1. (a) Schedule. After providing an opportunity for a hearing, the Department may impose sanctions on an agent according to the following schedule of violations by the agent when the Department finds upon sufficient evidence that the following have occurred.

   	1st Offense	2nd Offense	3rd Offense	4th and Subsequent Offense
   (1) The authorized agent has failed to report change of business address before or within 15 days after such change.	Written warning	1 month suspension	3 months suspension	Revocation
   (2) The agent has failed to maintain proper records.	Written warning	1 month suspension	3 months suspension	6 months suspension
   (3) The agent has failed to allow inspection of all documents in the possession of the permit agent by authorized Commonwealth employes.	1 month suspension	3 months suspension	6 months suspension	Revocation
   (4) The agent has refused to make available records to authorized Commonwealth employes, within 15 days of written notice.	Until records are made available, plus 6 months suspension.	Revocation
   (5) The agent has failed to notify the Bureau of a change of ownership and to apply for a new certificate of authorization.	Suspension until application for new certificate of authorization has been made and has been approved by the Department.	Suspension until application for new certificate of authorization has been made and has been approved by the Department, plus 1 month suspension.	Suspension until application for new certificate of authorization has been made and has been approved by the Department, plus 3 months suspension.	Revocation
   (6) An owner or officer of the agent business is a Commonwealth employe or the agent is employing a Commonwealth employe.	1 month suspension	6 months suspension	Revocation
   (7) The agent has offered or paid money, gifts, or other rewards to Commonwealth employes.	6 months suspension	Revocation
   (8) The agent has failed to maintain security of documents.	Written warning	1 month suspension	3 months suspension	6 months suspension
   (9) The agent has failed to submit docu- ments and fees in accordance with this chapter.	Written warning	1 month suspension	3 months suspension	6 months suspension
   (10) The agent has submitted documents to the Department for processing which have been accompanied by uncollectable checks drawn on the account of the agent.	Suspension upon written notice of the Department until all uncollectable checks, protest fees, and collection charges are paid.	Suspension upon written notice of the Department until all uncollectable checks, protest fees, and collection charges are paid, plus 1 month suspension.	Suspension upon written notice of the Department until all uncollectable checks, protest fees, and collection charges are paid, plus 3 months suspension.	Revocation
   (11) The agent has issued permits or telegrams of authority not in accordance with this chapter.	Written warning	1 month suspension	3 months suspension	6 months suspension

2. (b) Second and subsequent violations. Second violations are determined on the basis of a previous violation of the same nature committed within a 3-year period. Third or subsequent violations are determined on the basis of two or more previous violations of the same nature committed within a 3-year period.
3. (c) Multiple violations. In the case of multiple violations considered at one time, the Department may impose separate sanctions for each violation under the schedule in subsection (a). The Department may direct that a suspension imposed be served concurrently or consecutively.
4. (d) Responsibility for acts of employes. In determining whether an agent is responsible for a violation of subsection (a)(6) or (7), the Department hearing examiner will consider whether one or more employes of the agent may have committed the violation without the knowledge or approval of the agent. If the hearing examiner determined that the violation occurred without the knowledge or approval of the agent, the Director of the Bureau may impose a lesser sanction than set forth in subsection (a).
5. (e) Mitigation. If, upon evidence submitted at the hearing, it is found that a violation occurred under mitigating circumstances, the Director of the Bureau may impose a lesser sanction than that set forth in subsection (a).
6. (f) Revocation. Upon revocation of an agent’s certification of authorization, the agent will be debarred from applying for a new certificate of authorization for 1 year.

Source

The provisions of this § 65.10 adopted April 29, 1983, effective April 30, 1983, 13 Pa.B. 1440; corrected February 24, 1984, effective November 26, 1983, 14 Pa.B. 661; readopted May 6, 1988, effective immediately and applies retroactively to April 30, 1988, 18 Pa.B. 2131. Immediately preceding text appears at serial pages (87705) to (87706) and (95335).