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Rules of Professional Conduct

PREAMBLE

In order to establish and maintain a high standard of integrity, skills and practice in the professions of engineering, architecture and land surveying, to safeguard the life, health, property and welfare of the public and to serve and to promote the public interest in the effort to improve human environment, the following Rules of Professional Conduct are promulgated in accordance with Title XLIII, Government of Guam Code, relative to Professional Engineers, Architects and Land Surveyors and shall be binding upon every person holding a certificate of registration as an Engineer, Architect or Land Surveyor and on all partnerships or corporations or other legal entities authorized to offer or perform engineering, architecture and land surveying services in Guam.
 
The Rules of Professional Conduct as herewith promulgated in accordance with those powers vested in the Guam Board of Registration for Professional Engineers, Architects and Land Surveyors, by virtue of Public Law 11-218.
 
All persons registered under Title XLIII, Government of Guam Code, relative to the Professional Engineers, Architects and Land Surveyors are charged with having knowledge of the existence of the Rules of Professional Conduct, and shall be deemed to be familiar with their several provisions and to understand them. Such knowledge shall encompass the understanding that the practice of engineering, architecture and land surveying is governed by a statute, as opposed to a right, and the registrant shall be forthright and candid in his statements or written response to the Guam Board of Registration for Professional Engineers, Architects, and Land Surveyor, Government of Guam, or its representatives on matters pertaining to professional conduct.


 

1. RESPONSIBILITY TO THE PUBLIC

The Architect, Engineer and Land Surveyor shall at all times recognize his primary obligations to protect the safety, health and welfare of the public in the performance of his professional duties.

2. COMPETENCY FOR ASSIGNMENTS

  • The Engineer, Architect or Land Surveyor shall undertake to perform assignments only when qualified by registration by the Guam Board and competency in the specific technical field of engineering, architecture and land surveying.
  • The Engineer, Architect or Land Surveyor or other certified legal entities may accept an assignment requiring registration outside of their own field of competency, but only to the extent that the major portion of the assignment and their services are restricted to those phases of the project in which they are qualified and competent.
  • The Engineer, Architect or Land Surveyor shall only affix his signature and seal to any engineering, architecture and land surveying plan or document dealing with subject matter for which he has competence by virtue of registration by the Guam Board and to any such plan or document prepared by him or under his direct supervisory control.
  • In the event a question arises as to the competence of an Engineer, Architect or Land Surveyor or other legal entity to perform an engineering, architecture or land surveying assignment in a specific technical field of engineering, architecture and land surveying which cannot be otherwise resolved to the Board's satisfaction, the Board, either upon request of the Engineer, Architect or Land Surveyor or by its own volition, may appoint a panel of experts to determine such competency.

3. PUBLIC STATEMENTS

  • The Engineer, Architect or Land Surveyor shall be completely objective and truthful in all professional reports, statements or testimony. He shall not withhold any relevant and pertinent information in such reports, statements or testimony.
  • The Engineer, Architect or Land Surveyor, when serving as an expert or technical witness before any court, commission or other tribunal, shall express an opinion only when it is founded upon adequate knowledge of the facts in issue, upon a background of technical competence in the matter, and upon honest conviction of the accuracy and propriety of his testimony.
  • The Engineer, Architect or Land Surveyor shall not attempt to injure, maliciously or falsely, directly or indirectly, the professional reputation, prospects, practice or employment of another Engineer, Architect or Land Surveyor nor shall he indiscriminately criticize another professional engineer's, architect's, or land surveyor's work in public. If he believes that another Engineer, Architect, or Land Surveyor is guilty of unethical or illegal practice, he shall present such information to the Guam Board of Registration for Professional Engineers, Architects and Land Surveyors, Government of Guam, for appropriate action.

4. CONFLICT OF INTEREST

  • The Engineer, Architect or Land Surveyor shall avoid all known conflicts of interest with his employer or client and shall promptly inform his employer or client of any business association, interests, or circumstances which could influence his professional judgment or the quality of his services.;
  • The Engineer, Architect or Land Surveyor shall not accept compensation, financial or otherwise, from more than one party for services on the same project, or for services pertaining to the same project, unless the circumstances are fully disclosed to, and agreed to, by all directly involved parties.
  • The Engineer, Architect or Land Surveyor shall not solicit or accept financial or other valuable considerations from material or equipment suppliers for specifying their products.
  • The Engineer, Architect or Land Surveyor shall not solicit or accept gratuities, directly or indirectly, from contractors, their agents or other parties dealing with his client or employer in connection with work for which he is responsible.
  • When in public service as a member, advisor or employee of a governmental body or department, the Engineer, Architect or Land Surveyor shall not participate in considerations or actions with respect to services provided by him or his organization in private engineering, architecture and land surveying practices.

5. SOLICITATION OF WORK

  • The Engineer, Architect or Land Surveyor shall not offer to pay, either directly or indirectly, any commission, political contribution, gifts, or any other consideration in order to secure work, exclusive of securing salaried positions through employment agencies.
  • The Engineer, Architect or Land Surveyor shall seek professional employment on the basis of qualification and competence for proper accomplishment of the work (and shall charge a professional fee for all professional services rendered). He shall not solicit or submit proposals for professional services on the basis of competitive bidding.
  • Competitive bidding is defined as the formal or informal submission or receipt, of verbal or written estimates of costs of proposals in terms of dollars, man days of work required, percentage of construction cost, or any other measure of compensation whereby the prospective client may compare engineering, architecture and land surveying services on a price basis prior to the time that one Engineer, Architect or Land Surveyor or one engineering, architecture and land surveying organization has been elected for negotiation.
  • The Engineer, Architect of Land Surveyor shall not falsify or permit misrepresentation of his, or his associates' academic or professional qualifications. He shall not misrepresent or exaggerate his degree of responsibility in or for the subject matter of prior assignments. Brochures or other presentations incident to the solicitation of employment shall not misrepresent pertinent facts concerning employers, employees, associates, joint-ventures, or his or their past accomplishments with the intent and purpose of enhancing his qualifications and his work.

6. ADVERTISING

  • The Engineer, Architect and Land Surveyor shall not advertise his professional services but may utilize the following means of identification:
    • Business Cards. The information displayed must be restricted to name of individual, firm name, address, telephone number, appropriate symbol, name of principal participants and the fields of practice in which the firm is qualified, location map, foreign language translation of the above and professional organization.
    • Sign on equipment, offices and at the site of projects for which he renders services, limited to firm name, address, telephone number and type of services, as appropriate.
    • Brochures, letterheads and other factual representations of experience, facilities, personnel and capacity to render service, providing the same are not misleading relative to the extent of participation in the projects cited, and provided the same are not indiscriminately distributed.
    • Listings in the classified section of telephone directories, limited to name, address, telephone number and specialties in which the firm is qualified.
  • The Engineer, Architect and Land Surveyor may advertise for recruitment of personnel in appropriate publications or by special distribution. The information presented must be displayed in a dignified manner, restricted to firm name, address, telephone number, appropriate symbol, the fields of practice in which the firm is qualified and factual descriptions of positions available, qualifications required and benefits available.
  • The Engineer, Architect and Land Surveyor may prepare articles for the lay or technical press which are factual, dignified and free from ostentations or laudatory implications. Such articles shall not imply other than his direct participation in the work described unless credit is given to others for their share of the work.
  • The Engineer, Architect and Land Surveyor may extend permission for his name to be used in commercial advertisements, such as may be commercial advertisements, such as may be published by manufacturers, contractors, material suppliers, etc., only by means of a modest dignified notation acknowledging his participation and the scope thereof in the project or product described. Such permission shall not include public endorsement of proprietary product.
  • The Engineer, Architect and Land Surveyor will not allow himself to be listed for employment using exaggerated statements of his qualifications.
  • The Engineer, Architect and Land Surveyor shall not knowingly associate with, or permit the use of his name or firm name in a business venture by any person or firm which he knows, or has reason to believe, is engaging in business or professional practices of a fraudulent or dishonest nature.
  • If the Engineer, Architect or Land Surveyor has knowledge or reason to believe that another person or firm may be in violation of any of these provisions or of Title XLIII, Government of Guam Code, relative to Professional Engineer, Architect and Land Surveyors, he shall not withhold any information from the Board of Registration for Professional Engineer, Architects and Land Surveyors, Government of Guam, and shall cooperate with the Board of Registration for Professional Engineers, Architects and Land Surveyors in furnishing such further information or assistance as may be required by the Board.

7. CONSTRUCTION SERVICES

An Engineer, Architect and Land Surveyor shall provide construction contract administration when applications are made for building or construction permits involving the public safety and health. The term "construction contract administration" means making periodic visits to the site by a registered engineer, architect or land surveyor or authorized representatives as the case may require, to observe the progress and quality of the executed work and to determine, in general, if the work is proceeding in accordance with the contract documents. It is not required that they make exhaustive or continuous on-site inspections to check the quality or quantity of the work nor is it intended that the engineer, architect and land surveyor be responsible for construction means, methods, techniques, sequences or procedures, or for safety precautions and programs in connection with the work.

8. IMPROPER CONDUCT

  • The Engineer, Architect and Land Surveyor shall not knowingly associate with, or permit the use of his name or firm name in a business venture by any person or firm which he knows, or has reason to believe, is engaging in business or professional practices of a fraudulent or dishonest nature.
  • If the Engineer, Architect or Land Surveyor has knowledge or reason to believe that another person or firm may be in violation of any of these provisions or of Title XLIII, Government of Guam Code, relative to Professional Engineer, Architect and Land Surveyors, he shall not withhold any information from the Board of Registration for Professional Engineer, Architects and Land Surveyors, Government of Guam, and shall cooperate with the Board of Registration for Professional Engineers, Architects and Land Surveyors in furnishing such further information or assistance as may be required by the Board.

9. OTHER JURISDICTION

Conviction of a felony subsequent to registration in the field by any state, territory or possession of the United States, or the revocation or suspension of a professional engineer's, architect's or land surveyor's license by another jurisdiction, if for a cause which the Territory of Guam would constitute a violation of Title XLIII, Government of Guam Code, relative to Professional Engineers, Architects, and Land Surveyors or of these Rules, shall be grounds for a charge of violation of these Rules.

The foregoing Rules of Professional Conduct for Professional Engineers, Architects and Land Surveyors for the Territory of Guam have been duly adopted by the Guam Board of Registration for Professional Engineers, Architects and Land Surveyors, and in certification thereof, the undersigned has affixed his signature hereto this 5th day of April, 1974.

Chairman,
The Guam Board of Registration
for Professional Engineers, Architects
and Land Surveyors

Rules & Regulations presented herein was prepared by the Professional Engineers, Architects and Land Surveyors Board with the assistance of other professional individuals and associations. The main thrust of its task force committee is to provide all the necessary guidelines to professional undertakings as to applications, licensing, and the understanding of basic requirements, criteria, processes and procedures to ensure the proper performance of such professional duties.

The PEALS Board commends and highly endorses the invaluable efforts of these professional individuals and societies in formulating together the following rules and regulations, policies and procedures.

 

INDEX OF CONTENTS

SECTION I. INTRODUCTION

 

1.A. Purpose
1.B. Requirements for Adoption
1.C. Authority for Rules

SECTION II. DEFINITIONS

 

2.A. General
2.B. Engineering Terms
2.C Architectural Terms
2.D. Land Surveying Terms
2.E. Other Terms

SECTION III. ORGANIZATION OF THE BOARD

 

3.A. Officers
3.B. Meetings
3.C. Quorum
3.D. Voting
3.E. Rules of Order
3.F. Compensation and Expenses
3.G. Board Administrator
3.H. Employment of Personnel
3.I. Budget
3.J. Accounting Procedures
3.K. Publications of the Board
3.L. Use of Forms
3.M. Records

SECTION IV. APPLICATIONS

 

4.A. Kinds of Applications
4.B. Completing Applications
4.C. Sequential Application
4.D. Applications from Non-Residents
4.E. Applications from Applicants with Degrees from Foreign Schools
4.F. Disposal of Applications
4.G. Reconsideration of Applications
4.H. Retention of Records of Applications

SECTION V. FEES

 

5.A. Method of Payment
5.B. Changes in Amount of Fees
5.C. Renewal Fees

SECTION VI. CURRICULA APPROVED BY THE BOARD

 

6.A. Engineering
6.B Architecture
6.C Land Surveying

SECTION VII. EXPERIENCE

 

7.A. As a Professional Engineer
7.B. As a Professional Architect
7.C. As a Land Surveyor

SECTION VIII. REFERENCES

 

SECTION IX. EXAMINATIONS

 

9.A. General Provisions
9.B. Engineering Examinations
9.C. Architectural Examinations
9.D. Land Surveying Examinations
9.E. Structural Engineering Examinations
9.F. Examination Dates and Locations
9.G. Proctoring Examinations of Other Jurisdictions
9.H. Language of the Examination
9.I. Study Information
9.J. Instructions for Examinees
9.K. Failure to Attend an Examination
9.L. Examination Results
9.M. Review of Failed Examinations
9.N. Examination for Record Purposes

SECTION X. CLASSIFICATION OF REGISTRATION

 

10.A. Engineering
10.B. Architecture
10.C. Land Surveying
10.D. Emeritus
10.E. Certificate of Authorization

SECTION XI. REGISTRATIONS

 

11.A. Registration Number as a Professional Engineer, Registered Architect or Registered Land Surveyor
11.B. Certificates of Registration/Authorization
11.C. Reissuance of Certificate

SECTION XII. SEALS

 

12.A. Seal of the Board
12.B. Seal of Registration
12.C. Seal on Documents

SECTION XIII. MOONLIGHTING/PART TIME WORK

 

13.A. Moonlighting/Part Time Work

SECTION XIV. OTHER ITEMS

 

14.A. Construction Management
14.B. Responsible Managing Employee--Limits of Control
14.C. Responsible Managing Employee-Full Time/Ownership

SECTION XV. TEMPORARY PERMITS

 

15.A. Engineers and Architects
15.B. Land Surveyors

SECTION XVI. EXPIRATIONS, RENEWALS AND REINSTATEMENTS

 

SECTION XVII. PROFESSIONAL CONDUCT

 

17.A. Rules of Professional Conduct
17.B. Knowledge of Rules
17.C. Convictions
17.D. Severability

SECTION XVIII. COMPLIANCE AND ENFORCEMENT

 

18.A. Compliance
18.B. Enforcement

SECTION XIX. DISCIPLINARY ACTION

 

19.A. Complaints
19.B. Summons and Complaint
19.C. Evidentiary Matters
19.D. Conduct of Hearing
19.E. Order of the Board
19.F. Discipline

SECTION XX. REINSTATEMENT OF REGISTRATION

 

20.A. Petition for Reinstatement
20.B. Board Action

SECTION XXI. CONFLICT AND BIAS

 

SECTION XXII. SEVERABILITY

 

SECTION XXIII. ADOPTION AND AMENDMENT OF RULES

 

23.A. Adoption of Rules
23.B. Petition for Adoption or Amendment of Rules
23.C. Procedure for Adoption and Amendment of Rules

 SECTION I. INTRODUCTION

 

1.A. PURPOSE

 

Rules & Regulations presented herein was prepared by the Professional Engineers, Architects and Land Surveyors Board with the assistance of other professional individuals and associations. The main thrust of its task force committee is to provide all the necessary guidelines to professional undertakings as to applications, licensing, and the understanding of basic requirements, criteria, processes and procedures to ensure the proper performance of such professional duties.

The PEALS Board commends and highly endorses the invaluable efforts of these professional individuals and societies in formulating together the following rules and regulations, policies and procedures.

 

INDEX OF CONTENTS

SECTION I. INTRODUCTION

1.A. Purpose
1.B. Requirements for Adoption
1.C. Authority for Rules

SECTION II. DEFINITIONS

2.A. General
2.B. Engineering Terms
2.C Architectural Terms
2.D. Land Surveying Terms
2.E. Other Terms

SECTION III. ORGANIZATION OF THE BOARD

3.A. Officers
3.B. Meetings
3.C. Quorum
3.D. Voting
3.E. Rules of Order
3.F. Compensation and Expenses
3.G. Board Administrator
3.H. Employment of Personnel
3.I. Budget
3.J. Accounting Procedures
3.K. Publications of the Board
3.L. Use of Forms
3.M. Records

SECTION IV. APPLICATIONS

4.A. Kinds of Applications
4.B. Completing Applications
4.C. Sequential Application
4.D. Applications from Non-Residents
4.E. Applications from Applicants with Degrees from Foreign Schools
4.F. Disposal of Applications
4.G. Reconsideration of Applications
4.H. Retention of Records of Applications

SECTION V. FEES

5.A. Method of Payment
5.B. Changes in Amount of Fees
5.C. Renewal Fees

SECTION VI. CURRICULA APPROVED BY THE BOARD

6.A. Engineering
6.B Architecture
6.C Land Surveying

SECTION VII. EXPERIENCE

7.A. As a Professional Engineer
7.B. As a Professional Architect
7.C. As a Land Surveyor

SECTION VIII. REFERENCES

SECTION IX. EXAMINATIONS

9.A. General Provisions
9.B. Engineering Examinations
9.C. Architectural Examinations
9.D. Land Surveying Examinations
9.E. Structural Engineering Examinations
9.F. Examination Dates and Locations
9.G. Proctoring Examinations of Other Jurisdictions
9.H. Language of the Examination
9.I. Study Information
9.J. Instructions for Examinees
9.K. Failure to Attend an Examination
9.L. Examination Results
9.M. Review of Failed Examinations
9.N. Examination for Record Purposes

SECTION X. CLASSIFICATION OF REGISTRATION

10.A. Engineering
10.B. Architecture
10.C. Land Surveying
10.D. Emeritus
10.E. Certificate of Authorization

SECTION XI. REGISTRATIONS

11.A. Registration Number as a Professional Engineer, Registered Architect or Registered Land Surveyor
11.B. Certificates of Registration/Authorization
11.C. Reissuance of Certificate

SECTION XII. SEALS

12.A. Seal of the Board
12.B. Seal of Registration
12.C. Seal on Documents

SECTION XIII. MOONLIGHTING/PART TIME WORK

13.A. Moonlighting/Part Time Work

SECTION XIV. OTHER ITEMS

14.A. Construction Management
14.B. Responsible Managing Employee--Limits of Control
14.C. Responsible Managing Employee-Full Time/Ownership

SECTION XV. TEMPORARY PERMITS

15.A. Engineers and Architects
15.B. Land Surveyors

SECTION XVI. EXPIRATIONS, RENEWALS AND REINSTATEMENTS

SECTION XVII. PROFESSIONAL CONDUCT

17.A. Rules of Professional Conduct
17.B. Knowledge of Rules
17.C. Convictions
17.D. Severability

SECTION XVIII. COMPLIANCE AND ENFORCEMENT

18.A. Compliance
18.B. Enforcement

SECTION XIX. DISCIPLINARY ACTION

19.A. Complaints
19.B. Summons and Complaint
19.C. Evidentiary Matters
19.D. Conduct of Hearing
19.E. Order of the Board
19.F. Discipline

SECTION XX. REINSTATEMENT OF REGISTRATION

20.A. Petition for Reinstatement
20.B. Board Action

SECTION XXI. CONFLICT AND BIAS

SECTION XXII. SEVERABILITY

SECTION XXIII. ADOPTION AND AMENDMENT OF RULES

23.A. Adoption of Rules
23.B. Petition for Adoption or Amendment of Rules
23.C. Procedure for Adoption and Amendment of Rules

 SECTION I. INTRODUCTION


1.A. PURPOSE

The purpose of adopting rules of procedure is to ensure the proper performance of the duties of the Territorial Board of Registration for Professional Engineers, Architects and Land Surveyors (hereinafter known as the PEALS Board) by the regulation of registration procedures, meetings, records, examinations and the conduct thereof.

1.B. REQUIREMENTS FOR ADOPTION

The adopted rules of procedure must be consistent with the Organic Act and Laws of this Territory. The rules must be promulgated and approved by the Board and they must be adopted in accordance with Administrative Adjudication Act.

1.C. AUTHORITY OF RULES

Rules of procedure adopted by the Board shall be binding upon persons registered under Title XLIII of the Government Code of Guam (hereinafter known as the Act) and shall be applicable to corporations, partnerships, associations, and joint ventures holding a certificate of authorization issued by the Board.

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 SECTION II. DEFINITIONS

2.A. GENERAL

Terms used in these rules and regulations, but not specifically defined herein, shall have the same definitions as in the Act or in general usage.

2.B. ENGINEERING TERMS
  • Engineer--The term "engineer" shall be as defined in the Act.
  • Professional Engineer--The term "professional engineer" shall be as defined in the Act.
  • Engineer Intern--The term "engineer intern" shall be as defined in the Act.
  • Practice of Engineering--The term "practice of engineering" shall be as defined in the Act.
  • Civil Engineering--The term "civil engineering" is that branch of engineering which embraces the following studies or activities in connection with fixed works for irrigation, drainage, waterpower, water supply, flood control, inland waterways, harbors, municipal improvements, railroads, highways, tunnels, airports and airways, purification of water, sewerage, refuse disposal, foundations, framed and homogenous structures, buildings, as subject to or limited by other provisions of the Act, or bridges:
    • The economics of, the use and design of, materials of construction and the determination of their physical qualities.
    • The supervision of the construction of engineering structures.
    • The investigation of the laws, phenomena and forces of nature.
    • Appraisals of valuations.
    • The preparation and/or submission of designs, plans and specification and engineering reports. Civil engineering also includes city and regional planning insofar as any of the above features are concerned therein.
  • Electrical Engineering--The term "electrical engineering" is that branch of professional engineering which embraces engineering studies or activities relating to the generation, transmission, and utilization of electrical energy, including the design of electrical, electronic and magnetic circuits and the control of their operation and the design of electrical gear. It is concerned with the research, operational, organizational, and economical aspects of the above.
  • Industrial Engineering--The term "industrial engineering" is that branch of professional engineering which requires such education and experience as is necessary to investigate, to design, and to evaluate systems of workers, materials and facilities for the purpose of economical and efficient production, use, and distribution. It requires the application of specialized engineering knowledge of the mathematical and physical sciences, together with the principles and methods of engineering analysis and design to specify, predict, and to evaluate the results to be obtained from such systems. The above definition of industrial engineering shall not be construed to permit the practice of any of the other recognized branches of engineering.
  • Chemical Engineering--The term "chemical engineering" is that branch of professional engineering which embraces studies or activities relating to the development and application procedures in which chemical or physical changes of materials are involved. These process are usually resolved into a coordinated series of unit physical operations and unit chemical processes. It is concerned with the research, design, production, operational, organizational and economic aspects of the above. The definition of chemical engineering shall bot be construed to permit the practice of civil, electrical or mechanical engineering.
  • Mechanical Engineering--The term "mechanical engineering" is that branch of professional engineering which deals with engineering problems relating to generation, transmission, and utilization of energy in the thermal or mechanical form and also with engineering problems relating to the production of tools, machinery, and their products and to heating ventilation, refrigeration and plumbing. It is concerned with the research, design, operational, organizational, and aspects of the above.
  • Structural Engineering--The term "structural engineering" is that branch of professional engineering which deals with the investigation of, the design of, the selection of and construction supervision of the force resisting and load supporting members of structures such as foundations, walls, columns, slabs, beams, girders, trusses, and similar members where such investigation, design, selection, and supervision requires a knowledge of the physical properties of the materials used for such members, and a knowledge of the methods used their erection.
  • Consulting Engineer--The term "consulting engineer" shall be as defined in the Act.
2.C. ARCHITECTURAL TERMS
  • Architect--The term "architect" shall be as defined in the Act.
  • Practice of Architecture--The term "practice of architecture" shall be as defined in the Act.
2.D. LAND SURVEYING TERMS
  • Land Surveyor--The term "land surveyor" shall be as defined in the Act.
  • Land Surveyor Intern--The term "land surveyor intern" shall be as defined in the Act.
  • Practice of Land Surveying--The term "practice of land surveying" shall be as defined in the Act.
2.E. OTHER TERMS
  • Board--The term "Board" shall be as defined in the Act.
  • Responsible Charge--The term "responsible charge" shall be as defined in the Act.
  • Certificate of Registration--The term "certificate of registration" shall be as defined in the Act.
  • Certificate of Authorization--The term "certificate of authorization" shall be as defined in the Act.
  • Rules of Professional Conduct for Professional Engineers, Architects and Land Surveyors--The term "rules of professional conduct for professional engineers, architects and land surveyors" shall be as defined in the Act.
  • NCEES--The term "NCEES" shall mean the National Council of Examiners for Engineering and Surveying.
  • NCARB--The term "NCARB" shall mean the National Council of Architectural Registration Board.
  • WCARB--The term "WCARB" shall mean the Western Council of Architectural Registration Board.
  • CBPELS--The term "CBPELS" shall mean the California Board of Professional Engineers and Land Surveyors.
  • ABET--The term "ABET" shall mean the Accreditation Board for Engineering and Technology. The previous name for this organization as used in the Act is the "Engineers Council for Professional Development".
  • NAAB--The term "NAAB" shall mean the National Architectural Accrediting Board.
  • Temporary Permit--The term "temporary Permit" shall mean a permit issued as authorized by the Act for the temporary practice of professional engineering or architecture.
  • Principal--The term "principal" shall mean the person responsible for the management and professional activities of a firm engaged in the practice of engineering, architecture of land surveying.
  • Emeritus--The term "emeritus" shall be professional engineers, architects or land surveyors who are 65 years of older, who have met past registration and residency requirements as deemed appropriate by the Board, and who are not practicing withing their profession but wish to maintain their professional title.
  • Human Occupancy or Habitation--The term "human occupancy or habitation" shall refer to structures where people live, work, recreate, congregate or assemble. This is to differentiate from structures and buildings whose primary purpose is for storage or to house mechanical equipment.
  • Commercial Building--The term "commercial building" shall mean a single building, not a complex of or multiple buildings, used for commercial purposes.
  • Firm--The term "firm" shall mean any corporation, partnership, limited partnership, association, joint venture, joint stock association or other form of business other than a sole proprietorship.
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 SECTION III. ORGANIZATION OF THE BOARD

3.A. OFFICERS

The Board shall have for its officers a Chairman, Vice-Chairman and Secretary/Treasurer. The Chairman, Vice-Chairman and Secretary/Treasurer shall be elected annually, as defined by the Act, by majority vote of the Board members at the first regular meeting of the Board after January 1 of each year. The duties of the officers of the Board shall be as follows.

  • Chairman: The Chairman shall be the executive head of the Board and shall preside at all meetings, appoint special committees, co-sign all Certificates issued by the Board and sign all vouchers issued by the Board.
  • Vice-Chairman: The Vice-Chairman shall perform all duties of the Chairman in case the latter is incapacitated, or absent from the meeting.
  • Secretary/Treasurer: The Secretary/Treasurer shall serve as Chairman in the absence of both the Chairman and Vice-Chairman and shall perform such duties as may be assigned by the Chairman and shall conduct all financial transactions in accordance with the applicable procedures of the Government of Guam.
3.B MEETINGS
  • Six (6) regular meetings shall be held commencing in January and every other month thereafter. The regular meeting shall be held at a time and place determined by the Board.
  • The Chairman may call special meetings when he/she deems necessary and shall also call special meetings upon written request of two members. The members shall be notified by any expedient means at least two (2) days in advance of the purpose, date, time and place of each meeting.
  • Notices of meeting dates and the times shall normally be given several months in advance for all the regular meetings of the year. The date, time, place, and agenda of all meetings must be published in accordance with the appropriate laws of the Territory.
  • All meetings shall be open to the public unless the meeting is closed for reasons defined by the laws of this Territory.
3.C. QUORUM

A quorum of the board shall be as stated in the Act.

3.D. VOTING

All members of the Board, including the Chairman, shall be entitled to vote and to make or to second motions. A majority vote of those present shall be required to pass a motion. The Chairman shall vote as a member of the Board.

3.E. RULES OF ORDER

Roberts Rules of Order shall govern the normal proceedings of the Board unless otherwise provided by these rules and regulations. Other exceptions shall include hearings which may be disciplinary in nature.

3.F COMPENSATION AND EXPENSES

Members of the Board shall receive compensation as authorized by the law and shall be reimbursed for reasonable and necessary expenses incurred in the course of official duties, when attending to the work of the Board or any of its committees, and when attending meetings and conferences of NCEES, NCARB, WCARB, or any other national organizations which impact on Board matters, and during time spent in necessary travel.

3.G. BOARD ADMINISTRATOR

The Board may employ and determine the compensation of a Board Administrator who shall be responsible for the administration of the policies of the Board and for the processing of its routine operations.

3.H. EMPLOYMENT OF PERSONNEL

The Board may employ those persons required and qualified, including full-or part-time, necessary to assist the performance of the administration of the laws of Guam and those rules regulating the practice of engineering, architecture and land surveying. Such employees may include the use of consultants and/or counsel, and clerical personnel when deemed necessary.

3.I. BUDGET

Prior to October 1st of each year, the Board shall prepare a budget for the ensuring fiscal year. Upon appropriation by the Legislature, the Board shall make expenditures from this budget for the purposes as stated. The Chairman shall be authorized to certify all necessary expenditures in accordance with the amount appropriated.

3.J. ACCOUNTING PROCEDURES
  • Cash Receipts

    A receipt shall be issued for all money received by the Board. The Chairman of the Board or Board Administrator of the Board shall receive all money paid to the Board and shall issue consecutively-numbered receipts thereof. Such money shall be turned over to the Cashier in the Building Permit Division acknowledging receipt of the money. The Chairman of the Board shall appoint a Certifying Officer who shall keep appropriate books on behalf of the Board and shall record in the Cash Receipt Book a record of all money received as stated in the law.
  • Cash Disbursements

    All cash disbursements shall be supported by invoices or purchase orders, and shall be approved by the Chairman of the Board for payment. All cash disbursements shall be recorded in the cash disbursement book.
  • Financial Reports

    Monthly Financial Reports shall be prepared by the Certifying Officer as of the last day of each month and submitted to the Secretary/Treasurer of the Board. An Annual Financial Report shall be prepared by the Certifying Officer as of the last day of the fiscal year and submitted to the Secretary/Treasurer of the Board.
3.K. PUBLICATIONS OF THE BOARD

The publications of the Board shall include but not be limited to:

  • A roster showing the name and last known address of each professional engineer, architect, land surveyor, engineer intern, land surveyor intern, and firm registered in this Territory. The roster shall be published annually and distributed to each registrant.
  • The complete current text of the Act, regulations and rules of professional conduct of the Board shall be published or re-issued as deemed necessary by the Board and distributed to each registrant.
  • The Annual Report of the Board which shall be published annually no later than ninety (90) days after end of the fiscal year and shall include, but not be limited to, the following:
  • dates of examinations held;
  • a summary of the law enforcement activities of the Board;
  • a summary of all financial transactions of the previous year;
  • the name, registration number, and address of each engineer, architects, land surveyor, engineer intern, land surveyor intern, corporation, partnership, and association registered during the report period; and
  • a list of the names and addresses of all engineers, architects and firms which were issued temporary permits along with the date issued.
3.L USE OF FORMS

All applications and requests for which the Board has prescribed a form must be presented in the prescribed form. Copies of forms in use and instruction for their completion shall be available from the Board.

3.M. RECORDS

Records shall be kept and secured at the Board's office with the Board staff responsible for the security of the records of the Board. The Freedom of Information Act requires that most records, papers and reports of the Board are public in nature and may be obtained through the Chairman of the Board upon written request and payment of costs of reproduction, handling and mailing. Other records, papers and reports, which are considered confidential, shall not be released except when required by court action. These include, but are not limited to, examination material for examinations not given, file records of examination problem solutions, letters of inquiry and reference concerning applicants, investigative files where investigation is pending and all other materials of a confidential nature.

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 SECTION IV. APPLICATIONS

4.A. KINDS OF APPLICATIONS

Applications for registration as a professional Engineer, Architect or Land Surveyor or certification as an EI or LSI shall require that an applicant present his/her qualifications on forms prescribed by this Board.

  • Applications for registration as a professional engineer, architects and land surveyor shall be accepted from those who believe that they shall be qualified by education and experience according to the laws of this Territory, to be registered as a professional engineer, architect and land surveyor.
  • Applications for certification as an Engineer Intern or Land Surveyor Intern are accepted from those who believe that they have the necessary qualifications for registration, according to the laws of this Territory, as a professional engineer or land surveyor except for that of experience.
  • Those who are senior students in at least a four-year program leading to a baccalaureate degree in an engineering school may apply for certification as an Engineer Intern and may take the fundamentals examination during his or her senior year.
  • The Board may accept records of licensure in other jurisdiction verified by NCARB in the case of architects and verified by NCEES in the case of engineers and land surveyors in lieu of requiring the same information that is requested on the form prescribed and furnished by this Board.

4. B. COMLETING APPLICATIONS

  • Approved application forms for registration as Professional Engineer, Architect, Land Surveyor, or certification as an Engineer Intern or Land Surveyor Intern may be obtained from the Board. All application s shall be attested before a Notary Public and accompanied by one passport-size photograph of the applicant. The photograph shall not be profile nor retouched and shall have been taken within thirty (30) days of submission of the application.
  • Applications must be neatly written or typed. When space provided on the forms is inadequate, supplementary sheets of white paper, 8.5 inches by 11 inches in size shall be used.
  • Completed application forms shall be accompanied by a photocopy of the applicant's undergraduate and graduate diplomas, official or certified transcripts of all college courses and degrees, a photocopy of the professional registration certificate and current registration card from the jurisdiction where registration was acquired by examination.
  • In order to allow sufficient time for processing and for securing examinations, all applicants who may require examination must file with the Board at least ninety (90) days before the date set for the appropriate examinations.
  • Withholding information or providing statements which are untrue or misrepresent the facts shall be cause for denial of an application.
  • It is the responsibility of the applicant to supply the complete and correct address of all references and to be sure that the references respond, this could delay the processing of an application either until a reply is obtained or another reference is given.
  • In relating professional training experience, the applicant must account for all employment or work experience for the period of time which has elapsed since the beginning of the employment record. If not employed, or if employed in other kinds of work, this should be indicated in the experience record.
  • References shall be submitted in accordance with Section VII of these rules. The names of three or more registered practitioners of the profession and branch, in the case of engineers, in which registration is sought having knowledge of the professional qualifications of the applicant shall be submitted in the application form. All information received from references will be held in strict confidence by the Board. No member of the Board nor a relative either by blood or by marriage shall be included in the references. For structural engineering exam applicants, the Board may waive the requirement for three (3) structural references and accept two (2) such references with a civil engineer for the third.
  • Due to the confidential nature of information concerning verification of character and work experience of an applicant, the Board shall accept completed forms only when delivered through the normal postal service of hand-delivered to the Board by the person responsible for completing the form. All verification of character and experience must be properly signed and authenticated by the person completing the form. All verification of experience must be subscribed and sworn to by the individual completing the form before a Notary Public or other person qualified to administer oaths.
  • In the absence of a Board-verified work experience, in instances where verification of experiences of an applicant is impossible due to the applicant supervisor's demise, a defunct company or undeliverable by postal service, the applicant shall be required to submit evidence of employment with said organization.

4. C. SEQENTIAL APPLICATION

  • An applicant for registration as an engineer or land surveyor will not be assigned to the Fundamentals exam and the Professional exam simultaneously.
  • The applicant must have passed the Fundamentals exam or been officially approved by the Board for EIT waiver before taking the Professional Exam.
  • An applicant for the Structural exam must first be registered as a Civil Engineer and have a specific record of two (2) years of work experience in the discipline of structural engineering after first attaining registration as a civil engineer before being allowed to the Structural Exam.

4.D. APPLICATIONS FROM NON-RESIDENTS

Except for military personnel assigned to duty in this Territory, applications will not be accepted for assignment to the Fundamentals of Engineering exam, the Professional Engineering exam of the Architectural exam from persons who are not residents of this Territory. Such persons are expected to secure registration or certification by examination in their home state or state in which they resided before applying for registration or certification in this Territory by comity.

4.E. APPLICATIONS FROM APPLICANTS WITH DEGREE FROM FOREIGN SCHOOLS

  • All foreign language documentation submitted with the competed application must be accompanied with translation certified to be accurate by competent authority.
  • The applicants who for political or other valid reasons are unable to obtain their transcripts of their college courses shall be required to complete a supplementary application form as approved by NCEES or NCARB.

4.F. DISPOSAL APPLICATIONS

Applications may be approved; deferred for further information, more experience, questionable references, or other reasons; or may be denied.

  • Approved Applications for assignment to examinations: When an application is approved by the Board for assignment to an exam, the applicant will be assigned to the next scheduled exam.
  • Approved Applications for registration or certification by Comity: When an application is approved by the Board, the applicant shall be granted registration or certification by the Board.
  • Deferred Applications: Applications deferred for any reason shall be retained on file pending later disposition when proper remedy as requested is presented. Applications which have been in deferred status for two years shall revert to denied status.
  • Denied Applications: When application is denied, it shall be kept on file for a minimum of one year and then destroyed.

4.G. RECONSIDERATION OF APPLICATIONS

Reconsideration may be requested of an application which has been denied when the request is based on additional information and/or evidence which could affect the original decision. A reconsideration request must be made within one (1) year after the decision was made to reject the original application. Those not requesting reconsideration within the one (1) year period following rejection must file a new application in order to be considered.

4.H. RETENTION OF RECORDS OF APPLICATIONS

All approved applications shall be maintained and stored by the Board staff. Applications which are disapproved or denied after processing shall be destroyed after a minimum of one (1) year and the completed application form, exclusive of letters or forms of references and other assembled information, will be returned to the applicant if requested. In accordance with a retention schedule of applications by the Board, the following retention time will be observed after which the applications may be destroyed:

  • Examination Inactive File: 5 years
  • Deceased: 3 years after death
  • Inactive/Deferred: 2 years after last response to request for additional information
  • Denied: 1 year

The application from a person who has been judged to be in violation of the Act will be retained in a file by the Board permanently even if the individual has his/her license revoked, suspended or if the person voluntarily withdraws his/her registration once a violation is under review or consideration.

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 SECTION V. FEES

5.A. METHOD OF PAYMENT

Fees shall be payable to the Treasurer of Guam in care of the Territorial Board of Registration for Professional Engineers, Architects and Land Surveyors, East-West Business Center, Unit D-Suite 308, 718 No. Marine Dr., Upper Tumon, Guam 96911. Payment of fees must be made by check or money order whether delivered personally or by mail. Applications received without the proper fee will be returned to the applicant. All fees paid are non-refundable. Applicants who fail to appear for examination to which they have been assigned shall forfeit the examination fee and shall be required to pay a new fee for subsequent examination assignments.

5.B. CHANGES IN AMOUNT OF FEES

The amount of a fee to be charged shall be established or changed by the Board regulation in accordance with Public Law 13-40.

5.C. RENEWAL FEE
  • Renewal fees are payable before the last day of the month of September of each year.
  • Each registrant will be notified by the Board of the expiration date of his/her certificate of registration and the amount of the renewal fee at least one (1) month before the expiration date.
  • Renewal Fee Charges for Late Renewals in excess of one month shall be subject to a $25 per month fee for a maximum of six (6) months without submission of Reinstatement Application. If the licensee fails to pay, the license would lapse and that the license must comply with Section XVIII (A) for reinstatement.
  • After a license has lapsed, the Board shall notify the Head of Building Permits of those individuals no longer holding current licenses. Such notice shall be issued in a reasonably prudent time frame after the date expiration.
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 SECTION VI. CURRICULA APPROVED BY THE BOARD

6.A. ENGINEERING
  • Engineering Curricula Approved by the Board:
  • The term "a graduate of an engineering curriculum of four (4) years or more approved by the Board as being of satisfactory standing" used in Section 47011 (b) (1) (i) of the Government Code is interpreted by this Board to mean a baccalaureate degree in engineering accredited by the Engineering Accreditation Commission (EAC) of the Accreditation Board for Engineering and Technology (ABET) at the time of the awarding of the degree.
  • Engineering Curricula Other than the Ones Approved by the Board:

    The term "a graduate of an engineering curriculum other than the ones approved by the Board as being satisfactory standing" used in Section 47011 (b) (1) (ii) of the Government Code is interpreted by this Board to mean a baccalaureate degree in engineering not accredited by the Engineering Accreditation Commission (EAC) of the Accreditation Board for Engineering and Technology (ABET) such as those curricula recently developed or curricula offered by foreign schools evaluated by the Board as being of high quality essentially equal to those curricula which are accredited.

6.B. ARCHITECTURE

The term "a graduate of an architectural curricula approved by the Board as being satisfactory standing" used in Section 47011 (b) (3) (i) of the Government Code is interpreted by this Board to mean at least a baccalaureate degree in architecture accredited by the National Architectural Accrediting Board (NAAB) at the time of the awarding of the degree. Architectural curricula from a non-NAAB school may be accepted on an individual basis upon review by an evaluation consultant recommended by NCARB.

6.C. LAND SURVEYING
  • Land Surveying Curricula Approved by the Board:

    The term "a graduate of land surveying curriculum of four (4) years or more approved by the Board as being of satisfactory standing" used Section 47011 (b) (4) (i) of the Government Code shall be interpreted by the Board to mean a baccalaureate degree in land surveying which has been evaluated and approved by the Board as being of high quality.
  • Land Surveying or Related Science Curricula Other than the Ones Approved by the Board:

    The term "a graduate of a surveying or related science curriculum of four (4) years or more, other than the ones approved by the Board as being of satisfactory standing" used in Section 47011 (b) (4) (i) of the Government Code is interpreted to mean a baccalaureate degree in areas in which land surveying courses may be taught along with mathematics and the physical sciences.
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 SECTION VII. EXPERIENCE

7.A. AS A PROFESSIONAL ENGINEER

In evaluating experience which indicates to the Board that the applicant may be competent to practice engineering, the following will be considered:

  • Experience must be progressive on engineering projects to indicate that it is increasing quality and complexity and requiring responsibility.
  • Only work of an engineering nature which following graduation is creditable.
  • Experience must not be obtained in violation of the Act.
  • Experience gained in government service including the Armed Services, to be creditable, must be of character equivalent to that which would have been gained in the private sector doing similar work. Normally, it would be expected that the applicant while in the Government Service or Armed Services, shall have served in an engineering or engineering related group.
  • Experience should be gained under the supervision of a registered Professional Engineer or if not, an explanation showing why the experience is considered acceptable should be made by the applicant.
  • For sales experience to be creditable , it must be demonstrated that engineering principles were required and used in gaining the experience.
  • For teaching experience to be creditable it must be at an advanced level in an engineering curriculum approved by the Board. Employment must be at a teaching grade of at least Assistant Professor.
  • Experience gained in the design of an engineering curriculum at the rank of Assistant Professor or higher and where the curriculum is approved by the Board shall be creditable.
  • Successful completion of graduate study leading to the Master's degree in engineering which has followed a baccalaureate degree in engineering may be used for credit for one year's experience. If the Ph.D. in engineering is completed under the same conditions, an additional year of experience may be credited. If the Ph.D. is obtained without the Master's degree, the credit for experience may be up to two years.
  • Experience may not be anticipated. The experience must have been received at the time the application is submitted.
  • Experience as a contractor in the construction of a project designed by a Professional Engineer or in employment considered as that of supervising construction of such work may be considered as creditable experience but will not fulfill 100% of the design experience required.
  • Part time experiences must be accompanied by timecards and payroll documents. Working in a project with someone registered in another firm shall not constitute acceptable experience required.
7.B. AS A PROFESSIONAL ARCHITECT
In evaluating experience which indicates to the Board that the applicant may be competent to practice architecture, the following will be considered:
  • The Intern-Architect Development Program (IDP) shall be recognized as an alternative to achieving total acceptable practice. Such approval shall coincide with IDP standards and requirements.
  • The IDP emphasizes a broad range of experience with emphasis in construction document preparation. In totaling the experiences listed in items 3 through 8 below, the maximum are listed, but even then the total acceptable time will require a broad base experience generally paralleling that of IDP.
  • Diversified experience in architecture as an employee in the office of an architect. An organization will be considered to be an "office of an architect" if one of the two following conditions is met: (a) the principal business of the organization in which the applicant works is the practice of architecture and the applicant works under the direct supervision of an individual licensed architect practicing as a principal; or (b) the principal business of the organization (or affiliates) is construction and the incidental practice of architecture has had a substantial economic impact upon the registered architects employed by the organization, and the applicant works under the direct supervision of an individual licensed architect practicing as a principal. Provided, however, that in the case of (b) above, the Board will evaluate the time on an individual basis recognizing the need for overall design time and that the well-rounded experience needed requires more than direct construction-related time.

    CREDIT ALLOWED: 100% MAXIMUM: No Limit
  • Diversified experience in architecture as an employee of an organization (other than offices of architects) when the experience is under the direct supervision of an architect.

    CREDIT ALLOWED: 50% MAXIMUM: 2 Years
  • Experience directly related to architecture, when under the direct supervision of an architect, but not qualifying as diversified experience or when under the direct supervision of a professional engineer, landscape architect, planner or interior designer.

    CREDIT ALLOWED: 50% MAXIMUM: 1 Year
  • Experience, other than (3), (4) or (5) above, directly related to on-site building construction operations or experiences involving physical analysis of existing buildings.

    CREDIT ALLOWED: 50% MAXIMUM: 6 Months
  • A Master's or Doctorate degree in architecture (except where the degree is the first professional degree).

    CREDIT ALLOWED: 100% MAXIMUM: 1 Year
  • Teaching or research in an NAAB-accredited architectural program.

    CREDIT ALLOWED: 100% MAXIMUM: 1 Year
  • For those applicants applying under the category "Experience and Examination", the quality of experience is more important than for those applicants who possess a degree. The 8 years of experience, at least 3 years of which shall have been under a registered architect, will be the absolute minimum quality time. Design experience and a broad background approximating that of the 5 years educational qualification shall be required. It is quite possible that to achieve said experience, the Board may deem that more total years than eight (8) may be required.
  • Part time experience must be accompanied by timecards and payroll documentation. Working on a project with someone registered in another firm does not constitute acceptable experience required.
  • Experience may not be anticipated. The experience must have been received at the time the application is submitted.
7.C AS A LAND SURVEYOR

In evaluating experience which indicates to the Board that the applicant may be competent to practice land surveying, the following will be considered:

  • Experience must be progressive on land surveying projects to indicate that it is of increasing quality and complexity and requiring greater responsibility.
  • Experience must not be obtained in violation of the Act.
  • Experience gained in the government service including the Armed Services, to be creditable, must be of character equivalent to that which would have been gained in the civilian sector doing similar work. Normally, it would be expected that the applicant while in the government service or Armed Services, shall have served in a land surveying or land surveying related group.
  • Experience should be gained under the supervision of a registered Professional Land Surveyor or if not, an explanation showing why the experience is considered acceptable should be made by the applicant.
  • For teaching experience to be creditable it must be at an advanced level in a land surveying curriculum approved by the Board.
  • Experience may not be anticipated. The experience must have been received at the time application is submitted.
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 SECTION VIII. REFERENCES

  • References are those individuals who should have personal knowledge of an applicant and who are able to issue judgements concerning an applicant's experience, ability, character or reputation.
  • For registration as a professional engineer, architect, or land surveyor, an applicant must submit five (5) references, three (3) of whom shall be professional engineers, professional architects or professional land surveyors having personal knowledge of the applicant's engineering, architecture or land surveying experience. For professional engineer applicants, the engineer references named shall be licensed in the discipline in which licensure is sought by the applicant.
  • For certification as an engineer intern or land surveyor intern, at least three (3) character references must be given.
  • Each reference will be contacted for verification of character and experience. Verification will be made by the Board by sending reference request form to each reference given. It is the responsibility of the applicant to give the present and complete mailing address of each reference. Failure to do so may delay action on the application.
  • Relative by either blood or marriage may not be used as references.
  • No current Board member shall be used as a reference.
  • Each applicant should inform the person being used as references.
  • It is the responsibility of the applicant to assure the return of completed reference forms, educational transcripts, verification of work experience and verification of registration in other states to the Board within a reasonable time. All references, transcripts and registration verifications must be complete before any Board action may be taken on an application.
  • Replies received from references regarding the qualifications of an applicant shall be placed in files which are considered non-public records. The source and character of the information will be divulged without approval of the reference or, as in special cases, when required by law.
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 SECTION IX. EXAMINATIONS

9.A. GENERAL PROVISIONS
  • The application and experience record as filled out and submitted by an applicant for registration is an important document. The Board analysis of the applicant's experience record is based not only on the duration of the time spent in professional work of a responsible character, but also on the importance and nature of the work. The applicant is encouraged to provide a complete and accurate record as possible.
  • The Board shall notify the applicant of the date, place and time of the examination along with any information available for the distribution to the examinees received by the Board from NCEES, NCARB and/or CBPELS at least thirty (30) days from the date of examination.
  • The applicant shall notify the Board of whether or not he/she will appear for the examination within ten (10) days after receipt of notification of assignment to an exam.
  • The Board shall rely on the pass point grading criteria as developed and used by the NCARB, NCEES and CBPELS in evaluating examination scores.
9.B. ENGINEERING EXAMINATIONS
  • CLASSIFICATION: The Board will use the following current form of examinations, prepared and furnished by the National Council of Examiners for Engineering and Surveying, for registration as an Engineer.
    • An examination known as the Fundamentals of Engineering (FE) examination of eight (8) hours duration for certification as an Engineer Intern.
    • An examination known as the Principles and Practice of Engineering (PPE) examination of eight (8) hours duration for registration as a Professional Engineer.
    • An examination known as the California Special Civil Seismic (CSCS) examination, of two and one-half (2-1/2) hours duration for registration as a Professional Engineer in the case of Civil Engineer.
    • PASSING SCORE: Each applicant must secure a minimum grade of seventy based on the pass point criteria conforming to current practices of NCEES.
  • ELIGIBILITY REQUIREMENT:
    • An applicant for registration as a Professional Engineer will not be assigned to the PPE examination until the FE examination has been passed or waived by the Board.
    • No applicant may be assigned to the FE or the PE examination until the Board has established that the applicant is eligible for the examination.
    • An applicant for certification as an Engineer Intern becomes eligible for assignment to the FE examination during the last semester of the senior year of enrollment in a Board approved engineering program leading to a baccalaureate degree in engineering. The enrollment of the applicant must be verified by the school being attended by the applicant.
  • EXAMINATION OFFERINGS: An applicant who fails to pass either the FE or PPE examinations may be assigned to offerings of the examination upon repayment of the examination fees.
    • An approved applicant shall be given two (2) consecutive opportunities to take the examination. In the event he does not avail himself of these opportunities, his application shall be permanently filed and he will then have the status of a new applicant. The first opportunity shall be the next available examination schedule following approval of the application.
  • RE-EXAMINATION: Applications for re-examination must be received by the PEALS Board at least thirty (30) days prior to the examination period, and shall be accompanied by the applicable re-examination fee.
9.C. ARCHITECTURAL EXAMINATIONS
  • CLASSIFICATION: The Board will use the current form of examination prepared and furnished by the National Council of Architectural Registration Boards (NCARB) known as the Architect Registration Examination (ARE) for registration as an Architect.
  • PASSING SCORE: Each applicant must secure a minimum grade of seventy-five or a "PASS" based on the pass point criteria conforming to current practice of NCARB for each part of the examination.
  • ELIGIBILITY REQUIREMENT: No applicant may be assigned to any part of the Architect Registration Examination until the Board has established that the applicant is eligible for the examinations.
  • EXAMINATION OFFERINGS:
    • An applicant who fails to pass part or parts of the Architect Registration Examination shall be permitted to sit for subsequent offerings of the examination upon payment of the examination fee.
    • NCARB may require retaking of other parts if registration is not attained after a certain period of time and the Board will review NCARB's recommendation on such matters.
  • RE-EXAMINATION: Applications for re-examination must be received by the PEALS Board at least thirty (30) days prior to the examination period, and shall be accompanied by the applicable re-examination fee.
9.D. LAND SURVEYING EXAMINATIONS
  • CLASSIFICATION: The Board will use the following current form of examination, prepared and furnished by the National Council of Examiners for Engineering and Surveying or locally prepared for registration as a Land Surveyor:
    • An examination known as the Fundamentals of Land Surveying (FLS) examination of eight (8) hours duration for certification as a Land Surveyor Intern (LSI).
    • An examination known as the Principles and Practice of Land Surveying (PPLS) examination, of six (6) hours duration.
    • An examination known as the Guam Land Matters (GLM) examination on territorial laws and procedures for the practice of land surveying on Guam, of four (4) hours duration for registration as a Land Surveyor.
  • PASSING SCORE: Each applicant must secure a minimum grade of seventy for each part of the examination based on the pass point criteria conforming to current practices of NCEES.
  • ELIGIBILITY REQUIREMENT:
    • An applicant for registration as a Professional Land Surveyor will not be assigned to the PLS examination until the LSI examination has been passed.
    • No applicant may be assigned to the FLS examination or the PPLS examination until the Board has established that the applicant is eligible for the examinations.
  • EXAMINATION OFFERINGS: An applicant who fails to pass either the FLS or PPLS examination may be assigned to additional offerings of the examination upon repayment of the examination fees.
  • An approved applicant shall be given two consecutive opportunities to take the examination. In the event he does not avail himself of these opportunities, his application shall be permanently filed and he will then have the status of new applicant. The first opportunity shall be the first examination schedule following approval of the application.
  • RE-EXAMINATION: Applications for re-examination must be received by the PEALS Board at least thirty (30) days prior to the examination period, and shall be accompanied by the applicable re-examination fee.
9.E. STRUCTURAL ENGINEERING EXAMINATION
  • CLASSIFICATION: The Board will use the following current form of examinations, prepared and furnished by NCEES, for registration as a Structural Engineer: An examination known as the Principles and Practice of Structural Engineering Examination of sixteen (16) hours duration for registration as a Professional Structural Engineer.
  • PASSING SCORE: Each applicant must secure a minimum grade of seventy based on the pass point criteria conforming to current practices of NCEES.
  • ELIGIBILITY REQUIREMENT:
    An applicant for registration as a Professional Structural Engineer will not be assigned to the Principles and Practice of Structural Engineering Examination until registration as a Professional Civil Engineer in the Territory has been obtained. In addition to prior registration as a Civil Engineer, the applicant must present evidence that he or she has practiced in the branch of structural engineering for a minimum of two (2) years after obtaining registration as a civil engineer before the Board will consider allowing the applicant to the Principles and Practice of Structural Engineering Examination.
  • EXAMINATION OFFERINGS:
    • An applicant who fails to pass either portion of the Structural Engineering Examination may be assigned to additional offerings of the examination upon repayment of the examination fees.
    • An approved applicant shall be given two consecutive opportunities to take the examination. In the event he does not avail himselfof these opportunities, his application shall be permanently filed and he will then have the status of anew applicant. The first opportunity shall be the first examination schedule following approval of the application.
    • The Board will accept "Pass" rating of an applicant to either morning or afternoon session of Part II of the Structural Engineering examination and only that session failed by an applicant need be retaken.
  • RE-EXAMINATION: Applications for re-examination must be received by the PEALS Board at least 30 days prior to the examination period, and shall be accompanied by the applicable re-examination fee.
9.F. EXAMINATION DATES AND LOCATIONS
  • Written examinations shall be offered on dates set by NCEES, CBPELS and NCARB. Normally, these shall be in the spring and fall of the year. Dates are generally available from the office of the Board a few months in advance of the exams.
  • Locations at which the examinations are given are designated by the Board and this information shall be available at least one (1) month in advance of the examinations.
9.G. PROCTORING EXAMINATIONS OF OTHER JURISDICTIONS

Proctoring examinations for other jurisdictions is at the discretion of the Board. A fee for proctoring an examination will be charged based on the fee established by the Board.

9.H. LANGUAGE OF THE EXAMINATION

The language of the examination shall be English.

9.I. STUDY INFORMATION

The Board will not distribute copies of questions used on prior examinations. NCEES, NCARB and CBPELS offer for sale copies of questions asked on prior examinations they may be purchased directly from them. Applicants are also encouraged to contact local professional societies and individual registrants for study assistance that may be available.

9.J. INSTRUCTIONS FOR EXAMINEES

Instructions provided prior to each examination will declare an examination to be open book or open book with limitations or closed book. When an applicant sits for an open book examination, any books, bound materials of any sort, calculators which are battery-operated and non-printing may be used. None of this material may be loaned or exchanged between or among examinees. The Board will take into consideration the specific examination policies of the NCEES, NCARB or CBPELS when administering examinations prepared and made available through those organizations and will make appropriate notification to examinees of those policies.

9.K. FAILURE TO ATTEND AN EXAMINATION
  • An applicant who fails to attend an examination for which he or she has been scheduled will forfeit the fee paid for the examination. The examination fee will not be forfeited in case of illness, death in the immediate family, or other unavoidable causes for absence for which the applicant can certify under oath, witnessed by a Notary Public, or other official designated to witness oaths.
  • Failure of an applicant to attend an examination for which he or she has been scheduled to attend does not count as a failure of the examination.
9.L. EXAMINATION RESULTS

Examination results, after review and approval of passing scores by the Board, will be supplied in writing to each examinee. An applicant who receives a failing score shall be advised of his/her score in writing. A person receiving a passing score shall be informed in writing of the individual's successfully passing the exam without the score being released. The examinee may be informed verbally of the passing score (where a numerical score is applicable) provided that the examinee signs a written statement that such information is for personal knowledge and shall not be for merit or personal gain and shall never be publicized.

9.M. REVIEW OF FAILED EXAMINATIONS

An applicant who fails to make a passing score on an examination may review the examination paper within thirty (30) days after receiving the result. The review must be done in the office of the Board under the supervision of a staff member. Review of failed examinations shall be in accordance with the policies of the organizations responsible for preparation and distribution of them.

9.N. EXAMINATION FOR RECORD PURPOSES
  • Any engineer, architect or land surveyor registered by this Board without examination may take, for record purposes, the examinations offered by NCEES, NCARB and CBPELS upon approval of the Board and payment of the examination fee.
  • Failure to pass any examination for record purposes will in no way affect current certification or registration.
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 SECTION X. CLASSIFICATION OF REGISTRATION

10.A. ENGINEERING
  • CLASSIFICATION OF REGISTRATION: Successful applicants shall be registered or certified under one of the classifications as prescribed by the laws of this Territory:
    • Professional Engineer
    • Engineer Intern
  • BRANCHES OF ENGINEERING
    • Civil
    • Structural
    • Mechanical
    • Electrical
    • Chemical
    • Industrial
    • Other disciplines for which NCEES prepares standard examination may be recognized by the Board as the need arises. The rules shall be amended as required to include those disciplines not previously listed.
10.B. ARCHITECTURE

Successful applicants shall be registered as Architects as prescribed by the laws of this Territory.

10.C. LAND SURVEYING
  • CLASSIFICATION OF REGISTRATION: Successful applicants shall be registered or certified under on the classifications as prescribed by the laws of this Territory:
    • Registered Land Surveyor
    • Land Surveyor Intern
10.D. EMERITUS

Professional Engineers, Architects or Land Surveyors who are sixty-five (65) years of age or older, who have been registered in Guam for at least five (5) years and who have been residents of Guam for at least five (5) years may be eligible for Emeritus status and corresponding registration fees as determined by the Board.

(1) A Professional Engineer, Architect or Land Surveyor to qualify as Emeritus must be "retired" and must not participate in the preparation of construction documents, calculations, reports, expert testimony, and other aspects of professional services, with the exception of teaching or authoring of publications or articles.

The intent is to permit a reduced fee for such individuals as a show of respect for their accomplishments, so they may maintain their professional title but without formal practice.

10.E. CERTIFICATE OF AUTHORIZATION
  • Practice of Corporations, Partnerships or Associations
    Any corporation, partnership, joint venture or any other association of two (2) or more firms, whether organized under the laws of Guam or any other jurisdiction, may not offer to engage in the practice of engineering, architecture, land surveying or construction management services involving the practices thereof in Guam until such corporation, partnership, joint venture or association has obtained a certificate of authorization issued by the Board.
  • Application for a Certificate of Authorization
    Applications for a Certificate of Authorization of partnerships, corporations, joint ventures or associations to engage in engineering, architecture, land surveying or construction management services shall be on the form prescribed by the Board and may be obtained from the Board at their office. The application shall contain the following information:
    • The name, registration number and signature of the Engineer, Architect or Land Surveyor registered on Guam who will be responsible for all engineering, architecture, land surveying or construction management services of the corporation or association; in the case of partnership, the name, registration number and residential addresses of each general partner engaging in the practice of engineering, architecture, land surveying or construction management in Guam;
    • The name, address, registration number (if applicable) and signature of all the officers and/or partners of the corporation, partnership or association including each officer or partner's percentage of ownership and/or share. (Amended by P.L. 24-263)
  • The name, address and signature of acceptance of the corporation, partnership or association's agent, or representative on Guam. (Deleted by P.L. 24-263)
  • Accompanying Documents
    All Applications for a Certificate of Authorization shall be accompanied by the following documents:
    • In the case of a corporation or association, a copy of the corporation's articles of incorporation, by-laws and similar charter document certified by the Secretary of State of the jurisdiction in which the corporation is organized and filed with Guam Department of Revenue and Taxation; and, a copy of certificate as a foreign or domestic corporation issued by the Department of Revenue and Taxation.
    • In the case of a partnership, a copy of the partnership agreement signed by the general partners.
    • In the case of sole proprietor operating under a fictitious name, a "certificate of transacting business under a fictitious name" from Guam Department of Revenue and Taxation.
    • A fee as set forth in the Fee Schedule of the Board.
    • Any government employee or official, whether federal or of the Government of Guam, or for a Government of Guam semi-autonomous agency, who is a part owner or member of the Board of Directors of a firm receiving a Certificate of Authorization, shall specifically make such involvement known to the PEALS Board.
    The PEALS Board shall publish such information for the general public once a year and, at the Board's discretion, may notify the agency involved. Failure to receive such disclosure may be grounds for revocation of the Certificate of Authorization.
  • Expirations and Renewals
    • A Certificate of Authorization shall issued as of the date it is approved by the Board and shall be valid until the last day of the month of September of each year.
    • A Renewal Notice shall be mailed annually by the Board, not later than the last day of August, to the last known address of the corporation, partnership or association showing the expiration date of their certificate and the amount of the fee for renewal. The annual fee shall be as set forth in the Fee Schedule of the Board.
    • Application to renew the Certificate of Authorization shall be on the form prescribed by the Board and shall be submitted to the Board no later than the last day of the month of September of each year. If any change occurs in any of the information provided to the Board, corporate documents reflecting the change(s) shall accompany the renewal application.
    • The Board shall consider the application for Certificate of Authorization a renewal application if there are no change(s) made from the original application or if there are deletion(s) of service or engineering discipline(s) provided or offered by the corporation, partnership or association.
    • The Board shall consider the application for a Certificate of Authorization a new application if there are changes(s) made from the original application or when there are additions to the type(s) or services or engineering discipline(s) being provided or offered by the corporation, partnership or association.
  • Amendments of Certificate of Authorization
    Changes in the corporation, partnership or association's organization and responsible engineer, architect or land surveyor during the year shall be reported on the same application for Certificate of Authorization form and shall be filed with the Board within thirty (30) days after the effective date of such change.
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 SECTION XI. REGISTRATIONS

11.A. REGISTRATION NUMBER AS A PROFESSIONAL ENGINEER, REGISTERED ARCHITECT OR REGISTERED LAND SURVEYOR

Each registrant shall be assigned a registration number at the time registration is granted by the Board. Numbers shall be issued consecutively and separately for professional engineers, registered architects and registered land surveyors and in the order in which applicants are granted registration. The registrant will be advised of his/her number by the Board.

11.B. CERTIFICATES OF REGISTRATION/AUTHORIZATION

The Board shall issue a Certificate of Registration or Certificate of Authorization to an applicants who has met the requirements of this Territory and who has paid the registration fee. The certificate will be signed by the Chairman and Secretary of the Board and will show the registrant's registration number and seal of the Board.

11.C. REISSUANCE OF CERTIFICATE

When a Certificate of Registration or Authorization is lost, destroyed or mutilated, it will be replaced upon request by a registrant in good standing, upon approval of the Board and upon payment of the prescribed fee.

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 SECTION XII. SEALS

12.A. SEAL OF THE BOARD

The official seal of the Board shall consist of the seal of the Territory of Guam, surrounded by the words, "Territorial Board of Registration for Professional Engineers, Architects, and Land Surveyors".

12.B. SEAL OF REGISTRATION
  • When an applicant is granted registration, he/she shall obtains a seal of a design authorized by the Board. The seal shall be an image or imprint from a rubber stamp or other medium as approved by the Board and shall bear the following information:

    • Registrant's Name
    • Registrant's Registration Number and discipline (in the case of professional engineers only).
    • Contain the words "Professional Engineer (Civil, Structural, Mechanical or Electrical), Registered Architect or Professional Land Surveyor".
  • Seals must be a permanent mark on the document being sealed. The standard seal must be used on all original tracings, blue prints, drawings, specifications, reports and other documents prepared by professional engineers, registered architects or registered land surveyors.
  • Whenever the seal is applied, the registrant's written signature shall be signed across or adjacent to the seal with the statement "This work was prepared by me or under my direct supervision".
  • 12.C. SEAL ON DOCUMENTS
    • The seal and signature of the registrant shall be placed in all specifications, reports, drawings, plans, design information and calculations or land surveys, plats, and calculations whenever presented to a client or any public or government agency to certify that the work thereon was done by the registrant or under the direct supervision of the registrant.
    • The seal and signature shall be placed on all original copies, tracings or other reproducible documents so that the seal and signature will be reproduced when copies are made.
    • For residential projects the seal will be placed when the documents contain more than one sheet. The first or title page shall be sealed and signed by all involved in the work or those who directly supervised the work and are responsible for it. In addition, each sheet shall be sealed and signed by the registrant or registrants responsible for each sheet. When a firm performs the work, each sheet shall be signed by the registrant or registrants who actually did the work. The principal person in charge shall sign and seal the title or first sheet.
    • The seal and signature shall be placed on work only when it was under the registrant's direct supervision, provided that if the work was performed at an office outside the locale in which the registrant permanently resides, the seal may be used only if the registrant supervised the work on a full-time basis.
    • When a registrant of another state has a temporary permit to practice in this Territory, he/shall use his/her state's registration seal and affix his/her signature and a copy of the temporary permit to work done in this Territory.
    • Seals of Engineers: Refer to Section 32116 of P.L. 24-263
    • Seals of Architects: Refer to Section 32116 of P.L. 24-263
    • Seals of Land Surveyors: Refer to Section 32116 of P.L. 24-263

     SECTION XIII. MOONLIGHTING/PART TIME WORK

    13.A. MOONLIGHTING/PART TIME WORK

    Registrants who are working on projects part time while still at another job working full time, are cautioned that all work must be done under their direct supervision. The Board may at its discretion, review monthly project applications from the Building Permits Section of the Department of Public Works and Survey Division of the Department of Land Management. If the quantity or size of projects being sealed by a registrant working on a part time basis exceeds what the Board considers consistent with proper professional work, the registrant may be requested by the Board to appear for further review of the matter. Further disciplinary actions including suspension or revocation of license may be initiated.

    The registrant may be required to submit timecards and payroll records documenting that documents were prepared under his or her complete direction and control.


     SECTION XIV. OTHER ITEMS

    14.A. CONSTRUCTION MANAGEMENT
    • The purpose and intent of the PEALS Board is not to necessarily define or limit the bounds of Construction Management, but to regulate those aspects of construction management that are clearly the elements within the professional practice of engineering, architecture and land surveying as regulated by the PEALS Board, as per the general provisions of the Act.
    • Any person, corporation, partnership or association providing services under the heading of 'Construction Management' shall be required to have the following services performed by engineers, architects, or land surveyors duly registered in this Territory. Such services shall fall under the broad definition of engineering, architecture, and land surveying and shall include but not limited to:
      • Professional construction inspection or observation.
      • Certifications
      • Shop drawing review and approval
      • Engineering calculations
      • Revising construction details
      • Documents interpretation
    14.B. RESPONSIBLE MANAGING EMPLOYEE - LIMITS OF CONTROL

    In order to qualify and maintain a Certificate of Authorization, the Responsible Management Employee's (RME) limits of responsible professional control will be considered:

    • The work and tasks under the RME shall be in proportion to what would constitute reasonable control on a project in accordance with Section 47014.d.4. The sealing and stamping of documents without full time supervision of the work is contrary to the Law. In addition, all firms and RMEs, by the representation and acceptance of the Certificate of Authorization, shall acknowledge and accept the Board's authority to review the limits of control of the RME at the Board's discretion.
    14.C. RESPONSIBLE MANAGING EMPLOYEE - FULL TIME
    • The Responsible Management Employees (RME) shall be employed on a full time basis with seventy five (75%) percent physical presence in full control of the operations of the firm in order for the organization to qualify for and maintain a Certificate of Authorization.
    • The Responsible Management Employee (RME) may still conduct registered endeavors on his/her own, but to a very limited extent, commensurate with the very limited work time.

     SECTION XV. TEMPORARY PERMITS

    15.A. ENGINEERS AND ARCHITECTS
    • GENERAL PROVISIONS: This Board may grant a temporary permit to a person who is not a resident of this Territory or who has no established place of business and desire to practice or offer to practice engineering or architecture in this Territory provided such person is legally qualified by registration in his/her home jurisdiction and that his/her qualifications for obtaining the permit meet those required for registration under the Act. For an Architect, this requires, as a minimum, an NCARB certificate. To obtain a temporary permit, an applicant must apply to this Board on forms provided by it, receive approval from the Board, and pay a fee as established by the Board.
    • LENGTH OF SCOPE OF PERMIT: The permit shall be granted for a definite length of time not to exceed one (1) year to do a specific job and shall provide that there is no right to practice engineering or architecture with respect to any other works not set forth in the permit.
    • MULTIPLE TEMPORARY PERMITS or consecutive Temporary Permits shall not be issued. A minimum period of five years shall be required between Temporary Permits and all applicants shall be encouraged to apply for regular registration.
    15.B. LAND SURVEYORS

    The practice of land surveying under a temporary permit by a person recognized as a professional land surveyor in another jurisdiction is not considered to be in the best interest of the public and therefore, shall not be granted.


     SECTION XVI. EXPIRATIONS, RENEWALS AND REINSTATEMENTS

    16.A. A renewal notice shall be mailed annually by the Secretary of the Board, not later than the last day of August, to the last known address of every person holding a certificate of registration under the Act and to every firm holding a certificate of authorization showing the expiration date of their certificate and the amount of the fee for renewal.

    16.B. The annual renewal fee shall be established by regulation of the Board.

    16.C. Renewal fees may be paid any time prior to the expiration date but must be paid on or prior to the expiration date in order to avoid penalty for late renewal.

    16.D. Any renewal fee received after the expiration date shall be assessed $25 per month for each month delayed for a maximum of six (6) months without submitting the reinstatement application.

    16.E. After six (6) months of failure to renew a certificate of registration, a registrant shall be required to file a Request for Reinstatement of Registration with the Board and may be required to appear for an interview with the Board, and shall be required to pay all penalty and past registration fees.

    16.F. The responsibility for the timely renewal of a registrant's license rests solely with the individual licensee.

    16.G. After ten (10) years of lapse, the registrant shall be required to retake the all applicable current exams prior to being eligible for registration. In cases of Comity where the applicant has maintained their base state registration, a new application for Comity will be required.


     SECTION XVII. PROFESSIONAL CONDUCT

    17.A. RULES OF PROFESSIONAL CONDUCT

    The Board has prepared and adopted Rules of Professional Conduct for Professional Engineers, Architects and Land Surveyors.

    17.B. KNOWLEDGE OF RULES

    All persons registered under the provisions of the Act are charged with having knowledge of the existence of the Rules of Professional Conduct as well as amendments from time to time which are made known in writing to every registrant and applicant for registration. The Rules and amendments are also published in the Roster of Professional Engineers, Architects and Land Surveyors and are binding on all registrants.

    17.C. CONVICTIONS

    A registrant of this Board who has been fined, received a reprimand, or had a license revoked, suspended or denied in another jurisdiction for reasons or causes which this Board finds would constitute a violation of the law governing the practice of engineering, architecture or land surveying in this Territory or any rule or regulation promulgated by this Board shall be sufficient cause for levying a fine, reprimanding the registrant, denying, revoking, or suspending a license to practice engineering, architecture or land surveying by the registrant in this Territory.

    17.D. SEVERABILITY

    In the case of court action which declares for any reason any of the above Rules and Professional Conduct invalid, the remainder shall continue in full force and each of the Rules of Professional Conduct and/or parts thereof are severable.


     SECTION XVIII. COMPLIANCE AND ENFORCEMENT

    18.A. COMPLIANCE
    • The statutes of this Territory provide that person must be registered to practice or offer to practice engineering, architecture or land surveying in this Territory. Any person, firm, partnership, organization, association, corporation or other entity using the words "engineer", "engineering", "architect", "architecture", "land surveyor", or "land surveying" or any modification or derivative thereof in its name of form of business activity except as authorized in the Act, or any person presenting or attempting to use the certificate of registration or the seal of another, or any person who shall give any false or forged evidence of any kind to the Board or any member thereof in obtaining or attempting to obtain a certificate of registration, or any person who shall falsely impersonate any other registrant of like or different name, or any person who shall attempt to use an expired or revoked or non-existent certificate of registration, or who shall practice or offer to practice when not qualified, or any person who falsely claims that he or she is registered under the Act, or any person who shall violate any of the provisions of the Act shall be guilty of a petty misdemeanor.
    • Any individual or corporation registered with this Board to perform land surveying services shall comply with the minimum standards modified for land surveyors in this Territory.
    18.B. ENFORCEMENT

    This Board may initiate action in cases where a person's actions might reasonably be judged to be in non-compliance with the provisions of the Act.


     SECTION XIX. DISCIPLINARY ACTION

    19.A. COMPLAINTS

    Proceedings to reprimand, suspend, refuse to renew or to revoke an individual's certificate of registration or a firm's certificate of authorization may be initiated by any person who may prefer charges of fraud, deceit, gross negligence, incompetence, misconduct, or violation of the Rules of Professional Conduct.

    • Any and all charges presented against any individual registrant, or against any corporation, partnership or association holding a certificate of authorization must be made in writing, sworn to by the person or persons making them before a Notary Public and shall be filed with the Secretary of the Board.
    • All charges made should include the following: the name and address of the complaint and respondent, a concise statement of the complaint with facts supporting the allegation that a violation has occurred and a statement of the relief sought. The complainant shall sign the complaint witnessed by a Notary Public.
    • Complaints may also be initiated by any member of the Board, procedures available at office, where only submittal of facts or documents are concerned i.e. false advertising, inappropriate phone listing, business card, etc. Such submittals shall be without opinion. The submitting Board member may participate in actions pertaining to the matter without prejudice provided opinions were not included with the submittals.
    • Prior to any disciplinary action being taken, the Board may negotiate a Settlement of the charges.
    • If no response is received by the Board by the due date, the Board may proceed on the Accusation without a hearing.
    19.B. SUMMONS AND COMPLAINT
    • In the event the Board determines that a probable cause exists, the Legal Counsel of the Board shall be requested to prepare a summons and complaint.
    • The summons and complaint shall be personally served or mailed to the last known address of the individual registrant(s) charged or firm holding a certificate of authorization at least thirty (30) days before the date fixed for hearing. If mailed, a return receipt shall be requested.
    • The summons and complaint shall show the time, place and nature of the hearing, a statement of legal authority and jurisdiction under which the hearing is to be held, reference to the particular section of statutes and/or rules involved, and a short and plain statement of the matters asserted. The notice of the summons and complaint shall indicate that at any hearing the accused individual registrant or firm holding a certificate shall have the right to appear in person or be represented by counsel or both to cross-examine witnesses in his or her or its defense and to produce evidence and witnesses of his or her or its defense. If the accused person or corporation fails or refuses to appear, the Board may proceed to hear and determine the validity of the charges. The notice shall be in substantial compliance with the requirements of the laws of this Territory.
    19.C. EVIDENTIARY MATTERS

    The Board shall follow the Administrative Adjudication Act on this matter.

    19.D. CONDUCT OF HEARING

    The Board shall follow the Administrative Adjudication Act wherein either the Legal Counsel shall hear the case and make recommendations to the Board, or where the Board hears the case, the hearing officer shall act as the judge.

    19.F. DISCIPLINE

    Upon order by the Board in which the respondent is found guilty of the charges preferred, the Board may issue a reprimand, suspend, refuse to renew or revoke the individual's certificate of registration or the firm's certificate of authorization.

    At its discretion, the Board may stay, permanently or temporarily, the execution of its order conditioned on any provision that the Board believes appropriate under the circumstances for the case.


     SECTION XX. REINSTATEMENT OF REGISTRATION OR CERTIFICATION AFTER SUSPENSION

    20.A. PETITION FOR REINSTATEMENT

    Upon petition of an individual registrant or firm formerly holding a certificate of registration or authorization, which has since been suspended, the Board may reissue a certificate of registration or authorization provided that a majority of the members of the Board vote in favor of such issuance.

    20.B. BOARD ACTION

    The Board, for reasons it may deem sufficient, may reissue a certificate of registration to any person or a certificate of authorization to any corporation whose certificate has been suspended. Such reissuance shall bot supersede prior Board decisions and recommendations as to penalty etc. taken for disciplinary action.


     SECTION XXI. CONFLICT AND BIAS

    A Board Member shall be excused and shall not vote in any action, disciplinary or otherwise, if the Board Member may be biased for or against a Respondent or their may exist a potential conflict of interest. If a potential conflict of interest or bias exist, such determination shall be made by a majority vote of the remaining Board members.

    If the Board member has a potential conflict, that Board member is obligated to disclose such a potential conflict.


     SECTION XXII. SEVERABILITY

    If any of the Rules and Regulations, or any part thereof, of this Board promulgated under the provisions of the rule making authority for Territory agencies are found by the courts to be invalid for any reason, the remainder shall continue in full force and effect. Each Rule and/or any portion thereof shall be severable.


     SECTION XXIII. ADOPTION AND AMENDMENT OF RULES

    23.A. ADOPTION OF RULES

    Rules or regulations are adopted by this Board, under the provision of the Code of Laws governing the practice of engineering, architecture or land surveying which may be reasonably necessary for the proper performance of its duties and the regulations of the proceedings before it. They must not be inconsistent with the Constitution and the laws of this Territory.

    23.B. PETITION FOR ADOPTION OR AMENDMENT OF RULES

    An interested person may petition the Board requesting the promulgation amendment or repeal of a regulation. The petition shall be submitted in the following form:

      PETITION TO ADOPT, AMEND OR REPEAL A REGULATION

    • Name of Petitioner
      Address of Petitioner
      Phone No. Of Petitioner
    • Description of the change which is proposed or requested. (Clearly and concisely describe the changes which are proposed showing either the new proposal or an amendment with deletions and additions or a statement to repeal a quoted regulation).
    • Purpose of proposed change. (Describe what effect the proposed change will have and why you believe it should be made).
    • Signature of petitioner and date.
    • Signature Date
    • The Board, within thirty (30) days, shall either deny the petition in writing with reasons for the denial or initiate regulation-making procedures for further consideration of the change.

    23.C. PROCEDURE FOR ADOPTION AND AMENDMENT OF RULES

    Procedures for adoption and amendment of rules and regulations of this Board shall be in compliance with the Administrative Adjudication Act of this Territory.

    Promulgated and adopted: August 1, 1996.



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