CHAPTER 43b. COMMISSIONER OF PROFESSIONAL AND OCCUPATIONAL AFFAIRS

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

Sec.


43b.1.    Purpose.
43b.2.    Definitions.
43b.3.    Procedures.
43b.4.    Schedule of civil penalties—barbers and barber shops.
43b.5.    Schedule of civil penalties—cosmetologists, manicurists, cosmeticians, shops.
43b.6.    Schedule of civil penalties—funeral directors and funeral establishments.
43b.7.    Schedule of civil penalties—pharmacists and pharmacies.
43b.7a.    Schedule of civil penalties—pharmacists and pharmacies—statement of policy.
43b.8.    Schedule of civil penalties—real estate and cemetery brokers, real estate schools.
43b.9.    Schedule of civil penalties—vehicle manufacturers, dealers and salespersons.
43b.10.    [Reserved].
43b.10a.    Schedule of civil penalties—accountants.
43b.11.    [Reserved].
43b.11a.    Schedule of civil penalties—architects.
43b.12.    [Reserved].
43b.12a.    Schedule of civil penalties—auctioneers, apprentice auctioneers, auction houses and auction companies.
43b.13.    [Reserved].
43b.13a.    Schedule of civil penalties—engineers, land surveyors and geologists.
43b.14.    [Reserved].
43b.14a.    Schedule of civil penalties—dentists, dental hygienists and expanded function dental assistants.
43b.15.    Schedule of civil penalties—certified real estate appraisers—statement of policy.
43b.16.    Schedule of civil penalties—audiologists, speech-language pathologists and teachers of the hearing impaired—statement of policy.
43b.17.    Schedule of civil penalties—nursing home administrators—statement of policy.
43b.18.    [Reserved].
43b.18a.    Schedule of civil penalties—nurses.
43b.19.    Schedule of civil penalties—occupational therapists and occupational therapy assistants—statement of policy.
43b.20.    Schedule of civil penalties—physicians and other board regulated practi-tioners—statement of policy.
43b.21.    Schedule of civil penalites—veterinarians and veterinary technicians—statement of policy.

Authority

   The provisions of this Chapter 43b issued under section 5(a) of the act of July 2, 1993 (P. L. 345, No. 48) (63 P. S. §  2205(a)), unless otherwise noted.

Source

   The provisions of this Chapter 43b adopted December 12, 1997, effective December 13, 1997, 27 Pa.B. 6467, unless otherwise noted.

§ 43b.1. Purpose.

 The purpose of this chapter is to adopt a schedule of civil penalties, procedures for their imposition and procedures for appeal for persons operating without a current, registered, unsuspended and unrevoked license, registration, certificate or permit. The schedule of civil penalties also includes penalties imposed for violating provisions of statutes and regulations of the licensing boards and relating to the conduct or operation of a business or facility as licensed by a licensing board in the Bureau.

§ 43b.2. Definitions.

 The following words and terms, when used in this chapter, have the following meanings, unless the context clearly indicates otherwise:

   Act—The act of July 2, 1993 (P. L. 345, No. 48) (63 P. S. § §  2201—2207).

   Authorized agent—An individual authorized by the Bureau to issue citations in accordance with the act.

   Bureau—The Bureau of Professional and Occupational Affairs under the Commissioner within the Department of State.

   Commissioner—The Commissioner of Professional and Occupational Affairs.

   Formal action—Written charges initiated by the filing of an order to show cause as provided for under 1 Pa. Code §  35.14 (relating to orders to show cause).

§ 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).

Source

   The provisions of this §  43b.3 amended March 2, 2001, effective March 3, 2001, 31 Pa.B. 1227; amended December 22, 2006, effective December 23, 2006, 36 Pa.B. 7833. Immediately preceding text appears at serial pages (307368) to (307369) and (274975).

§ 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

Source

   The provisions of this §  43b.4 amended December 22, 2006, effective December 23, 2006, 36 Pa.B. 7833. Immediately preceding text appears at serial pages (274975) to (274977).

§ 43b.5. Schedule of civil penalties—cosmetologists, manicurists,
cosmeticians, shops.


STATE BOARD OF COSMETOLOGY




Violation
Under
63 P. S.Title/Description
Civil Penalty
Section 508Practicing without a license1st offense—$500
2nd offense—Formal action
Section 508Maintaining an unlicensed shop1st offense—$500
2nd offense—Formal action
Section 514Practice in place other than licensed shop1st offense—$500
2nd offense—Formal action
Section 519(a)Owner employing unlicensed employes1st offense—$500 for each unlicensed  individual
2nd offense—Formal action
Section 524Availability of current licenses and permits on the premises1st offense—$100
2nd offense—$250


Violation Under
49 Pa. Code
Chapter 7Title/Description
Civil Penalty
Section 7.43Practice on lapsed license1st offense—Up to 90 days—Warning;
90 days or more—$250
2nd offense—Formal action
Section 7.62Operating without manager1st offense—$100
2nd offense—$250
Sections 7.64(a)Manager employing unlicensed persons1st offense—$500 for each unlicensed  individual
2nd offense—Formal action
Sections 7.71—7.79Physical requirements for beauty shop1st offense—$50 for each violation
2nd offense—$100 for each violation
Section 7.82Failure to maintain record of
services rendered outside a shop		1st offense—$50
2nd offense—$250
Section 7.92Failure to sterilize equipment1st offense—$100
2nd offense—$250
Section 7.93Unsanitary use of towels1st offense—$100
2nd offense—$250
Section 7.94Unsanitary use of supplies1st offense—$100
2nd offense—$250
Section 7.101Electrical appliances not properly installed/grounded1st offense—$50
2nd offense—$250
Section 7.114School equipment and supplies not sufficient for student enrollment$50/each item missing
Section 7.117Failure to employ supervisor1st offense—$500
2nd offense—Formal action
Section 7.118(a)Unlicensed teachers1st offense—$500
2nd offense—Formal action
Section 7.118(b)Availability of instructor license on the premises1st offense—$100
2nd offense—$250
Section 7.118(c)Failure to employ at least one full time instructor1st offense—$100
2nd offense—$250
Section 7.118(d)Allowing student-teacher ratio to exceed 25:11st offense—$100
2nd offense—$250
Section 7.119Failure to maintain student records1st offense—$250
2nd offense—Formal action
Section 7.119aFailure to obtain notarized transcript; failure to obtain verification from other state1st offense—$50
2nd offense—$250
Section 7.120Work done by students on public; failure to post notices; failure to post sign1st offense—$100
2nd offense—$250
Section 7.121Failure to advertise licensee name
or student work		1st offense—$100
2nd offense—$250
Section 7.134Apprentice 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
63 P. S.Title/Description
Civil Penalty
Section 479.6Failure to display licenses conspicuously1st offense—$50
2nd offense—$250
Section 479.13Practice without licenseAny offense—$1,000


Violation Under
49 Pa. Code
Chapter 13Title/Description
Civil Penalty
Section 13.83
Section 13.84
Section 13.194		Requirements for advertising of name of licensee1st offense—$100
2nd offense—$250

Section 13.91Operating funeral establishment without Board approvalAny offense—$1,000
Section 13.171Use of preparation room for
purposes other than embalming or caring for remains		1st offense—$100
2nd offense—Formal action
Section 13.174Preparation room facility and equipment requirements1st offense—$100 per violation
2nd offense—$250 per violation
Section 13.182Improper disposal of waste
products including biohazardous waste		1st offense—$100
2nd offense—$500
Section 13.193Advertising name of permanent supervisor1st offense—$100
2nd offense—$250
Section 13.224Failure to comply with reporting requirements for prepaid burial contracts1st offense—$100
2nd offense—Formal action
Section 13.225Failure to file affidavit for prepaid burial account1st offense—$100
2nd offense—Formal action
Section 13.231Practicing on a lapsed licenseUp 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
49 Pa. Code
Chapter 27Title/Description
Civil Penalty
Section 27.11Pharmacy 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 name1st 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 27.14Supplies—
(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 27.18Standards 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 25.92Lack of lot numbers required on stock items$100
Section 25.94Lack of expiration date on label of dispensed drugs of less than 1 year’s potency.$100

Source

   The provisions of this §  43b.7 amended March 2, 2001, effective March 3, 2001, 31 Pa.B. 1227. Immediately preceding text appears at serial pages (238356) and (250705) to (250706).

§ 43b.7a. Schedule of civil penalties—pharmacists and pharmacies—statement of policy.


STATE BOARD OF PHARMACY




Violation under
49 Pa. Code
Chapter 27Title/Description
Civil Penalty
Section 27.31Biennial 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

Source

   The provisions of this §  43b.7a adopted November 27, 1998, effective November 28, 1998, 28 Pa.B. 5883.

§ 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 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 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

Source

   The provisions of this §  43b.8 amended December 22, 2006, effective December 23, 2006, 36 Pa.B. 7833. Immediately preceding text appears at serial pages (274983) to (274987).

§ 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
49 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

Source

   The provisions of this §  43b.9 amended December 22, 2006, effective December 23, 2006, 36 Pa.B. 7833. Immediately preceding text appears at serial pages (274987) to (274988).

§ 43b.10. [Reserved].


Source

   The provisions of this §  43b.10 adopted November 27, 1998, effective November 28, 1998, 28 Pa.B. 5883; reserved March 2, 2001, effective March 3, 2001, 31 Pa.B. 1227. Immediately preceding text appears at serial pages (250712) to (250714).

§ 43b.10a. Schedule of civil penalties—accountants.



STATE BOARD OF ACCOUNTANCY



Violation under
63 P. S.Title/Description Civil Penalty
Section 9.8b(b) Completion of continuing education hours after end of reporting period but before start of next license biennium (assumes no other continuing education violation)1st offense—$150 2nd offense—formal action
Section 9.12(a) Unlawful use of “certified public accountant,” “CPA” or similar representation by person never licensed 1st offense—$500*
2nd offense—formal action
Unlawful use of “certified public accountant,” “CPA” or similar representation by person not currently licensed 1st offense—up to 90 days past renewal deadline—warning; 90 days to 180 days past renewal deadline—$500
2nd offense—formal action
Section 9.12(c) Unlawful use of “certified public accountant,” “public accountant,” “CPA,” “PA” or similar representation by a firm never licensed 1st offense—$500*
2nd offense—formal action
Unlawful use of “certified public accountant,” “public accountant,” “CPA,” “PA” or similar representation by a firm not
currently licensed 		1st offense—up to 90 days past renewal deadline—warning; 90 days to 180 days past renewal deadline—$500 2nd offense—formal action
Section 9.12(j) Unlawful use of “public accountant,” or “PA” or similar representation by person never licensed 1st offense $500*
2nd offense—formal action
Unlawful use of “public accountant,” or “PA” or similar representation by person not currently licensed 1st offense—up to 90 days past renewal deadline— warning;
90 days to 180 days past renewal deadline—$500
2nd offense—formal action
Section 9.12(o) Unlawful representation of membership in professional society, association or organization of CPA’s or PA’s by person or firm never licensed 1st offense—$250*
2nd offense—formal action
Unlawful representation of membership in professional society, association or organization of CPA’s or PA’s by person or firm not currently licensed 1st offense—up to 90 days past renewal deadline—warning;
90 days to 180 days past renewal deadline—$250
2nd offense—formal action


Violation under
49 Pa. Code, Chapter 11

Title/Description

Civil Penalty
Section 11.62(a)(2) Failure to complete 20 hours of continuing education each year (assumes no other continuing education violation) 1st offense—$150
2nd offense—formal action
Section 11.68(b) Failure to timely submit documentation of continuing education during Board audit (assumes no other continuing education violation) 1st offense—$500
2nd offense—formal action
*The first offense provision does not apply to a situation involving multiple occurrences or a pattern or practice of misconduct

Source

   The provisions of this §  43b.10a adopted March 2, 2001, effective March 3, 2001, 31 Pa.B. 1227.

§ 43b.11. [Reserved].


Source

   The provisions of this §  43b.11 adopted November 27, 1998, effective November 28, 1998, 28 Pa.B. 5883; reserved March 2, 2001, effective March 3, 2001, 31 Pa.B. 1227. Immediately preceding text appears at serial pages (250714) to (250715).

§ 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

Source

   The provisions of this §  43b.11a adopted March 2, 2001, effective March 3, 2001, 31 Pa.B. 1227; amended December 22, 2006, effective December 23, 2006, 36 Pa.B. 7833. Immediately preceding text appears at serial pages (274991) to (274992).

§ 43b.12. [Reserved].


Source

   The provisions of this §  43b.12 adopted November 27, 1998, effective November 28, 1998, 28 Pa.B. 5883; reserved March 2, 2001, effective March 3, 2001, 31 Pa.B. 1227. Immediately preceding text appears at serial pages (250715) to (250718).

§ 43b.12a. Schedule of civil penalties—auctioneers, apprentice auctioneers, auction houses and auction companies.


STATE BOARD OF AUCTIONEER EXAMINERS



Violations
Violation Under Title 49 Description
Under 63 P. S. Chapter 1 of Violation Penalties
Sections 734.3(a) and 734.20(a)(9) N/A Auctioneer or apprentice auctioneer operating on a lapsed license in this Commonwealth. 1st offense—$500
2nd offense—$1,000
3rd offense—formal action
Sections 734.3(a) and 734.20(a)(9) N/A Engaging in unlicensed auctioneering activities in this Commonwealth. 1st offense—$1, 000
2nd offense—formal action
Sections 734.9(a) and 734.20(a)(9) N/A Operating an unlicensed
auction house in this Commonwealth. 		1st offense—$500
2nd offense—$1,000
3rd offense—formal action
Sections 734.10(a) and 734.20(a)(9) N/A Operating as an unlicensed auction company in this Commonwealth. 1st offense—$500
2nd offense—$1,000
3rd offense—formal action
Sections 734.9(d) and 734.20(a)(9) N/A A licensed auctioneer operating an unregistered auction house in this Commonwealth. 1st offense—$500
2nd offense—$1,000
3rd offense—formal action
Sections 734.10(d) and 734.20(a)(9) N/A A licensed auctioneer operating an unregistered auction company in this Commonwealth 1st offense—$500
2nd offense—$1,000
3rd offense—formal action
Sections 734.9(a) and
734.20(a)(9) 		N/A Operating an auction house on a lapsed license in this Commonwealth 1st offense—$500
2nd offense—$1,000
3rd offense—formal action
Sections 734.10(a) and 734.20(a)(9) N/A Operating an auction company on a lapsed license in this Commonwealth 1st offense—$500
2nd offense—$1,000
3rd offense—formal action
Section 734.20(a)(12) N/A Failure of an auctioneer to establish or maintain an
escrow account. 		1st offense—$500
2nd offense—$1,000
3rd offense—formal action
Sections 734.21 and 734.20(a)(9) N/A Failure of an auctioneer to immediately deposit gross auction sale proceeds into an escrow account. 1st offense—$500
2nd offense—$1,000
3rd offense—formal action
Sections 734.17 (a) and 734.20(a)(9) N/A Failure of an auctioneer to enter into a written contract with the owner or consignor
of the property to be sold at auction prior to the auction sale. 		1st offense—$500
2nd offense—$1,000
3rd offense—formal action
Sections 734.17(a) and 734.20(a)(9) N/A Failure of an auctioneer to
keep contracts on file in the office of the auctioneer. 		1st offense—$500
2nd offense—$1,000
3rd offense—formal action
Sections 734.16(b) and 734.20(a)(9) N/A Failure or refusal of an auctioneer to permit inspection of auction sale records at all reasonable times by BEI inspectors or investigators. 1st offense—$500
2nd offense—$1,000
3rd offense—formal action
Sections 734.18(a) and 734.20(a)(9) N/A Failure of an auctioneer to display auctioneer license in
the auctioneer’s office. 		1st offense—$250
2nd offense—$500
3rd offense—formal action
Sections 734.18(b) and 734.20(a)(9) N/A Failure of an apprentice auctioneer to display the apprentice auctioneer license
in the apprentice auctioneer’s office. 		1st offense—$250
2nd offense—$500
3rd offense—formal action
Section 734.20(a)(10) §  1.31(c) and (d) Failure of a sponsor to either directly supervise the apprentice while the apprentice is conducting an auction or to provide for appropriate substitute supervision of the apprentice by a qualified auctioneer. 1st offense—$500
2nd offense—$1, 000
3rd offense—formal action
Sections 734.20(a)(10) §  1.31(e) Apprentice auctioneer conducting an auction sale without direct supervision by either the sponsor or an authorized substitute sponsor. 1st offense—$500
2nd offense—$1,000
3rd offense—formal action

Source

   The provisions of this §  43b.12a adopted March 2, 2001, effective March 3, 2001, 31 Pa.B. 1227.

§ 43b.13. [Reserved].


Source

   The provisions of this §  43b.13 adopted November 27, 1998, effective November 28, 1998, 28 Pa.B. 5883; reserved March 2, 2001, effective March 3, 2001, 31 Pa.B. 1227. Immediately preceding text appears at serial page (250719).

§ 43b.13a. Schedule of civil penalties—engineers, land surveyors and geologists.


STATE REGISTRATION BOARD FOR PROFESSIONAL
ENGINEERS, LAND SURVEYORS AND GEOLOGISTS



Violation Under
63 P. S. Title/Description Penalties
Section 150(b) Representing oneself as an engineer, land surveyor or geologist on sign, advertisement, letterhead or card, without being licensed or registered 1st offense—$1,000
2nd offense—formal action
Section 151(e) Biennial renewal—Practicing on a lapsed license or registration 1st offense—
Up thru 5 months—$500
6 months thru 1 year—$1,000
over 1 year—formal action
2nd offense—formal action

Source

   The provisions of this §  43b.13a adopted March 2, 2001, effective March 3, 2001, 31 Pa.B. 1227.

§ 43b.14. [Reserved].


Source

   The provisions of this §  43b.14 adopted November 27, 1998, effective November 28, 1998, 28 Pa.B. 5883; reserved March 2, 2001, effective March 3, 2001, 31 Pa.B. 1227. Immediately preceding text appears at serial page (250720).

§ 43b.14a. Schedule of civil penalties—dentists, dental hygienists and expanded function dental assistants.


STATE BOARD OF DENTISTRY



Violation under
49 Pa. CodeTitle/Description Civil Penalty
§  33.105(b) Practicing on a lapsed license/certificate 1st offense—
Dentists—$100/month
Dental hygienists—
$50/month
Expanded function dental
assistants—$25/month
2nd offense—formal action

Source

   The provisions of this §  43b.14a adopted March 2, 2001, effective March 3, 2001, 31 Pa.B. 1227.

§ 43b.15. Schedule of civil penalties—certified real estate appraisers—statement of policy.


STATE BOARD OF CERTIFIED REAL ESTATE APPRAISERS



Violation under
63 P. S. 		Title/Description Civil Penalty
Section 457.3 Holding oneself out as a State-certified real estate appraiser
without current, valid appraiser certification 		1st offense—$500
2nd offense—formal action
Section 457.3 Performing real estate appraisal without current, valid appraiser certification 1st offense—$500
2nd offense—formal action
Section 457.13 Failing to report multiple certifications on biennial renewal application 1st offense—$100
2nd offense—$250
Section 457.13 Failing to report disciplinary
action taken by another jurisdiction on the biennial renewal application or within 90 days of disposition, whichever is sooner 		1st offense—$500
2nd offense—$1,000
Section 458.8 Performing valuation of real
property for ad valorem tax
purposes without current, valid Certified Pennsylvania Evaluator (CPE) certification 		1st offense—$500
2nd offense—formal action


Violation Under
49 Pa. Code
Chapter 36
Title/Description Civil Penalty
Section
36.13(a)(3)(iii)
Failing to ensure that appraiser assistant signs appraisal document
as assistant to certified real estate appraiser 		1st offense—$250
2nd offense—$500
Section 36.51 Failing to retain workfile for
period required under Uniform Standards of Professional
Appraisal Practice (USPAP)
Ethics Rule on recordkeeping 		1st offense—$250
2nd offense—$500
Section 36.51 Failing to identify type of
appraisal report under USPAP Standards Rule 2-2 		1st offense—$250
2nd offense—$500
Section 36.52 Failing to place name, signature, title and appraiser certification number on appraisal report or appraisal agreement 1st offense—$125
2nd offense—$250
Section 36.91(c) Practicing on an expired appraiser certification 1st offense
0—5 mos.—$250
6—12 mos.—$500
Over 12 mos.—formal action
2nd offense—formal action
Section 36.265 Failing to place name, signature, title and CPE certification
number on appraisal report 		1st offense—$125
2nd offense—$250
Section 36.271(c) Practicing on expired CPE certification 1st offense
0—5 mos.—$250
6—12 mos.—$500
Over 12 mos.—formal action
2nd offense—formal action

Source

   The provisions of this §  43b.15 amended October 22, 2004, effective October 23, 2004, 34 Pa.B. 5809.

§ 43b.16. Schedule of civil penalties—audiologists, speech-language pathologists and teachers of the hearing impaired—statement of policy.


STATE BOARD OF EXAMINERS IN SPEECH-LANGUAGE AND HEARING



Violation under
63 P. S.
Title/Description Civil Penalty
Section 1706 Practicing as an audiologist,
speech-language pathologist, or teacher of the hearing impaired
on a lapsed license 		1st offense
0—12 mos.—$50 per month;
Over 12 months—formal action
2nd offense—formal action

Source

   The provisions of this §  43b.16 adopted October 22, 2004, effective October 23, 2004, 34 Pa.B. 5809.

§ 43b.17. Schedule of civil penalties—nursing home administrators—statement of policy.


STATE BOARD OF EXAMINERS OF NURSING HOME ADMINISTRATORS



Violation under
63 P. S. 		Title/Description Civil Penalty
Section 1114.1 Practicing nursing home administration on a lapsed
license 		0 to 12 months—$80 per month
Over 12 months—formal action
2nd offense—formal action

Source

   The provisions of this §  43b.17 adopted October 22, 2004, effective October 23, 2004, 34 Pa.B. 5809.

§ 43b.18. [Reserved].


Source

   The provisions of this §  43b.18 adopted October 22, 2004, effective October 23, 2004, 34 Pa.B. 5809; reserved July 3, 2008, effective July 5, 2008, 38 Pa.B. 3654. Immediately preceding text appears at serial page (325211).

§ 43b.18a. Schedule of civil penalties—nurses.


STATE BOARD OF NURSING



Violation  under
63 P. S. 		Title/Description Civil Penalty
Section 225.4 Practicing professional nursing on
a lapsed license 		1st offense—
0—12 mos.—
$100 per month up to $1,000
Over 12 months—
Formal action
2nd offense—
Formal action
Section 664(4) Practicing practical nursing on a lapsed license 1st offense—
0—12 mos.—
$75 per month;
Over 12 months—
Formal action
2nd offense—
Formal action
Section 225.4 Holding oneself out as a licensed dietitian-
nutritionist on a lapsed license 		1st offense—
0—12 months—
$100 per month up to $1,000
Over 12 months—
Formal action
2nd offense—
Formal action
Section 222(b) Failure to
complete 30
hours of approved continuing education 		1st offense—
Deficiency of 1—10 hours—$250
Deficiency of 11—20 hours—$500
Deficiency of 21—30 hours—$1,000
2nd offense—
Formal action

Authority

   The provisions of this §  43b.18a issued under section 5(a) of the act of July 2, 1993 (P. L. 345, No. 48) (63 P. S. §  2205(a)).

Source

   The provisions of this §  43b.18a adopted July 3, 2008, effective July 5, 2008, 38 Pa.B. 3654.

§ 43b.19. Schedule of civil penalties—occupational therapists and occupational therapy assistants—statement of policy.


STATE BOARD OF OCCUPATIONAL THERAPY EDUCATION AND LICENSURE



Violation under
63 P. S. 		Title/Description Civil Penalty
Section 1506(a) License Required—Practicing or indicating the ability to practice occupational therapy by person never licensed 0 to 4 months—$50 per month
over 4 months to 8 months—$100 per month
9 months and over—$200 per month, up to total of $1,000
Section 1513(b) Use of title occupational therapist
or licensed occupational therapist
or the letters O.T./L., O.T.R./L., L./O.T. or L./O.T.R. by person never licensed or not holding a current license 		1st offense—$500
2nd offense—$1,000
Section 1513(c) Use of words occupational therapy assistant or licensed occupational therapy assistant or the letters C.O.T.A./L., O.T.A./L., L./C.O.T.A. or L./O.T.A. by person never licensed or not holding a current license. 1st offense—$500
2nd offense—$1,000
Section 1515(a) Renewal of license—Practicing on
a lapsed license 		0 to 4 months—$50 per month
over 4 months to 8 months—$100 per month
9 months and over—$200 per month, up to total of $1,000

Source

   The provisions of this §  43b.19 adopted October 22, 2004, effective October 23, 2004, 34 Pa.B. 5809.

§ 43b.20. Schedule of civil penalties—physicians and other board regulated practitioners—statement of policy.


STATE BOARD OF MEDICINE



Violation under
40 P. S. 		Title/Description Civil Penalty
1303.903(1) Failure of physician to report to
the Board within 60 days of the occurrence of any of those events enumerated in Section 903(1) of
the Medical Care Availability and Reduction of Error (Mcare) Act. 		Each offense—$1,000

Source

   The provisions of this §  43b.20 adopted October 22, 2004, effective October 23, 2004, 34 Pa.B. 5809.

§ 43b.21. Schedule of civil penalties—veterinarians and veterinary technicians—statement of policy.


STATE BOARD OF VETERINARY MEDICINE



Violation under 63
P. S. 		Violation under 49 Pa. Code Chapter 31 Title/Description Civil Penalty
Section 485.17 N/A Failure to displayEach offense—$100
Section 485.21(1) §  31.21 Principle
5(c) 		Improper advertising
of emergency
services. 		First offense—$250
Second offense—$1,000 Subsequent offense—formal action
Sections 485.9(a)
and 485.21(1) 		§  31.13 Practicing veterinary medicine on an expired license. 0—6 months—warning
6—24 months—$500
24—48 months—$1,000 More than 48 months—formal prosecution
Section 485.21(1) §  31.36 Practicing as a veterinary technician
on an expired
certificate. 		0—6 months—warning 6—24 months—$250 24—48 months—$500 More than 48 months—formal action

Source

   The provisions of this §  43b.21 adopted June 8, 2007, effective June 9, 2007, 37 Pa.B. 2608.


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