430 R.I. Code R. 430-RICR-00-00-1.6

Current through November 7, 2024

Section 430-RICR-00-00-1.6 - Disciplinary Actions

A. Grounds for Disciplinary Action-Registrants

1. Pursuant to R.I. Gen. Laws § 5-8-18(a), the Board shall have the power to recommend to the Director that a registrant be disciplined for any causes listed in R.I. Gen. Laws § 5-8-18(b) or for any of the following additional causes:

a. Failure to comply with any of the provisions of these rules and regulations or any of the rules or regulations of the Board.

b. Knowingly making false statements or signing false statements, certifications, or affidavits in connection with the practice of engineering.

c. Aiding or assisting another person in violating any provision of this Part or R.I. Gen. Laws Chapters 5-8 or 5-84.

d. Violating any order or consent agreement imposed by the Board and/or Department or using a seal or practicing engineering while a registration is inactive or restricted.

e. Engaging in dishonorable, unethical, or unprofessional conduct of a character likely to deceive, defraud, or harm the public, or that reflects adversely on the registrant's fitness to engage in the practice of engineering and is discreditable to the profession.

f. Providing false testimony or information to the Board and/or the Department.

g. Providing engineering services outside any of the licensee's areas of competence.

B. Grounds for Disciplinary Action-Unregistered Individuals

1. Pursuant to R.I. Gen. Laws § 5-8-20 and Chapter 5-84, the Board and/or the Department shall have the power to investigate allegations of unregistered activity and recommend that the Director pursue an enforcement action against any such person.

C. Grounds for Disciplinary Action-Firms Holding a COA

1. Pursuant to R.I. Gen. Laws § 5-8-18(a) the Board shall have the power to recommend to the Director that a COA be subject to discipline if a firm is found to have engaged in any of the activities listed in R.I. Gen. Laws § 5-8-18(b) or § 1.6(A) of this Part.

2. It is sufficient cause to discipline a firm if one or more of its managing agents, officers, directors, owners, managers or employees violates the provisions of this Part or R.I. Gen. Laws Chapters 5-8 or 5-84.

D. Grounds for Disciplinary Action-Firms Not Holding a COA

1. Any firm found in violation of R.I. Gen. Laws § 5-8-20(b) shall be subject to any administrative penalties or cease and desist orders as permitted by R.I. Gen. Laws Chapter 5-84.

E. Complaints, Disciplinary Actions and Administrative Hearings

1. All hearings and enforcement actions shall be conducted in accordance with and subject to the Administrative Procedures Act, R.I. Gen. Laws Chapter 42-35, and the Department's Rules of Procedure, 230-RICR-10-00-2.

2. Complaints.

a. Any person may file a complaint alleging a violation of any provision R.I. Gen. Laws Chapters 5-8 or 5-84 or of this Part. The Board and/or the Department may, upon its own motion, file a complaint against a professional engineer or firm or any individual or firm conducting unregistered engineering activity.

b. A complaint shall be in writing and state specifically the facts on which the complaint is based.

c. All complaints shall be reviewed by the Board and/or the Department. The Board and/or the Department shall review and investigate the allegations in the complaint which may reasonably constitute cause for disciplinary action.

d. Upon completion of the investigation, the findings shall be presented to the Board and/or the Department for consideration. Thereafter, the Board may take one of the following actions by a vote:

(1) Recommend that the complaint is further investigated.

(2) Allow the person or firm who is the subject of the complaint an opportunity to appear before the Board for an informal discussion regarding the facts and circumstances of the alleged violation. The informal discussion shall constitute a part of the Board's investigation of the pending disciplinary case. The Board may consider the facts discussed at the informal discussion in the event the matter proceeds to a contested case hearing. The Board may seek a consent agreement to resolve the complaint as a result of the informal discussion.

(3) Determine that the investigation does not warrant a finding that there is a basis for disciplinary action and that no probable cause exists to believe a violation has occurred and close the case and take no further action.

(4) Determine there is probable cause to believe that a violation has occurred and recommend to the Director of the Department that the Department proceed with a contested case hearing or other administrative enforcement action.

F. Administrative Penalties

1. Any person or firm, whether registered or unregistered, who is found to be in violation of R.I. Gen. Laws Chapters 5-8 and 5-84 or this Part, may be assessed an administrative penalty in an amount determined by the Department consistent with the application statutory provision for that violation. The following factors may be considered to determine the amount of the penalty:

a. Whether the amount imposed will be a substantial economic deterrent to the violation;

b. The circumstances leading to the violation;

c. The severity of the violation and the risk of harm to the public;

d. The economic benefits gained by the violator because of non-compliance; and/or

e. The interest of the public.

G. All disciplinary actions taken by the Department with respect to the Board will be published on the Department's website to ensure that the public is fully informed as to the identity of the Registrant and nature of the disciplinary action taken by the Department.

430 R.I. Code R. 430-RICR-00-00-1.6

Amended effective 7/1/2020
Amended effective 3/7/2024