RULES AND REGULATIONS
BUREAU OF PROFESSIONAL AND OCCUPATIONAL AFFAIRS
[ 49 PA. CODE CH. 43b ]
Schedule of Civil Penalties for Violations of the Clean Indoor Air Act
[42 Pa.B. 7673]
[Saturday, December 22, 2012]The Commissioner of Professional and Occupational Affairs (Commissioner) amends §§ 43b.4—43b.7, 43b.8 and 43b.9 to read as set forth in Annex A.
Effective Date
This final-form rulemaking is effective upon publication in the Pennsylvania Bulletin.
Statutory Authority
The Clean Indoor Air Act (act) (35 P. S. §§ 637.1—637.11) prohibits smoking in public places. Although the Department of Health (Department) has primary enforcement authority under the act, section 5(b)(1)(ii) of the act (35 P. S. § 637.5(b)(1)(ii)) provides that if a public place is subject to licensure by another agency, the Department will refer the complaint to the appropriate licensing agency for investigation and enforcement. Six of the boards or commissions under the Bureau of Professional and Occupational Affairs (Bureau) license and routinely inspect public places as defined in section 2 of the act (35 P. S. § 637.2): the State Board of Barber Examiners; the State Board of Cosmetology; the State Board of Funeral Directors; the State Board of Pharmacy; the State Real Estate Commission; and the State Board of Vehicle Manufacturers, Dealers and Salespersons. Therefore, these six boards and commissions are responsible for the enforcement of the act in licensed facilities under their jurisdiction.
The act of July 2, 1993 (P. L. 345, No. 48) (Act 48) authorizes the Commissioner, after consultation with the licensing boards and commissions, to adopt a schedule of civil penalties for violations of their respective acts or regulations regarding the conduct or operation of a business or facility licensed by the licensing boards or commissions. Therefore, the Commissioner is amending the existing schedules of civil penalties to add civil penalties for violations of the provisions of the act. The boards and commissions approved the amendments to the civil penalty schedules at regularly scheduled public meetings.
Background and Purpose
Adoption of a schedule of civil penalties for violations of the act at licensed facilities will permit duly authorized agents of the Bureau to issue citations for these violations. 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 citations retain their due process rights to a hearing prior to the imposition of discipline. Section 6(a) of the act (35 P. S. § 637.6(a)) identifies three violations that are subject to civil penalties: failure to post a sign as required under section 4 of the act (35 P. S. § 637.4); permitting smoking in a public place where smoking is prohibited; and smoking in a public place where smoking is prohibited. The Commissioner is amending the schedules of civil penalties for these six boards and commissions in §§ 43b.4—43b.7, 43b.8 and 43b.9 to establish a civil penalty schedule for the three violations in section 6(a) of the act. Section 6(c) of the act sets forth the administrative penalties for violations of the act: not to exceed $250 for first violations; not to exceed $500 for second violations (defined as those occurring within 1 year of the first violation); and not to exceed $1,000 for third violations (defined as those occurring within 1 year of the second violation). The Commissioner is adopting civil penalties of $250 for first offenses, $500 for second offenses and $1,000 for third offenses. The act is silent as to subsequent violations. However, Act 48 limits the maximum civil penalty that may be imposed by citation to $1,000. Therefore the civil penalty for subsequent violations will be $1,000.
Summary of Comments and Response
Notice of proposed rulemaking was published at 40 Pa.B. 5175 (September 11, 2010) followed by a 30-day public comment period. Comments were not received from the public. The House Professional Licensure Committee (HPLC) and the Senate Consumer Protection and Professional Licensure Committee (SCP/PLC) did not submit comments on the proposed rulemaking. On November 12, 2010, the Commissioner received a letter from the Independent Regulatory Review Commission (IRRC) indicating that they did not have objections, comments or recommendations to offer on the proposed rulemaking.
Fiscal Impact and Paperwork Requirements
The final-form rulemaking will not have 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 of the act.
Sunset Date
Professional licensure statutes require boards and commissions to be self-supporting. Therefore, the Commissioner and the boards and commissions continually monitor the cost effectiveness of regulations affecting their operations. As a result, a sunset date has not been assigned.
Regulatory Review
Under section 5(a) of the Regulatory Review Act (71 P. S. § 745.5(a)), on August 27, 2010, the Commissioner submitted a copy of the notice of proposed rulemaking, published at 40 Pa.B. 5175, to IRRC and the Chairpersons of the HPLC and the 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 Board 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 14, 2012, the final-form rulemaking was deemed approved by the HPLC and the SCP/PLC. Under section 5.1(e) of the Regulatory Review Act, IRRC met on November 15, 2012, and approved the final-form rulemaking.
Contact Person
Further information may be obtained by contacting Cynthia Montgomery, Regulatory Counsel, Department of State, Bureau of Professional and Occupational Affairs, P. O. Box 2649, Harrisburg, PA 17105-2649.
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 comments were not received.
(4) This final-form rulemaking is necessary and appropriate for administering and enforcing the authorizing act identified this preamble.
Order
The Commissioner, acting under the authority of Act 48, orders that:
(a) The regulations of the Commissioner, 49 Pa. Code Chapter 43b, are amended by amending §§ 43b.4—43b.7, 43b.8 and 43b.9 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 upon publication in the Pennsylvania Bulletin.
KATIE TRUE,
Commissioner(Editor's Note: For the text of the order of the Independent Regulatory Review Commission relating to this document, see 42 Pa.B. 7364 (December 1, 2012).)
Fiscal Note: Fiscal Note 16-46 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.4. Schedule of civil penalties—barbers and barber shops.
STATE BOARD OF BARBER EXAMINERS
Violation under 35 P. S. Title/Description Civil Penalty Section 637.6(a)(1) Failure of licensed barber shop or school to post a sign as required under section 4 of the Clean Indoor Air Act (35 P. S. § 637.4) 1st offense—$250
2nd offense (within 1 year of 1st offense)—$500
3rd offense (within 1 year of 2nd offense)—$1,000
Subsequent offenses (within 1 year of previous offense)—$1,000Section 637.6(a)(2) Barber shop permitting smoking in the barber shop or barber school permitting smoking in the barber school in violation of the Clean Indoor Air Act (35 P. S. §§ 637.1—637.11) 1st offense—$250
2nd offense (within 1 year of 1st offense)—$500
3rd offense (within 1 year of 2nd offense)—$1,000
Subsequent offenses (within 1 year of previous offense)—$1,000Section 637.6(a)(3) Licensee of the Board smoking in a barber shop or in a barber school in violation of the Clean Indoor Air Act 1st offense—$250
2nd offense (within 1 year of 1st offense)—$500
3rd offense (within 1 year of 2nd offense)—$1,000
Subsequent offenses (within 1 year of previous offense)—$1,000
Violation under 63 P. S. Title/Description Civil Penalty Section 551 Practicing without a license 1st offense—$500
2nd offense—Formal actionSection 558 Availability of current license on premises 1st offense—$150
2nd offense—$500Section 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 actionSection 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 actionSection 559 Failure to employ licensed persons 1st offense—$500 for each individual unlicensed barber
2nd offense—Formal actionSection 560 Opening shop for business before shop inspected and approved 1st offense—$200
2nd offense—Formal actionSection 560 Failure to file application when taking over as owner of existing shop 1st offense—$500
2nd offense—Formal actionSection 562 Operating an establishment without supervision of designated manager barber or other designated licensee 1st offense—$250
2nd offense—Formal actionSection 560 Operating a business or facility without a permit or license 1st offense—$500
2nd offense—Formal actionSection 563(a) Licensee practicing in place other than licensed shop 1st offense—$500
2nd offense—Formal action
Violation under 49 Pa. Code
Chapter 3Title/Description Civil Penalty Section 3.51(a) Failure to obtain new shop license when shop moves 1st offense—$500
2nd offense—Formal actionSection 3.51(b) Failure to register trade name 1st offense—$100
2nd offense—Formal actionSection 3.54 Failure to meet minimum equipment requirements 1st offense—$100
2nd offense—Formal actionSection 3.55 Failure to meet minimum maintenance and sanitation requirements 1st offense—$100
2nd offense—Formal actionSection 3.85 School equipment does not meet requirements 1st offense—$100
2nd offense—Formal actionSection 3.86 School maintenance and sanitation requirements not met 1st offense—$250
2nd offense—Formal actionSection 3.89 School advertising requirements not met 1st offense—$250
2nd offense—Formal action§ 43b.5. Schedule of civil penalties—cosmetologists, nail technicians, estheticians, natural hair braiders, salons.
STATE BOARD OF COSMETOLOGY
Violation under 35 P. S. Title/Description Civil Penalty Section 637.6(a)(1) Failure of licensed cosmetology salon, limited practice salon or cosmetology school to post a sign as required under section 4 of the Clean Indoor Air Act (35 P. S. § 637.4) 1st offense—$250
2nd offense (within 1 year of 1st offense)—$500
3rd offense (within 1 year of 2nd offense)—$1,000
Subsequent offenses (within 1 year of previous offense)—$1,000Section 637.6(a)(2) Licensed cosmetology or limited practice salon permitting smoking in the salon or licensed cosmetology school permitting smoking in the school in violation of the Clean Indoor Air Act (35 P. S. §§ 637.1—637.11) 1st offense—$250
2nd offense (within 1 year of 1st offense)—$500
3rd offense (within 1 year of 2nd offense)—$1,000
Subsequent offenses (within 1 year of previous offense)—$1,000Section 637.6(a)(3) Licensee of the Board smoking in a cosmetology salon, limited practice salon, or cosmetology school in violation of the Clean Indoor Air Act 1st offense—$250
2nd offense (within 1 year of 1st offense)—$500
3rd offense (within 1 year of 2nd offense)—$1,000
Subsequent offenses (within 1 year of previous offense—$1,000
Violation under 63 P. S. Title/Description Civil Penalty Section 508 Practicing without a license 1st offense—$500
2nd offense—Formal actionSection 508 Maintaining an unlicensed shop 1st offense—$500
2nd offense—Formal actionSection 514 Practice in place other than licensed shop 1st offense—$500
2nd offense—Formal actionSection 519(a) Owner employing unlicensed employees 1st offense—$500 for each unlicensed individual
2nd offense—Formal actionSection 524 Availability of current licenses and permits on the premises 1st offense—$100
2nd offense—$250
Violation under 49 Pa. Code Chapter 7 Title/Description Civil Penalty Section 7.43 Practice on lapsed license 1st offense—Up to 90 days—Warning;
90 days or more—$250
2nd offense—Formal actionSection 7.62 Operating without manager 1st offense—$100
2nd offense—$250Sections 7.64(a) Manager employing unlicensed persons 1st offense—$500 for each unlicensed individual
2nd offense—Formal actionSections 7.71—7.79 Physical requirements for beauty shop 1st offense—$50 for each violation
2nd offense—$100 for each violationSection 7.82 Failure to maintain record of services rendered outside a shop 1st offense—$50
2nd offense—$250Section 7.92 Failure to sterilize equipment 1st offense—$100
2nd offense—$250Section 7.93 Unsanitary use of towels 1st offense—$100
2nd offense—$250Section 7.94 Unsanitary use of supplies 1st offense—$100
2nd offense—$250Section 7.101 Electrical appliances not properly installed/grounded 1st offense—$50
2nd offense—$250Section 7.114 School equipment and supplies not sufficient for student enrollment $50/each item missing Section 7.117 Failure to employ supervisor 1st offense—$500
2nd offense—Formal actionSection 7.118(a) Unlicensed teachers 1st offense—$500
2nd offense—Formal actionSection 7.118(b) Availability of instructor license on the premises 1st offense—$100
2nd offense—$250Section 7.118(c) Failure to employ at least one full time instructor 1st offense—$100
2nd offense—$250Section 7.118(d) Allowing student-teacher ratio to exceed 25:1 1st offense—$100
2nd offense—$250Section 7.119 Failure to maintain student records 1st offense—$250
2nd offense—Formal actionSection 7.119a Failure to obtain notarized transcript; failure to obtain verification from other state 1st offense—$50
2nd offense—$250Section 7.120 Work done by students on public; failure to post notices; failure to post sign 1st offense—$100
2nd offense—$250Section 7.121 Failure to advertise licensee name or student work 1st offense—$100
2nd offense—$250Section 7.134 Apprentice reports—failure to submit to board 1st offense—$100
2nd offense—$250§ 43b.6. Schedule of civil penalties—funeral directors and funeral establishments.
STATE BOARD OF FUNERAL DIRECTORS
Violation under 35 P. S. Title/Description Civil Penalty Section 637.6(a)(1) Failure of funeral establishment to post a sign as required under section 4 of the Clean Indoor Air Act (35 P. S. § 637.4) 1st offense—$250
2nd offense (within 1 year of 1st offense)—$500
3rd offense (within 1 year of 2nd offense)—$1,000
Subsequent offenses (within 1 year of previous offense)—$1,000Section 637.6(a)(2) Funeral establishment permitting smoking in the funeral establishment in violation of the Clean Indoor Air Act (35 P. S. §§ 637.1—637.11) 1st offense—$250
2nd offense (within 1 year of 1st offense)—$500
3rd offense (within 1 year of 2nd offense)—$1,000
Subsequent offenses (within 1 year of previous offense)—$1,000Section 637.6(a)(3) Licensee of the Board smoking in a funeral establishment in violation of the Clean Indoor Air Act 1st offense—$250
2nd offense (within 1 year of 1st offense)—$500
3rd offense (within 1 year of 2nd offense)—$1,000
Subsequent offenses (within 1 year of previous offense)—$1,000
Violation under 63 P. S. Title/Description Civil Penalty Section 479.6 Failure to display licenses conspicuously 1st offense—$50
2nd offense—$250
Section 479.13 Practice without license Any offense—$1,000
Violation under 49 Pa. Code
Chapter 13Title/Description Civil Penalty Section 13.83
Section 13.84
Section 13.194Requirements for advertising of name of licensee 1st offense—$100
2nd offense—$250
Section 13.91 Operating funeral establishment without Board approval Any offense—$1,000 Section 13.171 Use of preparation room for purposes other than embalming or caring for remains 1st offense—$100
2nd offense—Formal actionSection 13.174 Preparation room facility and equipment requirements 1st offense—$100 per violation
2nd offense—$250 per violationSection 13.182 Improper disposal of waste products including biohazardous waste 1st offense—$100
2nd offense—$500Section 13.193 Advertising name of permanent supervisor 1st offense—$100
2nd offense—$250Section 13.224 Failure to comply with reporting requirements for prepaid burial contracts 1st offense—$100
2nd offense—Formal actionSection 13.225 Failure to file affidavit for prepaid burial account 1st offense—$100
2nd offense—Formal actionSection 13.231 Practicing on a lapsed license Up to 60 days—1st offense—Warning
60 days or more—$500
2nd offense—Formal action§ 43b.7. Schedule of civil penalties—pharmacists and pharmacies.
STATE BOARD OF PHARMACY
Violation under 35 P. S. Title/Description Civil Penalty Section 637.6(a)(1) Failure of a pharmacy permit holder to post a sign as required under section 4 of the Clean Indoor Air Act (35 P. S. § 637.4) 1st offense—$250
2nd offense (within 1 year of 1st offense)—$500
3rd offense (within 1 year of 2nd offense)—$1,000
Subsequent offenses (within 1 year of previous offense)—$1,000Section 637.6(a)(2) Pharmacy permit holder permitting smoking in the pharmacy in violation of the Clean Indoor Air Act (35 P. S. §§ 637.1—637.11) 1st offense—$250
2nd offense (within 1 year of 1st offense)—$500
3rd offense (within 1 year of 2nd offense)—$1,000
Subsequent offenses (within 1 year of previous offense—$1,000Section 637.6(a)(3) Licensee of the Board smoking in a pharmacy in violation of the Clean Indoor Air Act 1st offense—$250
2nd offense (within 1 year of 1st offense)—$500
3rd offense (within 1 year of 2nd offense)—$1,000
Subsequent offenses (within 1 year of previous offense)—$1,000
Violation under 49 Pa. Code
Chapter 27Title/Description Civil Penalty Section 27.11 Pharmacy Permit— (a) Lack of permit showing accurate and current information as to name and address of pharmacy and name of pharmacist manager $100 (b) Display, advertise or use a name other than registered name 1st offense—$100
2nd offense—$100
(g) Failure to notify Board of change in pharmacist manager or operation of pharmacy without pharmacist manager. 1st offense—$50 per month or part of month;
Formal action if no compliance within 60 days after receiving citation
2nd offense—same as 1st offense
Section 27.14 Supplies—
(b) Expired drugs 1st offense—Under 1 year old—$250
1st offense—Over 1 year old—$500
2nd offense—$1,000
(c) Failure to maintain equipment and miscellaneous supplies $100 each Section 27.15 Sanitary standards (a) Pharmacy not in good repair or not in clean and orderly condition. $250 (b) Violation of health and sanitation statutes of the Commonwealth and of the municipality and county where pharmacy is located. $250 (c) Waste disposal violations $250 (d) Prescription area not dry, well ventilated and well lighted; not free from rodents or insects $250 (e) Plumbing not functional $250 (f) Unauthorized items in prescription area $250 Section 27.16 Construction requirements— (b)(4) Lack of telephone $250 (5) Lack of required sanitary facilities $250 (7) Television set in prescription area not intended for pharmacy instructional use $500 (8) Drugs accessible to unauthorized persons; animals unrelated to pharmacy security in prescription area $250 Section 27.18 Standards of practice— (a) Unsuitable containers $100 (b) Lack of required information on prescriptions $100 (d) Lack of required information on container labels $100 Section 27.31 Biennial renewal—(c) practicing on a lapsed license or permit 0-4 months—$50 per month; over 4 months—8 months—$100 per month; over 9 months—12 months—$200 per month; over 1 year—formal action
Violation under 28 Pa. Code
Chapter 25Title/Description Civil Penalty Section 25.55(d) Improper generic substitution Five to nine $250 10 or more $500 Section 25.55(e) Failure to refill prescription with the identical product without authorization from prescriber and patient $100 Section 25.56(a) Improper filing of Schedule II prescriptions $100 Section 25.56(b) Improper filing of Schedule III, IV, V prescriptions $100 Section 25.63(b) Inadequate security for controlled substances $250 Section 25.92 Lack of lot numbers required on stock items $100 Section 25.94 Lack of expiration date on label of dispensed drugs of less than 1 year's potency. $100 § 43b.8. Schedule of civil penalties—real estate and cemetery brokers, real estate schools.
STATE REAL ESTATE COMMISSION
Violation under 35 P. S. Title/Description Civil Penalty Section 637.6(a)(1) Failure of broker or cemetery broker to post a sign in a real estate office or cemetery office or real estate education provider to post a sign in a real estate school as required under section 4 of the Clean Indoor Air Act (35 P. S. § 637.4) 1st offense—$250
2nd offense (within 1 year of 1st offense)—$500
3rd offense (within 1 year of 2nd offense)—$1,000
Subsequent offenses (within 1 year of previous offense—$1,000Section 637.6(a)(2) Broker or cemetery broker permitting smoking in a real estate or cemetery office or real estate education provider permitting smoking in a real estate school in violation of the Clean Indoor Air Act (35 P. S. §§ 637.1—637.11) 1st offense—$250
2nd offense (within 1 year of 1st offense)—$500
3rd offense (within 1 year of 2nd offense)—$1,000
Subsequent offenses (within 1 year of previous offense)—$1,000Section 637.6(a)(3) Licensee of the Commission smoking in a real estate office, cemetery office or real estate school in violation of the Clean Indoor Air Act 1st offense—$250
2nd offense (within 1 year of 1st offense)—$500
3rd offense (within 1 year of 2nd offense)—$1,000
Subsequent offenses (within 1 year of previous offense)—$1,000
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—$500Section 455.603 Failure of licensee to notify Commission of change of employing broker within 10 days 1st offense—$125
2nd offense—$250Section 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—$500Section 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—$500Section 455.604(a)(16) Failure to exercise adequate supervision of licensed sales-person 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 actionSection 455.604(a)(26) Failure to include right-of-cancellation information in a time share or campground membership 1st offense—$500
2nd offense—$1,000Section 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 35Title/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—$250Section 35.242(b) Failure of broker or cemetery broker to maintain separate entrance to office located in private residence 1st offense—$125
2nd offense—$250Section 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—$500Section 35.243(a) Failure of broker or cemetery broker to obtain license before opening branch office 1st offense—$250
2nd offense—$500Section 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—$250Section 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—$250Section 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—$250Section 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—$500Section 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—$500Section 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—$500Section 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—$500Section 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—$1,000Section 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—$500Section 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—$500Section 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—$500Section 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—$500Section 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—$500Section 35.305(b) Advertising or using a nickname that has not been registered with the Commission 1st offense—$250
2nd offense—$500Section 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—$500Section 35.334 Failure of broker to provide a written estimate of reasonably foreseeable expenses 1st offense—$250
2nd offense—$500Section 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—$250Section 35.361(b) Failure of real estate school to prominently display school's approved name outside each school location 1st offense—$250
2nd offense—$500Section 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—$250Section 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 35 P. S. Title/Description Civil Penalty Section 637.6(a)(1) Failure of vehicle dealer, branch lot, public or retail vehicle auction, or wholesale vehicle auction to post a sign as required under section 4 of the Clean Indoor Air Act (35 P. S. § 637.4) 1st offense—$250
2nd offense (within 1 year of 1st offense)—$500
3rd offense (within 1 year of 2nd offense)—$1,000
Subsequent offenses (within 1 year of previous offense—$1,000Section 637.6(a)(2) Vehicle dealership, branch lot, public or retail vehicle auction, or wholesale vehicle auction permitting smoking in an area where smoking is prohibited by the Clean Indoor Air Act (35 P. S. §§ 637.1—637.11) 1st offense—$250
2nd offense (within 1 year of 1st offense)—$500
3rd offense (within 1 year of 2nd offense)—$1,000
Subsequent offenses (within 1 year of previous offense)—$1,000Section 637.6(a)(3) Licensee of the Board smoking in an area of the vehicle dealership, branch lot, public or retail vehicle auction or wholesale vehicle auction where smoking is prohibited by the Clean Indoor Air Act 1st offense—$250
2nd offense (within 1 year of 1st offense)—$500
3rd offense (within 1 year of 2nd offense)—$1,000
Subsequent offenses (within 1 year of previous offense)—$1,000
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—$1,000Section 818.5(a) Individual working as unlicensed salesperson for dealership 1st offense—$100
2nd offense—$500
3rd offense—Formal actionSection 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 actionSection 818.5(d) Failure to display license in principal office 1st offense—$100
2nd offense—$500
3rd offense—Formal actionSection 818.5(h) Vehicle auction not posting list of revoked/suspended licensees 1st offense—$250
2nd offense—$500
3rd offense—Formal actionSection 818.19(15) Licensed dealer employing unlicensed salesperson 1st offense—$500
2nd offense—$1,000
3rd offense—Formal actionSection 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 actionSection 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) and (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 actionSection 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 49 Pa. Code
Chapter 19Title/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—$500Section 19.18(a)(3)(i) Dealer display area for five vehicles or 5,000 square feet 1st offense—$100
2nd offense—$500Section 19.18(a)(3)(ii) Display lot not graded and surfaced with required material 1st offense—$100
2nd offense—$500Section 19.18(a)(3)(iii) Display area separated from adjacent parking area 1st offense—$100
2nd offense—$500Section 19.18(a)(3)(iv) Display area lighted if open evenings 1st offense—$100
2nd offense—$500Section 19.18(a)(5) Dealer fails to maintain separate telephone line 1st offense—$100
2nd offense—$500Section 19.18(a)(6) Business sign not permanent or visible to the public 1st offense—$100
2nd offense—$500Section 19.18(a)(7) Dealership in violation of land use ordinances 1st offense—$100
2nd offense—$500Section 19.18(a)(9) Failure to post business hours 1st offense—$100
2nd offense—$500
[Pa.B. Doc. No. 12-2469. Filed for public inspection December 21, 2012, 9:00 a.m.]
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