415-RICR-00-00-1
415-RICR-00-00-1. Rules and Regulations for Architects (version Amendment, 07/16/2009 to 09/02/2014)
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STATE OF RHODE ISLAND AND
PROVIDENCE PLANTATIONS
DEPARTMENT OF BUSINESS REGULATION
DIVISION OF DESIGN PROFESSIONALS
RULES AND REGULATIONS
FOR THE
BOARD OF EXAMINATION AND
REGISTRATION OF ARCHITECTS
Promulgated Pursuant to
Rhode Island General Laws Chapter 5-1
Dated June 2009
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STATE OF RHODE ISLAND AND PROVIDENCE PLANTATATIONS
BOARDS FOR DESIGN PROFESSIONALS
INTRODUCTION
These Rules and Regulations are promulgated under the authority of Chapter 5-1 of the General Laws
of Rhode Island, as amended, and Chapter 73, Article 3 Substitute A as Amended, Section 13(a), of
the 2007 Public Laws as adopted by the Legislature. and further amended by Chapter 100, Article 9
Substitute A as Amended, Section 13(a), of the 2008 Public Laws as adopted by the Legislature.
They are established for the purpose of describing the practices and procedures of the Board of
Examination and Registration of Architects, which is one component of the Division of Design
Professionals within the Department of Business Regulation (DBR). It is the function of the Board of
Examination and Registration of Architects to regulate the practice of architecture within the State of
Rhode Island as defined by the General Laws.
These Rules and Regulations shall supersede any and all previous Rules of the Board of
Examination and Registration of Architects that have been filed with the Secretary of State.
Through these rules, the Board of Examination and Registration of Architects (the “Board”)
has sole jurisdiction over the licensing and regulation of the practice of Architecture, as defined in
Chapter 5-1 of the General Laws of the State of Rhode Island. Appeal to their decisions are defined
in Chapter 5-1.
Pursuant to the provisions of Section 42-35-3(c) of the General Laws of Rhode Island, as
amended, consideration was given to: (1) alternative approaches to the regulations; and (2)
duplication or overlap with other state regulations. No alternative approach, overlap or duplication
nor any significant economic impact was identified. Consequently these Rules and Regulations are
adopted in the best interest of the health, safety and welfare of the public.
The Rules and Regulations were adopted by the Board of Examination and Registration of
Architects on this 24th day of June 2009.
_____________________________
A. Michael Marques
Director
Department of Business Regulation
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BOARD OF EXAMINATION AND REGISTRATION OF ARCHITECTS
RULES AND REGULATIONS OF THE BOARD
TABLE OF CONTENTS
Rule 1. PURPOSE, AUTHORITY, AND APPLICABILITY
1.1
PURPOSE...............................................................................................................................4
1.2
AUTHORITY .........................................................................................................................4
1.3
CONSTRUCTION..................................................................................................................4
1.4
REFERENCES TO THE RHODE ISLAND GENERAL LAWS...........................................4
Rule 2. DEFINITIONS - DEFINITION OF TERMS........................................................................ 4-5
Rule 3. APPLICATIONS
3.1
EXAMINATIONS..................................................................................................................6
3.2
RECIPROCITY ......................................................................................................................6
3.3
CERTIFICATE OF AUTHORIZATION (COA) ...................................................................6
3.4
“ARCHITECT EMERITUS” STATUS..................................................................................6
3.5
APPLICANTS TO DISCLOSE DISCIPLINARY ACTION..................................................6
3.6
APPLICANTS TO CERTIFY COMPLETION OF CONTINUING EDUCATION..............6
3.7
APPROVAL OF APPLICATIONS ........................................................................................6
Rule 4. EXAMINATIONS
4.1
ARCHITECTURAL REGISTRATION EXAMINATION (ARE).........................................7
Rule 5. PRACTICE
5.1
ELIGIBILE TO RECEIVE CERTIFICATE OF REGISTRATION ........................................8
5.2
ELIGIBLE TO RECEIVE CERTIFICATE OF AUTHORIZATION ....................................8-10
5.3
USE OF THE SEAL OR STAMP ..........................................................................................11
5.4
EXPIRED CERTIFICATES...................................................................................................11
5.5
PERSONAL NAMES OF ARCHITECTS USED IN THE NAME OF THE FIRM..............11
5.6
FIRM PRACTICING UNDER A NAME THAT DOES NOT INCLUDE THE
NAMES OF REGISTERED PRINCIPALS ...........................................................................12
5.7
USE OF TERMS IN THE FIRM NAME ...............................................................................12
5.8
CONTINUING EDUCATION ...............................................................................................12-16
Rule 6. INTER-JURISDICTIONAL PRACTICE .......................................................................... 16
Rule 7. COMPLAINTS AND HEARINGS ..................................................................................... 16-26
Rule 8. PROFESSIONAL STANDARDS
8.1
COMPETENCE......................................................................................................................26-27
8.2
CONFLICT OF INTEREST ...................................................................................................27
8.3
FULL DISCLOSURE.............................................................................................................27-28
8.4
COMPLIANCE WITH LAWS...............................................................................................28
8.5
PROFESSIONAL CONDUCT...............................................................................................28-29
8.6
PROTOTYPICAL PROJECTS...............................................................................................29
Rule 9. BY-LAWS
9.1
NAME.....................................................................................................................................30
9.2
PROCEDURE.........................................................................................................................30
9.3
COMPLAINTS, HEARINGS.................................................................................................30
9.4
OFFICE...................................................................................................................................30
9.5
MEETINGS ............................................................................................................................30
9.6
ELECTION OF OFFICERS ...................................................................................................30
9.7
DUTIES OF OFFICERS.........................................................................................................31
9.8
ORDER OF BUSINESS .........................................................................................................31
9.9
VOTING .................................................................................................................................31
9.10
FINANCE ...............................................................................................................................31
9.11
RECORDS..............................................................................................................................32
9.12
FEES.......................................................................................................................................32
9.13
SEAL ......................................................................................................................................32
9.14
MODIFICATIONS.................................................................................................................32
Rule 10. DISCIPLINARY GUIDELINES ....................................................................................... 33-34
Rule 11. SEVERABILITY AND EFFECTIVE DATE................................................................... 35
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RULE 1.
PURPOSE, AUTHORITY AND APPLICABILITY
1.1
Purpose. These rules and regulations describe the practices and procedures of the Board of
Examination and Registration of Architects and amend and supersede the provisions of “Board of
Examination and Registration of Architects, Rules and Regulations of the Board”, as last amended in
October 2003.
1.2
Authority. These rules and regulations are promulgated pursuant to the requirements of
Section 5-1-5 of the Rhode Island General Laws of 1956 and Chapter 73, Article 3, Section 13(a), of
the 2007 Public Laws and further amended by Chapter 100, Article 9 Substitute A as Amended,
Section 13(a), of the 2008 Public Laws. These rules and regulations have also been prepared in
accordance with the provisions of Chapter 42-35, entitled “Administrative Procedures Act”.
1.3.
Construction
1.3.1 Sections of the “Rules” are referred to sequentially by numbers at the left side of the
page.
1.3.2 The terms “rules” and “rules and regulations” are used interchangeably.
1.4
References to the Rhode Island General Laws
1.4.1 All statutory references to the Rhode Island General Laws are to the Rhode Island
General Laws of 1956, as amended and Chapter 73, Article 3, Section 13(a), of the 2007
Public Laws and further amended by Chapter 100, Article 9 Substitute A as Amended,
Section 13(a), of the 2008 Public Laws. The Rhode Island General Laws also referred to
within as the “General Laws of Rhode Island”.
1.4.2 References to the Board shall also be interpreted to include staff of the Board when
designated to perform specific functions.
RULE 2.
DEFINITIONS
2.1.
“Act” – Refers to the enabling legislation for the Act entitled “Architects”, contained in
Rhode Island General Laws Chapter 5-1 and Chapter 73, Article 3, Section 13(a), of the 2007 Public
Laws and further amended by Chapter 100, Article 9 Substitute A as Amended, Section 13(a), of the
2008 Public Laws.
2.2
"Architect" - As defined in the General Laws of Rhode Island, Paragraph 5-1-2.
2.3
“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.
2.4
The term "Board" wherever used in these rules and 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.
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2.5
“Certificate of Authorization” – Is defined in Rhode Island General Laws Section 5-1-2(4)
and is further referred to in Rule 5.2 within.
2.6
The term "Chair" shall be deemed to be referred to as the Chair of the Board of Examination
and Registration of Architects wherever used in these rules and regulations.
2.7
“Continuing Education Unit (CEU)” – is equal to one contact hour of required professional
education (See Rule 5.8).
2.8
"Experience" and "Training" are interchangeable and mean satisfactory architecturally related
employment as required by NCARB.
2.9
“NCARB” – The National Council of Architectural Registration Boards Model Regulations’
most recent addition.
2.10
“Practice of Architecture". As defined in the General Laws of Rhode Island, Section 5-1-2.
2.11
A person practices as a “Principal” if the person is an architect, is in responsible control of the
organization’s architectural practice either alone or in concert with other architect(s), is responsible
for the profits and losses of the firm, is legally liable for the acts of the firm, and holds one of the
following positions:
2.11.1 Sole proprietor if the practice is through a sole proprietorship.
2.11.2 Director and officer (or shareholder if there are no directors) if the practice is through
a corporation.
2.11.3 General partner if the practice is through a partnership.
2.11.4 General Partner if the practice is through a limited liability partnership.
2.11.5 Manager (or member if there are no managers) if the practice is through a limited
liability company.
2.12
“Responsible Control” – That amount of control over and detailed knowledge of the content
of technical submissions during their preparation as is ordinarily exercised by registered architects
applying the required professional standard of care. Reviewing, or reviewing and correcting,
technical submissions after they have been prepared by others does not constitute the exercise of
responsible control because the reviewer has neither control over nor detailed professional knowledge
of the content of such submissions throughout their preparation, as defined by NCARB Model
Regulations promulgated on July 2006.
2.13
“Stamp” – Is the instrument to apply a seal evidencing registration of an architect to Chapter
5-1.
2.14
"State" as used in the General Laws of Rhode Island, Section 5-1-9, and shall include any
jurisdiction recognized by NCARB.
2.15
“Division of Design Professionals” – Is a single administrative division within the
Department of Business Regulation (DBR) comprised of the four (4) Boards, Board of Examination
and Registration of Architects, Board of Examiners of Landscape Architects, Board of Registration
for Professional Engineers and Board of Registration for Professional Land Surveyors.
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RULE 3.
APPLICATIONS
3.1
Applications for examinations – Exam Candidate must apply directly to the National Council
of Architectural Registration Boards (NCARB) Direct Registration Program effective March 1, 2009.
This applies only to those candidates eligible after March 1, 2009.
3.2
Applications for registration by reciprocity that meet the criteria of the National Council of
Architectural Registration Boards’ (NCARB) most recent amendment of the 2008-2009 Handbook
for Interns and Architects for the “Requirements for Certification of U.S. Architects” must be
submitted to the Office of the Board. Documents issued by NCARB may be accessed at the NCARB
website at www.ncarb.org. Allow a minimum of forty days for applications to be reviewed and acted
on by the Board.)
3.3
Applications for Certificates of Authorization (C.O.A.) must be submitted to the Office of the
Board. (Allow a minimum of forty days for properly completed applications to be reviewed and acted
on by the Board.) (See also Rule 5.2).
3.4
Application for “Architect Emeritus” status shall be made in writing to the Board,
accompanied by the appropriate fee. At the time that such application is made, the applicant must
surrender the architect’s seal that had previously been issued by the Board (Allow a minimum of
forty days for the application to be reviewed and acted on by the Board.)
3.5
Applicants for examination, reciprocity or C.O.A. must disclose any and all disciplinary
action imposed by other professional registration jurisdictions or NCARB.
3.6
Applicants for reciprocity must certify completion of continuing education in accordance with
the Board’s requirements for continuing education.
3.7
APPROVAL OF APPLICATIONS
3.7.1 All applications shall be considered individually and passed or rejected on a roll call
vote of the Board.
3.7.2 The action taken on each application shall be recorded in the minutes.
3.7.3 An outline of the action taken shall be placed with the application.
3.7.4 Applicants shall be promptly notified of the Board’s actions.
3.7.5 If a new application is approved after renewal applications have been mailed, then that
applicant’s registration shall be valid for 27 months.
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RULE 4.
EXAMINATIONS
4.1
Architectural Registration Exam (ARE)
4.1.1 Evaluation of education and training credits shall be at the discretion of the Board and
in general accordance to National Council of Architectural Registration Boards
(NCARB) criteria.
4.1.2 All applicants are required to comply with such requirements for taking the
Architectural Registration Examination (ARE) as shall be established by NCARB.
4.1.3 The ARE will be given to all applicants qualifying under Section 5-1-8 of the General
Laws of Rhode Island.
4.1.4 The ARE shall be taken and successfully passed by all applicants.
4.1.5 The scope, dates, times and location(s) of the ARE are established by the Board in
conjunction with NCARB.
4.1.6 The minimum-passing grade in all subjects of the ARE shall be as established by
NCARB.
4.1.7 All applicants may retake failed divisions of the examination as many times as the
applicant wishes and must pay a new fee at each re-examination.
4.1.8 A six-month waiting period is required before an applicant may retake a previously
failed division of the ARE.
4.1.9 Rolling Clock
4.1.9.1
For applicants who have passed all divisions of the ARE by
January 1, 2006, regardless of the time taken, such applicants
will have passed the ARE.
4.1.9.2
For applicants who have passed one or more but not all
divisions of the ARE by January 1, 2006, such applicants will
have five years from the date of the first (non-exempt) passed
division to pass all remaining divisions. [Exams passed prior to
January 1, 2006, are exempt and will NOT have to be retaken.]
If a candidate fails to pass all remaining divisions within the
initial five-year period, the candidate is given a new five-year
period from the date of the second oldest passed division. The
five-year period shall commence after January 1, 2006, on the
date when the first passed division is administered.
4.1.9.3
For applicants who have passed no divisions of the ARE by
January 1, 2006, such applicants shall be governed by the above
five-year requirement. The five-year period shall commence on
the date when the first passed division is administered.
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RULE 5.
PRACTICE
5.1
An applicant (or firm), who has established eligibility to practice architecture under the
requirements of Chapter 5.1 of the General Laws of Rhode Island will, upon payment of the
stipulated fee, receive a Certificate of Registration (or Authorization).
5.2
Certificate of Authorization (C.O.A.)
5.2.1 Definition. As stated in Rule 2 the terms "Certificate of Authorization" means the
certificate issued by the Board which indicates that the sole proprietor, partnership,
limited liability partnership, corporation, or limited liability company named in the
certificate is permitted to practice architecture in the State of Rhode Island. (See also
RIGL Section 5-1-2 (4))
5.2.2 Application for Certificate of Authorization (COA) shall be made as referred to in
Rule 2.5 and Rule 3.3.
5.2.3 Eligible Applicants. As provided in RIGL Section 5-1-15.1(a), a sole proprietorship,
partnership, limited liability partnership, corporation or limited liability company shall
be admitted to practice architecture in this state if:
5.2.3.1
Two-thirds (2/3) of the partners (if a partnership or limited
liability partnership) two-thirds (2/3) of the directors and
officers (or shareholders if there are no directors, if a
corporation) or two-thirds (2/3) of the managers (or members if
there are no managers, if a limited liability company) are
registered under the laws of any state or any reciprocal
jurisdiction as defined by the National Council of Architectural
Registration Boards to practice architecture or engineering;
5.2 3.2
One-third (1/3) of the partners (if a partnership or limited
liability partnership) or one-third (1/3) of the directors and
officers (or shareholders if there are no directors, if a
corporation), or one-third (1/3) of the managers (or members if
there are no managers, if a limited liability company) are
registered under the laws of any state or reciprocal jurisdiction
as defined by the National Council of Architectural Registration
Boards to practice architecture; and
5.2.3.3
The person having the practice of architecture in his or her
charge is himself or herself a partner (if a partnership or limited
liability partnership) a director or officer (or shareholders if
there are no directors, if a corporation) or a manager (or
members if there are no managers, if a limited liability
company) and is registered to practice architecture in this State.
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5.2.4 The Board is empowered to require any sole proprietorship, partnership, or limited
liability partnership, corporation or limited liability company practicing architecture in
this state to file information concerning its partners, shareholders, officers, directors,
members, managers, and other aspects of its business organization, upon any forms
that the Board prescribes. (See RIGL Section 5-1-15.1(b)).
5.2.5 As provided by RIGL Section 5-1-15.1 (c), the practice or offer to practice
architecture by a sole proprietorship, partnership, limited liability partnership,
corporation, or limited liability company subsequently referred to as the "firm",
through one or more architects registered under the provisions of Chapter 5-1, is
permitted under the following circumstances:
5.2.5.1
the registered architect or architects are in direct control of the
practice or exercise responsible control of all personnel who act
in behalf of the firm in professional and technical matters; and
5.2.5.2
the firm has been issued a Certificate of Authorization by the
Board.
5.2.6 Every firm must obtain a certificate of authorization from this Board. Furthermore,
those individuals in direct control of the practice or who exercise responsible control
of all personnel who act in behalf of the firm in professional and technical matters also
must be registered with the Board. A Certificate of Authorization shall be issued by
the Board upon satisfaction of the provisions of RIGL Chapter 5-1 and the payment of
a fee as determined by the Board in accordance with RIGL Section 5-1-11. This fee
shall be waived if the firm consists of only one person who is the registered architect.
Every firm must file an application for a certificate of authorization with the Board on
a form provided by the board. (See RIGL Section 5-1-15.1 (d))
5.2.7 Renewal. Every Certificate of Authorization is valid for a period of two (2) years and
expires on the last day of December of each even numbered year following its
issuance. A separate form provided by the board shall be filed with each renewal of
the Certificate of Authorization. The firm shall complete a renewal form within thirty
(30) days of the time any information previously filed with the board has changed, is
no longer true or valid, or has been revised for any reason. If, in the board's judgment,
the information contained on the application and/or renewal form is satisfactory and
complete, the Board will issue a Certificate of Authorization for the firm to practice
architecture in this state. As the Board deems necessary, the Board may require all
applicants for renewal to provide the Board with information, including but not limited
to, a brief outline setting forth the professional activities of any applicant during a
period in which a Certificate of Authorization has lapsed and other evidence of the
continued competence and good character of the applicant, all. (See RIGL Section 5-
1-15.1 (e))
5.2.8 Suspension or revocation of Certificates of Authorization After notice and hearing as
provided in RIGL Section 5-1-13.1, the Board may in its discretion suspend, revoke
or annul or refuse to renew any Certificate of Authorization or take any other action as
authorized provided in RIGL Section 5-1-13.
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5.2.9 Initiation of Proceedings Against Holders of COAs
5.2.9.1
As provided in RIGL Section 5-1-13.1(a), the Board may
initiate proceedings against holders of a certificate of
registration and/or a Certificate of Authorization (subsequently
referred to as a licensee or licensees) either on its own motion,
or on complaint of any person, upon a finding of probable cause
by a probable cause committee appointed by the Board pursuant
to § 5-1-5, or upon receiving notification from another state
Board of Architects or from the appropriate authority in another
country or jurisdiction of its decision to:
5.2.9.2
Revoke, suspend, annul, or refuse to renew the practice
privileges granted in that state or in that country or jurisdiction
to the licensee; or
5.2.9.3
Publicly censure, or censure in writing, limit the scope of
practice of, impose an administrative fine upon, or place on
probation the licensee.
5.2.10 Hearing Notice. As provided in RIGL Section 5-1-13.1(b), a written notice stating the
nature of the charge or charges against the licensee and the time and place of the
hearing before the Board on the charges shall be served on the licensee not less than
twenty (20) days prior to the date of the hearing either personally or by mailing a copy
of the notice by certified mail, return receipt requested, to the address of the licensee
last known to the board.
5.2.11 Default Hearing. If, after being served with the notice of hearing as provided for in
this section, the licensee fails to appear at the hearing and to defend against the stated
charges, the Board may proceed to hear evidence against the licensee and may enter
any order that is supported by the evidence. That order is final unless the licensee
petitions for a review as provided in this rule. However, provided, that within thirty
(30) days from the date of any order, and upon a showing of good cause for failing to
appear and defend, the Board may reopen the proceedings and may permit the licensee
to submit evidence in his, her or on its behalf. See RIGL Section 5-1-13.1(c),
5.2.12 Contested hearings. Contested hearings shall be conducted according to the procedures
set forth in Rule 7.
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5.3
ARCHITECT’S SEAL AND STAMP
5.3.1. SEAL - The seal is embossed, 1-½ inches in diameter consisting of two concentric
circles; the outer being 1-½ 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.
5.3.2 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. (See Rule 2.13)
5.3.3 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.
5.3.4 The architect shall imprint the seal only if in responsible control of the project.
5.3.5 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 action as
allowed by the act.
5.4
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 (two) years, the applicant shall follow the
procedure for a new application.
5.5
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, limited liability company and
limited liability partnership shall be permitted only when such other persons are design professionals
(landscape architects, professional engineers or professional land surveyors) and their identity is
made known specifically on letterheads of the firm (sole proprietorship, partnership, corporation,
limited liability company and limited liability partnership).
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5.6
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 C.O.A shall be resubmitted for
approval.
5.7
Any use of the word "Associate" or "Associates" in the title of a firm, partnership, or
corporation, limited liability company or limited liability partnership 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, limited liability company or limited liability
partnership and their identity and professional status is made known on letterheads of the firm,
partnership, or corporation, limited liability company or limited liability partnership. The title
“Associate” shall only be given to registered professionals of the firm, partnership, corporation,
limited liability company or limited liability partnership. 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.
5.8
CONTINUING EDUCATION (C.E.)
5.8.1 The Board, in order to protect the public in the built environment, has enacted a
continuing education requirement for the purpose of ensuring that the architecture
profession remains current on health, safety, welfare and construction issues.
5.8.2 A registered architect must demonstrate continuing education activities since the date
of the architect’s last renewal or initial registration, as the case may be. The Board
shall by regulation describe continuing education activities acceptable to the Board
and the documentation of such activities required by the Board.
5.8.3 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.
5.8.4 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.
5.8.5 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 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.
5.8.6 Architect must obtain 24 continuing education units (CEU’s) of which 16 must be
health, safety and welfare (HSW) for the two-year renewal period.
5.8.6.1
The Architect may carry over one year of continuing education
hours from the previous year.
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5.8.6.2
Exemptions to Rule 5.8.6: An architect shall not be subject to
these requirements if:
5.8.6.2.1
The architect has been granted emeritus status by
the Board; or
5.8.6.2.2
The architect otherwise meets all renewal
requirements and is a civilian called to active
duty in the armed forces of the United States for
a significant period of time, is ill or disabled for
a significant period of time, or can demonstrate
to the Board other like hardship, then upon the
Board’s so finding, the architect may be excused
from some or all of these requirements; or
5.8.6.2.3
The architect otherwise meets all renewal
requirements and is registered in any other
jurisdiction
having
continuing
education
requirements, which the architect has met,
provided that the requirements of such other
jurisdiction are equal to or exceed Rhode
Island’s requirements.
5.8.7 For the Architect’s first renewal period or fraction thereof, the continuing education
requirements for renewal shall be required at the rate of one continuing education unit
(CEU) per month of registration.
5.8.8 If an architect has allowed registration to lapse in Rhode Island for more than two
years, the architect shall upon application provide evidence of compliance with Rhode
Island’s requirements for the lapsed period. Continued registration in an NCARB
recognized jurisdiction that requires continuing education will be deemed to satisfy
this requirement.
5.8.9 The Board recognizes the following continuing education credits:
5.8.9.1
All registered programs offered by AIA, CES registered
providers.
5.8.9.1.1
Proof of completion either by AIA/CES record
transcript from the University of Oklahoma or a
copy of the Certificate of Completion from the
provider.
5.8.9.1.2
Registered
programs
are
listed
on
www.aia.org/conted.
5.8.9.2
Self directed study accepted by AIA, CES.
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5.8.9.2.1
Proof of completion by AIA/CES record
transcript from the University of Oklahoma.
5.8.9.3
All CE monographs offered by NCARB.
5.8.9.3.1
Proof of completion by NCARB Certification of
Course Completion.
5.8.9.4
All programs accepted by other NCARB registration
jurisdictions.
5.8.9.4.1
Proof of acceptance from the jurisdiction.
5.8.9.5
Courses offered by any educational provider, including, but not
limited to: colleges; universities; adult education; business
schools and vendors related to the practice of architecture.
5.8.9.5.1
Proof
of
completion
by
transcript
from
institution
or
certificate
of
successful
completion.
5.8.9.5.2
One contact hour (50 min.) equals one
continuing education unit.
5.8.9.5.3
Refer to AIA/CES provider manual, for subject
areas that qualify for HSW credit. 75% of the
course must be in the HSW subject area to
qualify.
5.8.9.5.4
HSW subject areas according to AIA/CES
Manual, 2006 Edition, Page 10 include:
5.8.9.5.4.1
Accessibility
5.8.9.5.4.2
Acoustics
5.8.9.5.4.3
Building design
5.8.9.5.4.4
Code of ethics
5.8.9.5.4.5
Construction administration
5.8.9.5.4.6
Construction contract laws, legal
aspects
5.8.9.5.4.7
Construction documents, services
5.8.9.5.4.8
Construction functions, materials,
methods, and systems
5.8.9.5.4.9
Energy efficiency
5.8.9.5.4.10
Environmental: asbestos, lead-
based paint: toxic emissions
5.8.9.5.4.11
Environmental analysis and issues
of building materials and systems
15
5.8.9.5.4.12
Fire: building fire codes – flame
spread, smoke contribution,
explosives
5.8.9.5.4.13
Fire safety systems: detection &
alarm standards
5.8.9.5.4.14
Insurance to protect the owners of
property and injured parties
5.8.9.5.4.15
Interior Design
5.8.9.5.4.16
Laws & regulations governing the
practice of architecture
5.8.9.5.4.17
Life safety codes
5.8.9.5.4.18
Materials & systems:
roofing/waterproofing, wall
systems, etc.
5.8.9.5.4.19
Material use, function, and
features
5.8.9.5.4.20
Mechanical, plumbing, electrical:
system concepts, materials and
methods
5.8.9.5.4.21
Natural hazards (earthquake,
hurricane, flood) related to
building design
5.8.9.5.4.22
Preservation, renovation,
restoration, and adaptive reuse.
5.8.9.5.4.23
Security of buildings, design
5.8.9.5.4.24
Site and soils analysis
5.8.9.5.4.25
Site design
5.8.9.5.4.26
Specification writing
5.8.9.5.4.27
Structural issues
5.8.9.5.4.28
Surveying methods, techniques
5.8.9.5.4.29
Sustainable design
5.8.9.6
Others
5.8.9.6.1
To be eligible for credit if not covered by Items
#1 through 5, the following criteria must be met
and the architect must retain proof of the criteria
for examination and approval by the Board on
request.
5.8.9.6.2
The following criteria are based on AIA/CES
Provider Manual, 2006 Edition, Pages 12 and
13.
5.8.9.6.2.1
Statement of learning objective –
goal.
5.8.9.6.2.2
Program brochures/advertisement.
5.8.9.6.2.3
Copy of handouts or learning
material.
16
5.8.9.6.2.4
Identify human resources,
experts, etc.
5.8.9.6.2.5
Identify all material resources
used.
5.8.9.6.2.6
Passive activity involved.
5.8.9.6.2.7
Interactive participation involved.
5.8.9.6.2.8
Measurement of learning – test,
exam, etc.
5.8.9.6.2.9
Time spent on activity.
5.8.9.7
To qualify for HSW credit, 75% of time must be in a category
identified by AIA/CES Manual, 2006 Edition, Page 10, as listed
in Item #5 above.
5.8.9.8
The Rhode Island Board will be the sole judge for acceptance of
learning under Item #6, and the number of units approved. The
basis of judgment will be the current edition of the AIA/CES
Provider Manual.
RULE 6.
INTER-JURISDICTIONAL PRACTICE
6.1
No one shall practice or offer to practice architecture in the State of Rhode Island unless they
are registered and hold a Certificate of Authorization in accordance with Section 5-1-7 of the Rhode
Island General Laws.
RULE 7.
COMPLAINTS AND HEARINGS
7.1
ORGANIZATION
7.1.1 Chapter 5-1 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.
7.1.2 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.
7.2
PRACTICE BEFORE THE BOARD
7.2.1 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.
17
7.2.2 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.
7.3
COMPLAINTS, ANSWERS & HEARINGS
7.3.1 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.
7.3.2 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.
7.3.3 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.
7.3.4 Service of Process
7.3.4.1
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.
7.3.4.2
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.
7.3.4.3
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
18
by law to receive service of such papers, and a copy shall be
furnished to counsel of record.
7.3.4.4
Method of Service:
Service
of
papers
shall
be
made
personally or by first-class registered or certified mail.
7.3.4.5
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.
7.3.4.6
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.
7.3.5
Subpoenas
7.3.5.1
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.
7.3.5.2
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.
7.3.5.3
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.
7.3.5.4
Proof of Service:
The person serving 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.
19
7.3.5.5
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.
7.3.5.6
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.
7.3.5.7
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.
7.3.6
Official Notice - Matters of Law
The Board, upon request made before or
during a hearing, will officially notice:
7.3.6.1
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.
7.3.6.2
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.
7.3.6.3
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.
7.3.6.4
Board of Organization:
The
Board's
organization,
administration, officers, personnel, official publications, and
practitioners before its bar.
7.3.7
Official Notice - Material Facts
In the absence of controvertible evidence,
the Board and its hearing officers, upon request made before or during a
hearing, may officially notice:
20
7.3.7.1
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;
7.3.7.2
Business Customs:
General customs and practices followed
in the transaction of business;
7.3.7.3
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;
7.3.7.4
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;
7.3.7.5
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;
7.3.7.6
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;
7.3.7.7
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
21
the existence or non-existence of the material fact assumed or
denied in the decision;
7.3.7.8
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.
7.3.8
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:
7.3.8.1
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;
7.3.8.2
Identity:
That persona and objects of the same name and
description are identical;
7.3.8.3
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;
7.3.8.4
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;
7.3.8.5
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;
7.3.8.6
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.
7.3.9
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
22
evidence with respect thereto will be received upon behalf of such party,
provided:
7.3.9.1
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;
7.3.9.2
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.
7.3.10
Pre-hearing Conference Rule
7.3.10.1
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:
7.3.10.1.1
The simplification of the issues;
7.3.10.1.2
The necessity of amendments to the pleadings;
7.3.10.1.3
The
possibility
of
obtaining
stipulations,
admissions of facts and of documents;
7.3.10.1.4
The limitation of the number of expert witnesses;
7.3.10.1.5
Such other matters as may aid in the disposition
of the proceeding.
7.3.10.2
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
23
admissions or agreements; and such order or statement shall
control the subsequent course of the proceeding unless modified
for good cause by subsequent order.
7.3.11
Submission of Documentary Evidence in Advance
Where practicable
the Board or its designated hearing officer may require:
7.3.11.1
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;
7.3.11.2
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;
7.3.11.3
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.
7.3.12
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.
7.3.13
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
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.
24
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.
7.3.14
Rules of Evidence
7.3.14.1
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.
7.3.14.2
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.
7.3.14.3
Evidence will not be admitted, if after it is proffered, a majority
of the Board votes against its admission.
7.3.15
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 to the
Board and amount equal to the estimated cost thereof not less than seven (7) days prior to any
scheduled hearing date.
7.3.16
Decisions
All decisions of the Board require a majority vote of the members sitting as Board members for the
hearing.
25
7.4
PETITIONS FOR RULE MAKING, AMENDMENT OR REPEAL.
7.4.1
Any interested person may petition the Board requesting the promulgation,
amendment, or repeal of any rule.
7.4.2
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.
7.4.3
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.
7.4.4
Declaratory Rulings. As prescribed by Rhode Island General Laws Section
42-35-8, 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:
7.4.4.1
Issue a non-binding declaratory ruling; or
7.4.4.2
Notify the person that no declaratory ruling is to be issued; or
7.4.4.3
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.
7.4.4.4
If a hearing as provided in subsection (c) is conducted, the
Board shall within a reasonable time:
7.4.4.4.1
Issue a binding declaratory rule; or
7.4.4.4.2
Issue a non-binding declaratory ruling; or,
7.4.4.4.3
Notify the person that no declaratory ruling is to
be issued.
7.4.5
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.
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."
26
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 8
1/2" x 11".
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 8 1/2" x 11".
RULE 8.
PROFESSIONAL STANDARDS
8.1
Competence.
8.1.1 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.
8.1.2 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 laws and regulations, once having obtained such advice, an
architect shall not knowingly design a project in violation of such laws and
regulations.
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8.1.3 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.
8.1.4 No individual shall be permitted to practice architecture if, in the Board's judgment,
such an individual’s professional competence is, despite reasonable accommodations,
substantially impaired by physical or mental disabilities.
8.2
Conflict of Interest
8.2.1
An architect shall not accept compensation for their services from more than
one party on a project, unless the circumstances have been fully disclosed to
and agreed to by all interested parties. Any such disclosures or agreements
must be in writing.
8.2.2
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.
8.2.3
An architect shall not solicit or accept compensation from material or
equipment suppliers in return for specifying or endorsing their products.
8.2.4
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.
8.3
Full Disclosure
8.3.1 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.
8.3.2 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:
8.3.2.1
report the decision to the local building official or other
authority having jurisdiction; and
8.3.2.2
refuse to consent to the decision; and
8.3.2.3
in circumstances where the architect reasonably believes that
other such decisions will be taken, notwithstanding their
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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.
8.3.3 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.
8.3.4 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.
8.3.5 An architect possessing knowledge of a violation of the provisions of professional
conduct by another architect shall report such knowledge to the Board.
8.4
Compliance with Laws
8.4.1 An architect shall not, in the conduct of their practice, knowingly violate any state or
federal law.
8.4.2 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.
8.4.3 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.
8.4.4 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
would lead to disciplinary action in this jurisdiction, the architect was disciplined in
any other NCARB recognized jurisdiction.
8.4.5 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.
8.5
Professional Conduct
8.5.1 Each office in Rhode Island offering architectural services shall have an architect
resident and regularly employed in that office.
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8.5.2 An architect shall not sign or seal technical submissions unless they were prepared by
or under the responsible control of the architect, except that:
1.
The architect 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
the Rhode Island General Laws if the architect has reviewed and adopted in whole or
in part such portions and
a. has either coordinated their preparation or
b. integrated them into their work.
2.
The architect may also sign or seal those portions of the technical submissions
that are not required by law 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.
8.5.3 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. (See Rule 2.12)
8.5.4 An architect shall not engage in conduct involving fraud or wanton disregard of the
rights of others.
8.6
Prototypical Projects
8.6.1
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:
8.6.1.1
Written approval of the Owner.
8.6.1.2
Written permission of the original architect.
8.6.1.3
Removal and invalidation of previous title blocks and seals.
8.6.1.4
Acceptance of liability as the architect in responsible control.
8.6.1.5
Complete review and modifications made to the documents to
conform to applicable codes, and adapted to specific local
conditions.
8.6.1.6
Maintain records of all modifications made to the documents.
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RULE 9.
BY-LAWS
9.1
NAME: The name of this Board shall be the "Board of Examination and Registration of
Architects" and shall be hereinafter referred to as the “Board”.
9.2
PROCEDURE: The latest edition of Robert's Rules of Order is adopted as the rules for
conducting the business of this Board at its meetings.
9.3
COMPLAINTS, HEARINGS: 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. The Board shall
administer this function and investigate complaints and conduct hearings in accordance with Rule 7.
9.4
OFFICE: The chief place of business shall be at the office of the Board of Examination and
Registration of Architects of the Division of Design Professionals within the Department of Business
Regulation (DBR).
9.5
MEETINGS:
9.5.1 Posting of Meetings. All meetings shall be publicly posted as required by law.
9.5.2 Annual. The Annual meeting of the Board shall be held in May of each year.
9.5.3 Regular. The Regular meetings of the Board shall be called for the time and place
designated at a previous meeting of the Board. Members shall receive seven days
notice of a scheduled meeting. Unless the notice specifically stipulates otherwise, any
regular meeting of the Board may act upon any and all matters coming within the
jurisdiction of the Board.
9.5.4 Special. A Special meeting of the Board shall be called upon the written request of
any member, to the Chair or Secretary of the Board. Such written request shall state
the reasons for such meeting and, except by the unanimous consent of all five
members, no other business, than that covered by the written request, shall be
considered by said special meeting.
9.5.5 Where the Board has not set the time or place for holding any meeting, the Chair or
Secretary shall have the power, in the order named, to designate both the time and
place of the meeting.
9.5.6 The Board, at its discretion, may postpone any meeting. For special meetings, the
postponement shall be to a certain date as set forth in the notice of postponement.
9.6
ELECTION OF OFFICERS: The election of officers shall take place at the Annual Meeting
of the Board, and the Board shall elect from its members a Chair, Vice Chair, and Secretary. The
term of the Officers so elected shall be for one year, but each shall continue to serve until a successor
has been appointed. The term of office shall begin the first of June following appointment.
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9.7
DUTIES OF OFFICERS:
9.7.1 The Chair of the Board shall preside at all meetings, appoint all committees, which
shall be subject to confirmation by vote of the members of the Board, and shall
perform all other duties ordinarily pertaining to the Office of the Chair as herein
prescribed or as may be directed by the Board. The Chair shall be "Ex-Officio”
member of all committees.
9.7.2 The Secretary, with the assistance of such clerical help as the Board may provide,
shall carry out the duties prescribed for the office and shall perform all other duties
ordinarily pertaining to the Office of Secretary, or as herein prescribed or directed by
the Board. The Secretary shall be charged with the custody of all records and property
of the Board, including the official seal of the State of Rhode Island.
9.8
ORDER OF BUSINESS: The order of business at any meeting of the Board shall be as
determined by the Chair and shall include the following:
9.8.1 Call to order
9.8.2 Reading of the minutes
9.8.3 Applicants for examination
9.8.4 Applicants for reciprocal transfer
9.8.5 Applicants for COA
9.8.6 Reading of Committee and other reports
9.8.7 Reading of communications
9.8.8 Unfinished Business
9.8.9 New Business
9.8.10 Executive Session (if required)
9.8.11 Election of Officers (Annual meeting only)
9.8.12 Adjournment
9.9
VOTING:
9.9.1 Voting. Three members of the Board shall constitute a quorum but action shall not be
deemed to have occurred upon any question unless there are three votes in accord.
Provided, however, that in the revoking of certificates, a unanimous vote of the full
Board shall be required.
9.10
FINANCE: All monies shall be paid out as provided by the Laws of the State. All vouchers
shall be signed by the Board’s State designated staff representative who shall then present them to the
State Treasurer for payment. The State Treasurer's warrants shall be returned to the designated staff
representative for recording in the financial record of the Board who shall then distribute them upon
request to the Board.
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9.11
RECORDS: The following records shall be kept by the Secretary (or the designated staff
representative) and shall constitute the official records of the Board.
9.11.1 Record. A computer record and hard copy file shall contain the name, addresses of
each architect and of each authorized firm, along with the respective certificate of
authorization (C.O.A.) number, date of issuing certificate, kind of certificate, record of
fees paid, and actions thereon.
9.12
FEES (All fees are Non-Refundable):
9.12.1 Registration –
9.12.1.1
Architectural Registration Examination (ARE) – The fee shall be
consistent with those examination fees for each division of the
examination as established by NCARB.
9.12.1.2
Registration by Reciprocity - $200.00.
9.12.1.3
Biennial Renewal - $150.00.
9.12.1.4
Replacement of Wall Certificate or Wallet Card - $25.00.
9.12.1.5
Renewal of Expired Certificate of Registration - $75.00 additional for
each year or part of year plus $100.00 late charge.
9.12.1.6
Issuance of “Architect Emeritus” title and certificate - $50.00 (one time
fee).
9.12.1.7
Biennial Renewal - Failure to provide complete and accurate
information will result in the return of the renewal form and will
subject the applicant to an additional fee - $25.00.
9.12.2 Certificate of Authorization –
9.12.2.1
Initial Application - $100.00
9.12.2.2
Biennial Renewal - $100.00
9.12.2.3
Replacement of Wall Certificate - $25.00
9.12.2.4
Renewal of Expired Certificate of Authorization - $50.00 additional for
each year or part of year plus $25.00 late charge.
9.12.2.5
Biennial Renewal - Failure to provide complete and accurate
information will result in the return of the renewal form and will
subject the applicant to an additional fee - $25.00.
9.12.2.6
Name Change Fee - $50.00
9.13
SEAL: The Board’s seal is an embossed circular seal consisting of two concentric circles; the
outer being 2” inches in diameter and the inner being 1 ½” inches in diameter. The inner circle shall
contain the State emblem. The space between the outer and inner circle shall contain the words
“Board for Examination & Registration of Architects”.
9.14 MODIFICATIONS:
9.14.1 The Board, at its own discretion, may reconsider, modify, suspend or revoke all or
parts of any order, decision, rule or by-law previously made or adopted by the Board.
9.14.2 Such modifications may be carried out by a unanimous vote of four members at any
meeting of the Board.
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Rule 10
Disciplinary Guidelines
[Established per Rhode Island General Laws §5-1-7(c)]
“Disciplinary Guidelines” have been established and are outlined below to give notice to licensees of
the range of possible actions, administrative fines, and/or penalties which will normally be imposed
upon violation of the Rhode Island General Laws and/or Rules and Regulations of the Board of
Examination and Registration of Architects (the “Board”). The licensee’s prior record and the
underlying circumstances will also be considered by the Board in determining the extent of actions,
administrative fines, and/or penalties.
Rule
Range of Fines
Range of Penalties
Rule 3. Applications
Falsification of Any Application
Also 8.3.3
$500 - $1500
Reprimand, Suspension, Denial,
Revocation
Failure to Identify Previous
Disciplinary Action
$250 - $1000
Reprimand, Suspension, Denial,
Revocation,
Requirement to Report In-State
Practice
Rule
Range of Fines
Range of Penalties
Rule 4. Examinations
Falsification of record, IDP, etc.
Stop Exams and Correct Record
6-month Delay – 5-year Delay
Deny Initial Registration
Exam cheating
NCARB Penalty
12-month Delay – 5-year Delay
Deny Initial Registration
Rule 5. Practice
Practice without COA
$500 - $1000
Reprimand, Probation, Suspension or
Revocation
Practice on Expired License
$500 - $1000
Reprimand, Probation, Suspension or
Revocation
Practice without RI License (Licensed
in Another Jurisdiction)
Consent Order
Refer to the Attorney General’s Office
Practice without any Active License
(Previously Licensed Anywhere)
Consent Order
Refer to the Attorney General’s Office
Stamping When Not in Responsible
Control
$1000 - $1500
Reprimand, Suspension, Revocation
Violation of Firm Name
$1000 - $1500
Reprimand, Probation
Falsification of CE Credits
Suspension, Revocation, Reprimand
and Correction in 90 Days
Failure to obtain CE Credits Required
$500 - $1000
Reprimand and Correction in 90 Days
Failure to correct CE in 90 Days
$250 - $1000
Reprimand, Probation and Revocation
Rule 8. Professional Standards
Violation of 8.1.1 (Reasonable Care)
$1000 - $1500
Probation, Suspension, Revocation
Violation of 8.1.2 (Violate Law)
$1000 - $1500
Probation, Suspension, Revocation
Violation of 8.1.3 (Qualified)
$1000 - $1500
Probation, Suspension, Revocation
Violation of 8.1.4 (Competence)
Suspension and Correction,
Revocation
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Rule
Range of Fines
Range of Penalties
Rule 8. Professional Standards
(Cont’d)
Violation of 8.2.1(Conflict of Interest)
$1000 - $1500
Reprimand, Suspension, Revocation
Violation of 8.2.2 (Disclosure)
$1000 - $1500
Reprimand, Suspension, Revocation
Violation of 8.2.3 (Gift for
Endorsement)
$1000 - $1500
Reprimand, Suspension, Revocation
Violation of 8.2.4 (Impartial)
$1000 - $1500
Reprimand, Suspension, Revocation
Violation of 8.3.1 (Credit for Work)
$1000 - $1500
Reprimand, Suspension, Revocation
Violation of 8.3.2 (HSW)
$1000 - $1500
Reprimand, Suspension, Revocation
and Practice Monitored
Violation of 8.3.3 (False Statement)
$500 - $1500
Reprimand, Suspension, Revocation
Violation of 8.3.4(Assist Registration)
$500 - $1500
Reprimand, Suspension, Revocation
Violation of 8.3.5 (Report Violation)
$1000 - $1500
Reprimand, Suspension, Revocation
Violation of 8.4.1 (Law)
$1000 - $1500
Probation, Suspension, Revocation
Violation of 8.4.2 (Bribe)
$1000 - $1500
Reprimand, Suspension, Community
Service, Revocation
Violation of 8.4.3 (Gift)
$1000 - $1500
Probation, Suspension, Revocation
Violation of 8.4.4 (Another
Jurisdiction)
$1000
Reprimand, Monitor Practice,
Suspension, Revocation
Violation of 8.4.5 (Workplace)
$1000 - $1500
Probation, Suspension, Revocation
Violation of 8.5.1(Architect in Office)
$1000 - $1500
Reprimand, Suspension, Revocation
Violation of 8.5.2
$1000 - $1500
Reprimand, Suspension, Revocation
Violation of 8.5.3 (Fraud)
$500 - $1500
Reprimand, Suspension, Revocation
Violation of 8.6(Prototypical Projects)
$1000 - $1500
Reprimand, Suspension, Revocation
General Laws
Title 5, Chapter 1
Range of Fines
Range of Penalties
§5-1-13(8)...Felony, etc.
$1000 - $1500
Probation, Suspension, Denial,
Revocation
Felony related to Practice of
Architecture
$1000
Suspension, Denial or Revocation
§5-1-13(9)...Failure to Furnish
$1000 - $1500
Reprimand, Suspension, Denial,
Revocation
§5-1-13(11)...Injurious to Profession
$1000 - $1500
Reprimand, Suspension, Denial,
Revocation
Failure to Comply with Final Order
$1000
Probation - Revocation
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RULE 11.
SEVERABILITY AND EFFECTIVE DATE
11.1
Severability. If any provision of these rules and regulations, or the application thereof, is held
invalid by a court of competent jurisdiction, the validity of the remainder of the rules and regulations
shall not be affected thereby.
11.2
Superseded Rules and Regulations. On the date that the rules and regulations take effect, of
these rules and regulations, the “Rules of the Board” as last adopted in December 2003, shall be
superseded. However, any application to or action taken by the Board prior to the effective date of
amended rules and regulations shall be governed by the rules and regulations in effect at the time that
the application was filed or the action was taken.
11.3
Effective Date. Pursuant to RIGL Section 42-35-4, as amended, the within rules and
regulations shall take effect twenty (20) days after they are filed with the Secretary of State.
EFFECTIVE DATE:
AMENDED:
June 1978
AMENDED:
July 1983
AMENDED:
November 9, 1987
AMENDED:
March 11, 1992
AMENDED:
October 24, 2001
AMENDED:
March 20, 2002
AMENDED:
August 2002
AMENDED:
October 2003
REFILED:
January 4, 2007
AMENDED:
June 28, 2007
AMENDED:
June 24, 2009