Commerce, Occupational and Professional Licensing

Rule R156-3a

Architect Licensing Act Rule

Notice of Proposed Rule

(Amendment)

DAR File No.: 36282
Filed: 05/29/2012 11:02:16 AM

RULE ANALYSIS

Purpose of the rule or reason for the change:

During the 2012 Legislative General Session, H.B. 82 was passed which amended the Architect Licensing Act by removing the number of continuing education hours required in statute and requiring that the Division establish the number of required hours by rule. Other proposed rule amendments are made at the request of the Architect Licensing Board.

Summary of the rule or change:

The following rule amendments are made throughout Rule R156-3a: capitalization, updating of references, renumbering of paragraphs and minor grammatical changes. Subsection R156-3a-102(13) is added to further define the term "technical submissions" as used in proposed amendments to Section R156-3a-601. In Subsection R156-3a-301(2), standards for determining equivalency of a foreign degree are further defined. The term "NCARB Certification" replaces "NCARB Council Record" to reflect current National Council of Architectural Registration Boards (NCARB) terminology. In Sections R156-3a-302 and R156-3a-303, the term "NCARB Certification" replaces "NCARB Council Record" to reflect current NCARB terminology. In Section R156-3a-304, throughout this section, subsections are renumbered and the term "continuing education" replaces "continuing professional education", "qualified professional education" and "professional education". In passing H.B. 82, the Legislature intended that the Division adopt National Council of Architectural Registration Boards (NCARB) continuing education (CE) standards in rule. The Legislature's intent was communicated by the bill sponsor in comments before the Senate Business and Labor Standing Committee on 02/22/2012. NCARB recommends that jurisdictions adopt common standards to ease the burden on architects licensed in multiple jurisdictions. The Board supports adoption of NCARB's standards. Adopting the standards requires the following rule amendments: 1) changing the end of the period within which CE must be completed to December 31 of each odd numbered year; 2) increasing the number of CE hours required every 2 years from 16 to 24; 3) requiring completion of at least 12 CE hours annually; and 4) requiring that records of documented hours be maintained for a minimum of six years. The majority of architects living in Utah already complete over 24 CE hours biannually as members of the Utah Chapter of American Institute of Architects (AIA Utah). Thirty-six of fifty jurisdictions across the United States already require completion of 24 or more CE hours biannually to maintain architect licensure. Subsection R156-3a-306(6) is removed to be consistent with the NCARB standard. Subsection R156-3a-306(4), a stylistic change is made and the number of CE hours required to activate an inactive license is increased from 16 to 24 for reasons described above. In Section R156-3a-502, the proposed amendment updates the July 2010 edition of the NCARB "Rules of Conduct" to the July 2011 edition. The differences between the 2010 and 2011 editions are limited to document formatting. In Section R156-3a-601, the current rule does not allow for electronic signatures on architectural seals. The Board believes this standard is overly restrictive and supports a proposed amendment allowing electronic signatures. The proposed amendment allows electronic signatures, removes unnecessary language and clarifies that sheets subsequent to the cover of specifications are not required to be sealed, signed, and dated.

State statutory or constitutional authorization for this rule:

• Subsection 58-1-106(1)(a)
• Section 58-3a-101
• Section 58-3a-303.5
• Subsection 58-1-202(1)(a)

This rule or change incorporates by reference the following material:

• Updates NCARB Rules of Conduct, published by National Council of Architectural Registration Boards (NCARB), July 2011

Anticipated cost or savings to:

the state budget:

The Division will incur minimal costs of approximately $100 to print and distribute the rule once the proposed amendments are made effective. Any costs incurred will be absorbed in the Division's current budget.

local governments:

The proposed amendments only apply to licensed architects and applicants for licensure in that classification. Allowing for electronic signatures on architectural seals will expedite the building permit application process for some local governments which may translate into a cost savings; but the Division is unable to estimate the extent of the savings.

small businesses:

The proposed amendments only apply to licensed architects and applicants for licensure in that classification. Allowing for electronic signatures on architectural seals will decrease the amount of time some architectural firms spend preparing technical submissions for local government approval. This will translate into cost savings for these firms; but the Division is unable to estimate the extent of the savings.

persons other than small businesses, businesses, or local governmental entities:

The proposed amendments only apply to licensed architects and applicants for licensure in that classification. Allowing for electronic signatures on architectural seals will decrease the amount of time some architects spend preparing technical submissions for local government approval. This will translate into a cost savings for these architects; but the Division is unable to estimate the extent of the savings. Increasing the number of CE hours required biannually from 16 to 24 will not have a cost impact on architects that already complete over 24 CE hours. For example, AIA Utah members must complete at least 36 CE hours biannually to maintain membership in AIA Utah. A majority of architects living in Utah are members of AIA Utah. Architects who currently limit completion of CE to the required minimum of 16 CE hours biannually will be required to compete eight additional CE hours. The cost of CE ranges from $0 to $40 per CE hour. It is important to note that the rise in the number of CE hours required reflects the national NCARB standard and that 36 of 50 jurisdictions across the United States have already adopted the standard. Due to a wide degree of circumstances, the Division is not able to determine an aggregate amount for licensed architects to obtain additional required continuing education hours.

Compliance costs for affected persons:

(The proposed amendments only apply to licensed architects and applicants for licensure in that classification. Allowing for electronic signatures on architectural seals will decrease the amount of time some architects spend preparing technical submissions for local government approval. This will translate into a cost savings for these architects; but the Division is unable to estimate the extent of the savings. Increasing the number of CE hours required biannually from 16 to 24 will not have a cost impact on architects that already complete over 24 CE hours. For example, AIA Utah members must complete at least 36 CE hours biannually to maintain membership in AIA Utah. A majority of architects living in Utah are members of AIA Utah. Architects who currently limit completion of CE to the required minimum of 16 CE hours biannually will be required to compete eight additional CE hours. The cost of CE ranges from $0 to $40 per CE hour. It is important to note that the rise in the number of CE hours required reflects the national NCARB standard and that 36 of 50 jurisdictions across the United States have already adopted the standard. Due to a wide degree of circumstances, the Division is not able to determine an exact cost for licensed architects to obtain additional required continuing education hours.

Comments by the department head on the fiscal impact the rule may have on businesses:

As indicated in the rule summary, this filing could result in cost savings to licensees based on the electronic signature provision. Raising the continuing education requirement to 24 hours each 2-year period is not expected to have a significant effect on licensees, as it is the national standard and most licensees already meet this requirement as part of their membership in the professional association. No impact is anticipated from the remaining technical changes made in this filing.

Francine A. Giani, Executive Director

The full text of this rule may be inspected, during regular business hours, at the Division of Administrative Rules, or at:

Commerce
Occupational and Professional Licensing
HEBER M WELLS BLDG
160 E 300 S
SALT LAKE CITY, UT 84111-2316

Direct questions regarding this rule to:

• Rich Oborn at the above address, by phone at 801-530-6767, by FAX at 801-530-6511, or by Internet E-mail at roborn@utah.gov

Interested persons may present their views on this rule by submitting written comments to the address above no later than 5:00 p.m. on:

07/16/2012

Interested persons may attend a public hearing regarding this rule:

• 06/25/2012 10:00 AM, Heber Wells Bldg, 160 E 300 S, Conference Room 474, Salt Lake City, UT

This rule may become effective on:

07/23/2012

Authorized by:

Mark Steinagel, Director

R156. Commerce, Occupational and Professional Licensing.

R156-3a. Architect Licensing Act Rule.

R156-3a-102. Definitions.

In addition to the definitions in Title 58, Chapters 1 and 3a, as used in Title 58, Chapters 1, 3a, and 22 or this rule:

(1) "ARE" means the NCARB Architectural Registration Examination.

(2) "Committee" means the IDP Committee created in Section R156-3a-201.

(3) "Complete and final" as used in Subsection 58-3a-603(1) means "complete construction plans" as defined in Subsection 58-3a-102(4).

(4) "EESA" means the Education Evaluation Services for Architects.

(5) "Employee, subordinate, associate, or drafter of an architect" as used in Subsections 58-3a-102(8), 58-3a-603(1)(b) and this rule means one or more individuals not licensed as an architect who are working for, with, or providing architectural services directly to the licensed architect under the supervision of the licensed architect.

(6) "Incidental practice" means "architecture work as is incidental to the practice of engineering" as used in Subsection 58-22-102(9) and "engineering work as is incidental to the practice of architecture" as used in Subsection 58-3a-102(6) which:

(a) can be safely and competently performed by the licensee without jeopardizing the life, health, property and welfare of the public;

(b) is secondary and substantially less in scope and magnitude when compared to the work performed or to be performed by the licensee in the licensed profession;

(c) is work in which the licensee is fully responsible for the incidental practice performed as provided in Subsection 58-3a-603(1) or Subsection 58-22-603(1);

(d) is work that affects not greater than 49 occupants as determined in Section 1004 of the 2009 International Building Code;

(e) is work included on a project with a construction value not greater than 15 percent of the overall construction value for the project including all changes or additions to the contracted or agreed upon work; and

(f) shall not include work on a building or related structure in an occupancy category of III or IV as defined in Section 1604.5 of the 2009 International Building Code.

(7) "Intern Development Program" or "IDP" as used in Subsection R156-3a-302([2]1) means a NCARB approved training program.

(8) "NAAB" means the National Architectural Accrediting Board.

(9) "NCARB" means the National Council of Architectural Registration Boards.

(10) "Program of diversified practical experience" as used in Subsection 58-3a-302(1)(e) means:

(a) current licensure in a recognized jurisdiction; or

(b) the training standards and requirements set forth in the Intern Development Program.

(11) "Recognized jurisdiction" as used in Subsections 58-3a-302(2)(d)(i) and (iii), for licensure by endorsement, means any jurisdiction that is a member of NCARB.

(12) "Responsible charge" by a principal, as used in Subsection 58-3a-102(7), means direct control and management by a principal over the practice of architecture by an organization.

(13) "Technical submissions", as used in Section R156-3a-601, means documents which are:

(a) required by public authorities for building permits or regulatory approvals; or

(b) intended for construction purposes, including all addenda and other changes to submissions.

([13]14) "Under the direction of the architect" as used in Subsection 58-3a-102(8), as part of the definition of "supervision of an employee, subordinate, associate, or drafter of an architect" means that the unlicensed employee, subordinate, associate, or drafter of the architect engages in the practice of architecture only on work initiated by the architect, and only under the administration, charge, control, command, authority, oversight, guidance, jurisdiction, regulation, management, and authorization of the architect.

([14]15) "Unprofessional conduct" as defined in Title 58, Chapters 1 and 3a, is further defined, in accordance with Subsection 58-1-203(1)(e), in Section R156-3a-502.

 

R156-3a-301. Qualifications for Licensure - Architecture Program Criteria.

In accordance with Subsection 58-3a-302(1)(d), the architecture program criteria are established as follows.

(1) The architecture program shall be accredited by either the National Architectural Accrediting Board (NAAB), or the Canadian Architectural Certification Board (CACB), or an architectural program equivalent to a NAAB accredited program.

(2) Equivalency shall be documented by submitting one of the following:

(a) [i]If educated in a foreign country, an applicant shall submit a comprehensive report prepared by EESA stating that the applicant has successfully completed an educational program that is equivalent to the NAAB accredited educational program.[; or]

(i) Deficiencies in general education or history, human behavior and environment may be satisfied by successfully completing the deficiencies in course work at a recognized college or university or by passing the College Level Examination Program (CLEP) demonstrating proficiency in the deficient areas.

(ii) Deficiencies in design, technical systems, or practice course work may be completed at an NAAB accredited educational program.

(b) Alternatively, an applicant may submit verification of a current NCARB [Council Record;]Certification.

(c)(i) [i]If an applicant was previously licensed and practicing in Utah under a license that was granted under prior statute or rule but allowed the license to lapse for more than two years, the applicant may reinstate the license by demonstrating that their combined education, supervised experience and licensed practice demonstrate that the applicant's training is equivalent to an NAAB accredited educational program[;].

(ii) [i]If the combined education and experience is not demonstrated to be equivalent, the Division, in collaboration with the Board, may:

(A) determine whether continuing education can bring the combined education and experience up to equivalency, and if so, specify the type of continuing education required; or

(B) determine that the applicant shall be required to obtain the actual degree under Subsection (1).

 

R156-3a-302. Qualifications for Licensure - Program of Diversified Practical Experience.

In accordance with Subsection 58-3a-302(1)(e), an applicant shall establish completion of a program of diversified practical experience requirement by submitting documentation of:

(1) IDP;

(2) current licensure in a recognized jurisdiction; or

(3) [a ]current NCARB [Council Record]Certification.

 

R156-3a-303. Qualifications for Licensure - Examination Requirements.

(1) In accordance with Subsections 58-3a-302(1)(f) and 58-3a-302(2)(e), an applicant for licensure as an architect (whether by education and experience or by endorsement) shall submit documentation establishing:

(a) [a ]current NCARB [Council Record]Certification; or

(b) passing scores on all divisions of the ARE as established by [the ]NCARB.

(2) An applicant for licensure may apply directly to NCARB to sit for any part of the ARE examination anytime after having completed the education requirements specified in Section R156-3a-301.

 

R156-3a-304. Continuing [Professional ]Education for Architects.

In accordance with Section 58-3a-303.5, the [qualifying ]continuing [professional ]education standards for architects are established as follows:

(1) (a) During each two year period ending on [May]December 31 of each [even]odd numbered year, a licensed architect shall [be required to ]complete not less than [16]24 hours of [qualified professional]continuing education directly related to the licensee's professional practice.

(b) At least 12 hours should be completed each year.

(2) The required number of hours of [professional]continuing education for an individual who first becomes licensed during the two year period shall be decreased in a pro-rata amount equal to any part of that two year period preceding the date on which that individual first became licensed.

(3) [Qualified continuing professional]Continuing education under this section shall:

(a) have an identifiable, clear statement of purpose and defined objective for the educational program directly related to the practice of an architect and directly related to topics involving the public health, safety, and welfare of architectural practice and the ethical standards of architectural practice;

(i) health, safety, welfare and ethical standards as used in this subsection are defined to include the following:

(A) The definition of "health" shall include, but not be limited to, aspects of architecture that have salutary effects among users of buildings or sites and that address environmental issues. Examples include all aspects of air quality, provisions of personal hygiene, and use of non-toxic materials and finishes.

(B) The definition of "safety" shall include, but not be limited to, aspects of architecture intended to limit or prevent accidental injury or death among users of buildings or construction sites. Examples include fire-rated egress enclosures, automatic sprinkler systems, stairs with correct rise-to-run proportions, and accommodations for users with disabilities.

(C) The definition of "welfare" shall include, but not be limited to, aspects of architecture that consist of values that may be spiritual, physical, aesthetic and monetary in nature. Examples include spaces that afford natural light or views of nature or whose proportions, color or materials engender positive emotional responses from its users.

(D) (a) The definition of "ethical standards of architectural practice" shall include, but not be limited to the NCARB rules of conduct specified in Subsection R156-3a-502(4).

(b) be relevant to the licensee's professional practice;

(c) be presented in a competent, well organized and sequential manner consistent with the stated purpose and objective of the program;

(d) be prepared and presented by individuals who are qualified by education, training and experience; and

(e) have associated with it a competent method of registration of individuals who actually completed the [professional]continuing education program and records of that registration and completion are available for review.

(4) Credit for qualified continuing [professional ]education shall be recognized in accordance with the following:

(a) unlimited hours shall be recognized for [professional]continuing education completed in blocks of time of not less than one hour in formally established classroom courses, seminars, or conferences;

(b) a maximum of eight hours per two year period may be recognized for teaching in a college or university or for teaching [qualified ]continuing [professional ]education courses in the field of architecture, provided it is the first time the material has been taught during the preceding 12 months;

(c) a maximum of three hours per two year period may be recognized for preparation of papers, articles, or books directly related to the practice of architecture and submitted for publication; and

(d) unlimited hours may be recognized for continuing [professional ]education that is provided via the Internet or through home study courses provided the course verifies registration and participation in the course by means of a test which demonstrates that the participant has learned the material presented.

(5) A licensee shall be responsible for maintaining records of completed [qualified ]continuing [professional ]education for a period of [four]six years after the two year period to which the records pertain. It is the responsibility of the licensee to maintain information with respect to [qualified ]continuing [professional ]education to demonstrate it meets the requirements under this section.

(6) [If a licensee exceeds the 16 hours of qualified continuing professional education during the two year period, the licensee may carry forward a maximum of 8 hours of qualified continuing professional education into the next two year period.

(7) ]A licensee who is unable to complete the continuing [professional ]education requirement for reasons such as a medical or related condition, humanitarian or ecclesiastical services, or extended presence in a geographical area where continuing [professional ]education is not available, may be excused from the requirement for a period of up to three years as provided in Section R156-1-308d.

([8]7) Any licensee who fails to timely complete the continuing [professional ]education hours required by this rule shall be required to complete double the number of hours missed to be eligible for renewal or reinstatement of licensure.

([9]8) Any applicant for reinstatement shall be required to complete [16]24 hours of continuing [professional ]education complying with this rule within two years prior to the date of application for reinstatement of licensure.

 

R156-3a-305. Renewal Cycle - Procedures.

(1) In accordance with Subsection 58-1-308(1), the renewal date for the two-year renewal cycle applicable to licenses under Title 58, Chapter 3a is established by rule in [Section]Subsection R156-1-308a(1).

(2) Renewal procedures shall be in accordance with Section R156-1-308c.

 

R156-3a-306. Inactive Status.

(1) The requirements for inactive licensure specified in Subsection R156-1-305(3) shall also include certification that the licensee shall not engage in the practice of architecture while the license is on inactive status except to identify the individual as an inactive licensee.

(2) A license, prior to being placed on inactive status, shall be active and in good standing.

(3) Inactive status licensees are not required to fulfill the continuing education requirement.

(4) In addition to the requirements in Subsection R156-1-305(6) to reactivate an inactive license, a licensee shall provide documentation that the licensee, within two years prior to[of] the license being reactivated, completed [16]24 hours of continuing education.

(5) Prior to a license being reactivated, a licensee shall meet the requirements for license renewal.

 

R156-3a-502. Unprofessional Conduct.

"Unprofessional conduct" includes:

(1) submitting an incomplete final plan, specification, report, or set of construction plans to:

(a) a client, when the licensee represents, or could reasonably expect the client to consider, the plan, specification, report, or set of construction plans to be complete and final; or

(b) a building official for the purpose of obtaining a building permit;

(2) failing as a principal to exercise reasonable charge;

(3) failing as a supervisor to exercise supervision of an employee, subordinate, associate or drafter;

(4) failing to conform to the generally accepted and recognized standards and ethics of the profession including those established in the July [2010]2011 edition of the NCARB "Rules of Conduct", which is hereby incorporated by reference; or

(5) failing as a supervising architect to verify actual work experience when requested by a subordinate, associate or drafter of an architect who is or has been an employee.

 

R156-3a-503. Administrative Penalties.

(1) In accordance with S[ubs]ection 58-3a-502, the following fine schedule shall apply to citations issued to individuals licensed under Title 58, Chapters 1 and 3a:

 

TABLE

FINE SCHEDULE

Violation              First Offense            Second Offense

58-1-501(1)(a)         $  800.00                 $1,600.00

58-1-501(1)(b)         $1,000.00                 $2,000.00

58-1-501(1)(c)         $1,000.00                 $2,000.00

58-1-501(1)(d)         $1,000.00                 $2,000.00

58-3a-501(1)           $  800.00                 $1,600.00

58-3a-501(2)           $  800.00                 $1,600.00

 

(2) Citations shall not be issued for third offenses, except in extraordinary circumstances approved by the investigative supervisor. If a citation is issued for a third offense, the fine is double the second offense amount, with a maximum amount not to exceed the maximum fine allowed under Subsection 58-3a-502(1)(i).

(3) If multiple offenses are cited on the same citation, the fine shall be determined by evaluating the most serious offense.

(4) An investigative supervisor may authorize a deviation from the fine schedule based upon the aggravating or mitigating circumstances.

(5) In all cases the presiding officer shall have the discretion, after a review of the aggravating and mitigating circumstances, to increase or decrease the fine amount based upon the evidence reviewed.

 

R156-3a-601. Architectural Seal - Requirements.

In accordance with Section 58-3a-601, all [final plans and specifications of buildings erected in this state,]technical submissions prepared by the licensee or prepared under the supervision of the licensee, shall be [sealed in accordance with the following:]signed and dated with the licensee's seal. Electronically generated seals and signatures are acceptable. It is the responsibility of the licensee to provide adequate security when documents with electronic seals and electronic signatures are distributed. Sheets subsequent to the cover of specifications are not required to be sealed, signed and dated.

(1) Each seal shall be a circular seal, 1-1/2 inches minimum diameter and[.

(2) Each seal ]shall include the licensee's name, license number, "State of Utah", and "Licensed Architect".[

(3) Each seal shall be signed and dated with the signature and date appearing across the face of each seal imprint.

(4) Each original set of final plans and specifications, as a minimum, shall have the original seal imprint, original signature and date placed on the cover or title sheet.

(5) A seal may be a wet stamp, embossed, or electronically produced.

(6) Copies of the original set of plans and specifications which contain the original seal, original signature and date is permitted, if the seal, signature and date is clearly recognizable.

]

KEY: architects, licensing

Date of Enactment or Last Substantive Amendment: [September 8, 2011]2012

Notice of Continuation: January 31, 2011

Authorizing, and Implemented or Interpreted Law: 58-3a-101; 58-1-106(1)(a); 58-1-202(1)(a), 58-3a-303.5