430-RICR-00-00-1
430-RICR-00-00-1. Rules and Regulations for Professional Engineering (version Adoption, 10/16/2014 to 06/29/2018)
State of Rhode Island and Providence Plantations
DEPARTMENT OF BUSINESS REGULATION
Division of Design Professionals
Board of Registration for Professional Engineers
1511 Pontiac Avenue, Bldg. 68
Cranston, Rhode Island 02920
CONCISE EXPLANATORY STATEMENT
Board of Registration for Professional Engineers– Rules and Regulations for
Professional Engineering in the State of Rhode Island
The Department of Business Regulation (“Department”) hereby proposes to adopt the
Rules and Regulations for Professional Engineering in the State of Rhode Island
(“Professional Engineering Regulation”) to be effective upon the repeal of the existing
Administrative Rules of the Board of Registration for Professional Engineers and makes
this statement in accordance with R.I. Gen. Laws § 42-35-2.3. The Department proposes
the simultaneous adoption of the Professional Engineering Regulations and the repeal of
the existing Administrative Rules in order to: i) re-organize the Administrative Rules to
be more logical, and readable; ii) confirm statutory and administrative changes made
regarding the function and role of the Board of Registration for Professional Engineers;
and, iii) reflect policy changes regarding educational, experience, and testing
requirements.
A hearing on the proposed Professional Engineering Regulations was held on April 4,
2014. No public comments were received or testimony provided either prior to or at the
hearing.
There are no substantive differences between the text of the proposed Professional
Engineering Regulations as published in accordance with R.I. Gen. Laws § 42-35-3 and
the Professional Engineering Regulations as adopted. The only post-hearing amendments
were to font size, type, and color of the document in order to enhance readability and the
designation of Sections 160.20, 160.30, 160.40 and 170.20 as “Reserved.” (These
sections were deemed “reserved” in order to prevent any impression that those sections
were inadvertently mis-numbered or missing.)
RHODE ISLAND RULES & REGULATIONS FOR LICENSURE FOR ENGINEERS – 2014
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State of Rhode Island and Providence Plantations
DEPARTMENT OF BUSINESS REGULATION
Division of Design Professionals
1511 Pontiac Avenue, Building 68
Cranston, Rhode Island 02920
RHODE ISLAND RULES & REGULATIONS FOR LICENSURE FOR ENGINEERS – 2014
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RULES AND REGULATIONS
FOR PROFESSIONAL ENGINEERING
IN THE STATE OF RHODE ISLAND
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Table of Contents
110
INTRODUCTION .................................................................................................................... 5
110.10
General Provisions .......................................................................................................... 5
110.20
Definitions....................................................................................................................... 5
120
THE LICENSING BOARD ...................................................................................................... 7
120.10
Board Appointments, Terms ........................................................................................... 7
120.20
Board Qualifications ....................................................................................................... 9
120.30
Board Compensation, Expenses...................................................................................... 9
120.50
Board Organization and Meetings ................................................................................ 10
120.60
Board Powers ............................................................................................................... 10
120.90
Roster ........................................................................................................................... 15
130
LICENSURE........................................................................................................................... 15
130.10
General Requirements for Licensure ........................................................................... 15
130.20
Application and Fees.................................................................................................... 16
140
LICENSEES ............................................................................................................................ 17
140.10
Certificates of Licensure, Seals.................................................................................... 19
140.20
Expirations, Renewals and Reinstatement to Active Practice ..................................... 20
140.30
Issuance of Duplicate Certificates ............................................................................... 20
150.10
Grounds for Disciplinary Action—Licensees ............................................................... 20
150.20
Disciplinary Action Procedures—Licensees ................................................................ 22
150.30
Grounds for Disciplinary Action—Unlicensed Individuals ......................................... 23
150.40
Disciplinary Action Procedures—Unlicensed Individuals ........................................... 24
150.50
Criminal Offenses ......................................................................................................... 25
160
CERTIFICATES OF AUTHORIZATION FOR FIRMS ....................................................... 26
160.10
General Requirements for Certificate of Authorization................................................ 26
160.20
Reserved ........................................................................................................................ 27
160.30
Reserved ........................................................................................................................ 27
160.40
Reserved ........................................................................................................................ 27
160.50
Expirations and Renewals ............................................................................................. 27
160.60
Issuance of Duplicate Certificates ................................................................................ 28
160.70
Grounds for Disciplinary Action—Firms Holding a Certificate of Authorization ....... 28
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160.80
Disciplinary Action Procedures—Firms Holding a Certificate of Authorization ........ 30
160.90
Grounds for Disciplinary Action—Firms Not Holding a Certificate of Authorization 31
160.100 Disciplinary Action Procedures—Firms Not Holding a Certificate of Authorization . 32
160.110 Criminal Offenses ......................................................................................................... 33
170
MISCELLANEOUS ............................................................................................................... 33
170.10
Public Works ................................................................................................................ 33
170.11
Public Information ....................................................................................................... 33
170.20
Reserved ....................................................................................................................... 34
170.30
Invalid Provisions ........................................................................................................ 34
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110
INTRODUCTION
110.10
General Provisions
R.I. Gen. Laws § 5-8-1 et seq. establishes the Board of Registration for Professional
Engineers (hereinafter Board) and sets forth its jurisdiction and powers. The duties of the
Board are set forth in said chapter of the General Laws.
It is the function of the Board to regulate the practice of engineering within the State of
Rhode Island as defined by the General Laws. These regulations are established for the
purpose of describing the practices and procedures of the Board of Registration for
Professional Engineers, which is one component of the Division of Design Professionals
within the Department of Business Regulation (DBR) (pursuant to R.I. Gen. Laws § 5-84-1
et seq.) and to delineate application, registration, professional responsibilities, and procedural
and technical standards for the practice of Professional Engineering in the State of Rhode
Island. All actions of the Board as described herein are subject to the approval of the
Director pursuant to R.I. Gen. Laws §§ 5-8-3(b), 8(a)(1), 18(a), (b), and 5-84-1 et seq.
The term "Board" wherever used in these regulations shall be deemed to refer to the Board of
Registration for Professional Engineers or, when the context permits, to the relevant
Administration or personnel thereof.
All statutory references to the Rhode Island General Laws are to the Rhode Island General
Laws of 1990, 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” or “R.I. Gen. Laws §”.
110.20
Definitions
1. Engineer—The term “Engineer,” within the intent of these rules and regulations, shall
mean an individual who is qualified to practice engineering by reason of special
knowledge and use of the mathematical, physical, and engineering sciences and the
principles and methods of engineering analysis and design, acquired by engineering
education and engineering experience.
2. Professional Engineer—The term “Professional Engineer,” as used in these rules and
regulations, shall mean an individual who has been duly licensed as a professional
engineer by the Board. The board may designate a professional engineer, on the basis of
education, experience, and examination, as being licensed in a specific discipline or
branch of engineering signifying the area in which the engineer has demonstrated
competence.
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2.a. —The term "Professional Engineer" shall mean a person who, by reasons of the
person's knowledge of mathematics, the physical sciences, and the principles of
engineering, acquired by professional education and practical experience is qualified to
engage in engineering practice as defined in R.I. Gen. Laws § 5-8-2(g).
3. Engineer Intern—The term “Engineer Intern,” as used in these rules and regulations, shall
mean an individual who has been duly certified as an engineer intern by the Board.
4. Practice of Engineering—The term “Practice of Engineering,” as used in these rules and
regulations, shall mean any service or creative work, the adequate performance of which
requires engineering education, training, and experience in the application of special
knowledge of the mathematical, physical, and engineering sciences to such services or
creative work as consultation, investigation, expert technical testimony, evaluation,
planning, design and design coordination of engineering works and systems, teaching of
advanced engineering subjects, performing evaluation surveys and studies, and the
review and/or management of construction for the purpose of monitoring and/or ensuring
compliance with drawings and specifications; any of which embraces such services or
work, either public or private, in connection with any utilities, structures, buildings,
machines, equipment, processes, work systems, projects, communication systems,
transportation systems, and industrial or consumer products, or equipment of a control
systems, communications, mechanical, electrical, hydraulic, pneumatic, chemical,
environmental, or thermal nature, insofar as they involve safeguarding life, health, or
property, and including such other professional services as may be necessary to the
planning, progress, and completion of any engineering services.
Design coordination includes the review and coordination of those technical submissions
prepared by others, including as appropriate and without limitation, consulting engineers,
architects, landscape architects, surveyors, and other professionals working under the
direction of the engineer.
A person shall be construed to practice or offer to practice engineering, within the
meaning and intent of these rules and regulations, who practices any discipline or branch
of the profession of engineering; or who, by verbal claim, sign, advertisement, letterhead,
card, or in any other way represents the person to be a professional engineer, or through
the use of some other title implies that the individual is a professional engineer or that the
person is licensed or authorized under these rules and regulations; or who holds the
person out as able to perform, or who does perform any engineering service or work or
any other service designated by the practitioner which is recognized as engineering.
5. The term in responsible charge as applied to the Professional Engineer shall mean a
Registrant of the Board who exerts direct control and personal supervision over all
activities associated with and defined as engineering. An engineer in responsible charge
must also exert and have authority to supervise all such regulated activities by the firm
with whom he or she is employed or associated with.
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120
THE LICENSING BOARD
120.1 This chapter describes the operation of the Board, the duties of the various officers and
committees of the Board and the procedures for the conduct of the Board meetings.
The name of this Board shall be State Board of Registration for Professional Engineers. For
the purpose of brevity this organization shall be subsequently referred to as the "Board".
The term "Chairman" wherever used in these regulations shall be deemed to refer to the
Chairman of the Board. When used in connection with proceedings before the Board, the
term "Chairman" shall also include the hearing officer conducting any hearing or prehearing
for the Board.
120.2.1 In administering these rules and regulations and formulating its procedures, the Board
recognizes three (3) fundamental obligations:
120.2.2 To respect the right to means of a livelihood of any individual who has conscientiously and
properly prepared to practice Professional Engineering.
120.2.3 To protect the public, as far as possible, within the limits of the rules and regulations from
such dangers, affecting life, health and property, as may arise from the attempt of
incompetent or unethical persons to practice this profession.
120.2.4 All Engineers and Engineers-In-Training shall conform to the Code of Ethics adopted by this
Board in their professional activities.
120.10
Board Appointments, Terms
The Board shall elect or appoint annually at its stated meeting at the location and time shown
on the Board of Registration for Professional Engineer’s official web site
(www.bdp.state.ri.us) of each January the following officers to serve for one year from date
of such election or appointment, a Chairman, Vice-Chairman, and a Secretary, all of whom
shall be members of the Board. Any Officers so elected shall receive not less than three (3)
affirmative votes.
120.10.1
Duties
120.10.1.1
Chairman
The Chairman shall, when present, preside at meetings and shall appoint all committees. The
Chairman shall otherwise perform all duties pertaining to the office of Chairman and shall
sign all certificates, vouchers and other official documents.
120.10.1.2
Vice-Chairman
The Vice-Chairman shall, in the absence or incapacity of the Chairman, exercise the duties
and shall possess all the powers of the Chairman.
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120.10.1.3
Secretary
The secretary shall sign all certificates and oversee the administrative assistant’s duties.
The Board’s Administrative Assistant shall in coordination with the Secretary: Conduct and
care for all correspondence in the name of the Board and shall record and file all
applications, certificates of registration, examinations, registrations and revocations; be in
possession of the official seal and affix same to all official documents upon order of the
Chairman and Board; keep a record of all meetings, in the form approved by the Board;
maintain a proper account of all the business of the Board; The administrative assistant shall
prepare a roster showing the names and places of business of all registered professional
engineers and ensure their listing on the Board’s web site.
120.10.2
Vacancies
If for any reason vacancies shall occur in the office of Chairman, Vice-Chairman and/or
Secretary, the Offices or Office shall be filled by an election of the Board Members either at
a regular stated meeting or a special meeting called for that purpose. Any Officers so elected
shall receive not less than three (3) affirmative votes.
A quorum shall consist of three (3) members.
At the same stated meeting the Board may elect or appoint committees as listed below to
serve for one year or until his or her successor is elected; said secretary may or may not be a
member of the Board.
1.
Executive
2.
Finance
3.
Rules and Regulations
4.
Examinations
5.
Information
6.
Complaint
1. Executive Committee:
The Executive Committee may consist of three (3) members, of which the Chairman
of the Board shall be Chairman. Its duties shall be to transact all business during the
interval between meetings and to make a report thereon to the Board at its next
meeting.
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2. Finance
3. Rules and Regulations Committee
The Rules and Regulations Committee may consist of two (2) members, and may
from time to time consider and recommend to the Board such modifications of the by-
laws and rules and regulations governing examinations, registrations and procedures
as will give the best operating results.
4. Examinations Committee:
The committee on examinations shall consist of all members of the Board. Their
duties shall be to coordinate with the National Council of Examiners for Engineering
and Surveying on the nature and scope of the examinations to be held by the Board
and verify examination scores.
5. Information Committee:
The Committee on Information may consist of three (3) members, and its duties shall
be to recommend to the Board data for publication and circulation setting forth the
policy, purpose and principles of the Board.
6. Complaint Committee:
The Committee shall consist of one (1) member and he shall, with the Secretary,
screen all complaints and decide on the procedure for their treatment. He shall,
further, act as complaint officer for such complaints as progress to that stage. The
Board may appoint its legal counsel to fulfill the purpose of this committee.
120.20
Board Qualifications
120.20.1
Each professional engineer member of the Board shall be a citizen of the United
States and a resident of this jurisdiction. They shall have been engaged in the lawful
practice of engineering as a professional engineer for at least 12 years, shall have
been in responsible charge of engineering projects for at least 5 years, and shall be a
licensed professional engineer in this jurisdiction as required in R.I. Gen. Laws § 5-8-
4.
120.30
Board Compensation, Expenses
Pursuant to R.I. Gen. Laws § 5-8-5 The chairperson and each other member shall not
be compensated for their service on the Board but shall be reimbursed for all
traveling, incidental, and clerical expenses necessarily incurred in carrying out the
provisions of R.I. Gen. Laws § 5-8-1 et seq.
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120.50
Board Organization and Meetings
120.50.1
Organization
120.50.1.1
Offices
The offices of the Board shall be at the location shown on the Board of Registration
for Professional Engineer’s official web site (www.bdp.state.ri.us).
120.50.1.2
Seal
The seal of the Board shall be as follows: an embossed circular seal two and one-
fourth inches in diameter consisting of two concentric circles, the outer circle to be
two and one-eighth inches in diameter, the inner one to be one and three-eighths in
diameter and containing the great seal of the State of Rhode Island, and the words
"State of Rhode Island, and the words "State Board of Registration for Professional
Engineers" below.
120.50.1.3
Fiscal Year
The fiscal year of the Board shall end on June 30 of each year.
120.50.2
Meetings
120.50.1
Not less than six stated regular meetings shall be held each year at the location and
time shown on the Board of Registration for Professional Engineer’s official web site
(www.bdp.state.ri.us), unless otherwise specified by notice. Special meetings may be
called at any time by order of the Chairman or by a majority of Board members. Due
notice of special meeting shall be given to each member.
120.50.2
Roberts’ Rules of Order shall govern the procedures of the Board except as otherwise
provided by the statutes or Rules and Regulations.
120.60
Board Powers
120.61
A "Code of Ethics" designed for the protection of the public shall be prepared and
published by the Board. It will be published on the Board of Registration for
Professional Engineer’s official web site (www.bdp.state.ri.us).
120.62
RULES OF PROFESSIONAL CONDUCT - A CODE OF ETHICS
120.62.1
Preamble
To comply with R.I. Gen. Laws § 5-8-1 et seq., which is to safeguard life, health, and
property, to promote the public welfare, and to maintain a high standard of integrity
and practice, the Rhode Island Board of Registration for Professional Engineers has
developed the following "Rules of Professional Conduct" as a Code of Ethics.
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120.62.2
These rules shall be binding on every person holding a certificate of registration as a
Professional Engineer and on all partnerships, sole proprietorships, corporations or
other legal entities authorized to offer or perform engineering services in this State.
All Registrants under the Rhode Island statute are required to be familiar with the
registration statute and these rules. The "Rules of Professional Conduct" delineate
specific obligations the Registrant must meet. In addition, each Registrant is charged
with the responsibility of adhering to standards of the highest ethical and moral
conduct in all aspects of the practice of professional engineering.
120.62.2.1 All Registrants shall perform their services only in the areas of their competence
according to current standards of technical competence.
120.62.2.2 Registrants shall recognize their responsibility to the public and shall represent
themselves before the public only in an objective and truthful manner.
120.62.2.3 Registrants shall avoid conflicts of interest and faithfully serve the legitimate interests
of their clients, employers, and customers within the limits defined by these rules.
Registrants’ professional reputation shall be built on the merit of their services and
they shall not compete unfairly with others.
120.62.2.4 The "Rules of Professional Conduct" as promulgated herein are enforced under the
powers granted to the Board under R.I. Gen. Laws § 5-8-1 et seq.
120.62.2.5 In these rules, the word "Registrant" shall mean any person, corporation, partnership,
sole proprietorship or other legal entity holding a license or certificate issued by the
Rhode Island Board of Registration for Professional Engineers.
120.62.3
Obligations to Society
120.62.3.1
Registrants, in the performance of their services for clients, employers, and
customers, shall be cognizant that their first and foremost responsibility is to the
public welfare.
120.62.3.2
Registrants shall approve and seal only those design documents that conform to
accepted engineering standards and safeguard the life, health, property, and welfare of
the public.
120.62.3.3
The application of a professional engineer seal shall indicate that the engineer has
exercised direct control and personal supervision over the work to which the seal is
affixed. Therefore, no Registrant shall affix a name, seal or certification to a plat,
drawing, design, specification or other work constituting the practice of engineering
which has been prepared by an unlicensed or uncertified person or firm unless such
work was performed under the direct control and personal supervision of the
engineer. If the engineer is unable to seal completed professional engineering work,
such work may be sealed by another registered engineer after thorough review and
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verification that the work has been accomplished to the same extent that would have
been exercised if the work had been done under the direct control and personal
supervision of the Registrant affixing the professional seal.
120.62.3.4
A principal or authorized licensed or certified employee shall apply a seal to final and
complete cover sheets of plans, drawings, plats, technical reports and specification
and to each original sheet of plans, drawing or plats, prepared by the engineer or
someone under his or her direct control and personal supervision.
120.62.3.4.1 All seal imprints on final documents shall bear an original signature and date.
120.62.3.4.2 Incomplete plans, documents and sketches, whether advance or preliminary copies,
must be so identified and need not be sealed or signed.
120.62.3.4.3 All plans, drawings or plats prepared by the Registrant shall bear the Registrants
name or firm name, address and project name.
120.62.3.4.4 Application of the seal and signature indicates acceptance of responsibility by the
Registrant sealing said documents for all work shown thereon unless clearly indicated
in writing on each sheet.
120.62.3.4.5 The failure to conform to these requirements shall constitute the failure to seal a
document.
120.62.3.5
Registrants shall notify their client or employer and such other authority as may be
appropriate when their professional judgment is overruled under circumstances where
life, health, property, or welfare of the public is endangered. Such notification shall
be in writing when and where practicable.
120.62.3.6
Registrants shall be objective and truthful in professional reports, statements, or
testimony. They shall include all relevant and pertinent information in such reports,
statements, or testimony.
120.62.3.7
Registrants shall express a professional opinion publicly only when it is founded upon
an adequate knowledge of the facts and a competent evaluation of the subject matter.
120.62.3.8
Registrants shall issue no statements, criticisms, or arguments on technical matters
which are inspired or paid for by interested parties, unless they explicitly identify the
interested parties on whose behalf they are speaking, and reveal any interest they have
in the matters.
120.62.3.9
Registrants shall not permit the use of their name or firm name by, nor associate in
business ventures with, any person or firm which is engaging in fraudulent or
dishonest business practices.
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120.62.3.10
Registrants having knowledge of possible violations of any of these "Rules of
Professional Conduct" must provide the Board with the information necessary for the
Board to render a final determination of the propriety of the conduct of any
Registrant.
120.62.3.11
Registrants shall, upon request or demand, produce to the Board, or any of its agents,
any plan, drawing, document, book, record or copy thereof in his possession
concerning a transaction covered by these rules and shall cooperate in the
investigation of a complaint filed with the Board against another Registrant.
120.62.4
Obligations to Clients or Employer
120.62.4.1
Registrants shall undertake assignments only when qualified by education or
experience in the specific technical fields of engineering involved. Registrants are
not to be restricted to one discipline, rather, as Professional Engineers they are to
practice in their fields of competence, provided however, that in the event this Board
shall issue registration and/or licenses in a specific area of practice, no person/firm
and/or Registrant shall practice in that area unless registered to do so by this Board.
120.62.4.2
Registrants shall not affix their signatures or seals to any drawings or documents
dealing with subject matter in which they lack competence, nor to any such drawing
or document not prepared under their direct control and personal supervision.
120.62.4.3
Registrants may accept assignments, as the prime design professional, to oversee and
to coordinate an entire project, provided that each design segment is signed and
sealed by the registrant or individual responsible for preparation of that design
segment.
120.62.4.4
Professional Engineers in their capacity as the prime design professional will oversee
and coordinate the work of other design professionals embracing those services or
work in connection with any public or private utilities, structures, buildings,
machines, equipment, processes, work, or projects wherein the public welfare or the
safeguarding of life, health, or property is involved or concerned.
120.62.4.5
Registrants shall not reveal facts, data, or information obtained in a professional
capacity without the prior consent of the client or employer except as authorized or
required by law.
120.62.4.6
Registrants shall not solicit or accept financial or other valuable considerations,
directly or indirectly, from contractors, their agents, or other parties in connection
with work for clients or employers.
120.62.4.7
Registrants shall make full prior disclosures to their clients or employers of potential
conflicts of interest or other circumstances which could influence or appear to
influence their judgment or the quality of their service.
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120.62.4.8
Registrants shall not accept compensation, financial or otherwise, from more than one
party for services pertaining to the same project, unless the circumstances are fully
disclosed and agreed to by all interested parties.
120.62.4.9
Registrants shall not solicit or accept a professional contract from a government body
on which a principal or officer of their organization serves as a member. Conversely,
Registrants serving as members, advisors, or employees of a governmental body or
department, who are the principals or employees of private concern, shall not
participate in decisions with respect to professional services offered or provided by
said concern to the governmental body which they serve.
120.62.4.10
Registrants shall not participate in bribery in the course of soliciting, maintaining, or
increasing work.
120.62.5
Obligations to Other Registrants
120.62.5.1
Registrants shall not falsify or permit misrepresentation of their or their associates',
academic or professional qualifications. They shall not misrepresent or exaggerate
their degree of responsibility in prior assignments or the complexity of said
assignments. Presentations incident to the solicitation of employment or business
shall not misrepresent pertinent facts concerning employers, employees, associates,
joint ventures or past accomplishments.
120.62.5.2
Registrants shall not offer, give, solicit, or receive, either directly or indirectly, any
commission or gift, or other valuable consideration in order to secure work, and shall
not make any political contribution with the intent to influence the award of a contract
by a public authority.
120.62.5.3
Registrants shall not attempt to injure, maliciously or falsely, directly or indirectly,
the professional reputation, prospects, practice or employment of other Registrants,
nor indiscriminately criticize other Registrants work.
120.62.5.4
Registrants shall not knowingly use the design, drawings or work of another design
professional without the original design professional's knowledge and consent. In the
event the consent has been obtained, a thorough review of the design, drawings or
work of the design professional will be assumed.
120.62.5.5
Registrants shall be in good standing in every jurisdiction where registered or where
engaged in the practice of engineering.
120.62.5.6
Applicants for registration with the Rhode Island Board of Registration for
Professional Engineers shall be in good standing in every jurisdiction where
licensed or certified and shall not have had a license or certificate suspended, revoked
or surrendered in connection with a disciplinary action. Any person or firm applying
for registration in this State shall fully set forth the facts, dates and circumstances of
any prior investigation and/or disciplinary action by any other jurisdiction. The
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failure to do so shall constitute sufficient grounds for denial of any application
submitted to this Board.
120.90
Roster
A complete roster showing the names, last known addresses, and license or certificate
number of all professional engineers, and firms holding a certificate of authorization
will be published on the Board of Registration for Professional Engineer’s official
web site (www.bdp.state.ri.us).
130
LICENSURE
130.10
General Requirements for Licensure
In accordance with the provisions of R.I. Gen. Laws 5-8-1 it shall be "unlawful for
any person to practice, or to offer to practice, engineering in this State, or to use in
connection with his or her name or otherwise assume, or advertise any title or
description tending to convey the impression that he or she is an engineer unless that
person has been duly registered or exempted under the provisions R.I. Gen. Laws § 5-
8-1.
In addition, pursuant to the provisions of R.I. Gen. Laws § 5-8-24, "the practice or
offer to practice engineering" by a corporation, partnership or sole proprietorship
(here and after referred to as "firm"), through individuals is permitted provided that
said individuals are:
1. in direct control of such practice,
2. exercise personal supervision of all personnel who act in behalf of the firm and
professional and technical matters, and
3. are registered under the provisions of this chapter, and
4. that said firm has been issued a Certificate of Authorization by the Board of
Registration. (R.I. Gen. Laws § 5-8-24)
A firm’s "practice of engineering" shall be defined as "any service or creative work,
the adequate performance of which requires engineering education, training and
experience in the application of special knowledge of the mathematical, physical and
engineering sciences to such services or creative work such as consultation,
investigation, evaluation surveys, planning and design of engineering systems and the
supervision of construction for the purpose of assuring compliance with specification;
and embracing those services or work in connection with any public or private
utilities, structures, buildings, machines, equipment, processes, work, or projects
wherein the public welfare or the safeguarding of life, health, or properties involved
or concerned." R.I. Gen. Laws § 5-8-2.
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A person shall be construed to practice or offer to practice engineering, within the
meaning and intent of this chapter, who practice any branch of the profession of
engineering; or who, by verbal claim, sign, advertisement, letterhead, cards or in any
other way represents him or herself to be an engineer, or through the use of some
other title implies that he or she is an engineer or that he or she is registered under this
chapter; or who holds him or herself out to as able to perform, or who does perform
any engineering service or work or any other service designated by the practitioner or
recognized as engineering". (R.I. Gen. Laws § 5-8-2)
Any individual and/or firm who submits a response to a request for proposals (RFP)
or any other bidding method which requires the performance of any engineering work
or services shall be construed to be offering to practice engineering in this State.
130.11
Engineers in Responsible Charge – Duties
130.11.1
A Professional Engineer in responsible charge shall be required to stamp any and all
drawings, reports, documents, specifications, plats or other submissions which are
required to be stamped by that firm. The engineer in responsible charge shall also be
held professionally accountable for the accuracy and correctness of any such
documents submitted as well as for the quality and professionalism of the work
performed.
130.11.2
A Professional Engineer designated as being in responsible charge shall have the
authority to approved or disapprove on behalf of the firm any and all activities
associated with the regulated profession and such decisions and/or determinations by
that individual may not be overturned or altered by any other person or persons
associated with that firm except with the approval of the engineer in responsible
charge. No registered person or persons may be designated as being in responsible
charge of engineering work by any firm, corporation, partnership or sole
proprietorship unless and until such time as such designation is done in writing signed
by the person in responsible charge.
130.11.3
Upon the termination of any designation as in responsible charge, the Registrant of
the respective Board must notify the Rhode Island Board of Registration for
Professional Engineers within ten (10) days in writing of his termination from the
position of being in responsible charge. Until such time as said notice is received, the
designated individual shall remain in responsible charge and shall be held
accountable for the work performed by that firm, partnership, or sole proprietorship.
130.20
Application and Fees
130.20.1
Any person desiring to practice Professional Engineering in the State of Rhode Island
shall apply to the Board for a certificate of Registration and shall submit evidence of
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his or her qualifications to the Board on forms furnished by the Board, and, upon the
approval of the Board, will be issued a certificate as a Professional Engineer.
130.20.2
Professional Engineers and any other person or entity registered under the Laws of
the State of Rhode Island are requested to keep their certificates of registration issued
by the Board posted conspicuously in their principal place of business, where the
public can examine said certificate.
130.20.3
Professional Engineers under this these rules and regulations are expected to practice
within their area of competence. This requires that all applicants declare their
appropriate engineering discipline of competence and practice. These disciplines are
as follows:
Civil
Structural
Electrical
Fire Protection
Mechanical
Chemical
Environmental
The Board will issue Certificates of Registration to those applicants who demonstrate
qualifications acceptable to the Board, for a specific discipline.
130.20.4
Pursuant to R.I. Gen. Laws § 5-8-14(d) any party aggrieved by the Board’s decision
regarding license issuance or renewal may, within 10 days of the decision, appeal the
matter to the Director of the department of business regulation by submitting a
written request for a formal hearing to be conducted with the provisions of R.I. Gen.
Laws § 5-8-18.
140
LICENSEES APPLICATION FOR REGISTRATION AS A
PROFESSIONAL ENGINEER AND FOR CERTIFICATION AS AN
ENGINEER-IN-TRAINING
140.1
Applications for Registrations as a Professional Engineer and certification as an
Engineer-In-Training shall be made on forms furnished by the Board.
140.1.2
Application for certification as an Engineer-In-Training shall, in approval, admit the
applicant to examination, the passage of which shall entitle the applicant to a
certificate as an Engineer-In-Training.
140.2
Classes of Applicants
Each applicant shall designate the classification in the following schedule of
minimum requirements, under which he or she makes application.
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140.2.1
Professional Engineer
140.2.1.1
By endorsement without further examination. Acceptable evidence of registration in
good standing by comparable written examination in another State, territory or
possession of the United States, the District of Columbia, or of any foreign country
and/or a certificate of qualification from the NCEES showing the applicant to have
qualifications meeting the requirements of the statutes, as defined in R.I. Gen. Laws §
5-8-11(1)(a). All such applicants shall be required to verify such information
furnished to the Board in a form satisfactory and approved by the Board.
140.2.1.2
By graduation, experience and examination. Graduates of engineering schools in an
ABET/EAC approved four-year engineering curriculum, with four years of active
engineering practice indicating experience of a grade and character satisfactory to the
Board and passing an NCEES examination in the fundamentals of engineering and
passing an NCEES examination in the principles and practice of engineering, as
defined in R.I. Gen. Laws § 5-8-11(1) (b).
140.2.1.3
Graduates of engineering schools in an ABET/EAC approved four-year engineering
curriculum, with twelve (12) years or more experience of a grade and character,
satisfactory to the Board, and passing an NCEES examination in the Principles and
Practice of Engineering, as defined in R.I. Gen. Laws § 5-8-11(1)(b). In order to
satisfy the requirements of this provision, the applicant must demonstrate that for
each of the twelve (12) years submitted for experience purposes that the applicant
was directly employed within the engineering profession and was principally
employed in the engineering profession during each of the years submitted.
140.2.1.4
Graduates with a Bachelor’s degree in a science, mathematics, or engineering
technology curriculum and an MS Degree in engineering from a college or university
that is an ABET/EAC accredited institution for their BS Degree programs with six
years of active engineering practice indicating experience of a grade and character
satisfactory to the Board and passing an NCEES examination in the fundamentals of
engineering and passing an NCEES examination in the principles and practice of
engineering.
140.3
Submission of Applications
140.3.1
Registrants in this Board shall be subject to the following interpretations of
registration laws in regard to this Board acting upon individual applications and
renewals.
140.3.1.1
Each person shall be required to submit applications or renewal applications in a
timely fashion in accordance with the schedules established by the Board.
Individuals who fail to submit applications for registration or renewals in accordance
with the deadlines established by the Board shall be considered to have not complied
with the terms and conditions of their license or license application. In the event that
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the Board shall make such a determination, individuals who were previously
registered shall be prohibited from the practice of engineering until such time as the
Board has reviewed and accepted their application or renewal of their license.
140.3.1.2
Any individual who shall engage in the practice of engineering while in an
unregistered status shall be determined to be in willful violation of the registration
laws of the State of Rhode Island and shall be dealt with accordingly. Any person
who shall submit or stamp documents during a period when said person is not
registered shall be considered to be in willful violation of the registration laws of the
State of Rhode Island and shall be subject to being denied registration or denied
renewal of past registrations for said actions.
140.3.1.3
Every applicant for registration or a certificate of authorization, or a renewal thereof,
shall be responsible for the accuracy and correctness of the information contained on
the application. The Board will not alter any application nor will the Board accept
any verbal changes in any application before the Board. Each applicant must review
his/her application carefully and, if changes are to be made, they must be made by the
applicant in writing.
140.4
It is the policy of the Board to not review with any applicant any examination
administered to applicants.
140.5
Board Policy on the Number of Times an Applicant May Be Allowed to Take the
Fundamentals of Engineering (FE) or the Professional Engineers (P.E.) Exam.
140.5.1
A qualified applicant will be allowed to take the FE or P.E. Exam in a specific
discipline a total of three (3) times. This would be an aggregate total regardless of
where or when the exam was taken.
140.5.2
An applicant who has failed the FE exam or the PE exam three (3) times in a
discipline, may request permission to take the exam for an additional time, if before
each additional exam attempted, they agree to complete an appropriate Board
approved review course or advanced engineering courses in areas of their discipline
and submit written proof to the Board of having successfully completed such course
or courses.
140.10
Certificates of Licensure, Seals
Each Professional Engineer hereunder may upon registration obtain a stamp/seal of
the design indicated below, bearing the Registrants name, serial number and the
legend, Registered Professional Engineer.” Final drawings, plats, and reports
prepared by a Registrant shall, when issued, be signed and stamped with the said
stamp/seal or facsimile thereof.
140.11
Electronic Signatures
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The Board allows electronic signatures and/or seals on plans submitted to government
agencies, such as municipalities and state agencies that accept electronic
documentation and electronic signatures and seals as allowed by the Uniform
Electronic Transactions Act adopted under R.I. General Laws § 42-127.1-1 et seq.
It is incumbent on the Professional Engineer to ensure their electronic signatures and
seals are properly encoded to avoid misuse by other than the licensed engineer.
140.20
Expirations, Renewals and Reinstatement to Active Practice
140.20.1
Certificates of licensure shall expire on the last day of the month of June in the odd
years following their issuance and shall become invalid after that date unless
renewed. It shall be the duty of the Board to notify every individual licensed under
this Act of the date of the expiration of the certificate of licensure and the amount of
the fee required for its renewal. Such notice shall be mailed to the licensee at their last
known address at least 1 month in advance of the date of the expiration of the
certificate.
140.20.2
Renewal may be affected at any time prior to or during the month of June by payment
of a fee as established by regulation of the Board. Renewal of an expired certificate
may be affected under rules promulgated by the Board regarding requirements for re-
examination and penalty fees.
140.30
Issuance of Duplicate Certificates
A duplicate certificate of licensure or enrollment document to replace any certificate
or card lost, destroyed, or mutilated may be issued subject to the rules of the Board. A
fee established by regulation shall be paid for each issuance.
150
DISCIPLINARY ACTION
150.10
Grounds for Disciplinary Action—Licensees
150.10.1
Pursuant to R.I. Gen. Laws §5-8-18(a) he Board shall have the power to recommend
suspension, revocation, placement on probation, imposition of a fine, recovery of
costs, and/or reprimand, or refusal of the issuance, restoration, or renewal of a license
or intern certification to any licensee that is found to have engaged in:
1. Any fraud or deceit in obtaining or attempting to obtain or renew a certificate of
licensure
2. Any negligence, incompetence, or misconduct in the practice of engineering
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3. Conviction of or entry of a plea of guilty or nolo contendere to any crime that is a
felony, whether or not related to the practice of engineering; and conviction of or
entry of a plea of guilty or nolo contendere to any crime, whether a felony,
misdemeanor, or otherwise, an essential element of which is dishonesty or which
is directly related to the practice of engineering.
4. Failure to comply with any of the provisions of these rules and regulations or any
of the rules or regulations of the Board.
5. Discipline by another jurisdiction, foreign country, or the United States
government, if at least one of the grounds for discipline is the same or
substantially equivalent to those contained in these rules and regulations.
6. Failure to provide information requested by the Board as a result of a formal or
informal complaint to the Board which alleges a violation of these rules and
regulations.
7. Knowingly making false statements or signing false statements, certifications, or
affidavits in connection with the practice of engineering.
8. Aiding or assisting another person in violating any provision of these Law or the
rules or regulations of the Board.
9. Violating any terms of probation imposed by the Board or using a seal or
practicing engineering while the licensee’s license is inactive or restricted.
10. Signing, affixing, or permitting the licensee’s seal or signature to be affixed to
any specifications, reports, drawings, plans, plats, design information,
construction documents or calculations, surveys, or revisions thereof which have
not been prepared by the licensee or under the licensee’s responsible charge.
11. Engaging in dishonorable, unethical, or unprofessional conduct of a character
likely to deceive, defraud, or harm the public.
12. Providing false testimony or information to the Board.
13. Providing engineering services outside any of the licensee’s areas of competence.
150.10.2
In addition to or in lieu of any other sanction provided in this section, any licensee or
intern that violates a provision of any rule or regulation of the Board may be assessed
a fine in an amount determined by the Board of not more than the amount specified in
accordance with the current applicable statute, R.I. Gen. Laws § 5-8-18 for each
offense or R.I. Gen. Laws § 5-84-5.
150.10.2.1
Each day of continued violation may constitute a separate offense.
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150.10.2.2
In determining the amount of fine to be assessed pursuant to this section, the Board
may consider such factors as the following:
1. Whether the amount imposed will be a substantial economic deterrent to the
violation;
2. The circumstances leading to the violation;
3. The severity of the violation and the risk of harm to the public;
4. The economic benefits gained by the violator as a result of non-compliance;
5. The interest of the public.
150.20
Disciplinary Action Procedures—Licensees
150.20.1
Any person or entity, including the Board itself, may file a complaint alleging a
violation of any provision of the rules or regulations of the Board against any licensee
or against any intern.
150.20.2
A complaint shall be in writing and state specifically the facts on which the
complaint is based.
150.20.2.1
Complaints shall be submitted using the complaint form as indicated on the Board of
Registration for Professional Engineer’s official web site (www.bdp.state.ri.us)
150.20.3
All complaints shall be reviewed by the Board or an investigative committee
designated by the Board. After review, the Board or the investigative committee shall
recommend, as appropriate, if charges are warranted.
150.20.4
All charges, unless dismissed by the Board as unfounded, trivial, or unless settled
informally, shall be heard by the Department. The time and place for the hearing
shall be fixed by the Department, and a copy of the charges, together with a notice of
the time and place of hearing, shall be personally served on or mailed to the last
known address of such accused individual at least 30 days before the date fixed for
the hearing. At any hearing, the accused individual shall have the right to appear in
person or by counsel, or both, to cross-examine witnesses in their defense and to
produce evidence and witnesses in their defense. If the accused individual fails or
refuses to appear at the hearing, the Department may proceed to hear and determine
the validity of the charges in the accused individual’s absence. All hearings shall be
conducted pursuant to Department of Business Regulation Central Management
Regulation 2 entitled Rules of Procedure for Administrative Hearings.
150.20.5
A licensee or intern aggrieved by any action of the Department in levying a fine;
recovering costs; reprimanding; placing on probation; denying; suspending; refusing
to issue, restore, or renew; or revoking a license or intern certification may appeal the
Board’s decision to the proper court pursuant to R.I. Gen. Laws § 42-35-14.
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150.20.6
Any financial sanction assessed pursuant to Section 150.10 of these rules and
regulations shall be assessed in a proceeding as provided in this section. Unless the
amount of the penalty is paid within 30 Days after the order becomes final, the order
shall constitute a judgment and shall be filed and execution issued thereon in the same
manner as any other judgment of a court of record.
150.20.7
An action to enforce an order under this section may be combined with an action for
an injunction.
150.20.8
The Board may, upon petition of a licensee or intern to reissue a license or intern
certification that has been revoked by the Department, provided that a majority of the
Board votes in favor of such reissuance.
150.20.8.1
In the event that any individual or firm shall have his license revoked or not renewed
for cause, said person shall not be permitted to reapply for registration for a period of
not less than five (5) years. Upon re-application, it shall be the burden of the
applicant to demonstrate by clear and convincing evidence that sufficient grounds
exist to support the applicant's request for registration. The Board may modify this
rule on a case by case basis when a license has been "not renewed" due to a license
suspension of less than five (5) years duration.
150.30
Grounds for Disciplinary Action—Unlicensed Individuals
150.30.1
Pursuant to R.I. Gen. Laws § 5-8-20(c) in addition to any other provisions of law, the
Board shall have the power to fine pursuant to R.I. Gen. Laws § 5-84-5 and recover
costs pursuant to R.I. Gen. Laws § 5-8-18 (a)(7) from any unlicensed individual who
is found guilty of:
1. Engaging in the practice or offer to practice of engineering in this jurisdiction
without being licensed in accordance with the provisions of these rules and
regulations.
2. Using or employing the words “engineer,” “engineering,” or any modification or
derivative thereof in his or her name or form of business activity except as
licensed in these rules and regulations.
3. Presenting or attempting to use the certificate of licensure or seal of a professional
engineer.
4. Engaging in any fraud or deceit in obtaining or attempting to obtain a certificate
of licensure or intern certification.
5. Impersonating any professional engineer.
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6. Using or attempting to use an expired, suspended, revoked, inactive, retired, or
non-existent certificate of licensure.
150.30.2
A fine assessed under this section may not exceed fees determined in the amount
specified in accordance with the R.I. Gen. Laws §§ 5-84-5 as applicable, and/or
modified by the Department for each offense. No further requirements shall be
necessary to assess or modify the fine
150.30.3
Each day of continued violation may constitute a separate offense.
150.30.4
In determining the amount of fine to be assessed and recommended pursuant to this
section, the Board may consider such factors as the following:
1. Whether the amount imposed will be a substantial economic deterrent to the
violation.
2. The circumstances leading to the violation.
3. The severity of the violation and the risk of harm to the public.
4. The economic benefits gained by the violator as a result of non-compliance.
5. The interest of the public.
150.40
Disciplinary Action Procedures—Unlicensed Individuals
150.40.1
Any person or entity, including the Board itself, may file a complaint alleging a
violation of any provision of the rules or regulations of the Board against any
unlicensed individual.
150.40.2
A complaint shall be in writing and state specifically the facts on which the complaint
is based.
150.40.3
All complaints shall be reviewed by the Board or an investigative committee
designated by the Board. After review, the Board or the investigative committee shall
determine or recommend, as appropriate, if charges are warranted.
150.40.4
All charges, unless dismissed by the Board as unfounded, trivial, or unless settled
informally, shall be heard by the Department. The time and place for the hearing
shall be fixed by the Department, and a copy of the charges, together with a notice of
the time and place of hearing, shall be personally served on or mailed to the last
known address of such accused individual at least 30 days before the date fixed for
the hearing. At any hearing, the accused individual shall have the right to appear in
person or by counsel, or both, to cross-examine witnesses in their defense and to
produce evidence and witnesses in their defense. If the accused individual fails or
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refuses to appear at the hearing, the Board may proceed to hear and determine the
validity of the charges in the accused individual’s absence. All hearings shall be
conducted pursuant to Department of Business Regulation Central Management
Regulation 2 entitled Rules of Procedure for Administrative Hearings
150.40.5
If after such hearing a majority of the Department votes in favor of sustaining the
charges, the Department shall impose a fine for this unlicensed activity in accordance
with R.I. Gen. Laws § 5-84-5 for each count and recover costs from the accused
individual.
150.40.6
An individual aggrieved by any action of the Department in levying a fine or
recovering costs may appeal the Department’s decision to the proper court pursuant to
R.I. Gen. Laws § 42-35-14.
150.40.7
Any financial sanction assessed pursuant to this section shall be assessed in a
proceeding as provided in this section. Unless the amount of the penalty is paid
within 30 days after the order becomes final, the order shall constitute a judgment and
shall be filed and execution issued thereon in the same manner as any other judgment
of a court of record.
150.40.8
An action to enforce an order under this section may be combined with an action for
an injunction.
150.50
Criminal Offenses
150.50.1
Pursuant to R.I. Gen. Law § 5-8-20(c), any individual who shall commit a violation
included in R.I. Gen. Law § 5-8-20(a) or (b) shall be guilty of a misdemeanor, and
upon conviction by a court of competent jurisdiction shall be sentenced to pay a fine
of not more than one thousand dollars ($1,000) for the first offense and a fine of not
less than one thousand dollars ($1,000) nor more than two thousand dollars ($2,000)
for each subsequent offense, or imprisonment for not more than one year, or both; and
in the court's discretion and upon good cause shown reimburse the board for any and
all fees, expenses, and costs incurred by the board in connection with the proceedings,
including attorneys’ fees, which amount shall be deposited as general revenues; and
be subject to, in the board's discretion, public censure or reprimand..
150.50.2
All disciplinary actions will be published on the Board of Registration for
Professional Engineer’s official web site (www.bdp.state.ri.us) of all disciplinary
actions taken by the Board in order to ensure that the public is fully informed as to the
identity of the Registrant and nature of the disciplinary action taken by the Board. In
addition, the Board shall cause the individuals to be notified in writing of any
disciplinary action and furnish to those individuals copies of any notice of discipline
taken by the Board.
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150.50.3
Individuals who are suspended or revoked from the practice of engineering shall have
their name removed from the list of licensed engineers on the Board’s web site for the
duration of the suspension or permanently when revoked.
160
CERTIFICATES OF AUTHORIZATION FOR FIRMS
160.10
General Requirements for Certificate of Authorization
160.10.1
Pursuant to the provisions of the Rhode Island registration law regarding engineering
R.I. Gen. Laws § 5-8-1 et seq., any firm who practices or offers to practice
engineering within the State of Rhode Island must obtain a certificate of authorization
to do so prior to practicing or offering to practice engineering in this State. That
certificate of authorization is issued by this Board after application and review by the
Board.
160.10.2
A firm is defined by Rhode Island General Laws as a corporation, partnership, or sole
proprietorship. "Firms" which have one (1) person employed by the firm (regardless
of the official title of that position i.e. secretary, engineer, etc...), may be eligible for a
waiver of the fee assessed for a certificate of authorization if that person is in
responsible charge. The decision to grant such "waiver" will be made by the Board
after application and review by the Board.
160.10.3
Each firm which obtains a certificate of authorization must designate one or more
engineers registered in the State of Rhode Island as being in responsible charge of all
engineering work. The failure to so designate an engineer shall result in denial of the
application.
160.10.4
Individual registrations are intended to allow Professional Engineers who are not
acting under the control, supervision, or authority of a "firm" to practice engineering
within the State of Rhode Island. As an individual Registrant, this Board will ascribe
personal liability to the work product of that engineer and will not substitute the name
of any corporation, partnership and/or sole proprietorship for that of the individual
engineer. The obtaining of an individual registration as a Professional Engineer in
this State does not entitle a person to a certificate of authorization for a corporation,
partnership or sole proprietorship automatically. A certificate of authorization must
be applied for and obtained from this Board.
160.10.5
Regardless of the type of registration or certificate obtained from this Board, no
person or firm may practice or offer to practice engineering in the State of Rhode
Island without proper authorization from this Board. The practice of engineering in
this State is defined by R.I. Gen. Laws § 5-8-1 et seq., and is strictly applied by this
Board. No person or firm may practice or offer to practice engineering in this State
under the "agency" of another person or firm unless full and complete compliance
with Rhode Island General Laws has been obtained.
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160.10.6
Based upon previous discussions between the Rhode Island Board of Registration for
Professional Engineers and the Rhode Island Secretary of State’s Office, no firm
which offers or represents that it practices or offers to practice engineering in the
State of Rhode Island will be permitted to be incorporated as an engineering firm or
otherwise register at the Secretary of State’s office until such time as this office has
confirmed to the Secretary of State’s Office (Corporation Division) that a current
Certificate of Authorization and/or that an individual registered as a Professional
Engineer in the State of Rhode Island is listed as being in responsible charge or
associated with that firm. In order to facilitate this process, the Board and the
Secretary of State’s Office have agreed to the following procedure:
1. The Secretary of State’s Office will submit to the Board a listing of any firm
who seeks to register with the Secretary of State’s Office to practice or offer
to practice engineering in the State of Rhode Island.
2. Upon receipt of the name from the Secretary of State’s Office, the Board will
review the name and determine whether or not the individual is registered
and/or that a Certificate of Authorization has been approved and issued.
3. Upon determination by this Board as to the status of any registration, the
Board will telephonically notify the Secretary of State’s Office of the results
of that review and will follow up with the form memo listing the name of the
individual and/or the firm and the status of any application.
4. This process must be completed within forty-eight (48) hours of the receipt of
the identifying information from the Secretary of State’s Office.
160.20
Reserved
160.30
Reserved
160.40
Reserved
160.50
Expirations and Renewals
160.50.1
Certificates of authorization for firms shall expire on the last day of the month of June
in the even years following their issuance and shall become invalid after that date
unless renewed. It shall be the duty of the Board to notify every firm holding a
certificate of authorization under this Act of the date of the expiration of the
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certificate of authorization and the amount of the fee required for its renewal. Such
notice shall be mailed to the firm at its last known address at least 1 month in advance
of the date of the expiration of the certificate.
160.50.2
Renewal may be affected at any time prior to or during the month of June by payment
of a fee as established by regulation of the Board. Renewal of an expired certificate
may be affected under rules promulgated by the Board regarding requirements for
penalty fees.
160.60
Issuance of Duplicate Certificates
A duplicate certificate of authorization to replace any certificate lost, destroyed, or
mutilated may be issued subject to the rules of the Board. A fee established by
regulation shall be paid for each issuance.
160.70
Grounds for Disciplinary Action—Firms Holding a Certificate of
Authorization
160.70.1
Pursuant to R.I. Gen. Laws §5-8-18(a) the Board shall have the power to recommend
suspension, revocation, placement on probation, imposition of a fine, recovery of
costs, and/or a reprimand, or refusal of the issuance of, restoration of, or renewal of a
certificate of authorization to any firm holding a certificate of authorization that is
found to have engaged in:
1. Any fraud or deceit in obtaining or attempting to obtain or renew a certificate
of authorization.
2. Any negligence, incompetence, or misconduct in the practice of engineering.
3. Conviction of or entry of a plea of guilty or nolo contendere to any crime that
is a felony, whether or not related to the practice of engineering; and
conviction of or entry of a plea of guilty or nolo contendere to any crime,
whether a felony, misdemeanor, or otherwise, an essential element of which is
dishonesty or which is directly related to the practice of engineering.
4. Failure to comply with any of the provisions of this Act or any of the rules or
regulations of the Board.
5. Discipline by another jurisdiction, foreign country, or the United States
government, if at least one of the grounds for discipline is the same or
substantially equivalent to those contained in these rules and regulations.
6 Failure to provide information requested by the Board as a result of a formal
or informal complaint to the Board which alleges a violation of these rules and
regulations.
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7. Knowingly making false statements or signing false statements, certifications,
or affidavits in connection with the practice of engineering.
8. Aiding or assisting another person in violating any provision of the Law or the
rules or regulations of the Board.
9. Violating any terms of probation imposed by the Board or using a seal or
practicing engineering while the firm’s certificate of authorization is inactive
or restricted.
10. Engaging in dishonorable, unethical, or unprofessional conduct of a character
likely to deceive, defraud, or harm the public.
11. Providing false testimony or information to the Board.
160.70.2
In addition to or in lieu of any other sanction provided in this section, any firm
holding a certificate of authorization that violates a provision of the Law or any rule
or regulation of the Board may be assessed a fine in an amount determined by the
Board of not more than the amount specified in accordance with the R.I. Gen. Laws
§§ 5-8-18 and/or 5-84-5, as applicable.
160.70.2.1
Each day of continued violation may constitute a separate offense.
160.70.2.1
In determining the amount of fine to be assessed pursuant to this section, the Board
may consider such factors as the following:
1. Whether the amount imposed will be a substantial economic determent to the
violation;
2. The circumstances leading to the violation;
3. The severity of the violation and the risk of harm to the public;
4. The economic benefits gained by the violator as a result of non-compliance;
and/or,
5. The interest of the public.
160.70.3
In addition to any other sanction provided in this section, the Board shall have the
power to sanction as follows any firm where one or more of its managing agents,
officers, directors, owners, or managers have been found to have engaged in any
conduct which would constitute a violation under the provisions of the Law or any of
the rules or regulations of the Board:
1. Place on probation, fine, recover costs from, and/or reprimand;
2. Revoke, suspend, or refuse to issue, restore, or renew the certificate of
authorization.
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160.80
Disciplinary Action Procedures—Firms Holding a Certificate of
Authorization
160.80 .1
Any person or entity, including the Board itself, may file a complaint alleging a
violation of any provision of this Act or any of the rules or regulations of the Board
against any firm holding a certificate of authorization.
160.80 .2
A complaint shall be in writing and state specifically the facts on which the complaint
is based.
160.80 .3
All complaints shall be reviewed by the Board or an investigative committee
designated by the Board. After review, the Board or the investigative committee shall
determine or recommend, as appropriate, if charges are warranted.
160.80 .4
All charges, unless dismissed by the Board as unfounded, trivial, or unless settled
informally, shall be heard by the Department. The time and place for the hearing shall
be fixed by the Department, and a copy of the charges, together with a notice of the
time and place of hearing, shall be personally served on or mailed to the last known
address of such accused firm at least 30 days before the date fixed for the hearing. At
any hearing, the accused firm and the accused firm’s managing agent shall have the
right to appear in person or by counsel, or both, to cross-examine witnesses in the
accused firm’s defense and to produce evidence and witnesses in the accused firm’s
defense. If the accused firm fails or refuses to appear at the hearing, the Department
may proceed to hear and determine the validity of the charges in the accused firm’s
absence.
160.80 .5
If after such hearing a majority of the Board votes in favor of sustaining the charges,
the Board shall reprimand, fine in an amount not to exceed the amount specified in
accordance with the current applicable statute, R.I. Gen. Laws § 5-8-18 for each
count, recover costs, refuse to issue, restore or renew, place on probation for a period
of time, and subject to such conditions as the Department may specify, suspend,
revoke, or any combination thereof, the accused firm’s certificate of authorization.
All hearings shall be conducted pursuant to Department of Business Regulation
Central Management Regulation 2 entitled Rules of Procedure for Administrative
Hearings.
160.80 .6
A firm aggrieved by any action of the Department in levying a fine; recovering costs;
reprimanding; placing on probation; denying; suspending, refusing to issue, restore,
or renew; or revoking a firm certificate of authorization may appeal the Department’s
decision to the proper court pursuant to R.I. Gen. Laws § 42-35-15..
160.80 .7
Any financial sanction assessed pursuant to Section 160.70 of these regulations shall
be assessed in a proceeding as provided in this section. Unless the amount of the
penalty is paid within 30 Days after the order becomes final, the order shall constitute
a judgment and shall be filed and execution issued thereon in the same manner as any
other judgment of a court of record.
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31
160.80 .8
An action to enforce an order under this section may be combined with an action for
an injunction.
160.80 .9
The Department may, upon petition of a firm to reissue a firm certificate of
authorization that has been revoked by the Department, provided that a majority of
the Board votes in favor of such reissuance.
160.90
Grounds for Disciplinary Action—Firms Not Holding a Certificate
of Authorization
160.90.1
Pursuant to R.I. Gen. Laws § 5-8-20(c) in addition to any other provisions of law, the
Board shall have the power to fine pursuant to R.I. Gen. Laws § 5-84-5 and recover
costs pursuant to R.I. Gen. Laws § 5-8-18 (a)(7) from any firm that does not hold a
certificate of authorization and that is found guilty of:
1. Engaging in the practice or offer to practice of engineering or surveying in this
jurisdiction without being authorized in accordance with the provisions of these
rules and regulations;
2. Using or employing the words “engineer,” “engineering,” or any modification or
derivative thereof in its name or form of business activity except as authorized in
these rules and regulations;
3. Presenting or attempting to use an unauthorized certificate of authorization
4. Engaging in any fraud or deceit in obtaining or attempting to obtain a certificate
of Authorization;
5. Impersonating any firm holding a certificate of authorization; and/or,
6. Using or attempting to use an expired, suspended, revoked, inactive, retired, or
non-existent certificate of authorization.
160.90.2
A fine assessed under this section may not exceed the amount specified in accordance
with the current applicable statutes, R.I. Gen. Laws § 5-8-18(a) and/or 5-84-5 for
each offense.
160.90.3
Each day of continued violation may constitute a separate offense.
160.90.4
In determining the amount of fine to be assessed pursuant to this section, the Board
may consider such factors as the following:
1. Whether the amount imposed will be a substantial economic deterrent to the
violation;
2. The circumstances leading to the violation;
3. The severity of the violation and the risk of harm to the public;
4. The economic benefits gained by the violator as a result of non-compliance;
and/or,
5. The interest of the public.
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32
160.90.5
In addition to any other sanction provided in this section, the Board shall have the
power to recommend fines and recovery of costs from any firm where one or more of
its managing agents, officers, directors, owners, or managers have been found of any
conduct which would constitute a violation under the provisions of this Act or any of
the rules or regulations of the board.
160.100
Disciplinary Action Procedures—Firms Not Holding a Certificate of
Authorization
160.100.1
Any person or entity, including the board itself, may file a complaint alleging a
violation of any provision of this Act or any of the rules or regulations of the board
against any firm that does not hold a certificate of authorization.
160.100.2
A complaint shall be in writing and state specifically the facts on which the complaint
is based.
160.100.3
All complaints shall be reviewed by the board or an investigative committee
designated by the board. After review, the board or the investigative committee shall
determine or recommend, as appropriate, if charges are warranted.
160.100.4
All charges, unless dismissed by the board as unfounded, trivial, or unless settled
informally, shall be heard by the board. The time and place for the hearing shall be
fixed by the board, and a copy of the charges, together with a notice of the time and
place of hearing, shall be personally served on or mailed to the last known address of
such accused firm at least 30 days before the date fixed for the hearing. At any
hearing, the accused firm shall have the right to appear in person or by counsel, or
both, to cross-examine witnesses in its defense and to produce evidence and witnesses
in its defense. If the accused firm fails or refuses to appear at the hearing, the board
may proceed to hear and determine the validity of the charges in the accused firm’s
absence.
160.100.5
If after such hearing a majority of the Board votes in favor of sustaining the charges,
the Board shall fine in an amount not to exceed the amount specified in accordance
with the current applicable statute, R.I. Gen. Laws § 5-8-18 for each count and
recover costs from the accused firm.
160.100.6
A firm aggrieved by any action of the Board in levying a fine or recovering costs may
appeal the Board’s decision to the proper court pursuant to R.I. Gen. Laws § 42-35-
15.
160.100.7
Any financial sanction assessed pursuant to this section shall be assessed in a
proceeding as provided in this section. Unless the amount of the penalty is paid
within 30 days after the order becomes final, the order shall constitute a judgment and
RHODE ISLAND RULES & REGULATIONS FOR LICENSURE FOR ENGINEERS – 2014
33
shall be filed and execution issued thereon in the same manner as any other judgment
of a court of record.
160.100.8
An action to enforce an order under this section may be combined with an action for
an injunction.
160.110
Criminal Offenses
Pursuant to R.I. Gen. Law § 5-8-20(c), any firm that shall commit a violation
included in R.I. Gen. Law § 5-8-20(a) or (b) shall be guilty of a misdemeanor, and
upon conviction by a court of competent jurisdiction shall be sentenced to pay a fine
of not more than one thousand dollars ($1,000) for the first offense and a fine of not
less than one thousand dollars ($1,000) nor more than two thousand dollars ($2,000)
for each subsequent offense, or imprisonment for not more than one year, or both; and
in the court's discretion and upon good cause shown reimburse the board for any and
all fees, expenses, and costs incurred by the board in connection with the proceedings,
including attorneys’ fees, which amount shall be deposited as general revenues; and
be subject to, in the board's discretion, public censure or reprimand..
170
MISCELLANEOUS
170.10
Public Works
Any jurisdiction, county, or local government agencies or authorities, or officials or
employees thereof, shall not engage in the practice of engineering or surveying
involving either public or private property without the project being under the
responsible charge of a professional engineer for engineering projects or a
professional surveyor for surveying projects, as provided for the practice of the
respective professions by these regulations.
170.10.1
Engineered Products and Systems
Licensed engineers shall be in responsible charge of all engineering design of
buildings, structures, products, machines, processes, and systems that can affect the
health, safety, and welfare of the public.
170.11
Public Information
Public records may be made by written request to the Board pursuant to R.I. Gen.
Laws § 38-2-1 et seq. and Department of Business Regulation Central Management
Regulation 1 entitled Access to Public Records.
RHODE ISLAND RULES & REGULATIONS FOR LICENSURE FOR ENGINEERS – 2014
34
170.12
Petitions for Rule Making, Amendment or Repeal
170.12.1
Any interested person may petition the Board requesting the promulgation,
amendment, or repeal of any rule.
170.12.2
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.
170.12.3
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.
170.13
Declaratory Rulings- Pursuant to R.I. Gen. Laws § 42-35-8 and Department of
Business Regulation Central Management Regulation 3 entitled Declaratory Rulings
and Petitions the Board will accept requests from any person or Entity for advisory
opinions or declaratory rulings on the Practice of Engineering.
170.15
Application for Temporary Permit
It is the policy of the Rhode Island Board of Registration for Professional
Engineers to not issue a temporary permit to practice or offer to practice engineering
in the State of Rhode Island.
170.20
Reserved
170.30
Invalid Provisions
If any of the provisions of these rules and regulations or if any rule, regulation, or
order of the Board or if the application of such provision to any person or
circumstance shall be held invalid, the remainder of these rules and regulations and
the application of such provision of these rules and regulations or such rule,
regulation, or order to persons or circumstances, other than those as to which it is held
invalid, shall not be affected thereby.
EFFECTIVE: October 16, 2014