6.3 Disciplinary Actions and Sanctions
Key Takeaways
- Section 323 lets the Department of State deny, refuse to renew, revoke, suspend, reprimand, or condition a commission for acts showing a lack of honesty, integrity, competence, or reliability
- The Department may impose an administrative penalty of up to $1,000 for each act or omission that violates RULONA
- An uncommissioned person who performs a notarial act is also subject to the up-to-$1,000 administrative penalty
- Other violations of RULONA are a summary offense punishable by a fine of not more than $1,000 (Section 329)
- Disciplinary proceedings follow the Administrative Agency Law, and final Department actions are subject to judicial review
The Standard: Honesty, Integrity, Competence, Reliability
57 Pa.C.S. § 323 is the disciplinary engine of RULONA. The Department of State may act against an applicant or notary for an act or omission demonstrating that the person lacks the honesty, integrity, competence, or reliability to act as a notary public. This is a broad, character-based standard — the Department does not need a separately listed offense for every wrong; the four-word test reaches most misconduct.
The statute also lists specific triggers, including:
| Trigger | Example |
|---|---|
| Fraudulent/dishonest misstatement or omission in the application | False answer on the commission application |
| Felony conviction, or one involving fraud/dishonesty/deceit | Including acceptance of ARD (Accelerated Rehabilitative Disposition) |
| Adverse finding/admission of liability based on fraud or deceit | Civil judgment for fraudulent notarization |
| Failure to comply with RULONA or Department regulations | Acting without personal appearance |
| Failure to discharge a required notarial duty | Not keeping the journal |
| False or misleading advertising or representation | Using "notario publico" |
| Discipline of a notary commission in another state | Out-of-state revocation |
| A Bar Association or court finding of unauthorized practice of law | UPL determination |
Administrative Sanctions and Penalties
The Department of State has a graduated menu of administrative sanctions under § 323:
| Sanction | Effect |
|---|---|
| Denial | Refuse to issue a commission |
| Refusal to renew | Decline reappointment |
| Reprimand | Official censure on the record |
| Condition | Place requirements on the commission (e.g., training) |
| Suspension | Temporarily remove authority to act |
| Revocation | Permanently remove from office |
Separately, the Department may impose an administrative penalty of up to $1,000 for each act or omission that violates RULONA. The same up-to-$1,000 penalty applies to any person who performs a notarial act without being properly appointed and commissioned. Because the cap is per act or omission, a notary who commits the same violation many times can face multiple stacked penalties.
Worked example: A notary completes 12 acknowledgments over a month without the signers appearing. Each is a separate act or omission, so the Department could assess up to $1,000 on each — a potential $12,000 administrative exposure — in addition to revoking the commission.
Criminal Liability and Process
Apart from administrative sanctions, 57 Pa.C.S. § 329 makes other violations of RULONA or Department regulations a summary offense, punishable on conviction by a fine of not more than $1,000. Separate, more serious crimes can apply when a person impersonates a notary or uses a notary's stamp without authority, which can be prosecuted under the Crimes Code, and fraudulent notarizations can support forgery or tampering charges.
| Layer | Authority | Maximum / Outcome |
|---|---|---|
| Administrative penalty | Department of State | Up to $1,000 per act/omission |
| Commission sanction | Department of State | Reprimand to revocation |
| Criminal (summary offense) | Courts (§ 329) | Fine up to $1,000 |
| Impersonation / stamp misuse | Courts (Crimes Code) | Criminal prosecution |
| Civil liability | Courts | Actual (and possibly punitive) damages |
How a Case Proceeds
Disciplinary proceedings are conducted under Pennsylvania's Administrative Agency Law. A typical path: a complaint is filed with the Department, the Department investigates, a hearing is held if warranted, the Department issues a decision imposing a sanction, and final actions are subject to judicial review (appeal). The 2026 RULONA regulations (4 Pa. Code Chs. 161, 163, 167, effective March 28, 2026) add detailed procedures and reinforce the conflict-of-interest, advertising, and notario provisions.
Administrative vs. Criminal vs. Civil — Don't Confuse Them
Exam questions often try to blur the three tracks, which are independent and can run at once for the same conduct:
- Administrative is the Department's own action against the commission (revocation, suspension) plus the up-to-$1,000-per-act penalty. No court is needed for the Department to act.
- Criminal is prosecuted by the Commonwealth in court. A general RULONA violation is a summary offense (fine up to $1,000); impersonation or unauthorized stamp use is charged under the Crimes Code.
- Civil is a private lawsuit by an injured party seeking damages; a fraudulent or negligent notarization that causes loss can support a civil judgment regardless of any Department or criminal action.
A notary should also understand that resigning the commission does not erase exposure: the Department may still pursue penalties for past acts, and criminal and civil liability survive resignation.
Recordkeeping and Reporting Obligations
Discipline frequently flows from failures of duty, not just affirmative fraud. Two recurring sources of sanctions are failing to maintain the required journal of notarial acts and failing to safeguard the stamping device so that no other person can use it. A lost or stolen stamp must be handled promptly because misuse of a notary's stamp is both a discipline trigger for the notary (failure to safeguard) and a crime for the person who misuses it. These competence-and-reliability failures sit squarely inside the § 323 standard even when the notary had no intent to defraud.
Exam Focus
- Standard: honesty, integrity, competence, reliability.
- Administrative penalty: up to $1,000 per act or omission — including for acting without a commission.
- Sanctions: deny, refuse renew, reprimand, condition, suspend, revoke.
- Criminal (§ 329): summary offense, fine up to $1,000.
- Process: Administrative Agency Law; final actions subject to judicial review.
What is the maximum administrative penalty the Department of State may impose under RULONA for each act or omission that violates the law?
Which character standard does Section 323 use to determine whether a notary should face discipline?
Under Section 329, a violation of RULONA or a Department regulation that is not otherwise classified is graded as which kind of criminal offense?
After the Department of State revokes a notary's commission following a hearing, what recourse does the notary have?