478 General revisions

STATE ARCHITECTS LICENSURE BOARD

[49 PA. CODE CH. 9]

General Revisions

[27 Pa.B. 1566]

   The State Architects Licensure Board (Board) proposes to amend Chapter 9 (relating to State Architects Licensure Board) to read as set forth in Annex A.

A.  Effective Date

   The amendments will go into effect upon publication as final rulemaking in the Pennsylvania Bulletin.

B.  Statutory Authority

   The amendments are proposed 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), 34.6(b) and (d), 34.8(b), 34.13(h) and 34.14).

C.  Purpose and Need for the Amendments

   In Executive Order 1996-1, February 6, 1996, executive agencies, including the Board, were directed to commence a program of review of existing regulations to ensure that regulations were consistent with the principles and requirements of the Executive Order. By these amendments, the Board proposes to implement its review of its existing regulations. In accordance with the principles of the Executive Order, the Board proposes to delete many regulations which it has determined are either unnecessary, outdated or for which viable nonregulatory alternatives exist. In revisions to existing regulations, the Board proposes to clarify and simplify requirements for licensure by examination and reciprocity. The Board proposes to delete regulations which embody former procedures and standards of the National Council of Architectural Registration Board (NCARB) which have undergone changes since its last major revisions to these regulations in 1986. Substantively, the Board proposes to conform its regulations pertaining to the practice of architecture to current practice and procedures. To do so, the Board proposes new sections concerning the architect's participation in design/build construction projects and construction management. Finally, the Board proposes to amend its regulations regarding complaints to conform to court decisions regarding the separation of prosecutorial and adjudicatory functions.

D.  Persons Affected

   These proposed amendments will affect individuals who are in architectural schools and architectural internships, candidates for licensure 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.  Description of Amendments

   Throughout the existing regulations both licensure and registration are used interchangeably when referring to an architect who has been granted a license to practice architecture by the Board. The act, as well as the regulations, require registration of architectural firms. Throughout this proposal, the Board deletes references to registration or certification of an architect and refers to a ''license'' or ''licensure'' as an ''architect,'' reserving the nomenclature ''registration'' to architectural firms which have registered or applied for registration to do business in this Commonwealth. The word ''certification'' is reserved for use in connection with certification by NCARB.

   The following is a section-by-section description of the changes which are proposed in each major category.

Affiliations with NCARB and Board Functions

   The Board proposes to delete §§ 9.12--9.17, 9.22--9.26 and 9.28--9.35. These sections now describe the status of the Board as a member of the NCARB and describe Board officers, staff and their duties and general information. The Board has determined that these regulations are unnecessary and do not assist the candidate for licensure or the architect in providing either useful or necessary information as to Board operations or the requirements of the act.

Registration by Examination

   The Board proposes to revise its regulations pertaining to the eligibility of candidates to sit for the examination. This proposal would delete §§ 9.42, 9.43, 9.45, 9.47 and 9.48. Owing to 1989 amendments to the eligibility requirements for examination, the existing classifications are out-of-date. The 1989 amendments under existing § 9.48 adopted the education requirements of NCARB certification which require that candidates eligible to take the licensure examination in this Commonwealth must possess an NAAB professional degree in architecture.

   The Board proposes to recodify the education requirement in a revised § 9.46. Section 9.49a pertaining to the required training would be revised to delete outdated transitional language when the Intern Development Program was adopted as a prerequisite for licensure. The Board proposes to add a new subsection (b) providing information helpful to the candidate in submitting a complete application.

   Finally, the Board adds a new § 9.50 (relating to reapplications) which adds language to deal with reapplications. The candidates have up to 5 years to take and pass an examination. The section further advises candidates that they must meet the requirements of the law and the regulations in effect at the time they reapply for the examination.

Reciprocity

   The Board proposes to revise §§ 9.61 and 9.62 and delete § 9.63 concerning reciprocal licensure in order to clarify the manner in which an individual may obtain a license to practice architecture in this Commonwealth by virtue of possessing a license in another jurisdiction. The proposal would establish three avenues by which an individual may become licensed by reciprocity:

   (1)  Having been licensed by a state, territory or country with education, training and examination requirements equal to that in this Commonwealth at the time the architect was originally licensed.

   (2)  Having been licensed under examination, education or experience requirements not equal to the requirements of the Commonwealth, but having at least 10 years of continuous practice as a licensed architect.

   (3)  Having been licensed without examination by submitting architectural work on completed projects for Board review.

NCARB Certification

   Section 9(a) of the act (63 P. S. § 34.9(a)) requires that the Board accept NCARB certification as presumptive evidence of meeting the requirements for licensure in this Commonwealth. To receive an NCARB certificate, an individual must meet NCARB education, training and examination standards and hold a current license from an NCARB member board.

   The Board proposes to delete §§ 9.71--9.73 relating to NCARB certification before examination. These sections are outdated because they refer to examination procedures employed when the ARE was in written format. As of February 1997, the licensure examination is given in computer format. See 26 Pa.B. 5101 (October 26, 1996).

   Recognition of NCARB certification as prima facie evidence of meeting the education, training and experience requirements of the Commonwealth would be recodified at § 9.61 (relating to general requirements).

Application Procedures

   The Board proposes to delete §§ 9.87, 9.89 and 9.91. All of these provisions are outdated and no longer applicable. The new computer-administered examination provided by NCARB gives candidates notice as to whether or not they have passed an examination at the time they take the examination. Although the actual license is issued by the Board, notification of having passed the examination is sent to the candidates by NCARB's test administrator.

   Section 9.88 (relating to verification of IDP) would be revised under the proposal and renamed. Completion of the Intern Development Program (IDP) of NCARB has been required by the Board as a precondition to take the licensure examination since 1991. Training as an architect begins after a candidate completes his professional education. Interns apply directly to NCARB which maintains a record of the interns' practice experience. The completion of IDP is monitored by NCARB. Certification of having completed the training required under IDP guidelines is sent directly by NCARB to the Board where the intern has applied for licensure.

   The Board proposes to revise § 9.93 (relating to reporting of disciplinary actions, criminal convictions and other licenses), the self-reporting requirement for other states' disciplinary actions to make compliance simpler and easier for licensees to understand. Licensee compliance will assure that the Board will receive the earliest possible notice of disciplinary actions or criminal convictions after their occurrence.

Reactivation of Lapsed and Expired Licenses

   The Board proposes to make minor editorial changes to §§ 9.101--9.103 (relating to reactivation of lapsed and expired licenses).

Examination

   Section 9.116 (relating to admittance) is proposed to be amended to notify candidates of identification required for admission to the examination and prohibited conduct during an examination.

   The Board proposes to delete § 9.120 pertaining to the administration of examinations. Under the new computer-administered examination procedure of NCARB, candidates who the Board has determined are eligible for licensure by examination may take the examination in any jurisdiction in which it is offered by NCARB. Candidates may schedule and take any part of the examination in any sequence. Examination results are sent directly to the jurisdictions where the candidate has applied for licensure.

Grading and Review

   The Board proposes to revise §§ 9.131 and 9.132 (relating to examination grading; and grading compilation) to delete outdated references to the C/ARE examination which is no longer used and to make appropriate cross reference to § 9.27 (relating to inactive records), which places a 5-year limit on the time allowed to take and pass all parts of the ARE.

Architect's Seal

   The Board has proposed to revise §§ 9.141--9.143 and 9.145 and delete § 9.144 to reflect recognition in section 12(a) of the act (63 P. S. § 34.12(a)) that a stamp may be used in lieu of a seal. The Board proposes to revise language with reference to a seal to include a stamp inasmuch as the Board has determined that no special rule should apply to either one or the other with regard to impressing the seal or making the stamp on construction documents, contract documents and other architectural work prepared by an architect or under his direct supervision.

   In addition, the Board intends to add a new subsection to § 9.141 (relating to requirement) to require that an architect must impress a seal or must stamp all contract documents, plans and specifications which he prepares or which are prepared under his direct supervision. The new subsection (b) would also require that the licensed architect oversign all original documents. An architect's placing of the architect registration seal and signature on a document certifies that the architect has exercised direction, guidance and judgment in all aspects of the plan pertaining to health, safety and welfare issues, and accepts legal responsibility on architectural matters embodied in the document.

   The Board proposes to revise § 9.142(a) to simplify language and to place upon the architect the responsibility for knowledge of his licensure status.

   Finally, the Board proposes to delete § 9.144. This matter is now covered in § 9.142 , which will provide that it is unlawful for an architect to seal or stamp documents while a license is not current for any reason (revocation, suspension or not current).

Standards of Professional Conduct

   Section 6(b) of the act authorizes the Board to establish standards of professional conduct for architects. It is the Board's intent that the standards will form the basis for disciplinary action and, therefore, should not contain precatory injunctions or hortatory language. To the contrary, the Board believes the regulation should contain clear unambiguous statements of conduct which is proscribed or required.

   The standards have, therefore, been revised to command compliance of every licensed architect and subject an architect to revocation, suspension, reprimand or civil penalty for a violation or departure from a standard of professional conduct. In addition, the Board proposes to add four new categories of prohibited conduct. Subsection (j) concerns a violation of a law while in the conduct of an architect's professional practice. Subsection (k) concerns the use of a seal contrary to section 12(a) of the act which prohibits an architect from signing or sealing professional work which was not prepared under the direct supervision of the architect. Subsection (i) concerns the architect's responsibility to assist architect interns in the development training and the architect's responsibility when verifying architectural work performed by an intern which he is responsible for a supervising architect. Subsection (1) proscribes fraudulent representations to a perspective client or an existing client or an employer in connection with obtaining employment to perform architectural work.

   The Board proposes to delete § 9.152. The Board finds this section is no longer necessary. This section was originally intended to abrogate a former rule which prohibited price quotations as unethical. Today, and for many years prior to this date, the regulation states it as an accepted standard of practice. Continuing its existence in these rules is both confusing and unnecessary for the licensed professional architect.

Professional and Corporate Practice

   The Board proposes to make amendments to § 9.161 (relating to compliance with applicable statutes) to update statutory references to the Associations Code with regard to firm practice.

   Section 9.163 (relating to prior approval by the Board) concerns Board approval of architectural firm practice. Although an architect licensed in another jurisdiction may offer to perform architecture without first obtaining a license, section 13(h) of the act authorizes the Board to require annual filings of the entities which offer to practice or practice in this Commonwealth. This section implements section 13(h) of the act. In accordance with section 13(f) of the act, the Board proposes to add additional language requiring that the proposed letterhead include the name of at least one of the principals of the firm who holds a license to practice architecture in this Commonwealth. The addition of this information will assist the Board in expeditiously processing firm practice requests.

   The proposed amendment to § 9.165 (relating to architect as employe) will eliminate a transitional clause it made in 1987 which is no longer applicable.

   Under corporate practice, the Board proposes to add two new sections. These sections concern the practice of architecture in conjunction with other entities and design professionals. Since the enactment of the act in 1982, two methods of delivery of a building to an owner or client have increased in usage throughout the United States. Both are designed to facilitate and speed the design and construction process. These delivery processes are alternatively referred to as construction management and design-build. Both these terms are defined in § 9.2 (relating to definitions).

   Construction management is included as a service within the practice of architecture as defined in section 3 of the act. The Board proposal would define construction management as planning, managing and coordinating construction in order to serve the economic investment of all entities through the control of time, cost and quality. Under § 9.167 (relating to design/build projects), the Board proposes to require the construction management service be provided through an architect or a professional engineer in responsible charge of the construction management services. Section 9.167 would also provide notice that the Board does not consider individuals performing general construction work to be within the types of activities the Legislature intended to reserve to licensed architects.

   With regard to design-build activities, the Board proposal would define design-build project as a process in which a single entity executes a contract document with an owner to provide combined architectural and construction services. Although not recognized in the act, throughout the United States the selection by both public and private owners of the design-build delivery process has been increasing. There are numerous versions of the design-build process, some of which the Board believes would be unlawful in the act.

   For purpose of regulation, a design-build project is defined as a process whereby the owner obtains both design and construction services through a contract with a single entity. The entity accepts full responsibility for providing both design services and the construction of the building. Design-build contrasts with the traditional building plan in which separate contracts are made for design and construction. The act declares that licensure is required to practice architecture to protect the health, safety and property of the people of this Commonwealth. See section 2 of the act (63 P. S. § 34.2). A license is required for design services of a structure or group of structures which have as their principal purpose, human habitation or use. The practice of architecture is further defined to include the rendering or offering to render architectural services. See section 3 of the act.

   By proposed § 9.167 (relating to design/build projects), the Board intends to provide rules governing the architect's participation in a design-build project. This section would require the architect and the design-build entity to enter into a written agreement which would require that the architect participate in all material aspects of architectural services provided. In addition, in any offering for design-build, the design-build entity must certify: the name of the architect; that the architect is contractually and professionally responsible for providing the architectural services and will have direct supervision over the architectural work; and that the architect's services will not be terminated without the consent of the owner.

Use of Names

   The Board proposes to add a new sentence to § 9.171 (relating to the title ''Architect'') that graduates of professional schools and interns in training may not use the title ''architect'' prior to passing licensure examination and any offering of architectural services.

   The Board also proposes to delete existing §§ 9.172 and 9.173 as unnecessary.

   The Board proposes to amend § 9.177 (relating to use of names of deceased, withdrawn or retired persons firm names) to provide that a firm should be able to retain the use of the name of a withdrawn owner, as well as a retired or deceased owner, if the parties to the original firm agreed to do so. By this proposal, the Board responds to concerns from architects practicing in this Commonwealth that such a procedure should be permitted in the use of firm names.

Complaints Procedures

   Under section 21(a) of the act (63 P. S. § 34.21(a)), the Board has authority to conduct investigations of complaints regarding licensed architects as well as applicants. In accordance with Lyness v. State Board of Medicine, 529 Pa. 535, 605 A.2d 1204 (1992), the Board has delegated this function to the Office of Prosecution of the Bureau of Professional and Occupational Affairs. The Board has retained its authority to conduct hearings and render adjudications and refer matters to hearing examiners under section 21(b) and (c) of the act. The Board proposes to amend §§ 9.181, 9.182, 9.185 and 9.202 to reflect the Board's compliance with directives of the Lyness decision pertaining to the exercise of its investigatory and prosecutorial powers.

Classifications

   The Board proposes to delete various classifications of license. Currently, the Board maintains only two classifications, licensure by examination and licensure by reciprocity. These classifications are used for administrative purposes only when, for example, verifying licensure to another jurisdiction, and have no effect on the ability of a licensee to practice architecture in this Commonwealth.

F.  Fiscal Impact

   The proposal will have no ascertainable fiscal impact on the Commonwealth or local governments. With regard to the regulated population and candidates for licensure, the proposed amendments will result in fewer regulatory requirements and eliminate some restrictions of existing regulations pertaining to corporate practice and filings.

G.  Paperwork Requirements

   The proposed amendments will 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 these proposed amendments on March 13, 1997, to Independent Regulatory Review Commission (IRRC) and the Chairperson of the House Professional Licensure Committee and the Senate Consumer Protection and Professional Licensure Committee. In addition to submitting the proposed amendments, 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 this material is available to the public upon request.

   If IRRC has objections to any portion of the proposed amendments, it will notify the Board within 30 days of the close of the public comment 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, prior to final publication of the regulations, by the Board, the General Assembly and the Governor of objections raised.

I.  Public Comment

   Persons wishing to make comments, suggestions or objections to the proposed amendments may do so by writing Kathleen Davis, Board Administrator, State Architects Licensure Board, P. O. Box 2649, Harrisburg, PA 17105-2649 within 30 days of publication of this proposal in the Pennsylvania Bulletin.

DENNIS L. ASTORINO,   
President

   Fiscal Note: 16A-413. No fiscal impact; (8) recommends adoption.

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.

   Construction management--The practice of planning, managing and coordinating a construction or development project for which the construction requires plans or specifications, or both, which are prepared by a licensed architect or a licensed engineer, and when the services performed are intended to serve the economic investment of all entities through the control of time, cost and quality.

   Design/build project--A combined design and construction process whereby a specific entity executes a single contract document with an owner to provide the owner with both architectural and construction services.

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   IDP--Intern Development Program of NCARB.

   IDP council record--A detailed authenticated record of an individual's education, training and character maintained by NCARB.

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   NCARB--National Council of Architectural Registration Boards, 1735 New York Avenue, NW, Suite 700, Washington, DC 20006.

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AFFILIATION WITH NCARB

§ 9.11.  NCARB membership.

   The Board will maintain membership in [the] 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).

   (Editor's Note: The Board is proposing to delete §§ 9.12--9.17 as they currently appear in the Pennsylvania Code at pages 9-7--9-9 (serial pages (221095)--(221097)).

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 [of Professional and Occupational Affairs], 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. § [§ 271--286] 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.

   (Editor's Note: The Board is proposing to delete §§ 9.22--9.26 as they currently appear in the Pennsylvania Code at pages 9-9 and 9-10 (serial pages (221097) to (221098)).

§ 9.27.  Inactive records.

   Records of candidates for [registration] licensure that are inactive for [a period of] 5 years will be destroyed. A record will be considered inactive if a candidate [has taken the examination, has failed one or more parts of the examination, and has failed to retake one or more of the parts of the examination required for registration for a period of 5 years, or if a candidate had been declared eligible to sit for the examination and fails to sit for the examination for a period of 5 years] 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.

   (Editor's Note: The Board is proposing to delete §§ 9.28--9.35 as they currently appear in the Pennsylvania Code at pages 9-10--9-12 (serial pages (221098)--(221100)).

REGISTRATION BY EXAMINATION

   (Editor's Note: The Board is proposing to delete §§ 9.42, 9.43 and 9.45 as they currently appear in the Pennsylvania Code at pages 9-13 and 9-14 (serial pages (221101) and (221102)).

§ 9.46.  Requirements for [candidates holding architectural degrees] examination eligibility.

   [Subject to § 9.49a (relating to diversified training requirements):

   (1)]  A candidate for the examination [who holds a] shall have:

   (1)  A professional degree in architecture from an accredited [school of architecture shall have 3 years of diversified training experience in the offices of architects or the equivalent of the experience.

   (2)  A candidate for the examination who holds a Master's, Ph.D. or Doctor's degree in architecture from an accredited school of architecture, where the degree is the first professional architectural degree, shall have 3 years' training experience in the office of architects or the equivalent of the experience] program.

   [(3)  A candidate for the examination who holds a Master's, Ph.D. or Doctor's degree in architecture from an accredited school of architecture, where the degree is the second professional architectural degree, shall have 2 years experience in the offices of architects or the equivalent of the experience.]

   (2)  Three years of diversified training experience demonstrated by training requirements of the IDP.

   [(4)] (3)  An architectural degree candidate applying for first time registration [and meeting the requirements listed in paragraphs (1)--(3)] 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.

   (Editor's Note: The Board is proposing to delete §§ 9.47 and 9.48 as they currently appear in the Pennsylvania Code at pages 9-15 and 9-16 (serial pages (221103) and (221104)).

§ 9.49a.  Diversified training requirements.

   [Effective for the 1992 and subsequent written licensure examinations, a candidate shall meet the]

   (a)  The Board has adopted NCARB Training Requirements for [Intern-Architect Development Program (IDP)] 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(c) (relating to inactive records; and requirements for examination eligibility) shall meet all requirements of the act and regulations in effect at the time the new application is filed.

[REGISTRATION] LICENSURE BY RECIPROCITY

§ 9.61.  General requirements.

   [(a)]  Registration may be granted to an applicant who holds a [certificate of registration or its equivalent as an architect] license to practice architecture in another state, territory or country where[, in the judgment of the Board,] the qualifications required for [registration] licensure are equal to the requirements for [registration] licensure in this Commonwealth [if the applicant is not under investigation in the other jurisdiction as a result of an alleged violation of statute, or the applicant, having been found guilty of a violation, has satisfied the penalty imposed] 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.

   [(b)  The reciprocal registration may be granted by the Board under the following categories:

   (1)  Reciprocal--The applicant is registered in another state, territory or country and not holding a NCARB Certificate.

   (2)  NCARB--The applicant is registered in another state, territory or country and is certified by the NCARB.]

§ 9.62.  Reciprocal [registration] licensure.

   (a)  An applicant [requesting] for reciprocal [registration may be required to] licensure shall submit [with the] a completed application [an official certification of registration in his home state, territory or country from the Secretary of the examining or registration board or other certifying official, stating on what basis registration was granted, whether by oral or written examination or exemption, and whether the registration is in] on forms provided by the Board containing:

   (1)  A letter of good standing [at the time of application for registration in this Commonwealth], or the equivalent from the licensing entity of the state or country where the architect currently practices.

   [(b)  An applicant requesting reciprocal registration may submit with the application complete information] (2) Information relative to training, education and experience as an employe or as a practicing principal[, as may be required by the Board].

   (b)  An applicant who has qualified for original licensure by having passed the 1992 ARE shall submit certification of having met the training requirements for IDP.

   (c)  [An architect registered] A candidate in another recognized and approved jurisdiction and seeking to practice within this Commonwealth who has not lawfully practiced architecture for [a period of] 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 requesting reciprocal registration may be required to appear before the Board for a personal interview. Submission of examples of the professional performance of the applicant may be required.] 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.

   (Editor's Note: The Board is proposing to delete § 9.63 as it currently appears in the Pennsylvania Code at p. 9-18 (serial page (221106)).

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NCARB CERTIFICATION

   (Editor's Note: The Board is proposing to delete §§ 9.71--9.73 as they currently appear in the Pennsylvania Code at page 9-19 (serial page (221107)).

APPLICATION PROCEDURES

§ 9.84.  Age and experience.

   The [applicant] candidate shall be [at least 20 years of age and] of good moral character. [An applicant] A candidate for first-time [registration] licensure shall reside in or be employed in this Commonwealth by a Commonwealth [registered] licensed architect, practicing as a principal in this Commonwealth and having a permanent Commonwealth address.

   (Editor's Note: The Board is proposing to delete § 9.87 as it currently appears in the Pennsylvania Code at p. 9-21 (serial page (221109)).

§ 9.88.  Verification of [employment records] IDP.

   [It is the responsibility of the candidate to submit with the application verification of employment listed. The verification shall be in the form of a letter from the employer, giving dates of employment, whether part-time or full-time, and duties performed. Effective for the 1992 and subsequent examinations, a] 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 the Board's administrative office or] 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.

   (Editor's Note: The Board is proposing to delete § 9.89 as it currently appears in the Pennsylvania Code at page 9-21 (serial page (221109)).

§ 9.90.  Board member as reference.

   No Board member will act as a reference on the application of a candidate for [registration] licensure except as an employer[, except that a]. 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.

   (Editor's Note: The Board is proposing to delete § 9.91 as it currently appears in the Pennsylvania Code at pages 9-22 and 9-23 (serial pages (221110) and (221111)).

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§ 9.93.  Reporting of disciplinary actions, criminal convictions and other licenses.

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   (b)  [The reporting responsibilities enumerated in subsection (a) continue after the Board issues a license. If, after] After the Board has issued a license[, any of the events listed under subsection (a) occur], the licensee shall report [that matter] disciplinary action or criminal convictions, or both to the Board in writing within [30] 90 days after its occurrence or on the biennial renewal application, whichever occurs first.

REACTIVATION OF LAPSED AND EXPIRED [CERTIFICATES] LICENSES

§ 9.101.  [Application] 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 certificate of licensure 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 [for reactivation of lapsed certificates] to return to active status shall submit [to the Board] an application on the form prescribed by the Board[. The application shall be accompanied by a fee for the certificate and a fee for reinstatement. The application shall also be accompanied by], the current renewal fee, reactivation fee and a notarized affidavit stating that the [applicant] candidate did not practice architecture in this Commonwealth during the period of [lapsed licensure] inactive status.

§ 9.103.  [Late renewal] Lapsed licenses.

   An architect who practices architecture in this Commonwealth and who has allowed his [certificate of licensure] license to [expire] lapse by failing to pay a biennial renewal fee, may reactivate his [certificate] license by submitting to the Board an application on the form prescribed by the Board. The application shall be accompanied by the reactivation fee [as set forth] 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 [as set forth] 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 [to the proctor] and form of positive identification for admittance to the examination. Candidates shall comply with examination procedures and conduct standards as established by NCARB. Conduct evidencing suspected cheating, such as copying, photographing or using unauthorized materials will result in the dismissal of the candidate from the examination. Proof of suspected cheating may result in disqualification to sit for future examinations after notice to the candidate and an opportunity to be heard.

   (Editor's Note: The Board is proposing to delete § 9.120 as it currently appears in the Pennsylvania Code at page 9-27 (serial p. (221115)).

GRADING AND REVIEW

§ 9.131.  Examination grading.

   The [written examination (]ARE[)] shall be graded using procedures developed by NCARB in consultation with a professional testing organization. [under contract to the Bureau. The computer-administered examination (C/ARE) shall be graded using procedures developed by NCARB in consultation with a professional testing organization approved by the Bureau. Test] Examination results shall be recorded by the Board in the [permanent] record of the candidate and shall be maintained in accordance with § 9.27 (relating to inactive records).

§ 9.132.  Grading compilation.

   To [achieve overall passage of the examination] 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(c) (relating to requirements for examination eligibility), to retake those portions of the examination which were failed.

ARCHITECT'S [SEAL] STAMP OF [REGISTRATION] LICENSURE

§ 9.141.  Requirement.

   (a)  A [registrant] licensee shall, upon [registration] licensure, obtain a metal seal, of the design authorized by the Board, bearing the [registrant's] licensee's name and license number and the legend, ''[Registered] 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 architect shall impress his seal or stamp on all contract documents, plans and specifications prepared by or under his direct supervision. The architect shall over-sign the original documents.

§ 9.142.  [Use] Unlawful use of seal or stamp.

   (a)  [Plans and specifications prepared by or under the direct supervision of a registered architect shall be stamped with the architect's seal of registration during the life of the registrant's certificate, and it is unlawful for anyone to stamp or seal documents with the seal after the registration of the registrant named thereon has expired or has been revoked or suspended, unless and until the certificate has been renewed or reissued.] 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, on drawings, specifications or other design documents which were not prepared by the architect or under his direct supervision.

§ 9.143.  Design [of seals].

   (a)  A [registrant] licensee may not design his own seal or stamp except as provided in this chapter.

   (b)  [While each registrant who is a member of a firm of architects is required to obtain an individual seal, a] A seal or stamp combining the names of a number of architects in [the] a firm may be used in lieu of individual seals or stamps, if the names of the individual [registrants] licensees, their registration number and the legend ''[Registered] 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 is 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 mechanical reproduction of a stamp identical to the prescribed stamp may be used.

   [(c)] (d)  This section [may] does not [be construed to] relieve an individual architect whose name appears on the combined seal or stamp of a responsibility mandated in the act and this chapter.

   (Editor's Note: The Board is proposing to delete § 9.144 as it currently appears in the Pennsylvania Code at page 9-31 (serial page (206079)).

§ 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 [registration] license number and the stamp or seal, or both, of the deceased architect void. [On or before the settlement of the deceased architect's estate, the stamp or seal, or both, shall be surrendered to the Board.]

CONDUCT OF [REGISTERED] LICENSED ARCHITECT

§ 9.151.  Standards of professional conduct.

   [(a)]  An architect [licensed in this Commonwealth is expected to be dedicated to the highest standards of professionalism, integrity and competence, including design excellence. This dedication requires adherence] 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 [architectural standards of professional conduct]:

   (1)  [An architect shall] Failure to exercise [the highest] 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)  [An architect may not knowingly permit] Knowingly permitting, without proper authorization, substantial deviation from [or disregard of] plans [of] or specifications by a contractor or supplier, when professional observation of the work is the architect's contractual responsibility.

   (3)  [An architect shall be aware of] Violation of relevant statutes and regulations [which affect the professional practice] related to the practice of architecture.

   (4)  [An architect may not knowingly present or participate in the presentation of the name of an unlicensed person in a manner that suggests or implies that the person is practicing architecture] 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.

   [(b)  In pursuit of the goal of professional excellence, an architect licensed in this Commonwealth shall adhere to the following ethical standards of professional conduct:

   (1)  An architect may not knowingly engage] (5) Knowingly engaging in or [condone] condoning dishonest or fraudulent activity.

   [(2)  An architect may not Pay] (6) Paying or [offer] 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.

   [(3)  An architect may not accept financial solicitation,] (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.

   [(4)  An architect may not have] (8) Having a financial interest in the earnings of a contractor or supplier on work for which [he] the architect has assumed professional responsibility, without full disclosure to and the approval of a client or employer.

   [(5)  An architect may not knowingly make] (9) Knowingly making or [issue] issuing a statement that is misleading, deceptive or fraudulent in regard to any aspect of his professional responsibilities or capabilities.

   (10)  Violating a statute or regulation adopted thereunder, which imposes a standard for the practice of architecture in this Commonwealth.

   (11)  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 stamp of licensure).

   (12)  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 negligently.

   (13)  Knowingly misrepresenting his qualifications to a prospective or existing client or employer.

   (Editor's Note: The Board is proposing to delete § 9.152 as it currently appears in the Pennsylvania Code at page 9-33 (serial page (206081)).

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:

*      *      *      *      *

   (2)  In the case of a partnership, with [59 Pa.C.S. §§ 301--545] 15 Pa.C.S. Chapter 83 (relating to the Uniform Partnership Act).

*      *      *      *      *

   (5)  In the case of a professional association, with 15 Pa.C.S. Chapter 93 (relating to the Professional Association Act of 1988 [15 P. S. §§ 12601--12619].

*      *      *      *      *

§ 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:

*      *      *      *      *

   (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 a licensed architect who is the person in charge of an architectural practice, either alone or in combination with other licensed architects.

*      *      *      *      *

§ 9.165.  Architect as employe.

   Nothing in this chapter may be construed to prevent 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. 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)). [This section takes effect on July 31, 1988, to permit businesses employing architects in violation of this section, as of January 31, 1987, based upon a good faith misinterpretation of section 13(j) of the act (63 P. S. § 34.13(j)), to conform their ownership structures and employment practices to section 13 of the act and this section.]

§ 9.166.  Construction management.

   Construction management services shall be provided, whether it be through an outside firm or an owner's staff, only by utilizing a registered architect or a professional engineer in responsible charge. This does not preclude the performance of construction phase activities by persons normally engaged in construction work so long as activities do not supersede or otherwise limit an architect or engineer's decisions or responsibilities.

§ 9.167.  Design/build projects.

   Design and other architectural services may be offered and provided to a design/build entity if the following conditions are met:

   (1)  The design/build entity and an independent architect licensed in this Commonwealth execute a written agreement which provides that the architect will participate in all material aspects of the provision of architectural services relating to:

   (i)  Design consultation, development and preparation.

   (ii)  Coordination of construction documents and the bid process.

   (iii)  Verification of adherence to construction documents and completion of the project.

   (2)  In any offering of design/build services, the design/build entity certifies in writing to the owner:

   (i)  The name of the architect engaged.

   (ii)  That the architect is contractually responsible for the performance of architectural services described in the offerings.

   (iii)  That the architect is professionally responsible to the owner for the performance of the architectural services which are to be provided.

   (iv)  That the architect will have direct supervision of the architectural work.

   (v)  That the architect's services will not be terminated without the written consent of the owner.

USE OF NAMES

§ 9.171.  The title ''Architect.''

   (a)  Neither the title ''Architect'' nor ''Architects'' shall 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 [registered] licensed 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.''

   (Editor's Note: The Board is proposing to delete §§ 9.172 and 9.173 as they currently appear in the Pennsylvania Code pages 9-38 (serial pages (206086)).

§ 9.175.  Firm or business names.

   (a)  An architect, group of architects [registered in this Commonwealth] 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 [as may be permitted by this chapter] 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.

   [(b)] (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 discontinuance, retiring or withdrawing from practice.

   [(c)  When a fictitious name is used to designate a firm, it shall be the responsibility of the firm to fully disclose to the Board the names and professional status of the principals with whom the firm contracts for professional service.]

§ 9.176.  The use of associates or unlicensed persons in firm names.

   The name of an architectural firm[, whether it be a sole proprietorship, partnership, professional association, professional corporation or business corporation] 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 [unregistered] unlicensed individual is [a registered person] licensed.

§ 9.177.  Use of names of deceased, withdrawn or retired persons firm names.

   Names of deceased, withdrawn or retired sole owners, partners, [professional association members, professional corporation shareholders] or [business corporation] shareholders may be retained in the firm 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, [professional corporation shareholders] or [business corporation] shareholders for [not less than] at least 5 years at the time of death, withdrawal or retirement.

   (3)  [The retired partner, professional association member, professional corporation shareholder or business corporation shareholder does not practice the profession under his own name.

   (4)] The names of deceased, withdrawn or retired partners, professional association members[, professional corporation shareholders] or [business corporation] shareholders are appropriately included on the firm stationery with suitable indication of status.

   [(5)] (4)  The names of deceased, withdrawn or retired partners, professional association members[, professional corporation shareholders] or [business corporation] 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.

   [(6)] (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.

   [A charge brought against an architect, group of architects or architectural firm alleging a violation of the act or this chapter may be brought by a person or group of persons, and shall be brought to the attention of the Board by the filing of a written statement with] 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 [Board Prosecutor for investigation and recommendation to the Board] 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 [by the Board, in consultation with the Board prosecutor,] to proceed to a formal hearing to consider disciplinary action against the person charged.

*      *      *      *      *

   (c)  [If, after investigation and consultation as specified in subsection (a), the Board determines that the filed charges involve unintentional or ministerial violations of a minimal nature, or both, the Board may request that the charged person attend an informal hearing with the Board.

   (d)]  If a licensee is called before the Board, he has the right to have counsel present.

§ 9.190.  Return of [certificate of registration] license.

   In the event of revocation[, cancellation,] or suspension [or annulment or a certificate of registration] of a license, the [registrant] licensee shall be required to immediately return his [registration certificate] license and his current [annual registration] biennial renewal card. The [Registrant's] licensee's seal and stamp will also be impounded by the Board.

CHARGES AGAINST A NONARCHITECT

§ 9.202.  Records of charges.

*      *      *      *      *

   (b)  A determination as to whether to proceed further on the filed charges shall be made [after consultation between the Board and] by the [Board Prosecutor] 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 [registration] licensure.

   [Effective January 1, 1966, all classes] Classes of [registration] licensure as [architects] an architect in this Commonwealth shall be limited to Classes [E] X and B. [However, for purposes of identifying the classes of registration granted prior to January 1, 1966, the following shall identify all classes:

   (1)  Class A--Registration without full examination may be granted to the holder of a diploma or certificate from an architectural college or school, supplemented by at least 3 years' satisfactory experience in the employment of a reputable architectural office.]

   (1)  Class X--Licensure by examination.

   (2)  Class B--[Registration without full examination] Licensure by reciprocity may be granted to a practicing architect who holds a [certificate of registration of] current license, in good standing, in any other state or country, [the] whose requirements for obtaining [which] licensure are equal to those required under the act.

   [(3)  Class C--Registration without full examination but with practical examination may be granted to a nonresident of this Commonwealth provided he has practiced architecture for a period of 10 or more years prior to the passage of the act.

   (4)  Class D--Registration without full examination but with practical examination may be granted to a person not a citizen of the United States having the same qualifications as under Class ''C'' or having similar qualifications as Class ''A,'' he may pursue that course at the discretion of the Board.

   (5)  Class E--Registration without full examination may be granted, based upon the applicant's evidence of proper qualifications and his being engaged in the practice of architecture in this Commonwealth on or prior to July 12, 1918, provided the application has been filed with the Board not later than July 12, 1921.

   (6)  Class F--Registration without examination may be granted, based upon the proper qualifications of the applicant and his having no less than 5 years' practice as an employe of a reputable architectural office or firm, provided the application has been filed with the Board not later than July 12, 1921.

   (7)  Class EA (Affidavit Architect)--Registration without full exam upon applicant's evidence of qualifications and his having been engaged in the practice of architecture in this Commonwealth on or before July 12, 1919, provided that an affidavit is filed prior to January 1940 and application for registration is filed with Board prior to January 1942.

   (8)  Class FA--Registration may be granted to an applicant who has been in the continuous employ of a ''duly licensed, qualified, or registered architect or architects,'' performing general drafting duties and architectural services for 15 years, provided he submits evidence of having completed the course in a high school approved by the Board or its equivalent and satisfactorily passes a practical examination to be determined by the Board. Class FA applications shall be considered by the Board at a regular meeting in order to determine whether the education and experience of the applicant warrants granting an oral examination in lieu of the regular written examinations. If the application is accepted under Class FA, the applicant will be requested to appear before the Board and submit complete sets of plans for three different projects, one set of specifications and photographs of the completed structures. These exhibits should be accompanied by letter or statements from the architect whose name appears on the plans, indicating for what portions of the work the applicant was personally responsible.

   (9)  Class EX--Registration by full written examination.]

[Pa.B. Doc. No. 97-478. Filed for public inspection March 28, 1997, 9:00 a.m.]