	Wholesale auction permitting unlicensed or revoked or currently suspended dealer or vehicle business to buy, sell or represent vehicle at auction	1st offense--$250 2nd offense--$500 3rd offense--$1,000 Subsequent offense--Formal action
Section 818.19(30)	Dealer permitting revoked or currently suspended salesperson to sell, represent or purchase vehicle at auction	1st offense--$500 2nd offense--$1000 3rd offense--Formal action
Sections 818.5(a) and 818.19(27)	Licensed dealer operating an unlicensed branch lot	1st offense--$1,000 2nd offense--Formal action
Sections 818.5(f)(5), (g)(1) and 818.19(38)	Person with revoked or currently suspended dealer or salesperson license physically present during auctioning of vehicles	Each offense $1,000
Section 818.19(34)	Licensed dealer conducting its business under any name other than its licensed name	1st offense--$250 2nd offense--$500 3rd offense--Formal action
Section 818.19(37)	Licensed dealer failing to produce records to an authorized agent of the Board	1st offense--$500 2nd offense--$1,000 3rd offense--Formal action

Violations under 40 Pa. Code Chapter 19	Title/Description	Civil Penalty
Section 19.17	Broker or dealer business identity combined with other businesses	1st offense--$100 2nd offense--$500
Section 19.18(a)(1)	Dealer does not have permanent enclosed building	1st offense--$100 2nd offense--$500
Section 19.18(a)(2)	Dealership does not have private office	1st offense--$100 2nd offense--$500
Section 19.18(a)(3)(i)	Dealer display area for five vehicles or 5,000 square feet	1st offense--$100 2nd offense--$500
Section 19.18(a)(3)(ii)	Display lot not graded and surfaced with required material	1st offense--$100 2nd offense--$500
Section 19.18(a)(3)(iii)	Display area separated from adjacent parking area	1st offense--$100 2nd offense--$500
Section 19.18(a)(3)(iv)	Display area lighted if open evenings	1st offense--$100 2nd offense--$500
Section 19.18(a)(5)	Dealer fails to maintain separate telephone line	1st offense--$100 2nd offense--$500
Section 19.18(a)(6)	Business sign not permanent or visible to the public	1st offense--$100 2nd offense--$500
Section 19.18(a)(7)	Dealership in violation of land use ordinances	1st offense--$100 2nd offense--$500
Section 19.18(a)(9)	Failure to post business hours	1st offense--$100 2nd offense--$500

§ 43b.11a. Schedule of civil penalties--architects.

STATE ARCHITECTS LICENSURE BOARD

Violation under 63 P. S.	Violation under 49 Pa. Code Chapter 9	Title/Description	Civil Penalty
Section 34.12	N/A	Anyone impressing an architect's seal or knowingly permitting it to be impressed on drawings, specifications or other design documents after the architect's license has been revoked, annulled or suspended.	1st offense--$1,000 2nd offense--Formal action
Section 34.12	§ 9.142(a)	An architect whose license has expired impressing the architect's seal or knowingly permitting the architect's seal to be impressed on drawings, specifications or other design documents after lapse or expiration of the license.	0 to 6 months' lapse--Warning 6 to 12 months' lapse--$500 12 to 24 months' lapse--$1,000 24 months' or greater lapse--Formal action
Section 34.13(j)	§ 9.163	Engaging in the practice of architecture as a professional association, partnership, professional corporation, limited liability company, limited liability partnership or business corporation without first receiving the written approval of the Board.	0 to 6 months--Warning 6 to 12 months--$500 12 to 24 months--$1,000 Over 24 months--Formal action
Section 34.18(a)	§ 9.171	An individual engaging in the practice of architecture or offering to engage in the practice of architecture in this Commonwealth, or using any title, sign, card or device implying that the individual is competent to engage in the practice of architecture without ever having obtained a license to practice architecture in this Commonwealth.	1st offense--$1,000 2nd offense--Formal action
Section 34.18(a)	§ 9.103	An individual engaging in the practice of architecture or offering to engage in the practice of architecture in this Commonwealth, or using any title, sign, card or device implying that the individual is competent to engage in the practice of architecture during a period when the individual's license issued by the Board is lapsed or expired.	0 to 6 months' lapse--Warning 6 to 12 months' lapse--$500 12 to 48 months' lapse--$1,000 48 months' or greater lapse--Formal action

[Pa.B. Doc. No. 06-2510. Filed for public inspection December 22, 2006, 9:00 a.m.]

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