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SUBCHAPTER 15. VIOLATIONS
Section
55:10-15-1. Prima facie evidence
55:10-15-2. Grounds for violations and penalties
55:10-15-3. Additional penalties for violations
55:10-15-4. Fraud or misrepresentation
55:10-15-5. Gross incompetence
55:10-15-6. Recklessness
55:10-15-7. Dishonest practice
55:10-15-8. Duty to refer alleged violations to Secretary-Treasurer
55:10-15-9. Filing a complaint; forms and evidence
55:10-15-10. Informal resolution
55:10-15-11. Investigation committee
55:10-15-12. Investigation report and recommendations
55:10-15-13. Investigator
55:10-15-14. Civil and formal proceedings
55:10-15-15. Hearings
55:10-15-16. Hearing disqualification procedures
55:10-15-17. Powers of hearing authority
55:10-15-18. Findings of the Board and penalties
55:10-15-19. Proposed hearing orders
55:10-15-20. Issuing of orders
55:10-15-21. Final orders
55:10-15-22. Procedures to file exceptions to proposed orders
55:10-15-23. Rehearing, reopening or reconsideration
55:10-15-24. Other hearings
55:10-15-25. Emergency hearings and orders

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.....Rules Index

55:10-15-1. Prima facie evidence
A person or Entity shall be construed to practice or offer to practice architecture or landscape architecture, within the meaning and intent of the State Architectural Act, who practices any branch of the professions the Board regulates, or who, by display or verbal claim, sign, advertisement, contract, card or other printed, engraved, or written instrument or device, bearing a person's or Entity's name or in any other way represents to be a professional architect or landscape architect, or through the use of some other title implies that the person or Entity is a professional architect or landscape architect, or that the person or Entity is registered under this Act; or who holds himself/herself or itself out as able to contract for, offer or perform, or who does contract, offer or perform any architectural or landscape architectural service or work or any other service designated by the Act as the practice of architecture or landscape architecture. Any such action noted by this Section shall be sufficient to justify an injunction or any other order or a conviction without evidence of a general course of conduct. The Board shall determine if other legal procedures and penalties are necessary and shall have the power to proceed with any and all legal procedures in addition to the injunction or other such orders issued.

55:10-15-2. Grounds for violations and penalties
Grounds for denial, revocation, suspension, refusal to renew, orders, injunctions, civil and/or criminal penalties are as follows:

(1) Fraud, deception or misrepresentation in applying for a certificate of registration, certificate of authority, or in taking the examinations (see 55:10-15-4);

(2) Noncompliance with statutory requirements or rules in this Chapter for qualifying for licensure;

(3) Violating the State Architectural Act or any rule in this Chapter, regulation or order issued by the Board;

(4) Conviction of a felony;

(5) Violating any other jurisdiction's licensing laws, requirements or rules and regulations;

(6) Mentally impaired;

(7) Gross incompetence (see 55:10-15-5);

(8) Recklessness on the part of the Registrant in designing, planning or observing the construction or alteration of a project or building (see 55:10-15-6);

(9) Dishonest practice (see 55:10-15-7);

(10) Nonrenewal of base or resident state registration for reciprocal Registrants;

(11) Loss of NCARB or CLARB certification for reciprocal license;

(12) Nonpayment of fees or penalties or failure to complete continuing education requirements or failure to file required documents with the Board will result in automatic revocation;

(13) Unauthorized or misuse of seal which shall include sealing, dating and signing any or all documents not prepared under the Registrant's Responsible Control.

(14) Aiding and/or abetting unlicensed practice of architecture or landscape architecture.

(15) Sealing, signing and/or dating plans and/or specifications not prepared in accordance with the Act and/or these Rules.

(16) Falsifying any documents submitted to the Board or generated in the practice of architecture or landscape architecture.

55:10-15-3 Additional penalties for violations
Civil penalties may be levied by the Board separately or in addition to any other penalties determined by the Board. The Board may seek criminal and injunctive relief through the courts for any violation of the Act, rules in this Chapter, regulation, or to enforce any order issued by the Board.

55:10-15-4 Fraud or misrepresentation
Any Registrant or Entity or person associated with any Registrant or Entity, holding a Certificate of Registration and/or a Certificate of Authority under this Act who shall make oral or written fraudulent, false or misleading statements concerning any Registrant or Entity or on any document, report, statement, examination, investigation, plans or specifications made by the Registrant or Entity or under his, her or its direct supervision or responsible control shall, upon conviction, be deemed guilty of fraud or misrepresentation. Fraud shall include copying any documents from an employer without specific written authorization.

55:10-15-5. Gross incompetence
Registrants have been licensed under the authority of the State Architectural Act which establishes minimum competence. Registrants are expected to continue their professional development after licensing, improving and increasing their proficiency and skills as required through fulfillment of continuing education requirements. The Board expects each Registrant or Entity to undertake only those professional assignments he/she or it is qualified to perform and lawfully authorized to undertake. The following practices, among others may be deemed gross incompetence:

(1) Failure to use due diligence and proper restraint in planning and observation procedures, thus endangering the safety and welfare of the public.

(2) Failure to engage other licensed design professionals, competent and authorized to practice in related planning disciplines, when the Registrant is otherwise responsible for obvious technical or tactical error jeopardizing the success or safety of the project, the public, the client and/or contractor.

(3) Failure to clearly, accurately and completely develop plans, drawings, specifications and other instruments of service in practice that properly qualify the requirements intended and insure against misunderstandings jeopardizing the client and/or contractor.

(4) Failure to use diligence and available counsel in preparing documents for the protection of a client in construction agreements involving the Registrant's responsibility.

(5) Practicing architecture or landscape architecture while mentally impaired.

55:10-15-6. Recklessness
(a) The Architect or Landscape Architect is responsible for many technical and tactical judgments relating to construction materials, techniques and systems processes. His/her education, training and experience should enable him/her to make such determinations with confidence in a successful result.

(b) The Board expects of its Registrants, entities or persons representing same, prudent and deliberate consideration in such decisions, made only after responsible and thorough investigation, research and when necessary, expert advice and assistance.

(c) When the result anticipated in such decisions is not reasonably predictable, each Registrant, Entity or person representing same, is expected to so advise the client, fully disclosing the implications involved.

(d) When such decisions promote procedures, techniques, materials, systems, etc., unfamiliar to the planning and/or building team involved, the Registrant, Entity or person, representing same, is expected to exercise extraordinary care and attention to the process, insuring as best he/she can the result sought.

(e) If, in the judgment of the Board, a Registrant, Entity or person representing same, does not demonstrate concern, attention and involvement stated in this Section, and failure to do so brings jeopardy to the project, public or client, the Board may deem such neglect to be recklessness.

(f) A Registrant or Entity shall not aid or abet any unlicensed person or entity in practicing architecture or landscape architecture. Aiding and abetting shall include a Registrant or entity furnishing limited services in such a manner as to enable owners or unlicensed persons to evade the requirements of the State Architectural Act or rules in this Chapter. Incomplete plans shall be clearly marked as incomplete and not for construction if services are terminated during the contract

55:10-15-7. Dishonest practice
Dishonest practice means the following practices, among others, may be deemed dishonest practice:

(1) Acts which evidence violation, or attempts to violate, any laws or rules of this or any other state relating to registration or the practice architecture or landscape architecture.

(2) Acts which evidence disregard or neglect in complying with regulations, codes, ordinances and recognized standards regulating construction at the place of building.

(3) Acts which evidence attempts through commission or omission, to mislead or defraud any person or Entity.

(4) Acts which evidence attempts or success in efforts violating rules in this Chapter regarding the use of an Architect's or Landscape Architect's seal, signature and date.

(5) Acts which evidence attempts or success in efforts to bribe any person or Entity, who may influence the selection of any Registrant. Kickbacks, donations, or forgiveness offered or paid to gain improper advantage in selection will be considered bribes.

(6) Acts which evidence attempts or success to conceal personal interests in conflict with responsibilities of service to a client.

(7) Acts which evidence improper partiality as arbiter or interpreter in matters relating to client/contractor agreements resulting in or from unauthorized waivers, deviations, or disregard of provisions in such agreements.

(8) Acts evidenced by exaggerated, misleading, deceptive or false statements or claims about professional qualifications.

(9) Falsifying any documents submitted to the Board, or required to be kept by the Registrant, or generated in the practice of architecture or landscape architecture.

(10) It shall be illegal to copy any documents or programs from the employer's files without expressed written consent by the employer.

55:10-15-8. Duty to refer alleged violations to Secretary-Treasurer
When information comes to the Board or its employees concerning alleged misconduct by Registrants, entities or person's representing same, holding certificates of registration and/or Certificates of Authority or unlicensed practice of the professions regulated by the Board by unlicensed persons or entities, whether through formal or informal channels or by reason of other information, it shall be the duty of such body or person to refer such information to the Secretary-Treasurer.

55:10-15-9. Filing a complaint; forms and evidence
(a) When filing a formal complaint, the person, Registrant or Entity shall contact the Board office for the forms required to be completed. The complainant shall document the allegations with evidence available and shall submit one original and two certified original copies to the Board office. The Secretary-Treasurer of the Board shall make appropriate inquiry to verify such information and shall, based upon such information and inquiry, proceed to one of the following courses:

(1) Terminate the investigation when it appears no violation has occurred or there is insufficient evidence to support any violation; or

(2) Refer the matter to the investigative committee; or

(3) Appoint an individual investigator; or

(4) Attempt informal resolution of the matter; or

(5) Refer directly to Board.

(b) A Board member shall not discuss with any person, any facts or circumstances concerning any investigation or formal complaint prior to holding a formal hearing, except in a Board meeting or with the Board's attorney.

55:10-15-10. Informal resolution
Those matters in which informal resolution is sought may be referred to the investigative committee or terminated as provided in OAC 55:10-15-9. Any final disposition of a violation by the Secretary-Treasurer must be reported to and approved by the Board.

55:10-15-11. Investigation committee
(a) Appointment; officers. The investigation committee, appointed by the Chairman, shall investigate such cases referred to it. The committee shall be appointed for terms as designated by the Board. At least a majority of the members of the committee shall be Registrants in good standing with the Board. The Board shall designate one member Chairman whose duty it shall be to conduct meetings of the committee, administer its activities and perform such other duties as are assigned by the Board.

(b) Duties.

(1) It shall be the duty of the investigation committee, upon request from the Secretary-Treasurer of the Board, to investigate to determine whether there exists probable cause to believe that such misconduct or violation has occurred as to justify the institution of formal or civil proceedings. The investigation shall be conducted with reasonable dispatch. The investigative committee shall report to the Executive Director of the Board the result of any investigation promptly upon its conclusion. Such report shall include a summary of evidence considered by the committee including any materials provided by the person or Entity, the committee's conclusions of fact and law, and the committee's recommendation with respect to institution of civil or formal proceedings. The committee may, in its discretion, afford the person or Entity involved an opportunity to be heard in the course of preliminary investigation.

(2) Before a report adverse to the Registrant, Entity or person is made, the investigative committee shall notify him/her or it in writing of the complaint and allow not less than ten (10) days to reply in writing. At this level of the proceedings the Registrant, Entity or person shall not be entitled to a hearing before the investigative committee as a matter of right, but may submit, in writing, one original and two certified original copies for consideration by the investigative committee which shall be included in the final report to the Executive Director.

55:10-15-12. Investigation report and recommendations
The Executive Director shall forward the investigative committee's report to legal counsel for the Board who shall proceed with the recommendations contained therein, provided such recommended action conforms to law or established policy of the Board and is supportable based upon evidence considered by the investigative committee and its conclusions drawn therefrom. Civil or formal proceedings will not be instituted unless the investigation committee and counsel to the Board are agreed upon such action or unless ordered by the Board based upon review of the recommendations of the investigative committee and counsel of the Board. The Registrant, Entity or person shall be notified promptly of whatever action is to be taken. If formal charges are proposed without using the investigation committee, those charges shall be approved by the Secretary-Treasurer and the Executive Director before sent out by Counsel.

55:10-15-13. Investigator
Investigations may, at the discretion of the Secretary-Treasurer, be assigned to individual investigators who are employed or retained on a full or part-time basis by the Board for such purpose. Such investigators may make use of the investigative committee but shall be in full charge of any investigation so assigned subject only to direction by the Board.

55:10-15-14. Civil and formal proceedings
Civil or formal proceedings in matters involving misconduct or violations by Registrants, entities or persons shall be brought by Counsel or the Secretary-Treasurer of the Board based upon recommendation of the investigative committee, investigator, or when ordered by the Board. The formal complaint shall be signed by Counsel to the Board and/or Executive Director and shall include a concise statement of the allegations and particular sections of statutes and rules in this Chapter involved.

55:10-15-15. Hearings
(a) General provisions.

(1) The Board shall set a time and place for the hearing of charge, provided that such hearing shall not be set less than twenty (20) days from mailing of notice of the proceeding to the Registrant, Entity or person at the last known address according to Board records or information.

(2) Such notice shall include a copy of the charge, a statement of the time, place and nature of the hearing, a statement of the legal authority and jurisdiction under which the hearing isheld; a reference to the particular sections of statutes or rules in this Chapter involved and a short and plain statement of the matters asserted or issues involved. At any hearing interested parties shall be afforded the opportunity to respond, present evidence, and argue on all issues involved.

(3) Unless precluded by law, informal disposition may be made of any proceeding by stipulation, agreed settlement, consent order, or default.

(4) At any hearing the Registrant, Entity or person charged with misconduct shall enjoy the rights:

(A) against self-incrimination; and

(B) of confidential communication with his spouse, attorney, clergyman, priest and/or physician; and

(C) of withholding such other records and files of any official or agency of any state or of the United States which, by any statute of such state or of the United States, are made confidential or privileged; and

(D) of cross examination; and

(E) of counsel.

(b) Hearing record.
(1) The hearing record shall include:

(A) All pleadings, motions and intermediate rulings;

(B) Evidence received or considered;

(D) Proposed findings and exceptions;

(E) Any decision, opinion, or report by the officer presiding at the hearing;

(F) All staff memoranda or data submitted to the hearing officer or members of the agency in connection with their consideration of the case.

(2) Oral proceedings or any part of the oral proceedings shall be transcribed on request of any party.

(3) Findings of fact shall be based exclusively on the evidence and on matters officially noticed.

(1) By the Board;

(2) By any member of the Board or its designee acting as hearing examiner;

(3) By any attorney licensed to practice before the Supreme Court of the State of Oklahoma acting as hearing examiner.

55:10-15-16. Hearing disqualification procedures
A hearing examiner or any Board member shall withdraw from any proceeding in which he/she cannot afford a fair and impartial hearing or consideration. Any party may request such disqualification by filing an affidavit, promptly upon discovery of the alleged disqualification, stating the particular grounds for objection. The issue shall be referred to the Board to be determined promptly by the Board or the remaining members thereof and upon disqualification the Board shall assign another hearing examiner and if necessary, as provided by 75 O.S., Section 316, seek appointment of an additional member or members pro-tem.

55:10-15-17. Powers of hearing authority
A hearing authority shall require the furnishings of information; the attendance of witnesses; and the production of books, records, papers or other objects as may be necessary and proper for the purposes of the hearing. Any party to a proceeding may take depositions of witnesses in the same manner as provided by law in any civil actions before courts of record and such depositions may be admitted into evidence subject to the right of objection at the time of hearing in accordance with the law.

55:10-15-18. Findings of the Board and penalties
(a) The Board may find:

(1) The charges are dismissed for insufficient evidence;

(2) The charges are dismissed without prejudice;

(3) The charges are dismissed with prejudice;

(4) The defendant is found not guilty;

(5) The defendant is found guilty;

(b) If the finding is guilty, the Board shall then determine the penalty to be imposed. The penalty resulting from a finding of guilty shall be one or more of the following:

(1) Reprimand: The formal notice of the Board, not subject to public notice, that the accused Registrant or Entity has been found guilty of violations which can and must be corrected as instructed; failure for which may result in suspension, revocation, or a civil penalty.

(2) Censure: The formal notice of the Board, subject to public notice, that the accused Registrant or Entity has been found guilty of violations which cannot be corrected, and which if repeated may result in suspension, revocation, denial, refusal to renew, or civil penalty.

(3) Suspension: The formal notice of the Board, subject to public notice, that the finding of guilty had resulted in suspension, denial or refusal to renew the accused's Certificate of Registration and/or Certificate of Authority for a stated period. A civil penalty may also be imposed by the Board.

(4) Revocation: The formal notice of the Board, subject to public notice, that the finding of guilty has resulted in revocation of the accused's Certificate of Registration and/or Certificate of Authority. A civil penalty may also be imposed by the Board.

(5) Civil Penalty: The formal notice, at the discretion of the Board, may be subject to public notice, that the finding of guilty of the accused Registrant, Entity or person has resulted in a civil penalty, as provided by the Act.

(c) All disciplinary actions where the Registrant or Entity has been convicted, pled guilty or nolo contendere to a violation of the Act or rules, shall be publicized to the public and profession with their name, license or certificate of authority number and the city and state on the Board's records.

55:10-15-19. Proposed hearing orders
At any hearing not heard by a majority of the members of the Board or when the case hearing record has not been read by a majority of the members of the Board, the decision, if adverse to a party to the proceeding, shall not be made until a proposed order is served upon the parties and an opportunity is afforded to each party adversely affected to file exceptions and present briefs and oral argument to the Board. The proposed order shall be accompanied by statements of the reasons therefore and of each issue of fact or law necessary to the proposed order, prepared by the person who conducted the hearing or by one who has read the record. The parties may, by written stipulation waive compliance with this Section.

55:10-15-20. Issuing of orders
All orders, whether proposed or final, shall be issued within one hundred twenty (120) days of a hearing. Final orders shall state their effective date but in no event shall such order be effective less than ten (10) days from the entry thereof.

55:10-15-21. Final orders
A final order adverse to a party in a proceeding shall be in writing or stated in the record. A final order shall include findings of fact and conclusions of law, separately stated. Findings of fact, if set forth in statutory language, shall be accompanied by a concise and explicit statement of the underlying facts supporting the findings. Parties shall be notified either personally or by mail of any order. Upon request, a copy of the order shall be delivered or mailed to each party and to the attorney of record.

55:10-15-22. Procedures to file exceptions to proposed orders
Exceptions shall be filed with the Executive Director within ten (10) days of mailing the proposed order to the Registrant, person, or Entity. If exceptions are filed, the Executive Director shall set the time and place for the Board to consider the proposed order and the exceptions to it and cause notice of such time and place to be mailed to the Registrant, Entity or person. Such time shall not be less than twenty (20) days after such notice is mailed. Briefs in support of exceptions must be filed with the Board at least seven (7) days before such hearing. The Registrant, Entity or person may personally or through counsel be present and present oral argument to the Board in support of the exceptions. If no exceptions are filed, the Board will consider the proposed order at its next regular or special meeting, or at such other time as is convenient to the Board.

55:10-15-23. Rehearing, reopening or reconsideration
(a) A decision by the Board shall be subject to rehearing, reopening, or reconsideration by the Board if requested within ten (10) days from the date of its entry. The grounds for requesting such action shall be either:

(1) Newly discovered or newly available evidence relevant to the issues; or

(2) Need for additional evidence adequately to develop the facts essential to proper decision; or

(3) Probable error committed by the Board or hearing examiner in the proceeding or in its decision such as would be grounds for reversal on judicial review or the order; or

(4) Need for further consideration of the issues and the evidence in the public interest; or

(5) A showing that issues not previously considered should be examined in order to properly dispose of the matter; or

(6) Fraud practiced by the prevailing party or of procurement of the order by perjured testimony or fictitious evidence.

(b) The order of the Board granting rehearing, reconsideration, or review, or the petition of a party, shall set forth the grounds which justify such action.

(c) The Board will consider past disciplinary action taken against any Registrant, Entity or person found guilty of misconduct in any present proceeding. Such past conduct shall not be evidence of guilt in the present proceeding but will be considered only in determining appropriate sanctions or penalties to be imposed by the Board in the present proceeding.

(d) Unless precluded by law, any party may waive rights and proceed by stipulation, agreed settlement, consent order or default. No provision in the rules of this Chapter shall be construed as prohibiting the Board from suspending or holding in abeyance any formal or civil proceeding pending the outcome of informal negotiation or informally agreed upon terms.

55:10-15-24. Other hearings
When it comes to the Board's attention that persons or entities residing in or out of the State of Oklahoma may be engaged in the practice of architecture or landscape architecture in Oklahoma as defined by the State Architectural Act and the Board's current rules in this Chapter, and further that such person or Entity may be engaged in the unauthorized practice of these professions or may not meet the requirements thereof, the Board may institute proceedings or penalties as provided in the rules of this Chapter against Registrants, persons or entities for the purpose of determining if any violation of the law, rules in this Chapter or orders has occurred and may take such action as is permitted pursuant to the provisions of 59 O.S., Sections 46.1 et seq. and may, in addition, bar said Registrant, person or Entity concerned and their employers from registration with the Board or the practice of architecture or landscape architecture within the State of Oklahoma.

55:10-15-25. Emergency hearings and orders
(a) If the Board shall find an emergency to exist which, in the opinion of the Board, poses an immediate danger to the public health, welfare, or safety or which threatens irreparable harm to any person or Entity, the Board may order hearings as provided in this Section upon the giving of twenty-four (24) hour notice to the parties concerned, and may enter such temporary orders as will, in the judgment of the Board, maintain or restore the public health, welfare, and safety pending hearing by the Board or judicial review of the Board's actions.

(b) Whenever in the judgment of the Board any Registrant, person or Entity has engaged, or is about to engage, in any acts or practices which constitute, or will constitute, a violation of the Act, the Board may make application to the appropriate court for an order enjoining such acts or practices, and upon a showing by the Board that such Registrant, person or Entity has engaged, or is about to engage, in any such acts or practices, an injunction, restraining order, or such other order as may be appropriate shall be granted by such court, without bond.

(c) Nothing in the rules of this Chapter dealing with violations, penalties or findings of facts shall preclude the Board from proceeding through any legal proceedings necessary to enforce its findings, orders or penalties.