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PA Bulletin, Doc. No. 00-744



[49 PA. CODE CH. 1]

Application Fees

[30 Pa.B. 2264]

   The State Board of Auctioneer Examiners (Board) proposes to amend § 1.41 (relating to fees) by revising those fees which are not related to license renewals but reflect the cost of processing applications and providing services. The proposed changes are to read as set forth in Annex A.

A.  Effective Date.


   This amendment will take effect when published as final rulemaking in the Pennsylvania Bulletin.

B.  Statutory Authority.


   Section 6(a) of the Auctioneer and Auction Licensing Act (act) (63 P. S. § 734.6(a)), requires the Board to establish fees by regulation. The same provision requires the Board to increase fees to meet or exceed projected expenditures if the revenues raised by fees, fines and civil penalties are not sufficient to match expenditures.

C.  Background and Purpose.

   The act requires the Board to set fees by regulation so that revenues meet or exceed expenditures. General operating expenses of the Board are funded through biennial license renewal fees which are paid by all licensees. Expenses of the Board which are related to processing individual applications or providing certain services directly to individual licensees or applicants are excluded from general operating revenues. These expenses are funded through fees which are based on the cost of providing the service. These application and service fees are the focus of this proposed rulemaking.

   A recent systems audit of the operations of this and other boards within the Bureau of Professional and Occupational Affairs analyzed the fees for services to licensees and applicants to determine if the fees reflected the actual cost of providing the services. Actual cost calculations are based on the following formula:

number of minutes to perform the function
pay rate of personnel performing the function
a proportionate share of administrative overhead.

   The Board's fee schedule in § 1.41 was last amended in 1998 when the Board adopted biennial renewal fee increases to balance a projected deficit in the Board's anticipated revenues and expenses. However, the fee structure of § 1.41 incorporated that established by the Bureau of Professional and Occupational Affairs Fee Act (63 P. S. § 1401-203) which established fees only for examination, licenses and renewals. The present auctioneer law was enacted in 1983 and among other things gave the Board authority to regulate auction houses and companies and approved schools. As a result of the systems audit referred to previously, the Board identified activities resulting from regulatory requirements for these entities.

   In this proposal, the Board would establish six new fees identified in the Bureau audit as attributable to requests by individual licensees for services or Board approval or action required by the act or regulation. By establishing these fees the Board proposes that these licensees will pay their proportionate share of the cost to provide the service and reserve renewal revenue for general operating and enforcement expenses.

   The Board mandates prescribed programs of study in § 1.11 (relating to approved course of study). The Board now proposes a fee to cover the costs of the approval process in reviewing a course for which an applicant wants to receive credit, when the course is outside the prescribed course of study.

   The Board also proposes a fee for applications to change sponsor. Sponsors are licensed auctioneers who agree to supervise apprentice auctioneers under section 5(b) of the act (63 P. S. § 734.5(b)), an apprentice auctioneer license is valid only when that apprentice has a sponsoring auctioneer; the apprentice must submit a transfer form and obtain a reissued license each time the apprentice secures a new sponsor.

   Sections 9 and 10(d) of the act (63 P. S. §§ 734.9 and 734.10(d)), require auction house and auction company licensees to notify the Board of change in ownership, name and location of the auction house or company. The Board now proposes a fee to process these applications for changes in auction house or company licenses.

   Section 11 of the act (63 P. S. § 734.11) provides for licensure of nonresidents upon their compliance with the conditions for licensure required of Commonwealth residents. The Board currently does not charge a fee for the time involved in reviewing nonresident qualifications to determine eligibility to sit for the licensing exam. The Board now proposes a fee for this service.

   Currently the Board charges no fees for the actual cost of processing the following: an application to approve course; an application to change sponsor; an application to change auction house or auction company license; nonresident examination eligibility review; certification of scores, permit or registration; and verification of license registration, permit or approval.

   Verification of scores, permit or registration involves a brief and simple electronic search of the Board's computerized licensure records for the subject licensee. This process takes about 5 minutes. Certification of scores, permit or registration is a more labor intensive function which may require Board staff to search electronically and manually through extensive computer, microfilm and paper files to compile various pieces of information regarding the subject's education, examination and/or training. That information is then compiled into one document. The certification process takes about 45 minutes.

   The Bureau's costs calculations allowed the Board to establish fees for the services identified in this proposal, which fees would allocate costs to those who use the service or submit the application.

   The Board proposes a new fee of $45 to cover the cost of processing applications to approve a course; a $15 fee to cover the cost of processing applications to change sponsors and a $15 fee to cover the cost of processing an application to change auction house or auction company license. In addition, the Board proposes a new fee of $25 to cover the cost of performing nonresident examination eligibility review; a new fee of $25 to cover the cost of processing certifications of scores, permits or registration; and a new fee of $15 to cover the cost of processing verification of license, registration, permit or approval. The Board currently incurs staff costs in administrative overhead in providing these services without fee.

   The following table outlines the new application fees:

Application or Service Fee Fee
Application to approve course $0 $45
Application to change sponsor $0 $15
Application to change auction house or auction company license$0 $15
Nonresident exam eligibility
Certification of scores, permit or
$0 $25
Verification of license, or
$0 $15

D.  Compliance with Executive Order 1996-1.

   In accordance with Executive Order 1996-1 (February 1, 1996), in drafting and promulgating the proposal, the Board considered the amendment as both required by law and the least restrictive means of covering the costs of services requested by licensees and applicants.

E.  Fiscal Impact and Paperwork Requirements

   The proposed amendment will have no adverse fiscal impact on the Commonwealth or its political subdivisions. The fees will have a very modest fiscal impact on those members of the private sector who apply for services from the Board. This amendment will not impose additional paperwork requirements upon the Commonwealth, political subdivisions or the private sector.

F.  Sunset Date.

   The Board continuously monitors the cost effectiveness of its regulations. Therefore, no sunset date has been assigned.

G.  Regulatory Review.

   Under section 5(a) of the Regulatory Review Act (71 P. S. § 745.5(a)), on April 20, 2000, the Board submitted a copy of this proposed amendment to the Independent Regulatory Review Commission (IRRC) and to the Chairpersons of the House Professional Licensure Committee and to the Senate Consumer Protection and Professional Licensure Committee. In addition to submitting the proposed amendment, the Board has provided IRRC and the Committees with a copy of a detailed Regulatory Analysis Form prepared by the Board in compliance with Executive Order 1996-1, ''Regulatory Review and Promulgation.'' A copy of the material is available to the public upon request.

   Under section 5(g) of the Regulatory Review Act, if IRRC has objections to any portion of the proposed amendment, it will notify the Board within 10 days after the expiration of the Committees' review period. The notification shall specify the regulatory review criteria which have not been met by that portion. The Regulatory Review Act specifies detailed procedures for review of objections prior to final publication of the regulation, by the Board, the General Assembly and the Governor, of objections raised.

H.  Public Comment.

   Interested persons are invited to submit written comments, suggestions or objections regarding this proposed rulemaking to Linda Dinger, Administrative Assistant, State Board of Auctioneer Examiners, P. O. Box 2649, Harrisburg, PA 17105-2649 within 30 days following publication of this proposed rulemaking in the Pennsylvania Bulletin. Please reference No. 16A-644 (Application Fees) when submitting comments.


   Fiscal Note:  16A-644. No fiscal impact; (8) recommends adoption.

Annex A






§ 1.41.  Schedule of fees.

   Applicants shall pay the following fees:

   [(1)]  Examination fee for auctioneer license$87
   [(2)]  Application fee for auctioneer license$50
   [(3)]  Biennial renewal fee for auctioneer
   [(4)]  Application fee for apprentice auctioneer license$30
   [(5)]  Biennial renewal fee for apprentice auctioneer license$100
   [(6)]  Application fee for auction house and auction company$200
   [(7)]  Special license to conduct auction$200
   Application fee to approve course$45
   Application fee to change sponsor$15
   Application fee to change auction house or auction company license$15
   Nonresident exam eligibility review$25
   Certification of scores, permit or registration   $25
   Verification of license, registration, permit or approval$15
[Pa.B. Doc. No. 00-744. Filed for public inspection May 5, 2000, 9:00 a.m.]

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