RULES AND REGULATIONS
Title 49--PROFESSIONAL AND VOCATIONAL STANDARDS
STATE ARCHITECTS LICENSURE BOARD
[49 PA. CODE CH. 9]
General Revisions
[28 Pa.B. 3273] The State Architects Licensure Board (Board) amends Chapter 9 (relating to State Architects Licensure Board) to read as set forth in Annex A.
A. Effective Date
The amendments are effective upon publication in the Pennsylvania Bulletin.
B. Statutory Authority
The amendments are made under sections 6(a), (b) and (d), 8(b), 13(h) and 14 of the Architects Licensure Law (act) (63 P. S. §§ 34.6(a), (b) and (d), 34.8(b), 34.13(h) and 34.14).
C. Background and Purpose of Amendments
Executive Order 1996-1 dated February 6, 1996, directed executive agencies, including the Board, to commence a program of review of regulations to ensure that regulations were consistent with the principles and requirements of the order. By these amendments, the Board implements its review of its existing regulations conducted under Executive Order 1996-1. In accordance with the principles of the Executive Order, the Board has deleted many regulations which it has determined are either unnecessary, outdated or for which viable nonregulatory alternatives exist. In revisions to existing regulations, the Board has clarified and simplified requirements for licensure by examination and reciprocity. The Board deleted regulations which embody former procedures and standards of the National Council of Architectural Registration Boards (NCARB) which have undergone changes since its last major revision to these regulations in 1986. Finally, the Board amended its regulations regarding complaints to conform to court decisions regarding the separation of prosecutorial and adjudicatory functions.
D. Persons Affected
These final-form regulations affect individuals who are in architectural schools and architectural intern programs, applicants for licensure either by examination or reciprocity, Pennsylvania licensed architects and persons who practice architecture or a component of the practice of architecture as defined in section 3 of the act (63 P. S. § 34.3).
E. Summary of Comments and Responses to Proposed Rulemaking
Proposed rulemaking was published at 27 Pa.B. 1566 (March 29, 1997). The Board received comments from ten public commentators, the House Professional Licensure Committee (HPLC) and the Independent Regulatory Review Commission (IRRC).
Changes in the final-form regulations in response to commentators in a section-by-section description to each of the comments and the Board's response.
General Comments
Preliminarily, commentator Robert Shusterman and the Pennsylvania Society of Architects (PSA) requested that the Board withdraw the proposal in its entirety, redraft the proposal and submit a new regulatory proposal based upon the quantity of comments received in addition to those of the PSA. In the same comment, however, the PSA endorsed Mr. Shusterman's suggestions for changes and additional recommendations for additional regulation. The PSA noted that it also has endorsed amending the act to govern design-build.
The Board has considered the PSA's request to withdraw the amendments in light of other comments received and the overall purposes and objectives of the rulemaking. As noted in Section C of this Preamble, a principal purpose of the amendments is to execute Executive Order 1996-1, particularly with regard to the deletion of unnecessary and outdated regulations. The Board notes that no objections were made to the Board's proposal in this regard. Furthermore, for the reasons more fully explained in this section, the Board believes that its responses to commentators address concerns in a manner which allows the Board to proceed with final rulemaking, while reserving other concerns to future rulemaking. For these reasons, the Board declines to adopt the suggestion to withdraw these final-form regulations at this time.
Mr. Shusterman's comments were initially made to the PSA, in a letter commenting on a draft of the rulemaking as published in the Pennsylvania Bulletin. Although Mr. Shusterman's comments to the draft proposal were not provided to the Board prior to publication of proposed rulemaking, Mr. Shusterman provided these comments, based upon his view that the draft version was in all material respects identical as published in the Pennsylvania Bulletin.
In addition to a section by section analysis, Mr. Shusterman suggested that given the extensive nature of his comments, the best interest of the profession and the Board would be served if the Board would put the proposed amendments on hold until he could meet with the drafters of the proposal to resolve his concerns. For the reasons set forth in the Board's response to the PSA's identical suggestion, and for the reasons set forth in this Preamble, the Board has determined that it is not necessary to repropose a new regulatory document at this time. Many comments and suggestions made by Mr. Shusterman have been addressed in changes to the proposed rulemaking. With respect to other suggestions which the Board has not adopted, the Board has determined that many fall outside the scope of proposed rulemaking.
The act of July 31, 1968 (P. L. 769, No. 240) (45 P. S. §§ 1101--1602), limits the subject matter of final rulemaking to the subjects fairly encompassed in proposed rulemaking. See, Brocal v. Department of Transportation, 528 A.2d 114 (Pa. 1987). State agencies are required to submit proposed rules to the public and the regulatory review bodies to assure that the public, particularly the regulated community, has an opportunity to comment on the wisdom of the methods chosen by the agency to deal with a problem. See, Department of Environmental Resources v. Rushton Mining Co., 591 A.2d 1168 (Pa. Cmwlth. 1991).
The Board is hesitant to adopt in final rulemaking a solution to the problem of firm regulation without allowing licensees and firms, who would be paying a fee, an opportunity to comment. Also, detailed Board and Departmental discussion is necessary to factor costs and necessary reviews before the fee could be calculated.
IRRC noted that amendments were needed throughout the regulations to more fully implement the Board's intent to use the term ''licensure'' when referring to individuals who practice architecture and ''registration'' when referring to architectural firms which are required to register with the Board before practicing architecture in this Commonwealth. In this regard generally, throughout the final-form regulations, the Board has adopted IRRC's recommendations.
The following is a description of changes made to specific sections in response to commentator suggestions and regulatory review.
§§ 9.2, 9.166 and 9.167. Design-Build and Construction Management.
In proposed §§ 9.2 and 9.166 and 9.167, an architect's participation in design-build projects and construction management would be regulated.
The HPLC expressed the opinion that the Board lacks legislative authority to promulgate regulations relating to either construction management or design-build. Construction management associations and entities representing construction management firms commented on these sections. These public commentators expressed dissatisfaction with the Board's rulemaking in these two categories either on identical grounds to the HPLC or based on the regulatory scheme and language chosen by the Board. IRRC suggested that the provisions regarding design-build and construction management be deleted, and that the Board work with the Legislature to revise the act to deal with these issues. The Board agrees with the suggestion and has deleted both sections from final rulemaking.
§§ 9.71--9.73, 9.81 and 9.116--9.117. Examinations.
IRRC requested that the Board explain how the procedures of §§ 9.71--9.73 changed as a result of the change of the Architect Registration Examination (ARE) to a computerized format. When the ARE was administered in written form, the National Council of Architectural Registration Boards (NCARB), provided the examinations to State boards which either administered the examinations or contracted with a third party to do so. A candidate for NCARB certification (but not State licensure) took the ARE by applying to one of the states to do so. Under the computerized program, NCARB now contracts with a testing agency to administer the computer examination throughout the United States. Therefore, candidates for NCARB certification no longer need apply to sit for the examination in any given state.
IRRC noted that language regarding cheating appeared in §§ 9.116 and 9.117. The Board has adopted IRRC's recommendation to place this language in § 9.117 only.
The Board has made editorial changes to § 9.81 as to where applications may be obtained.
§§ 9.141--9.143. Seals.
IRRC, the PSA, Mr. Shusterman and Robert Kimball and Associates questioned whether proposed § 9.141, which provides that an identical stamp may be used in lieu of a seal, would require previously licensed architects to obtain new seals. Commentator Kimball also suggested that the section should explicitly so provide, and further recommended that the Board permit a computer image of the seal to be used in the same manner as permitted under regulations for engineers in § 37.58(d) (relating to seal).
In response, the Board notes that the section tracks section 12(a) of the act (63 P. S. § 34.12(a)), which requires that an architect obtain a seal which has been approved by the Board. Section 12(b) of the act provides that an architect may use a stamp of the design of the seal and use it in lieu of the seal. The amendments would not effect a repeal of existing regulations. Therefore, there is no need for an architect who has been licensed under the regulations prior to the amendment to obtain a new seal.
In response to the suggestion that the Board include in its regulations a provision for sealing documents by use of a computer image, the Board reviewed research conducted by the NCARB Electronic Technology Task Force. It is the Board's understanding that the NCARB Task Force has been researching issues which will affect the practice of architecture due to electronic technology, including the use of a computer image to seal documents. The use of a computer image seal would be a part of standards regarding the use of electronic technology in the practice of architecture. That study is not yet completed. The Board, therefore, has chosen to defer rulemaking in this area until research and recommendations have been made by the task force to the NCARB membership.
Finally, with regard to §§ 9.142 and 37.58, IRRC commented that the phrase ''direct supervision'' could imply that the architect must directly perform the architectural work. IRRC recommended that the Board replace this phrase with NCARB's preferred terminology, which is ''responsible control.''
In researching this issue, the Board notes that in 1996, the NCARB Electronic Technology Task Force recommended, and the NCARB adopted, a change in the NCARB's model law to replace the requirement that architectural designs not personally prepared by an architect be prepared under the architect's ''direct supervision'' with the requirement that designs not directly prepared by an architect be prepared under the architect's ''responsible control.'' In making this change, the NCARB commented that it intended to loosen restrictions, because the term ''direct supervision'' was generally interpreted as to require that architectural work could only be performed by employes of a registered architect and only on the architect's premises.
The Board notes in response that the language of sections 12(a) and 15(1) of the act (63 P. S. §§ 34.12(a) and 34.15(1)), both require that work done by others be prepared under the architect's personal supervision. In contrast, section 5(a) of the Engineers, Land Surveyor and Geologist Registration Law (Engineer Law) (63 P. S. § 152(a)), provides for an exemption from licensure for persons who do not assume ''responsible charge'' of designs or supervision. Section 6 of the Engineer Law (63 P. S. § 153) requires directing heads or employes of firms or corporations to be ''in responsible charge of'' its activities in the practice of the profession, including sealing design documents issued by the firm.
In the Board's view, the Legislature's use of the words ''personal supervision'' in the 1982 version of the act, demonstrates an intent to follow the language of the NCARB Model Law in place at that time. To avoid departing from the intent of the Legislature with regard to the regulation of architects, the Board intends to employ the legislative language of the act in its regulations, rather than the language employed by the Legislature with reference to engineers.
However, with regard to other suggestions made by IRRC concerning modeling §§ 9.141 and 9.142 after the regulations of the State Registration Board for Professional Engineers, Land Surveyors and Geologists, the suggestions have been adopted and are incorporated in the final rulemaking.
§ 9.151. Standards of professional conduct.
As proposed, § 9.151 was amended by the Board, and four new standards were added. Commentators to the final-form regulations, including IRRC, questioned why the Board does not instead adopt the NCARB Model Rules of Professional Conduct for the American Institute of Architects (AIA) Code of Ethics and Professional Conduct.
Informational material available to the Board from the NCARB and AIA indicate that the Ethical Standards and Rules of Conduct of both NCARB and AIA were developed after the Rules of Conduct of the Board had been placed in regulation under the statutory authority of the Architects Registration Law (63 P. S. §§ 21--33) (Repealed). Amendments to the Board's regulations in 1986 were designed to update the regulations to conform to the 1982 law.
While the Commonwealth's law is somewhat similar to the NCARB's Model Law as it existed in 1982, the NCARB has revised its model law substantially in the intervening years. Its model regulations have undergone similar changes to reflect the changes in its Model Law. For these reasons, the model regulations do not follow the structure or content of the regulations which the Board is here amending.
With regard to the Code of Ethics of the AIA, the Board's review of that organization's 1993 Code of Ethics indicates, as well, that the structure of the AIA Code is substantially different than the structure of the Board's regulations here. Proposed rulemaking was intended to revise the language of § 9.151 to provide architects with clear guidance and direction as to the conduct which the Board believes would constitute a violation of its standards of professional conduct, consistent with the act. Adopting the AIA Code of Ethics or the NCARB Model Rules would not accomplish this objective.
IRRC recommended that overlapping standards found in § 9.151(3) and (10), and (9) and (13), be combined. Paragraph (10) has been deleted in accordance with IRRC's suggestion and the subsequent paragraphs renumbered. With regard to paragraphs (9) and (13) as proposed, the Board believes that the proscriptions cover sufficiently distinct conduct as to justify separate subsections. Further, the Board believes architects will benefit from the notice that is provided in the two subsections.
IRRC also recommended that final-form regulations specify the statutes and regulations which are related to the practice of architecture. In response, the Board notes that architects' standards of professional practice require them to be aware of the building codes which apply to a project which they are undertaking in a given municipality or political subdivision.
Citations to all statutes and regulations which apply to the practice of architecture would be cumbersome and unwieldy, particularly with regard to statutes pertaining to building and construction standards. Local ordinances may vary from municipality to municipality, and are subject to revision on an ongoing basis. The Board has modified § 9.151(3) to provide sufficient notice to the architect of his professional responsibilities in this regard. Accordingly, the Board does not specify any particular statute or regulation.
§§ 9.163--9.177. Professional and Corporate Practice.
As proposed, § 9.175 (relating to firm or business names) requires that an architect engaged in the practice of architecture, individually or as a firm, notify the Board upon his discontinuance, retiring or withdrawing from practice. IRRC commented that the difference between the terms ''discontinuance'' and ''retiring from practice'' is unclear. As proposed, the Board intended that ''discontinuance'' was to refer to a short term leave of absence. IRRC suggested that to improve the clarity of the regulation, the Board define each of the terms in the definitional section of § 9.2, or, in the alternative, IRRC recommended that the Board replace ''discontinuance'' with ''leave of absence.'' The Board has adopted the latter suggestion.
With regard to § 9.163(2) (relating to prior approval by the Board), IRRC, Shusterman and the PSA commented that the definition of ''principal'' as stated in the proposal is confusing. IRRC recommended that the Board revise the definition of ''principal'' to clarify the meaning of the phrase as ''a person who is in charge of the architectural practice.'' The Board has revised that paragraph to define ''principal'' as an officer, principal stockholder or a person having a substantial interest or management responsibility for the architectural practice.
Mr. Shusterman indicated that a review of the regulations in his opinion showed six key areas that should be resolved to make the regulations and the practice of architecture in this Commonwealth both reasonable for both the practitioners and the Board. These areas included firm practice; licensure certificates and registration; standards of professional conduct; use of a seal; conflict with the licensure law; and inconsistent terminology.
With regard to firm practice, Mr. Shusterman characterized the regulation of firm practice as the most serious regulatory problem. He suggested that the absence of a physical firm license which, in his view, was contemplated in the enactment of the licensure law, creates uncertainty in the practice of architecture. He also maintains that the Board's current method of handling firm records precludes it from weeding out those firms which were once in compliance, but have ceased to comply with the licensure law.
The Board does not agree that the Legislature authorized licensure of firms which must register under section 13 of the act. In accordance with section 13(h) of the act, the Board has promulgated regulations which require prior approval of the Board in regard to certain information concerning firm governance and ownership. Section 9.163(4) provides that all owners of a firm certify that notice will be given to the Board of any changes in firm ownership prior to the firm practicing under those changes. It is the Board's experience that firms which have registered do give the Board notice of changes in ownership and firm governance. Nonetheless, the Board is aware that there are some architects who practice in firm settings without registration. The Board takes action to assure compliance and enforce the requirement of the law when appropriate.
Mr. Shusterman also suggested that the regulations treat differently sole practitioners who practice as a sole proprietorship and sole proprietorships which employ others. He suggests that the current regulatory language can be construed so as to require a sole practitioner to get approval of his ''ownership of the firm'' prior to practicing architecture. Prior approval is indeed required under § 9.163 for business firms. However, §§ 9.162, 9.163--9.165, read together, indicate that prior approval is necessary for business firms composed of architects and others practicing under a business structure and single name.
The commentator also suggested that the firm practice section should address the issue of limited liability corporations and limited liability partnerships, although he expressed concern that because these corporate formations are not explicitly authorized in the act, amendments to permit the formations might be required. A suggestion was also made that provisions on firm practice address businesses such as joint ventures.
The different forms of business associations in Title 15 of the Pennsylvania Consolidated Statutes, include general partnerships under 15 Pa.C.S. §§ 8301--8365 (relating to Uniform Partnership Act); limited partnerships under 15 Pa.C.S. §§ 8501--8594 (relating to the Uniform Limited Partnership Act); registered limited liability partnerships under 15 Pa.C.S. §§ 8201--8221 (relating to registered limited liability partnerships); and limited liability companies under 15 Pa.C.S. §§ 8901--8998 (relating to Limited Liability Company Law of 1994). The official comment to the Limited Liability Company Law by the Pennsylvania Bar Association's Title 15 Task Force Committee concluded that no policy reason exists to differentiate between the various forms of organization authorized by Title 15 for purposes of determining the appropriate form for conduct of a profession subject to any limitations in individual licensure laws. Accordingly, architects should be permitted to practice and organize their firms as a limited liability company or as a limited liability partnership because section 13 of the act does not prohibit these business forms. Joint ventures are not one of the business forms which the Board is permitted to regulate under section 13 of the act.
With regard to licensure, certificates and registration, the commentator expressed a view that, however well intended, the reservation of the word ''licensure'' for individuals and the reservation of the word ''registration'' for firm practice causes unnecessary confusion and potentially burdens the Board with a host of interpretative issues. The Board has attempted to clarify the language in its regulations by using these terms consistently. Although the commentator correctly notes that words are used interchangeably in the statute, the Board believes that the use of these terms consistently in the regulations will assist readers and practitioners in complying with the regulatory requirements. The Board does not perceive its action with regard to the amendments as being contrary to the statute's overall scheme and intent. Also, with regard to the use of the word ''certification,'' the Board notes that it has reserved the word ''certification'' for instances relating to the NCARB certification.
In addition to these general comments, Mr. Shusterman has offered additional amendments which would add new definitions and rewrite the proposed language.
The Board believes Mr. Shusterman's comments and suggestions with regard to the need for additional rulemaking should be more fully considered. In the Board's review of the need of additional rulemaking to further implement the act, the Board will consider Mr. Shusterman's comments in making these proposals.
F. Fiscal Impact
The amendments will have no ascertainable fiscal impact on the Commonwealth or local governments. With regard to the regulated population and candidates for licensure, the amendments will result in fewer regulatory requirements and eliminate some restrictions of existing regulations pertaining to corporate practice and filings.
G. Paperwork Requirements
The amendments add no additional paperwork requirements for the Commonwealth, its local governments or the regulated population.
H. Regulatory Review
Under section 5(a) of the Regulatory Review Act (71 P. S. § 745.5(a)), the Board submitted a copy of the notice of proposed rulemaking, published at 27 Pa.B. 1566, to IRRC and the Chairpersons of the HPLC and the Senate Consumer Protection and Professional Licensure Committee for review and comment. In compliance with section 5(c) of the Regulatory Review Act, the Board also provided the IRRC and the Committees with copies of all comments received, as well as other documentation.
In preparing these final-form regulations, the Board has considered the comments received from IRRC, the Committees and the public.
These final-form regulations were approved by the Committees on May 11, 1998. IRRC met on June 4, 1998, and approved the final-form regulations in accordance with section 5.1(d) of the Regulatory Review Act (7l P. S. § 745.5a(a)).
I. Public Information
Interested persons may obtain information regarding the amendments by writing to Dorna Thorpe, Board Administrator, State Architects Licensure Board, P. O. Box 2649, Harrisburg, PA 17105-2649.
J. Findings
The Board 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 at 1 Pa. Code §§ 7.1 and 7.2.
(2) A public comment period was provided as required by law and all comments were considered.
(3) These amendments do not enlarge the purpose of proposed rulemaking published at 27 Pa.B. 1566.
(4) These amendments are necessary and appropriate for administration and enforcement of the authorizing act identified in Part B of this Preamble.
K. Order
The Board, acting under its authorizing statutes, orders that:
(a) The regulations of the Board, 49 Pa. Code Chapter 9, are amended, by amending §§ 9.2, 9.11, 9.21, 9.27, 9.41, 9.46, 9.49a, 9.61, 9.62, 9.81, 9.84, 9.88, 9.90, 9.93, 9.101--9.103, 9.116, 9.131, 9.132, 9.141--9.143, 9.145, 9.151, 9.161, 9.163, 9.165, 9.171, 9.175--9.177, 9.181, 9.182, 9.185, 9.190, 9.202 and 9.211; by deleting §§ 9.12--9.17, 9.22--9.26, 9.28--9.35, 9.42, 9.43, 9.45, 9.47, 9.48, 9.63, 9.71--9.73, 9.87, 9.89, 9.91, 9.120, 9.144, 9.152, 9.172 and 9.173; and by adding § 9.50 to read as set forth in Annex A.
(Editor's Note: The amendment of §§ 9.41 and 9.81 was not included in the proposal at 27 Pa.B. 1566. The proposal to add §§ 9.166 and 9.167 has been withdrawn by the Board.)
(b) The Board shall submit this order and Annex A to the Office of General Counsel and to the Office of Attorney General as required by law.
(c) The Board 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.
ROBERT J. CROWNER,
PresidentFiscal Note: Fiscal Note 16A-413 remains valid for the final adoption of the subject regulations.
(Editor's Note: For the text of the order of the Independent Regulatory Review Commission relating to this document, see 28 Pa.B. 2869 (June 20, 1998).)
Annex A
TITLE 49. PROFESSIONAL AND VOCATIONAL STANDARDS
PART I. DEPARTMENT OF STATE
Subpart A. PROFESSIONAL AND OCCUPATIONAL AFFAIRS
CHAPTER 9. STATE ARCHITECTS LICENSURE BOARD
GENERAL PROVISIONS § 9.2. Definitions.
The following words and terms, when used in this chapter, have the following meanings, unless the context clearly indicates otherwise:
ARE--Architect Registration Examination of the NCARB approved by the Board as the architecture licensure examination.
Accredited program--A program accredited by the National Architectural Accrediting Board to provide courses in architecture and related subjects and empowered to grant professional and academic degrees in architecture.
Act--The Architects Licensure Law (63 P. S. §§ 34.1--34.22).
Administrative Code--The Administrative Code of 1929 (71 P. S. §§ 51--732).
Board--The Architects Licensure Board as defined in section 4 of the act (63 P. S. § 34.4).
Board prosecutor--An attorney employed through the Office of General Counsel to act as the prosecutor for the Commonwealth before the Board.
Bureau--The Bureau of Professional and Occupational Affairs.
Commissioner--The Commissioner of the Bureau.
Examination--The examination as referred to in this chapter is the examination for architectural registration approved by the Board.
IDP--Intern Development Program of NCARB.
IDP council record--A detailed authenticated record of an individual's education, training and character maintained by NCARB.
NAAB--National Architectural Accrediting Boards, Inc.
NCARB--National Council of Architectural Registration Boards, 1735 New York Avenue, NW, Suite 700, Washington, DC 20006.
Plans and models--Drawings, graphic representations or scaled models, or a combination of drawings, graphic representations or models, or reproduction thereof, prepared for the purpose of illustrating proposed or intended designs for the construction, enlargement or alteration of a building or project.
Specifications--A written instruction or reproduction thereof describing a material or method of construction proposed or intended to be employed in the construction, enlargement or alteration of a building or project.
AFFILIATION WITH NCARB § 9.11. NCARB membership.
The Board will maintain membership in NCARB and the Middle Atlantic Regional Conference of NCARB. The necessary costs for the membership will be paid for under section 11 of the act (63 P. S. § 34.11).
§ 9.12. (Reserved).
§ 9.13. (Reserved).
§ 9.14. (Reserved).
§ 9.15. (Reserved).
§ 9.16. (Reserved).
§ 9.17. (Reserved).
FUNCTIONS OF THE BOARD § 9.21. Board meetings.
In addition to the one regular meeting per year prescribed by law, the Board will hold additional meetings as may be necessary to conduct the business of the Board. The administrative assistant, in conjunction with the administrative office of the Bureau, will give notice of the time and place of each meeting at which formal action will be taken, under section 9 of the Sunshine Act (65 P. S. § 279). Meetings of the Board will be conducted in accordance with the Sunshine Act (65 P. S. §§ 271--286), and Roberts Rules of Order, Revised.
§ 9.22. (Reserved).
§ 9.23. (Reserved).
§ 9.24. (Reserved).
§ 9.25. (Reserved).
§ 9.26. (Reserved).
§ 9.27. Inactive records.
Records of candidates for licensure that are inactive for 5 years will be destroyed. A record will be considered inactive if a candidate does not correct a deficiency in an application, or pass the entire examination within 5 years of notice from the Board of the deficiency or eligibility to take the examination.
§ 9.28. (Reserved).
§ 9.29. (Reserved).
§ 9.30. (Reserved).
§ 9.31. (Reserved).
§ 9.32. (Reserved).
§ 9.33. (Reserved).
§ 9.34. (Reserved).
§ 9.35. (Reserved).
EXAMINATION § 9.41. General requirements.
Licensure may be granted to an applicant who has successfully passed the ARE examination. The subject matter is described in detail in the NCARB's Circular of Information No. 2 which is available from the Board or from the National Council of Architectural Registration Boards, 1735 New York Avenue, N.W., Suite 700, Washington, D.C. 20006.
§ 9.42. (Reserved).
§ 9.43. (Reserved).
§ 9.45. (Reserved).
§ 9.46. Requirements for examination eligibility.
A candidate for the examination shall have:
(1) A professional degree in architecture from an accredited program.
(2) Three years of diversified training experience demonstrated by training requirements of the IDP.
(3) An architectural degree candidate applying for first time licensure is required to pass the entire professional licensure examination of the Board within 5 years of the date of notice by the Board of eligibility to take the examination. The Board may waive this requirement upon proof of medical hardship or other extraordinary circumstances.
§ 9.47. (Reserved).
§ 9.48. (Reserved).
§ 9.49a. Diversified training requirements.
(a) The Board has adopted NCARB Training Requirements for IDP as set forth in Appendix B to the 1985-1986 NCARB Circular of Information No. 1. The 1985-1986 NCARB Circular of Information No. 1 is available from: National Council of Architectural Registration Boards, 1735 New York Avenue, N. W., Suite 700, Washington, D. C. 20006.
(b) The candidate shall keep records of required diversified training experience in accordance with NCARB IDP requirements. The candidate is responsible for having NCARB transmit a certificate of completion of IDP as part of the candidate's application. An application which does not contain a certificate will not be reviewed.
§ 9.50. Reapplications.
Candidates required to file new applications under §§ 9.27 and 9.46(3) (relating to inactive records; and requirements for examination eligibility) shall meet the requirements of the act and regulations in effect at the time the new application is filed.
LICENSURE BY RECIPROCITY § 9.61. General requirements.
Licensure may be granted to an applicant who holds a license to practice architecture in another state, territory or country where the qualifications required for licensure are equal to the requirements for licensure in this Commonwealth at the time of licensure in the original jurisdiction and the applicant is of good moral character. Possession of an NCARB Certificate is prima facie evidence that the individual meets the requirements of the Commonwealth.
§ 9.62. Reciprocal licensure.
(a) An applicant for reciprocal licensure shall submit a completed application on forms provided by the Board containing:
(1) A letter of good standing, or the equivalent from the licensing entity of the state or country where the architect currently practices.
(2) Information relative to training, education and experience as an employe or as a practicing principal.
(b) An applicant who has qualified for original licensure by having passed the ARE in or after 1992 shall submit certification of having met the training requirements for IDP.
(c) A candidate in another recognized and approved jurisdiction and seeking to practice within this Commonwealth who has not lawfully practiced architecture for more than 10 years is required to submit a detailed summary of professional or business activities, or both, during the inactive period. It is within the discretion of the Board to determine whether the activities are substantially equivalent to the continuing practice of architecture.
(d) An applicant licensed on the basis of education, experience or examination not equal to the requirements of the Commonwealth shall submit satisfactory evidence of at least 10 years of continuous practice of architecture while holding a valid license as an architect. An applicant who has not taken a licensure examination shall provide the Board with a list of not less than three nor more than ten examples of architectural services designed and supervised by the applicant, giving location, name of owner, use and purpose, and date of completion.
(e) An applicant may be required to appear before the Board for a personal interview and may be requested to submit detailed information about training and experience, or both.
§ 9.63. (Reserved).
NCARB CERTIFICATION § 9.71. (Reserved).
§ 9.72. (Reserved).
§ 9.73. (Reserved).
APPLICATION PROCEDURES § 9.81. Place of application.
An application for license shall be submitted to the Board, Box 2649, Harrisburg, Pennsylvania 17105-2649 on forms available from the Board.
§ 9.84. Experience.
The candidate shall be of good moral character. A candidate for first-time licensure shall reside in or be employed in this Commonwealth by a Commonwealth licensed architect, practicing as a principal in this Commonwealth and having a permanent Commonwealth address.
§ 9.87. (Reserved).
§ 9.88. Verification of IDP.
The candidate shall keep records of required diversified training experience in accordance with NCARB recordkeeping procedures on NCARB IDP Recordkeeping Forms. These forms are available from NCARB. The candidate is responsible for having NCARB transmit to the Board offices, a certificate of completion of IDP requirements as part of the candidate's application. An application which does not contain submissions of verification will not be reviewed.
§ 9.89. (Reserved).
§ 9.90. Board member as reference.
No Board member shall act as a reference on the application of a candidate for licensure except as an employer. A Board member may act as a reference of a candidate applying for certification by NCARB, whether the Board member is or was the employer or not.
§ 9.91. (Reserved).
§ 9.93. Reporting of disciplinary actions, criminal convictions and other licenses.
(a) An applicant for a license issued by the Board shall apprise the Board of the following:
(1) A license, certificate, registration or other authorization to practice a profession issued, denied or limited by another state, territory or possession of the United States, a branch of the Federal government or another country.
(2) Disciplinary action instituted against the applicant by a licensing authority of another state, territory or possession of the United States, a branch of the Federal government or another country.
(3) A finding or verdict of guilt, an admission of guilt or a plea of nolo contendere with respect to a felony offense or an offense involving moral turpitude.
(b) After the Board has issued a license, the licensee shall report any disciplinary action or criminal convictions, or both, to the Board in writing within 90 days after its occurrence or on the biennial renewal application, whichever occurs first.
REACTIVATION OF LAPSED AND EXPIRED LICENSES § 9.101. Reactivation.
An architect who has been licensed by the Board and who has discontinued the practice of architecture in this Commonwealth, and who has allowed his license to lapse by failing to pay the biennial renewal fee, may apply to the Board for reactivation of licensure.
§ 9.102. Requirements.
An architect applying to return to active status shall submit an application on the form prescribed by the Board, the current renewal fee, reactivation fee and a notarized affidavit stating that the candidate did not practice architecture in this Commonwealth during the period of inactive status.
§ 9.103. Lapsed licenses.
An architect who practices architecture in this Commonwealth and who has allowed his license to lapse by failing to pay a biennial renewal fee, may reactivate his license by submitting to the Board an application on the form prescribed by the Board. The application shall be accompanied by the reactivation fee in § 9.3 (relating to fees), along with, past due biennial renewal fees, including the biennial renewal fee for the current period and penalty fees in section 225 of the Bureau of Professional and Occupational Affairs Fee Act (63 P. S. § 1401-225). The payment of any of these fees does not preclude the Board from taking disciplinary action against the architect for practicing architecture without a current license.
THE EXAMINATION § 9.116. Admittance.
A candidate shall present his admission letter and form of positive identification for admittance to the examination. Candidates shall comply with examination procedures and conduct standards as established by NCARB.
§ 9.120. (Reserved).
GRADING AND REVIEW § 9.131. Examination grading.
The ARE shall be graded using procedures developed by NCARB in consultation with a professional testing organization. Examination results shall be recorded by the Board in the record of the candidate and shall be maintained in accordance with § 9.27 (relating to inactive records).
§ 9.132. Grading compilation.
To qualify for licensure, a candidate shall receive a passing grade on each part or division of the examination. Grades received in individual parts or divisions will not be averaged. A candidate will have unlimited opportunities, subject to § 9.46(3) (relating to requirements for examination eligibility), to retake those portions of the examination which were failed.
ARCHITECT'S SEAL OF LICENSURE § 9.141. Requirement.
(a) A licensee shall, upon licensure, obtain a metal seal, of the design authorized by the Board, bearing the licensee's name and license number and the legend, ''Architect.'' A stamp design identical to the prescribed seal may be obtained and used in lieu of, or in conjunction with, a seal.
(b) The following rules govern the proper use of an architect's seal:
(1) An architect may use his seal and signature only when the work being sealed and signed was prepared by the architect or under the architect's personal supervision, direction and control.
(2) When an architect issues final or complete documents to a client for the client's records, or when an architect submits final or complete documents to public or governmental agencies for final review, the seal and signature of the architect who prepared or who personally supervised the preparation of the documents, along with the date of issuance, shall be prominently displayed on the first page of all documents. Facsimile seals shall appear on all subsequent pages of plans.
(3) When an architect's signature is applied, it shall be applied near or across the seal, but not in a location that obliterates the license number.
(4) An architect may not affix or permit a seal and signature to be affixed to a document if the architect's license has lapsed, or for the purpose of aiding or abetting another person to evade or attempt to evade a provision of the act or this chapter.
§ 9.142. Unlawful use of seal or stamp.
(a) An architect may not seal or stamp a document unless his license is current with the Board.
(b) An architect may not impress the seal or stamp, or knowingly permit it to be impressed or affixed, on drawings, specifications or other design documents which were not prepared by the architect or under his direct supervision.
§ 9.143. Design.
(a) A licensee may not design his own seal or stamp except as provided in this chapter.
(b) A seal or stamp combining the names of a number of architects in a firm may be used in lieu of individual seals or stamps, if the names of the individual licensees, their license numbers and the legend ''Architects'' appear on the combined seal or stamp, and the members of the firm are licensed to practice architecture in this Commonwealth. If one or more members of the firm are not licensed by the Board, the individual architect who is professionally responsible for the work of the firm in this Commonwealth is required to use his individual seal or stamp on that work.
(c) A reproduction of a stamp identical to the prescribed stamp may be used.
(d) This section does not relieve an individual architect whose name appears on the combined seal or stamp of a responsibility mandated in the act and this chapter.
§ 9.144. (Reserved).
§ 9.145. Surrender of seals and stamps.
(a) If an architect voluntarily surrenders or is required to surrender his seal and stamp to the Board, the surrender shall be made in person or by registered mail to the office of the Board. If the cause of the surrender is forfeiture or revocation, the seal or stamp, or both, will be destroyed by the Board. The destruction will be noted for the record in the file of the architect named on the seal or stamp, or both. If the cause of surrender is suspension, the seal or stamp will be held in security by the Board until the period of the suspension is concluded or the conditions of the suspension have been complied with to the satisfaction of the Board, or both.
(b) Upon the death of an architect, written notice of the death shall be submitted to the Board by the architect's personal representative. Upon receipt of the notice, the Board will declare the license number and the stamp or seal, or both, of the deceased architect void.
CONDUCT OF LICENSED ARCHITECT § 9.151. Standards of professional conduct.
An architect who fails to adhere to the standards of professional conduct in this section is subject to disciplinary action under section 19(4) of the act (63 P. S. § 34.19(4)). Unprofessional conduct includes, but is not limited to, the following:
(1) Failure to exercise due regard for the safety, life and health of the public, an employe or other individual who may be affected by the professional work for which he is responsible.
(2) Knowingly permitting, without proper authorization, substantial deviation from plans or specifications by a contractor or supplier, when professional observation of the work is the architect's contractual responsibility.
(3) Knowingly practicing architecture in violation of relevant State and municipal building laws and regulations.
(4) Knowingly permitting, aiding or abetting an unlicensed or an unregistered person, partnership, association or corporation to perform activities requiring a license as an architect or registration.
(5) Knowingly engaging in or condoning dishonest or fraudulent activity.
(6) Paying or offering to pay, either directly or indirectly, a gift, bribe, kickback or other consideration to influence the award of a commission for work, or to secure payment on or the continuation of work in progress.
(7) Accepting or soliciting a substantial gift, bribe, commission or other consideration, either directly or indirectly, from a contractor, supplier or other party attempting to influence or otherwise affect the architect's professional relationship with a client or employer.
(8) Having a financial interest in the earnings of a contractor or supplier on work for which the architect has assumed professional responsibility, without full disclosure to and the approval of a client or employer.
(9) Knowingly making or issuing a statement that is misleading, deceptive or fraudulent in regard to any aspect of his professional responsibilities or capabilities.
(10) Using an architect's seal or stamp in violation of section 12 of the act (63 P. S. § 34.12) and §§ 9.141--9.143 and 9.145 (relating to architect's seal of licensure).
(11) Verifying a candidate's IDP Council record that work was performed with skill, diligence and care when the architect knows that the work was not performed or was performed without skill, diligence and care.
(12) Knowingly misrepresenting his qualifications to a prospective or existing client or employer.
§ 9.152. (Reserved).
PROFESSIONAL AND CORPORATE PRACTICE § 9.161. Compliance with applicable statutes.
An architect or group of architects may elect to practice architecture professionally as a sole proprietorship, a partnership, a professional association, a professional corporation or a business corporation. A practice so elected shall be formed and conducted under the act and this chapter. In addition, the practice shall comply as follows:
(1) In the case of a sole proprietorship, the owner for the practice of architecture as defined at section 3 of the act (63 P. S. § 34.3) shall be an architect licensed by the Board.
(2) In the case of a partnership, with 15 Pa.C.S. Chapter 83 (relating to the Uniform Partnership Act).
(3) In the case of a professional corporation, with 15 Pa.C.S. Chapter 29 (relating to professional corporations).
(4) In the case of a business corporation, with 15 Pa.C.S. Part II, Subpart B (relating to the Business Corporation Law of 1988).
(5) In the case of a professional association, with 15 Pa.C.S. Chapter 93 (relating to the Professional Association Act of 1988).
(6) The business form chosen by an architect may not affect the statutes of the Commonwealth applicable to the professional relationship or the contract, tort or other legal rights, duties and liabilities between the architect and the person receiving architectural services.
§ 9.163. Prior approval by the Board.
The practice of architecture may not be conducted in one of the business forms specified at § 9.162 (relating to firm practice) without first receiving the written approval of the Board. Written approval shall be sought by filing the following documents with the Board:
(1) A copy of the completed Fictitious Name Application, Articles of Incorporation, Articles of Association, Partnership Agreement, Certificate of Authority or other relevant agreement or contract of association. If none of these documents apply to the particular business structure, composition or name of the firm, the rest of the filing requirements in this section shall be complied with.
(2) A copy of the proposed letterhead, containing thereon the names of the principals, followed by credentials indicating their respective professions, as well as the word ''architect'' or some derivation thereof as part of the name of the business, or as a subtitle thereto. At least one of the principals listed shall be a licensee of the Board. For purpose of this paragraph, ''principal'' means an officer, principal stockholder or person having a substantial interest in or management responsibility for an architectural practice.
(3) A complete list of the names of the individuals interested in the business as proposed, with specification for each as to profession, license number and state of licensure, if applicable, and percent of ownership. The list shall contain or have appended to it certification that the referenced licensed professionals are currently licensed by and in good standing with their state of licensure.
(4) Certification in writing that the owners will notify the Board prior to changes in the proposed ownership of the business, whenever the changes are contemplated. Proposed changes shall be reviewed and approved in writing by the Board prior to their implementation.
§ 9.165. Architect as employe.
(a) Nothing in this chapter prevents the employment of an architect by a business which is not engaged in the practice of architecture as defined in section 3 of the act (63 P. S. § 34.3), if the work performed by the employed architect concerns the modification of or the origination and supervision of the design or the construction of structures, or both, which the employer intends to utilize for its nonarchitectural business purpose. The employed architect shall be a licensee of the Board.
(b) This section does not prevent registered engineers from performing, or employing architects to perform, architectural services incidental to the practice of engineering, as provided in section 15(2) of the act (63 P. S. § 34.15(2)).
USE OF NAMES § 9.171. The title ''Architect.''
(a) Neither the title ''architect'' nor ''architects'' may be affixed or otherwise used in conjunction with a surname, word or business title when the use would imply that an individual, associate, partner, corporate officer or business is engaged in the practice of architecture when, in fact, the individual, associate, partner, corporate officer or business is not a person or business licensed or registered and approved by the Board under § 9.163 (relating to prior approval by the Board).
(b) Candidates for examination or awaiting the results of an examination may not use the title ''architect.''
§ 9.172. (Reserved).
§ 9.173. (Reserved).
§ 9.175. Firm or business names.
(a) An architect, group of architects or business organized for the practice of architecture under section 13 of the act (63 P. S. § 34.13) and § 9.162 (relating to firm practice) may use a firm name which incorporates the surnames of the owners or use a fictitious name if the firm files a certificate with the Board stating the name of the firm and the name and address of each person engaging in the practice.
(1) If a fictitious name is used, the name chosen shall contain the word ''architect'' or some derivation thereof, or shall be directly modified by a subtitle indicating that the purpose of the business is the practice of architecture.
(2) By use of a fictitious name, a firm may not use a surname, word, letters or figures indicating or intended to imply that the firm is engaged in a professional practice other than the practice of architecture and other professions as may be allowed under this chapter.
(b) An architect engaged in the practice of architecture individually or as a firm shall notify the Board upon his retiring or withdrawing from practice.
§ 9.176. The use of associates or unlicensed persons in firm names.
The name of an architectural firm may also carry the words associate or associates, or may include the name of an unlicensed person, if approval of the name under § 9.163 (relating to prior approval by the Board) has been secured from the Board. If associates or unlicensed persons are used in the name or upon the stationery, letterhead, title block, specifications or another document prepared by the firm, the use may not imply that the unlicensed individual is licensed.
§ 9.177. Use of names of deceased, withdrawn or retired persons in firm names.
The names of deceased, withdrawn or retired sole owners, partners or shareholders may be retained in the firm name after their death, withdrawal or retirement only if:
(1) There is a written agreement providing for the continued use of the names between the deceased, withdrawn or retired persons and the succeeding owners of the firm.
(2) The parties to the written agreement have been active partners, association members or shareholders for at least 5 years at the time of death, withdrawal or retirement.
(3) The names of deceased, withdrawn or retired owners, partners, professional association members or shareholders are appropriately included on the firm stationery with suitable indication of status.
(4) The names of deceased, withdrawn or retired owners, partners, professional association members or shareholders are not carried in the firm name for more than 2 years after the death, withdrawal or retirement, unless the written agreement between the parties specifies otherwise.
(5) A copy of the written agreement is filed with the Board at the time of the death, withdrawal or retirement, and the agreement receives the written approval of the Board.
PROCEDURES FOR COMPLAINTS § 9.181. Filing of complaints.
Any person, firm, corporation or public officer may submit a written complaint regarding the practice of architecture to the Complaints Office of the Bureau.
§ 9.182. Records of charges against an architect.
A written statement under § 9.181 (relating to filing of complaints) shall be formally filed, and referred to the Office of Prosecution of the Bureau, which shall cause an investigation to be conducted.
§ 9.185. Hearings.
(a) Investigations into charges raised in filed complaints may result in a determination to proceed to a formal hearing to consider disciplinary action against the person charged.
(b) Every phase of a proceeding shall be conducted under § 9.184 (relating to applicability of general rules).
(c) If a licensee is called before the Board, the licensee has the right to have counsel present.
§ 9.190. Return of license.
In the event of revocation or suspension of a license, the licensee shall be required to immediately return his license and his current biennial renewal card. The licensee's seal and stamp will also be impounded by the Board.
CHARGES AGAINST A NONARCHITECT § 9.202. Records of charges.
(a) A written statement under § 9.201 (relating to charges and complaints) shall be formally filed, and referred to the Board Prosecutor, for treatment under § 9.182 (relating to records of charges against an architect).
(b) A determination as to whether to proceed further on the filed charges shall be made by the Office of Prosecution of the Bureau. Licensed architects may be employed as necessary to provide expertise required for the review of the architectural aspects of a complaint and to assist in the prosecution of individual cases.
ROSTER OF ARCHITECTS § 9.211. Identification of classes of licensure.
Classes of licensure as an architect in this Commonwealth shall be limited to Classes X and B.
(1) Class X. Licensure by examination.
(2) Class B. Licensure by reciprocity may be granted to a practicing architect who holds a current license, in good standing, in any other state or country whose requirements for obtaining licensure are equal to those required under the act.
[Pa.B. Doc. No. 98-1095. Filed for public inspection July 10, 1998, 9:00 a.m.]
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