415-RICR-00-00-1
415-RICR-00-00-1. Rules and Regulations for Architects (version Technical Revision, 05/21/2002 to 11/04/2002)
- 1 -
BOARD OF EXAMINATION AND
REGISTRATION OF ARCHITECTS
RULES OF THE BOARD
Adopted June 1978
Amended July 1983
Amended November 9, 1987
Amended March 11, 1992
Amended October 24, 2001
Amended March 20, 2002
I.
RELATIVE TO APPLICATIONS
A.
Applications for examinations [a completed Council Record file of the National
Council of Architectural Registration Boards (NCARB)] will be received at the Office of the Board,
reviewed and approved by the Board.
1.
Personal appearance before the Board, if required, shall be at a time and place
designated by the Board.
2.
The Board may request additional evidence or information in writing to further
support the application.
3.
Failure to comply, within sixty days from the date of written request by the
Board, for additional evidence or information, or to appear before the Board, when such an
appearance is deemed necessary by the Board, may be considered as just and sufficient cause for
disapproval of the application.
B.
Applications for registration by reciprocity (an approved Council Record and
Certificate from NCARB showing satisfactory qualifications) including NCARB “Broadly
Experienced Architect” and “Condition Z” will be received at the Office of the Board. (Allow a
minimum of forty days for applications to be reviewed and acted on by the Board.)
C.
Applications for certificates of authorization (C.O.A.) will be received at the Office of
the Board. (Allow a minimum of forty days for properly completed applications to be reviewed and
acted on by the Board.)
- 2 -
D.
Application for “Architect Emeritus” status shall be made in writing to the Board,
accompanied by the appropriate fee and surrendering of the Architects seal. (Allow a minimum of
forty days for the application to be reviewed and acted on by the Board.)
E.
Applicants for examination, reciprocity or C.O.A. must disclose any and all
disciplinary action imposed by other professional registration jurisdictions or NCARB.
F.
Applicants for reciprocity must certify completion of continuing education in
accordance with the State of Rhode Island requirements for continuing education.
II.
RELATIVE TO APPROVAL OF APPLICATIONS
A.
All applications shall be considered individually and passed or rejected on a roll call
vote of the Board.
B.
The action taken on each application shall be recorded in the minutes.
C.
An outline of the action taken shall be placed with the application.
III.
RELATIVE TO PRACTICE
A.
An applicant (or firm) who has established eligibility to practice architecture under the
requirements of Title 5 of the General Laws of Rhode Island will, upon payment of the stipulated fee,
receive a Certificate of Registration (or Authorization).
B.
1.
SEAL, The seal is an embossed circular seal 1-½ inches in diameter
consisting of two concentric circles; the outer being 1-1/2 inches in diameter and the inner being 1-
1/8 inches in diameter. The space between the circles shall contain the name of the architect at the
top and the word “Architect” at the bottom. The inner circle to contain the State emblem and the
architect’s certificate number. The word “Registered” shall appear below the State’s emblem, just
above the word “Architect” in the space between circles.
2.
The Board shall loan each architect the right to purchase an individual stamp
capable of imprinting the seal to be used as hereinafter directed in the following paragraph, on all
documents prepared by the architect or under the architect's responsible control, for use in the State of
Rhode Island, for the purpose of properly imprinting the drawings, specifications or project manual,
and other documents. A digital facsimile of the seal may be used in lieu of the hand stamp.
3.
The seal shall be applied on documents so as to produce legible reproduction
on all copies or prints made from the documents. After application of the seal, the architect's name
shall be hand signed in ink across the imprinted seal, and dated below the seal. Electronic signature
and dating is not permitted.
- 3 -
4.
The architect shall imprint the seal only if in responsible control of the
document.
5.
Upon retirement, certificate revocation, death or non-payment of renewal fee,
the loaned right to the stamp shall be voided and the stamp shall be immediately returned to the
Board. If not returned to the Board within sixty days, or within fifteen days of a notice to return, the
Board will notify NCARB of this rule violation and take whatever action necessary.
C.
Expired Certificates. Application for restoration of an expired certificate, which has
been allowed to lapse for not more than 6 months shall be approved by the Board upon receipt of the
required registration fees. Application for the restoration of an expired certificate, which has been
allowed to lapse for a period of 6 months to not more than two years, shall be accompanied by a brief
outline setting forth the professional activities of the applicant during the lapsed period, and, if the
applicant is a non-resident, a completed NCARB Council Record and Certificate must also be
submitted. If the certificate has been expired for more than 2 years, the applicant shall follow the
procedure for a new application.
D.
When personal names of architects are used in the name of the firm, only names of
living registrants or former registered members now retired or deceased may be used. Any reference
in the firm name to other persons of the firm, partnership or corporation shall be permitted only when
such other persons are design professionals (landscape architects, professional engineers or registered
land surveyors) and their identity is made known specifically on letterheads of the firm (sole
proprietorship, partnership or corporation).
E.
A firm is permitted to practice under a name which does not include the names of
registered principals, provided said name is submitted to the Board for review and approved before
adoption of same. A firm, using such an assumed name shall file with the Board the name of each
registered member of the firm. The Board shall be promptly advised of any and all changes in the
composition of a firm that may occur subsequent to the original filing, and the COA shall be
resubmitted for approval.
F.
Any use of the word "Associate" or "Associates" in the title of a firm, partnership or
corporation shall be permitted only when it refers to other registered architects, landscape architects,
professional engineers or registered land surveyors in the firm, partnership or corporation and their
identity and professional status is made known on letterheads of the firm, partnership or corporation.
The title “Associate” shall only be given to registered professionals of the firm, partnership or
- 4 -
corporation. The use of the plural form of “Architect” – “Architects” shall only be used in a firm’s
title if there is more than one architect at the business.
IV.
DEFINITIONS
A.
"Architect". As defined in the General Laws of Rhode Island, Paragraph 5-1-2.
B.
“Architect Emeritus” - Upon application and payment of a fee, an honorary title issued
to a retired architect who is prohibited from practicing architecture in the State of Rhode Island.
C.
“Practice of Architecture". As defined in the General Laws of Rhode Island, Paragraph
5-1-2.
D.
"State," as used in the General Laws of Rhode Island, Paragraph 5-1-9, and shall
include any jurisdiction recognized by NCARB.
E.
"Experience" and "Training", are interchangeable and mean satisfactory architecturally
related employment as required by NCARB.
F.
"A person practices as a "Principal" if the person is (a) an architect, and (b) a director
of the corporation, if the practice is through a corporate organization; a general partner of the
partnership, or if the practice is through a sole proprietorship; and (c) the person in responsible
control of the organization's architectural practice, either alone or in concert with others who qualify
under (a) and (b)." (d) A partner, officer, or director is a member of a firm who is responsible for the
profits and losses of the firm and who is legally liable for the acts of the firm.
G.
“Responsible Control” - As defined by NCARB.
H.
“NCARB” – The National Council of Architectural Registration Boards (NCARB)
Model Regulations promulgated on July 2001.
V.
RELATIVE TO EXAMINATIONS
A.
Architectural Registration Exam (ARE)
1.
Evaluation of education and training credits shall be at the discretion of the
Board and in general accordance to NCARB criteria.
2.
All applicants are required to satisfactorily complete the Intern Architect
Development Program (IDP) in accordance with NCARB criteria.
3.
The Architectural Registration Examination (ARE) will be given all applicants
qualifying under Paragraph 5-1-8 of the General Laws of Rhode Island.
4.
The Architectural Registration Examination (ARE) shall be taken and
successfully passed by all applicants.
- 5 -
5.
The scope, dates, times and location(s) of the ARE are as established by the
Board in conjunction with NCARB.
6.
The minimum-passing grade in all subjects of the ARE shall be as established
by the NCARB.
7.
All applicants taking examinations may take each examination division three
(3) times. All applicants must pay a new fee at each re-examination.
8.
Applicants not passing all divisions of the examination retain credit for those
subject areas passed for four years from the date of the examination. After the four year period, these
subject areas must be retaken.
9.
An applicant who has failed to pass a division of the examination after three
(3) attempts will be required by the Board to show evidence satisfactory to the Board that the
applicant has acquired sufficient additional education or experience in the subject failed. Prior to re-
examination under this rule, the applicant will be required to have a personal interview with the
Board to show evidence of satisfactory preparation before the Board will permit re-examination.
10. A six-month waiting period is required before a failed division of the ARE
may be retaken.
VI.
PROFESSIONAL CONDUCT
A.
Competence.
1.
In engaging in the practice of architecture, an architect shall act with
reasonable care and competence, and shall apply the technical knowledge and skill which are
ordinarily applied by architects of good standing, practicing in the same locality.
2.
In designing a project, an architect shall take into account all applicable state
and municipal building laws and regulations. While an architect may rely on the advice of other
professionals (e.g., attorneys, engineers, and other qualified persons) as to the intent and meaning of
such regulations, once having obtained such advice, an architect shall not knowingly design a project
in violation of such laws and regulations.
3.
An architect shall undertake to perform professional services only when he or
she, together with those whom the architect may engage as consultants, is qualified by education,
training, and experience in the specific technical areas involved.
- 6 -
4.
No individual shall be permitted to practice architecture if, in the Board's
judgment, such individual’s professional competence is, despite reasonable accommodations,
substantially impaired by physical or mental disabilities.
B.
Conflict of Interest
1.
An architect shall not accept compensation for their services from more than
one party on a project unless the circumstances are fully disclosed to and agreed to (such disclosure
and agreement to be in writing) by all interested parties.
2.
If an architect has any business association or direct or indirect financial
interest which is substantial enough to influence his or her judgment in connection with his or her
performance of professional services, the architect shall fully disclose in writing to his or her client or
employer the nature of the business association or financial interest. If the client or employer objects
to such association or financial interest, the architect will either terminate such association or interest
or offer to give up the commission or employment.
3.
An architect shall not solicit or accept compensation from material or
equipment suppliers in return for specifying or endorsing their products.
4.
When acting as the interpreter of building contract documents and the judge of
contract performance, an architect shall render decisions impartially, favoring neither party to the
contract.
C.
Full Disclosure
1.
An architect shall accurately represent to a prospective or existing client or
employer their qualifications and the scope of their responsibility in connection with work for which
they are claiming credit.
2.
If, in the course of his or her work on a project, an architect becomes aware of
a decision taken by his or her employer or client, against such architect’s advice, which violates
applicable state or municipal building laws and regulations and which will, in the architect’s
judgment, materially and adversely affect the health, safety and welfare of the public, the architect
shall:
a.
report the decision to the local building official or other authority having
jurisdiction; and
b.
refuse to consent to the decision; and
- 7 -
c.
in circumstances where the architect reasonably believes
that other such decisions will be taken, not withstanding their objection,
terminate their services with respect to the project. In the case of a
termination in accordance with this clause, the architect shall have no
liability to their client or employer on account of such termination.
3.
An architect shall not deliberately make a materially false statement or fail
deliberately to disclose accurately and completely a material fact requested in connection with their
application for a registration or renewal thereof or otherwise lawfully requested by the Board.
4.
An architect shall not assist the application for registration of an individual
known by the architect to be unqualified in respect to education, training, experience or character.
5.
An architect possessing knowledge of a violation of the provisions of
professional conduct by another architect shall report such knowledge to the Board.
D.
Compliance with Laws
1.
An architect shall not, in the conduct of their practice, knowingly violate any
state or federal criminal law.
2.
An architect shall neither offer nor make any payment or gift to a government
official (whether elected or appointed) with the intent of influencing the official's judgment in
connection with a prospective or existing project in which the registered architect is interested.
3.
An architect shall comply with the registration laws and regulations governing
his or her professional practice in any NCARB recognized jurisdiction. An architect may be subject
to disciplinary action if, based on grounds substantially similar to those which led to disciplinary
action in this jurisdiction, the architect was disciplined in any other NCARB recognized jurisdiction.
4.
An employer engaged in the practice of architecture shall not violate federal or
state law protecting the rights of persons working for the employer with respect to fair labor standards
or with respect to maintaining a workplace free of discrimination. For purposes of this rule, any
architect employed by a firm engaged in the practice of architecture who is in charge of the firm’s
architectural practice, either alone or with other architects, shall be deemed to have violated this rule
if the firm has violated this rule.
E.
Professional Conduct
1.
Each office in Rhode Island offering architectural services shall have an
architect resident and regularly employed in that office.
- 8 -
2.
An architect shall not sign or seal technical submissions unless they were
prepared by or under the responsible control of the architect; except that they may sign or seal those
portions of the technical submissions that were prepared by or under the responsible control of
persons who are registered under Rhode Island general laws if the architect has reviewed and adopted
in whole or in part such portions and has either coordinated their preparation or integrated them into
their work, and the architect may sign or seal those portions of the technical submissions that are not
required by Rhode Island general laws to be prepared by or under the responsible control of an
architect if the architect has reviewed and adopted in whole or in part such submissions and integrated
them into the work. Reviewing, or reviewing and correcting, technical submissions after they have
been prepared by others does not constitute the exercise of responsible control because the architect
has neither control over nor detailed knowledge of the content of such submissions throughout their
preparation. Any architect signing and sealing technical submissions not prepared by that architect
but prepared under the architect’s responsible control by persons not regularly employed in the office
where the architect is resident, shall maintain and make available to the board upon request for at
least five years following such signing and sealing, adequate and complete records demonstrating the
nature and extent of the architect’s control over and detailed knowledge of such technical
submissions throughout their preparation.
a.
Prototypical projects are buildings designed by an architect registered in
a jurisdiction recognized by NCARB, for use by an Owner in multiple jurisdictions. Documents for
these types of building may be sealed by a Rhode Island Architect, deemed to be in responsible
control, under the following conditions:
(1)
Written approval of the Owner.
(2)
Written permission of the original architect.
(3)
Removal and invalidation of previous title blocks
and seals.
(4)
Acceptance of liability as the architect in
responsible control.
(5)
Complete review and modifications made to the documents to
conform to applicable codes, and adapted to specific local
conditions.
(6)
Maintain records of all modifications made to the documents.
- 9 -
3.
An architect shall neither offer nor make any gifts, other than gifts of nominal
value (in accordance with Rhode Island State Law), with the intent of influencing the judgment of an
existing or prospective client in connection with a project in which the architect is interested.
4.
An architect shall not engage in conduct involving fraud or wanton disregard of
the rights of others.
VII.
INTER-JURISDICTIONAL PRACTICE
A.
A non-resident architect can “offer” to provide services for a specific future project in
this state only if:
1.
The architect holds current registration in the jurisdiction where the architect’s
office is located.
2.
The architect holds a NCARB Certificate.
3.
The architect notifies the Board, in writing, of the specific project for which the
services will be offered. The non-resident may not present any project related graphic material or
provide architectural services prior to registration in Rhode Island.
B.
A non-resident architect may practice in this state under their own name provided a
principal or partner, of the non-resident architect, is the architect in responsible control of the project,
is registered in this state, holds a Certificate of Authorization, and is clearly identified on all
drawings and contract documents as the architect in responsible control.
VIII. CONTINUING EDUCATION (C.E.)
A.
Continuing education is deemed necessary for the protection of the public health,
safety and welfare.
B.
For renewals beginning in 2003: A registered architect must demonstrate professional
development activities since the architect’s last renewal or initial registration, as the case may be.
C.
The Board shall by regulation describe professional development activities acceptable
to the Board and the form of documentation of such activities required by the Board.
D.
An “Architect” must certify on the renewal application that the architect has met the
requirements of the Board. The architect must maintain records of C.E. Falsification of records will
result in disciplinary action by the Board.
E.
The Board may decline to renew a registration if the architect’s professional
development activities do not meet the standards set forth in the Board’s regulations.
F.
The Board or its Designee may randomly audit licensees to insure compliance. An
architect who is audited will be notified in writing and will be required to provide written
- 10 -
documentation of the continuing education for the two (2) year period at issue. The Board may
require the architect who cannot produce such documentation to develop and complete a specific
corrective action plan within 90 days, prior to approval of renewal.
G.
Rhode Islands, Continuing Education requirements may be satisfied by either:
1.
Compliance with the continuing education requirements of NCARB or AIA.
2.
Compliance with the continuing education requirements, providing they exist,
in any other jurisdiction recognized by NCARB.
H.
If an architect has allowed registration to lapse in Rhode Island for more than two
years, the architect shall provide evidence of compliance with Rhode Islands requirements, for the
lapsed period, upon application. Continued registration in an NCARB recognized jurisdiction, that
requires continuing education, will be deemed to satisfy this requirement.
IX.
COMPLAINTS AND HEARINGS
(A)
ORGANIZATION
1.
Chapter 5-8 of the General Laws establishes the Board of Examination and
Registration of Architects (hereinafter Board) and sets forth its jurisdiction and powers. The duties of
the Board are set forth in said chapter of the General Laws.
2.
It is the function of the Board to regulate the practice of architecture within the State of
Rhode Island as defined by the General Laws.
(B)
DEFINITIONS.
1.
The term "Board" wherever used in these regulations shall be deemed to refer to the
Board of Examination and Registration of Architects or, when the context permits, to the relevant
Administration or personnel thereof.
2.
The term "Chair" wherever used in these regulations shall be deemed to refer to the
Chair of the Board.
(C)
PRACTICE BEFORE THE BOARD.
1.
No person may appear in a representative capacity before the Board other than
attorneys at law duly qualified and entitled to practice before the Supreme Court of the State of Rhode
Island. Attorneys at law duly qualified and entitled to practice before the highest court of record of
any other state may request permission of the Board to appear in a representative capacity. The Chair,
may in circumstances he deems appropriate, permit a bona fide officer, partner, or full time employee
of an individual firm, association, partnership, or corporation to appear for such individual firm,
association, partnership, or corporation.
- 11 -
2.
All persons appearing in proceedings before the Board in a representative capacity
shall conform to the standards of ethical conduct required of attorneys before the courts of Rhode
Island. If any such person does not conform to such standards, the Board may decline to permit such
person to appear in a representative capacity in any proceeding before the Board.
(D)
COMPLAINTS, ANSWERS & HEARINGS.
1.
Hearings required by law shall be conducted in accordance with these rules and
regulations. Where no hearing is required by law, the Board may nevertheless in its discretion
conduct or direct informal hearings or investigations be conducted in such manner and according to
such procedures as it may deem appropriate.
2.
In any contested case, all parties shall be served with such notice as may be provided
by law, but in the absence of such requirement the Board may order such notice as it deems necessary
for the protection of the parties involved.
3.
The Board shall require that all complaints filed against any person or firm registered
by this Board and/or subject to its jurisdiction be filed with the Board in a "verified" format. Each
"verified" complaint shall include, at a minimum, the name and address of the person or firm filing
the complaint, the name and address of the person or firm against whom the complaint is filed, a
statement of facts sufficient to establish that the Board has jurisdiction over the conduct alleged and a
statement setting forth the facts which support the allegation(s) that the individual or firm has violated
the laws, code of ethics and/or rules and regulations governing the practice of Architecture in this
state.
4.
Service of Process
a.
By whom Served:
The Board shall cause to be served all orders, notices
and other papers issued by it, together with any other papers which it is required by law to
serve. Every other paper shall be served or caused to be served by the party filing it. Service
shall be accomplished by certified mail at the last address on file with the Board with return
receipt being required.
b.
Upon Whom Served: All papers served by either the Board or any party shall
be served upon all counsel of record at the time of such filing and upon parties not represented
by counsel or upon their agents designated by them or by law. Any counsel entering an
appearance subsequent to the initiation of the proceeding shall notify all other counsel then of
record and all parties not represented by counsel of such fact.
c.
Service Upon Parties: The final order, and any other paper required to be
served by the agency upon a party, shall be served upon such party or upon the agent
designated by him or by law to receive service of such papers, and a copy shall be furnished to
counsel of record.
d.
Method of Service:
Service of papers shall be made personally or by first-
class registered or certified mail.
- 12 -
e.
When Service Complete:
Service upon parties shall be regarded as
complete: By mail, upon deposit in the United States mail properly stamped and addressed.
Proof of service shall be required except that any party may evidence adequate attempts of
service by demonstrating two (2) separate attempts at service, each such attempt being not less
than two (2) weeks from any prior attempt.
f.
Filing with Board:
Papers required to be filed with the Board shall be
deemed filed upon actual receipt by the Board at the office of the Board.
5.
Subpoenas
a.
Form:
Every subpoena shall state the name and address of the Board
and the Title of the proceeding, if any, and shall command the person to whom it is directed to
attend and give testimony or produce designated books, documents or things under his control
at a specified time and place.
b.
Issuance to Parties:
When permitted by law and upon application of counsel
for any party to a contested case, there shall be issued to such party subpoenas requiring the
attendance and testimony of witnesses or the production of evidence in such proceeding. The
Board may issue subpoenas in accordance with law to parties not so represented upon request
or upon a showing of general relevance and reasonable scope of the testimony or evidence
sought.
c.
Service:
Unless the service of a subpoena is acknowledged on its face by
the person subpoenaed, service shall be made by delivering a copy of the subpoena to such
person.
d.
Proof of Service:
The person service the subpoena shall make proof of
service by filing the subpoena and the required return, affidavit, or acknowledgment of service
with the Board or the officer before whom the witness is required to testify or produce
evidence. If service is made by a person other than an officer of the Board, and such service
has not been acknowledged by the witness, such person shall make an affidavit of service.
Failure to make proof of service does not affect the validity of the service.
e.
Quashing:
Upon motion made promptly, and in any event at or before the
time specified in the subpoena for compliance by the person to whom the subpoena is directed
(and upon notice to the party to whom the subpoena was issued) the Board or its authorized
member or officer may (1) quash or modify the subpoena if it is unreasonable or requires
evidence not relevant to any matter in issue, or (2) condition denial of the motion upon just
and reasonable conditions.
f.
Enforcement: Upon application and for good cause shown, the Board may
seek judicial enforcement of subpoenas issued to parties and which have not been quashed.
- 13 -
g.
Geographical Scope: Such attendance of witnesses and such production of
evidence may be required from any place in the State of Rhode Island, at any designated place
of hearing.
6.
Official Notice - Matters of Law
The Board, upon request made before or during a hearing, will officially notice:
a.
Federal Law: The Constitution; Congressional Acts, Resolutions, Records,
Journals and Committee Reports; Decisions of Federal Courts and Administrative Agencies;
Executive Orders and Proclamations; and all rules, orders and notices published in the Federal
Register.
b.
State Law:
The Constitution of the State of Rhode Island, acts of the
Legislature, Resolutions, Records, Journals and Committee Reports; decisions of
administrative agencies of the State of Rhode Island, Executive orders and proclamations by
the Governor; and all rules orders and notices filed with the Code Revisor.
c.
Governmental Organization: Organization, territorial limitations, officers,
departments and general administration of the Government of the State of Rhode Island, the
United States, the several states and foreign nations.
d.
Board of Organization:
The
Board's
organization,
administration,
officers, personnel, official publications, and practitioners before its bar.
7.
Official Notice - Material Facts
In the absence of controverting evidence, the Board and its hearing officers, upon request
made before or during a hearing, may officially notice:
a.
Board Proceedings:
The pendency of, the issues and position of the parties
therein, and the disposition of any proceeding then pending before or theretofore concluded by
the Board;
b.
Business Customs:
General customs and practices followed in the
transaction of business;
c.
Notorious Facts:
Facts so generally and widely known to all well-
informed persons as not to be subject to reasonable dispute, or specific facts which are capable
of immediate and accurate demonstration by resort to accessible sources of generally accepted
authority, including but not exclusively, facts stated in any publication authorized or permitted
by law to be made by any Federal or state officer, department, or agency;
d.
Technical Knowledge:
Matters within the technical knowledge of the
Board as a body of experts, within the scope or pertaining to the subject matter of its statutory
duties, responsibilities or jurisdiction;
- 14 -
e.
Request or Suggestion:
Any party may request, or the Board may
suggest, that official notice be taken of a material fact, which shall be clearly and precisely
stated, orally on the record, at any pre-hearing conference or oral hearing or argument, or may
make such request or suggestion by written notice, any pleading, motion, memorandum, or
brief served upon all parties, at any time prior to a final decision;
f.
Statement:
Where an initial or final decision of the Board rests in whole or
in part upon official notice of a material fact, such fact shall be clearly and precisely stated in
such decision. In determining whether to take official notice of material facts, the Board may
consult any source of pertinent information, whether or not furnished as it may be by and party
and whether or not admissible under the rules of evidence;
g.
Controversion:
Any party may controvert a request or a suggestion that
official notice of a material fact be taken at the time the same is made if it be made orally, or
by a pleading, reply or brief in response to the pleading or brief or notice in which the same is
made or suggested. If any decision is stated to rest in whole or in part upon official notice of a
material fact which the parties have not had a prior opportunity to controvert any party may
controvert such fact by appropriate exceptions if such notice be taken in an initial or
intermediate decision or by a petition for reconsideration if notice of such fact be taken in a
final report. Such controversion shall concisely and clearly set forth the sources, authority and
other data relied upon to show the existence or non-existence of the material fact assumed or
denied in the decision;
h.
Evaluation of Evidence:
Nothing herein shall be construed to preclude the
Board or its authorized agents from utilizing their experience, technical competence, and
specialized knowledge in the evaluation of the evidence presented to them.
8.
Presumptions
Upon presentation of the predicate facts specified in the following six subdivisions hereof
without substantial dispute and by direct, clear, and convincing evidence, the Board, with or without
prior request or notice, may make the following presumptions, where consistent with all surrounding
facts and circumstances:
a.
Continuity:
That a fact of a continuous nature, proved to exist at a particular
time, continues to exist as of the date of the presumption, if the fact is one which usually
exists for at least that period of time;
b.
Identity:
That persona and objects of the same name and description are
identical;
c.
Delivery:
Except in a proceeding where the liability of the carrier for non-
delivery is involved, that mail matter, communications, express or freight, properly addressed,
marked, billed and delivered respectively to the post office, telegraph, cable or radio company
or authorized common carrier of property with of postage trolls and charges properly prepaid,
is or has been delivered to the addressee or consignee in the ordinary course of business;
- 15 -
d.
Ordinary Course:
That a fact exists or does not exist, upon proof of the
existence or non-existence of another fact which in the ordinary and usual course of affairs,
usually and regularly co-exists with the fact presumed;
e.
Acceptance of Benefit:
That a person for whom an act is done or to
whom a transfer is made has, does or will accept the same where it is clearly in his own self-
interest so to do;
f.
Interference with Remedy:
That evidence, with respect to a material fact
which in bad faith is destroyed, suppressed or withheld by a party in control thereof, would if
produced, corroborate the evidence of the adversary party with respect to such fact.
9.
Stipulations and Admissions of Record
The existence or non existence of a material fact, as made or agreed in a stipulation or in an
admission of record, will be conclusively presumed against any party bound thereby, and no other
evidence with respect thereto will be received upon behalf of such party, provided:
a.
Upon Whom Binding: Such a stipulation or admission is binding upon the
parties by whom it is made, there privies and upon all other parties to the proceeding who do
not expressly and unequivocally deny the existence or non-existence of the material fact so
admitted or stipulated, upon the making thereof, if made on the record at a pre-hearing
conference, oral hearing, oral argument or by writing filed and served upon all parties within
five days after by a writing filed and served upon all parties within five days after a copy of
such stipulation or admission has been served upon them;
b.
Withdrawal: Any party bound by a stipulation or admission of record at any
time prior to final decision may be permitted to withdraw the same in whole or in part by
showing to the satisfaction of the hearing officer or the Board that such stipulation or
admission was made inadvertently or under a bona fide mistake of fact contrary to the true fact
and that its withdrawal at the time proposed will not unjustly prejudice the rights of other
parties to the proceeding.
10.
Pre-hearing Conference Rule
A.
In any proceeding the Board or its designee, upon its or his own motion, or upon the
motion of one of the parties or their qualified representatives, may in its or his discretion direct the
parties or their qualified representatives to appear at a specified time and place for a conference to
consider:
a.
The simplification of the issues;
b.
The necessity of amendments to the pleadings;
c.
The possibility of obtaining stipulations, admissions of facts and of documents;
- 16 -
d.
The limitation of the number of expert witnesses;
e.
Such other matters as may aid in the disposition of the proceeding.
B.
The Board shall make an order or statement which recites the action taken at the
conference, the amendments allowed to the pleadings and the agreements made by the parties or their
qualified representatives as to any of the matters considered, including the settlement or
simplification of issues, and which limits the issues for hearing to those not disposed of by
admissions or agreements; and such order or statement shall control the subsequent course of the
proceeding unless modified for good cause by subsequent order.
11.
Submission of Documentary Evidence in Advance
Where practicable the Board or its designated hearing officer may require:
a.
That all documentary evidence which is to be offered during the taking of
evidence be submitted to the hearing examiner and to the other parties to the proceeding
sufficiently in advance of such taking of evidence to permit study and preparation of cross-
examination and rebuttal evidence;
b.
That documentary evidence not submitted in advance, as may be required by
subdivision (1), is not received in evidence in the absence of a clear showing that the offering
party had good cause for his failure to produce the evidence sooner;
c.
That the authenticity of all documents submitted in advance in a proceeding in
which such submission is required, be deemed admitted unless written objection thereto is
filed prior to the hearings, except that a party will be permitted to challenge such authenticity
at a later time upon a clear showing of good cause for failure to have filed such written
objection.
12.
Excerpts from Documentary Evidence
When portions only of a document are to be relied upon, the offering party shall prepare the
pertinent excerpts, adequately identified, and shall supply copies of such excerpts, together with a
statement indicating the purpose for which such materials will be offered to the Board and to the
other parties. Only the excerpts, so prepared and submitted, shall be received in the record.
However, the whole of the original document shall be made available for examination and for use by
all parties to the proceeding.
13.
Continuances
Any party who desires a continuance shall, immediately upon receipt of notice of a hearing, or
as soon thereafter as facts requiring such continuance come to his knowledge, notify the Board or its
designated hearing officer of said desire, stating in detail the reasons why such continuance is
- 17 -
necessary. The Board or its designated hearing officer, in passing upon a request for continuance,
shall consider whether such request was promptly and timely made. For good cause shown, the
Board or its designated hearing officer may grant such a continuance and may at any time order a
continuance upon its or his own motion. During a hearing, if it appears in the public interest or in the
interest of justice that further testimony or argument should be received, the examiner or other officer
conducting the hearing may in his discretion continue the hearing and fix the date for introduction of
additional evidence or presentation of argument. Such oral notice shall constitute final notice of such
continued hearing.
The Board will act on all such requests as quickly as possible. Where time does not permit
the full Board to meet and consider the request, the Chairman of the Board may grant the request for a
continuance for a period of not more than forty days. All requests for rescheduling must be approved
by a majority of the Board.
14.
Rules of Evidence
a.
Subject to other provisions of these rules, all relevant evidence is admissible
which, in the opinion of the Board, is the best evidence reasonably obtainable having due
regard for its necessity, availability and trustworthiness. The Board shall consider the
relevance of the evidence and fairness of admitting evidence when making rulings on
admissibility. In passing upon the admissibility of evidence, the Board shall give
consideration to, but shall not be bound to follow, the rules of evidence governing civil
proceedings, in matters not involving trial by jury, in the superior court of the State of Rhode
Island.
b.
When objection is made to the admissibility of evidence, such objection will be
noted for the record and such evidence may be received subject to a later ruling. The Board
may, in its discretion, either with or without objection, exclude inadmissible evidence or order
cumulative evidence discontinued. Parties objecting to the introduction of evidence shall state
the precise grounds of such objection at the time such evidence is offered.
c.
Evidence will not be admitted, if after it is proffered, a majority of the Board
votes against its admission.
15.
Stenographic Report of Evidence
An electronic record shall be made of every hearing or contested case before the Board. A
copy of the original tape shall be made available to any party to the proceeding upon written request
to the Board. A typewritten transcript shall be made of the whole or part of the record upon: (1) a
written request filed with the Board by any party to the hearing or case, and (2) a deposit to the Board
of an amount equal to the cost thereof, as estimated by the Board at the time of making such request.
As soon as practicable, the Board shall ascertain the cost of the transcript and refund any excess
deposit over the actual cost thereof, and it shall require the amount of any deficit from the party or
parties requesting the report. No transcript shall be made unless the amounts required have been
deposited as herein provided. Any party may request that a stenographic record be kept by tendering
- 18 -
to the Board and amount equal to the estimated cost thereof not less than seven (7) days prior to any
scheduled hearing date.
16.
Decisions
All decisions of the Board require a majority vote of the members sitting as Board members
for the hearing.
(E)
PETITIONS FOR RULE MAKING, AMENDMENT OR REPEAL.
1.
Any interested person may petition the Board requesting the promulgation,
amendment, or repeal of any rule.
2.
Where the petition requests the promulgation of rule, the requested or proposed rule
must be set out in full. The petition must also include all the reasons for the requested rule together
with briefs of any applicable law. Where the petition requests the amendment or repeal of a rule
presently in effect, the rule or portion of the rule in question must be set out as well as a suggested
amended form if any. The petition must include all reasons for the requested amendment or repeal of
the rule.
3.
All petitions shall be considered by the Board, and the Board may, in its discretion,
order a hearing for the further consideration and discussion of the requested promulgation,
amendment, repeal, or modification of any rule.
4.
Declaratory Rulings. As prescribed by Section 42-35-8, G. L. 1956, as amended, any
interested person may petition the Board for a declaratory ruling. The Board shall consider the
petition and within a reasonable time the Board shall:
a.
Issue a non-binding declaratory ruling; or
b.
Notify the person that no declaratory ruling is to be issued; or
c.
Set a reasonable time and place for hearing argument upon the matter, and give
reasonable notification to the person of the time and place for such hearing and of the
issues involved.
d.
If a hearing as provided in subsection (c) is conducted, the Board shall within a
reasonable time:
1.
Issue a binding declaratory rule; or
2.
Issue a non-binding declaratory ruling; or,
3.
Notify the person that no declaratory ruling is to be issued.
5.
Forms. Any interested person petitioning the Board for a declaratory ruling pursuant
to Section 42-35-8 shall generally adhere to the following form for such purpose.
- 19 -
At the top of the page shall appear the wording "Before the RI Board of Examination and
Registration of Architects." On the left side of the page below the foregoing the following caption
shall be set out: "In the Matter of the Petition of (name of petitioning party) for a Declaratory
Ruling." Opposite the foregoing caption shall appear the word "Petition."
The body of the petition shall be set out in numbered paragraphs. The first paragraph shall
state the name and address of the petitioning party. The second paragraph shall state all rules or
statutes that may be brought into issue by the petition. Succeeding paragraphs shall set out the state
of facts relied upon in form similar to that applicable to complaints in civil actions before the superior
courts of this state. The petition shall be subscribed and verified in the manner prescribed for
verification of complaints in the superior courts of this state.
The original and four legible copies shall be filed with the Board. Petitions shall be on white
paper, either 8 1/2" x 11" or 8 1/2" x 13" in size.
Any interested person petitioning the Board requesting the promulgation, amendment or
repeal of any rules shall generally adhere to the following form for such purpose.
At the top of the page shall appear the wording "Before the R. I. Board of Registration of
Architects." On the left side of the page below the foregoing the following caption shall be set out:
"In the Matter of the Petition of (name of petitioning party) for (state whether promulgation,
amendment or repeal) of Rule (or Rules)." Opposite the foregoing caption shall appear the word
"Petition."
The body of the petition shall be set out in numbered paragraphs. The first paragraph shall
state the name and address of the petitioning party and whether petitioner seeks the promulgation of
new rule or rules, or amendment or repeal of existing rule or rules. The second paragraph, in case of
a proposed new rule or amendment of an existing rule, shall set forth the desired rule in its entirety.
Where the petition is for amendment, the new matter shall be underscored and the matter proposed to
be deleted shall appear in double parentheses. Where the petition is for repeal of an existing rule,
such shall be stated and the rule proposed to be repealed shall either be set forth in full or shall be
referred to by department rule number. The third paragraph shall set forth concisely the reasons for
the proposal of the petitioner and shall contain a statement as to the interest of the petitioner in the
subject matter of rule. Additional numbered paragraphs may be used to give full explanation of
petitioner's reason for action sought.
Petitions shall be dated and signed by the person or entity named in the first paragraph or by
his attorney. The original and four legible copies of the petitions shall be filed with the Board.
Petitions shall be on white paper, either 8 1/2" x 11" or 8 1/2 " x 13" in size.